Circular No. 43/2011/TT-NHNN providing on the preservation period for dossiers

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STATE BANK OF VIETNAM -------	SOCIALIST REPUBLIC OF VIET NAM Independence - Freedom – Happiness ---------------
No. 43/2011/TT-NHNN	Hanoi, December 20, 2011

CIRCULAR

PROVIDING ON THE PRESERVATION PERIOD FOR DOSSIERS, DOCUMENTS IN BANKING SECTOR

Pursuant to the Law on the State bank of Vietnam No.46/2010/QH12, of June 16, 2010;

Pursuant to the Law on credit institutions No. 47/2010/QH12, of June 16, 2010;

Pursuant to the Ordinance on National Archive No. 34/2001/PL-UBTVQH10, of April 04, 2001;

Pursuant to the Government’s Decree No. 111/2004/ND-CP, of April 08, 2004 detailing the implementation of a number of articles of the Ordinance on National Archive;

Pursuant to the Government’s Decree No. 96/2008/ND-CP, of August 26, 2008 defining the functions, tasks, powers and organizational structure of the State bank of Vietnam;

The State bank of Vietnam provides on the preservation period for dossiers, documents in banking sector, as follows:

...

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1. This Circular provides on the preservation period for dossiers, documents formed in activities of units in banking sector.

2. Dossiers, documents specified in clause 1 of this Article which are saved in such information carriers as magnetic tape, magnetic disk, various types of payment card, electronic documents, if being printed out, have full legal elements in accordance with provisions of the State and the State bank of Vietnam (SBV), then their preservation period shall be implemented in accordance with the period provided in this Circular.

3. Dossiers, documents which are displayed in electronic form shall not be governed by this Circular.

Article 2. Subjects of application

This Circular shall be applicable to: Units belonging to the organizational structure of the State Bank of Vietnam (SBV); Credit Institutions (CIs), branches of foreign banks, Representative Offices of foreign credit institutions, other foreign organizations engaging in banking activity, organizations of Party, the Trade Union, Youth Union (hereinafter referred to as units).

Article 3. Principles of determining the preservation period

Preservation period of dossiers, documents shall be determined on the basis of overall, sound analysis and valuation of the real value and historical value of the documents for the units, sectors and Nation.

Preservation period of each dossier shall be determined based on the document of the highest value in the dossier.

Article 4. The preservation period of dossiers, documents archived

...

2. The preservation period of each dossier, document archived shall be stipulated in two levels: permanent preservation and time-defined preservation with specific number of years as follows:

a) Permanent preservation: shall mean the dossiers, documents are archived permanently until they destroy themselves or are irrecoverable. This level of preservation shall be applicable to dossiers, documents which are important, clearly reflect the function, duty, serve the long term research for the operation of the agenies, units; have economical, political and historical value.

b) Time-defined preservation: shall mean the dossiers, documents apart from cases specified in point a clause 2 of this Article.

Article 5. Table of preservation period for dossiers, documents archived

1. Table of preservation period for dossiers, documents archived means table listing groups of dossiers, documents with instructions of preservation period.

2. Preservation periods of dossiers, documents archived in banking sector are stipulated in details at the Table of preservation period for archived dossiers, documents enclosed with this Circular (referred to as Table of preservation period for dossiers, documents).

3. Dossiers, documents for preservation in the Table of preservation period are classified by activities, matters and have independent ordinal numbers, specific name in respective with the stipulated preservation period, including:

1 General dossiers, documents;

2 Dossiers, documents on the banking development strategy;

...

4 Dossiers, documents on monetary forecast, statistics;

5 Dossiers, documents on credit;

6 Dossiers, documents on risk management;

7 Dossiers, documents on relationships with investors;

8 Dossiers, documents on foreign exchange;

9 Dossiers, documents on international corporation;

10 Dossiers, documents on establishment, operation and going into liquidation of credit institutions;

11 Dossiers, documents on inspectation, supervision;

12 Dossiers, documents on audit;

...

14 Dossiers, documents on payment work;

15 Dossiers, documents on finance - accounting;

16 Dossiers, documents on issuing and vault;

17 Dossiers, documents on science and technology;

18 Dossiers, documents on organization, personnel, training;

19 Dossiers, documents on emulation and reward work;

20 Dossiers, documents on legal compliance activity;

21 Dossiers, documents on investment in construction;

22 Dossiers, documents on propagation, press activity;

...

24 Dossiers, documents on administrative and archive activity;

25 Dossiers, documents on activities of organizations of Party, Trade Union, Youth Union.

Article 6. Using of the Table of preservation period

The table of preservation period for archived dossiers, documents as a basis for the accurate and scientic valuation of dossiers, documents, ensuring the uniformity.

1. The document value determined must ensure the following requirements:

a) The levels to determine preservation period for each dossier, documents are not lower than the level specified in this Circular.

b) When selecting documents to hand over for Historical archive, it is required to consider extent of sufficient of documents bulk, and pay attention to historical periods, time point in order to raise level of preservation period of documents up to higher than the stipulated level.

c) For archived dossiers, documents which were expired for preservation, it is required to make a list for submission to the agency’s Committee of dossiers, documents valuation for consideration and re-evaluation and submission to the head of the unit for deciding on prolonging their preservation period, or destruction.

2. In reality, if there are the archived dossiers, documents, which have not been yet specified in this Table of preservation period, heads of units shall, base on this Circular, concretize levels of preservation period in according to corresponding groups of archived dossiers, documents in the table to determine.

...

1. This Circular takes effect on February 03, 2012; the Circular No. 20/2009/TT-NHNN, of September 07, 2009 of SBV providing for preservation period of dossiers, documents in Banking sector is invalid from the effective day of this Circular.

2. Heads of units of the State Bank, Chairperson of the Board of Directors (Chairperson of Members' Council) and General Director (Director) of Credit Institutions, branches of foreign banks, representative offices of foreign credit institutions, other foreign organizations engaging in banking activity, leaders of organizations of Party, the Trade Union, Youth Union shall be responsible for guidance and implementation of this Circular.

3. Director of the Administrative Department of the SBV shall be responsible for providing guidance, inspecting units in the banking sector regarding the implementation of this Circular, annually reporting to the Governor on implementation of units.

PP. THE GOVERNOR OF
THE STATE BANK OF VIETNAM
VICE GOVERNOR

Tran Minh Tuan

CHART OF PRESERVATION PERIOD FOR BANKING DOSSIERS AND MATERIALS

(Issued together with the Circular No. 43/2011/TT-NHNN of the Governor of the State Bank dated December 20, 2011)

...

DESCRIPTION

PRESERVATION PERIOD

1. GENERAL DOSSIERS AND MATERIALS

A collection of documents CCed to multiple organizations, including:

- Documents on policies and guidelines of the Communist Party and state laws

...

- Documents for information purposes only (change in name of an organization, office relocation, stamp change, and signature notification, etc.)

5 years

Dossiers on implementation of policies and guidelines of the Communist Party and state laws

Infinite

Dossiers on formulation and introduction of rules/ regulations/ instructions on general issues of the banking sector and organizations.

Infinite

...

Infinite

Criteria of the general long-term and annual plan (official, supplementary or revised) and reports on accomplishment of bank’s plans

Infinite

Regional, sectorial economic reports, and other macroeconomic reports, and reports on the result of implementation of economic guidelines and economic structural changes.

Infinite

Notification of conclusions and directions of the Management Board of the State Bank, credit institutions in meetings, preliminary and final review meetings on banking operations, symposiums:

...

- Important type

Infinite

- Ordinary type

10 years

Minute books for performance evaluation meetings (other materials such as work books, etc) of the Management Board of all-level banks

Infinite

Dossiers on big celebrations, important events conducted by organizations

...

Materials on performance of organizations’ management board (reports, demonstrations, presentations given to the National Assembly and the Government in relation to assigned tasks, and speeches delivered in important events, etc.)

Infinite

Dossiers on preliminary and final review meetings on bank performance

+ Year-end meetings.

+ Half-year, quarterly and monthly meetings.

Infinite

...

Dossiers on application of ISO standards to the banking sector, organizations

Infinite

Dossiers on implementation of administrative reforms.

20 years

Work agendas of the Management Board of the State Bank and credit institutions

- Annual, multiple-year

...

- Monthly and weekly

15 years

10 years

5 years

Reports and materials used in meetings of the Management Board of the State Bank and credit institutions

- Important type

- Ordinary type

...

Infinite

5 years

Plans and reports of the State Bank, credit institutions on bank performance

- Final reports compiled on an annual, multiple-year basis:

+ Issuing units

+ Receiving units

- Preliminary reports compiled on half-year, 9-month, quarterly and ad hoc basis:

...

+ Receiving units

- Flash, weekly, period-based and monthly reports:

+ Issuing units

+ Receiving units

Infinite

10 years

...

5 years

Official documents on discussion of general issues

10 years

2. DOSSIERS AND MATERIALS ON BANK DEVELOPMENT STRATEGIES

...

Dossiers and materials on long-term, 5-year and annual bank development strategies, schemes, plans and proposals.

Infinite

Dossiers and materials on implementation of bank development strategies and plans

Infinite

Researches on domestic and international economic conditions over years and periods which assist bank development strategies.

20 years

...

- + Final reports

- + Preliminary reports

Infinite

20 years

3. DOSSIERS AND MATERIALS ON MONETARY POLICIES

...

Materials on long-term, mid-term and annual development strategies, plans and proposals for monetary policy administration and banking operations

Infinite

Materials on projects for national monetary policies and annual money supply

Infinite

Dossiers and materials on formulation of regulations on policies, administrative mechanisms and operations of monetary policies.

...

Materials on implementation and administration of monetary policies and monetary policy instruments.

20 years

Dossiers and materials on short and medium-term researches on economic and monetary conditions of countries whose currencies fall within the structure of foreign exchange reserves for the purpose of forecast of fluctuations in exchange rates and monetary policies.

10 years

Dossiers and materials on consultations with Ministries, and the banking sector about economic plans and policies regarding national monetary policies.

20 years

...

Dossiers and materials on dealing with recommendations, difficulties and complaints of credit institutions and borrowers in relation to credit, loan guarantee and interest rate policies, mechanisms.

20 years

Dossiers on determination of compulsory deposit requirements and management of mandatory reserve funds of credit institutions

10 years

Reports on the result of implementation of monetary policies, banking performance and relevant macroeconomic reports.

Infinite

...

- Annual reports

- Monthly and quarterly reports

Infinite

5 years

Weekly, monthly reports on financial, economic and monetary conditions in worldwide countries and Vietnam

5 years

...

10 years

Periodic and ad hoc reports on operations of interbank money market

10 years

Reports on performance and evaluation of administration, operation and implementation of relevant regulations on monetary policies

20 years

Reports on changes in deposit and lending interest rates of credit institutions

...

Reports on reference interest rates on the international market

5 years

Official correspondence on monetary policies

10 years

3.2. Dossiers and materials on money market operations

...

Records and papers on trading sessions in the open market operations

5 years

Materials on bidding sessions of treasury bills, state bank’s bills (as from the maturity date)

5 years

Materials on bidding sessions of government bonds, other valuable papers (as from the maturity date)

5 years

...

5 years

Performance reports on the bidding on valuable papers

5 years

Dossiers on overnight lending, lending to credit institutions in case of their insolvency (after debt repayments)

5 years

Procedures and manuals for implementation of procedures for the open market operation, bidding on the state bank’s bills, government bonds, valuable papers, valuable paper discounts, overnight lending, refinance lending, discounts and rediscounts (after the end of validity period)

...

Dossiers on issuance and revocation of Certificates of membership for credit institutions engaged in open market operations, bidding on bonds, bills and valuable papers; grant of passwords and digital signatures to members (after the end of validity period).

5 years

Dossiers and materials on opening of accounts and execution of transactions with the State Treasury, credit institutions operating in Vietnam, foreign banks and international monetary financial institutions (after the closing of accounts)

20 years

Materials on overdraft limits and overnight lending, net debt limits imposed on low-value payments in electronic interbank payments (after the end of validity period)

5 years

...

Reports on money market operations

10 years

Official correspondence on money market operations

10 years

3.3. Dossiers and materials on agency relationship operations

...

10 years

Investment deposit limits applied to specific partners; investment trust limits; depository limits; limits based on each type of transaction over periods (after the end of validity periods)

5 years

Monthly, quarterly and ad hoc reports on credit rating of partners of the State Bank

5 years

Subscription contracts for global financial and monetary newsletter services

...

Reports on agency relationship operations

5 years

Official correspondence on agency relationship operations

10 years

4. DOSSIERS AND MATERIALS ON MONETARY FORECASTS AND STATISTICS

...

Dossiers on formulation and introduction of rules, regulations and instructions on monetary forecasts and statistics

Infinite

Documents on providing guidance, facilitation and resolution of difficulties in implementation of statistical reporting rules

20 years

Detailed and general cash balance sheets in the banking sector

Infinite

...

20 years

Dossiers and materials on statistical investigations in the banking sector

- General reports

- Other reports and investigation form

Infinite

10 years

...

Infinite

Data reports and evaluation of Vietnam’s performance of balance of international payments over periods and following-period forecasts

20 years

Periodic and ad hoc reports, documents on provision of monetary information and statistical data

- Issuing units

- Receiving units

...

5 years

Reports on performance of monetary forecasts and statistics

- Prepared by affiliates

+ Annual reports

+ Half-year, quarterly and monthly reports

- Prepared by entities under jurisdiction

+ Annual reports

+ Half-year, quarterly and monthly reports

...

Infinite

20 years

Infinite

10 years

Official correspondence on monetary forecasts and statistics

10 years

...

5. DOSSIERS AND MATERIALS ON CREDITS

5.1. Dossiers and materials on credits

Dossiers on formulation and introduction of documents on regulations and policies on credits

Infinite

...

20 years

Dossiers and materials on guidance, management and monitoring of conditions and execution of projects financed by investment and development credit funds and key credit programs of the State

Infinite

Dossiers and materials on special lending to temporarily insolvent credit institutions

Infinite

Dossiers and materials on public debt treatment (from the completion of treatment)

...

Dossiers on investment project appraisal

- Approved dossiers

- Rejected dossiers

Infinite

5 years

Dossiers on lending of the State Bank to credit institutions already collecting all debts

...

Dossiers on lending, collection of debts owed by organizations or individuals already collecting all debts:

- Long-term lending

- Medium-term lending

- Short-term lending

15 years

10 years

5 years

...

Business operational analyses of credit institutions kept at the State Bank

5 years

Notifications of valuable paper discount limits

10 years

Dossiers and materials on guarantees for foreign loans applied for credit institutions (all debts repaid)

Infinite

...

Infinite

Dossiers on conclusion of international credit agreements (after termination of such agreements)

10 years

Internal regulations and procedures of credit operations (after the end of validity period)

15 years

Internal directions of credit operations (after the end of validity period)

...

Dossiers on guarantees/ valuable paper discounts/ factoring/ other credit extension forms (all debts recovered)

10 years

Dossiers on debt classification and treatment

20 years

Dossiers on debt trading activities

20 years

...

Dossiers on capital contributions, joint ventures, and purchase of shares of credit institutions

Infinite

Dossiers on implementation of operations of credit and refinancing transactions with banks in an on-lending form based on applications for credits, discounts, rediscounts of commercial papers and valuable papers (after all debts collected).

10 years

Dossiers on credit-related examination and guidance provided to credit institutions and other organizations

Infinite

...

Infinite

Final reports on credit operations on an annual, multiple-year basis

Infinite

Official correspondence on credits

10 years

5.2. Dossiers and materials on credit information operations

...

Plans, programs, proposals and projects for credit information operations

Infinite

Instructional documents on formulation of technical and professional procedures, code system related to credit information operations for organizations involved in credit information operations

15 years

Dossiers and materials on credit information processing for organizations involved in credit information operations which provide, set up and manage national credit data.

Infinite

...

Dossiers and materials on supply of credit information services to other credit institutions, organizations or individuals

5 years

Documents on directions for and collaboration on credit information operations

10 years

Dossiers and materials on research, design and formulation of technical procedures for credit information operations (after the end of validity period)

15 years

...

10 years

Documents of credit institutions providing information about overdue loans and information about unrealized pledges

5 years

Dossiers and materials on imposition of penalties for organizations or individuals committing violations against regulations on credit information operations

5 years

100

Performance reports on credit institutions’ provision of credit information to the State Bank

...

101

Official correspondence on credit information

10 years

6. DOSSIERS AND MATERIALS ON RISK MANAGEMENT

102

Dossiers on formulation of guidelines, policies and plans in the risk management

Infinite

...

Documents on directions for, rules and regulations on the risk management

Infinite

104

Dossiers on accident, risk mitigation

20 years

105

Periodic and ad hoc reports on risk management activities

- Annual reports

- Half-year, quarterly, monthly and ad hoc reports

...

Infinite

5 years

106

Official correspondence on risk management

10 years

7. DOSSIERS AND MATERIALS ON INVESTOR RELATIONSHIPS

107

...

5 years

108

Dossiers and materials on annual general meetings, extraordinary general meetings

10 years

109

Dossiers and materials events, conferences and workshops relating to credit institutions' stocks

5 years

8. DOSSIERS AND MATERIALS ON FOREIGN EXCHANGE

...

110

Dossiers on formulation of regulations and policies on foreign exchange

Infinite

111

Documents on foreign lending and borrowing limits of enterprises

20 years

112

Dossiers on confirmation of lending registration and foreign debt repayment (after the end of validity period)

10 years

...

Dossiers on confirmation of lending change registration and foreign debt repayment

10 years

114

Regulations on types of exchange rates

20 years

115

Remittance reports

5 years

116

...

- Accepted (after termination of business and manufacturing operations)

- Rejected

20 years

10 years

5 years

117

Dossiers on domestic purchase and sale of jewels and gems (after completion of transactions)

10 years

118

...

10 years

119

Dossiers on import and export of jewels and gems

20 years

120

Dossiers on issuance, revocation of licenses for import and export of gold, and certificates for foreign exchange and gold trading operations of organizations and individuals (after operational termination)

20 years

121

Dossiers on jewels and gems joint venture

...

122

Dossiers on interference gold dispatches

Infinite

123

Dossiers on bidding for gem extraction (after the end of bidding)

10 years

124

Contracts for entrusted import of gold (after termination of contracts)

10 years

...

Dossiers on confirmation of registration of accounts for capital contribution and VND payments for purchase of shares opened at commercial banks (after the closing of accounts)

10 years

126

Dossiers on issuance and revocation of licenses for opening and use of foreign currency accounts held in overseas countries

10 years

127

Dossiers on domestic purchase and sale of foreign currency (after completion of transactions)

10 years

128

...

5 years

129

Applications for grant of licenses for foreign currency collection (after the end of validity period)

10 years

130

Dossiers on citizen’s remitting foreign currency abroad

5 years

131

Applications for registration and confirmation of eligibility for provision of foreign exchange services on the domestic and international market (after termination of operations)

...

132

Dossiers on grant of licenses for credit institutions’ export and import of foreign cash (after the end of validity period)

10 years

133

Dossiers and materials on participation in inspection and monitoring of transfer and use of funds for foreign investment projects in Vietnam and direct and indirect outward investment projects of Vietnam (after completion of projects)

10 years

134

Dossiers and materials relating to use of the State foreign exchange reserves in accordance with the Prime Minister’s decisions

Infinite

...

Entrusted investment contracts of foreign partners (after termination of contracts)

5 years

136

Dossiers on grant of licenses for foreign currency receipt, payment and exchange services (after the end of validity period)

10 years

137

Copies of forex-related correspondence with countries

10 years

138

...

- Prepared by affiliates

+ Issuing units

+ Receiving units

- Prepared by entities under jurisdiction

+ Issuing units

+ Receiving units

10 years

...

10 years

5 years

139

Reports on management and use of the State foreign exchange reserves

Infinite

140

Final reports on foreign exchange operations of banks on an annual basis

Infinite

...

Official correspondence on foreign exchange activities

10 years

9. DOSSIERS AND MATERIALS ON INTERNATIONAL COOPERATION

142

Programs, strategies and action plans for international economic integration in the monetary and banking sector

Infinite

143

...

Infinite

144

Dossiers on formulation of documents relating to loans used in the negotiation with international financial and monetary organizations in uniformity with approved programs

Infinite

145

Dossiers of international financial and monetary organizations

Infinite

146

Dossiers on establishment of cooperations between Vietnam's banks and foreign monetary organizations, credit institutions and banks

...

147

Dossiers and materials on negotiation, conclusion of monetary and banking conventions, international agreements with international financial and monetary organizations

Infinite

148

Dossiers on management of economic programs and projects agreed upon between Vietnam's banks and foreign banks (after termination)

20 years

149

Dossiers on inbound and outbound delegations

- Conclusion of cooperation agreements

...

Infinite

20 years

150

Dossiers on accession to international associations and organizations

Infinite

151

Dossiers and materials on contribution of opinions to establishment of regulations on management and use of ODA funds for investment programs or projects financed by the Government, world-wide and regional financial and monetary organizations, banks and foreign non-governmental organizations

15 years

...

Dossiers on cooperation with international financial and monetary organizations, foreign banks giving technical assistance and on mobilization of funds for investment projects in the banking sector (after termination)

20 years

153

Performance reports on execution of technical assistance projects for investment projects in the banking sector.

Infinite

154

Dossiers on execution of programs and projects entitled to ODA funds intended for the banking sector

Infinite

155

...

30 years

156

Dossiers on international conferences and seminars held by a banking organization

Infinite

157

Periodic status and performance reports on holding of international conferences and seminars

20 years

158

Correspondence, telegrams and greeting cards of foreign agencies or organizations

...

- Ordinary type

Infinite

20 years

159

Reports on international cooperation activities

- Long-term cooperations and annual reports

- Half-year, 9-month reports

- Quarterly, monthly reports

...

Infinite

20 years

5 years

160

Official correspondence on international cooperation activities

10 years

10. DOSSIERS AND MATERIALS ON ESTABLISHMENT, OPERATION AND LIQUIDATION OF CREDIT INSTITUTIONS

...

Strategies and plans for development and perfection of Vietnam’s credit institutions

Infinite

161

Documents on guidelines and instructions for implementation of strategies and plans for development and perfection of credit institutions

Infinite

163

Projects and plans for restructuring of credit institutions and other banking organizations

Infinite

164

...

Infinite

165

Applications for grant of licenses for establishment and operation of credit institutions:

- Approved

- Rejected

Infinite

5 years

166

...

20 years

167

Decisions on grant of licenses for operation of credit institutions:

Infinite

168

Dossiers on approval for opening of transaction centers, branches and domestic and foreign representative offices; establishment of administrative units affiliated to Vietnam’s credit institutions (after operational termination)

20 years

169

Dossiers on approval for changes made to name; charter capital and allocated capital; location of main offices, representative offices; operational contents, scope and time; share assignment; share rates; members of the Management Board, Director General (Director) and member of the Control Board of credit institutions (after operational termination)

...

170

Dossiers on implementation of annual plans for increases in the charter capital of credit institutions (after completion of capital increases)

20 years

171

Dossiers on issuance and revocation of licenses for banking operations of other organizations (after operational termination)

20 years

172

Decisions on approval for titles, such as the Chairperson and members of the Management Board, Head and members of the Control Board, the Director General or Director of credit institutions (after the end of their terms in office)

10 years

...

Dossiers on grant of permission to Vietnam's credit institutions to contribute capital to establish credit joint ventures in overseas countries (after operational termination)

20 years

174

Dossiers on approval of the charter of credit institutions

Infinite

175

Dossiers on approval for capital contribution, share purchase and joint venture with foreign investors, applied to financial companies (after termination)

20 years

176

...

20 years

177

Dossiers on splitting, amalgamation, merging, acquisition and dissolution of credit institutions

Infinite

178

Legal documents of credit institutions on foundation, business registration, tax code, stamp specimen, charter and other procedures in relation to credit institutions/ transaction centers, branches, representative offices, administrative units/ transaction offices/ savings funds/ ATMs, etc.

Infinite

179

Dossiers on operational model transformation/ re-establishment of credit institutions

...

180

Dossiers on approval for opening, change of names, locations, and termination of transaction centers, branches, transaction offices/ savings funds, ATMs of credit institutions (after operational termination)

10 years

181

Materials on operations of associations, non-governmental organizations founded by credit institutions (after operational termination)

20 years

182

Periodic and extraordinary reports on organization and operation of credit institutions

Infinite

...

+ Issuing units

+ Receiving units

- Monthly, quarterly, ad hoc

+ Issuing units

+ Receiving units

Infinite

5 years

...

5 years

183

Final reports on performance of credit institutions

Infinite

184

Official correspondence

10 years

11. DOSSIERS AND MATERIALS ON INSPECTION AND SUPERVISION

...

185

Bank inspection development strategies, schemes, plans and proposals

Infinite

186

Dossiers on formulation and introduction of rules, regulations, instructions on inspection, examination, adjudication of complaints, accusations, fight against corruption and penalties for violations

Infinite

187

Inspection dossiers, post-inspection treatment dossiers:

- Serious, complicated and typical cases

...

Infinite

15 years

188

Examination dossiers, post-examination treatment dossiers:

- Serious, complicated and typical cases

- Other cases

Infinite

...

189

Complaint-handling and after-complaint-handling dossiers:

- Serious cases

- Other cases

Infinite

15 years

190

Accusation-handling and after-accusation-handling dossiers:

...

- Other cases

Infinite

15 years

191

Official responses to individuals and collectives filing complaints and making accusations

10 years

192

Dossiers and materials on penalties for administrative violations committed in the monetary and banking sector

...

193

Dossiers on handling of violation cases discovered during anti-corruption fights

20 years

194

Types of report on entities subject to banking supervision compiled by banking supervision units

10 years

195

Documents on notifications, warnings, recommendations and contacts with entities subject to banking supervision

5 years

...

Dossiers and materials of entities subject to banking supervision on implementation of, compliance with and remedies for warnings, recommendations through banking supervision activities

10 years

197

Data, reports on operational conditions, financial situations of entities subject to banking supervision

10 years

198

Reports on anti-corruption activities:

- Annual reports

- Half-year, quarterly, monthly and ad hoc reports

...

20 years

10 years

199

Plans for and reports on inspection activates and handling of complaints and accusations

- Long-term, annual

- Half-year, quarterly and extraordinary

- Quarterly, monthly

Infinite

...

5 years

200

Official correspondence on inspection

10 years

12. DOSSIERS AND MATERIALS ON AUDIT

201

Audit development strategies, schemes, plans and proposals

...

202

Annual and ad hoc audit programs, plans

10 years

203

Regulations, procedures and instructions for operational control and audit practices (after the end of validity period)

10 years

204

Records on post-audit recommendation handling of audited units

10 years

...

Dossiers and materials on control and audit.

- Serious cases

- Other cases

Infinite

10 years

206

Reports on control and audit activities

- Long-term, annual reports

...

- Quarterly, monthly reports

Infinite

20 years

5 years

207

Official correspondence on audit

10 years

...

208

Dossiers on formulation of strategies, guidelines, policies and plans for money laundering prevention and combating

Infinite

209

Documents on money laundering prevention and combating measures

Infinite

210

Dossiers on processing of money laundering prevention and combating information

...

211

Documents of the State Bank on supply of information and materials relating to money laundering crimes

20 years

212

Written warnings and recommendations about issues concerning money laundering crimes that arise from reported transactions

20 years

213

Dossiers and materials on projects for application of information technology to money laundering prevention and combating (after completion of projects)

20 years

...

Technical procedures for preservation of electronic information data about electronic international transmission and cash transaction reports (after the end of validity period)

10 years

215

Dossiers and materials on researches on application of information technology to money laundering prevention and combating

- Applied (as from the date of termination)

- Not applied

10 years

5 years

...

Dossiers and materials on management and application of measures to maintain IT safety and security for money laundering prevention and combating

Infinite

217

Procedure and technical manuals for operation of central computer networks for money laundering prevention and combating

20 years

218

Instruction manuals on reporting information about money laundering prevention and combating

10 years

219

...

20 years

220

Dossiers on establishment and operation of the interdisciplinary Steering Board for money laundering prevention

Infinite

221

Dossiers on establishment and operation of the Steering Board for money laundering prevention and combating in the banking sector

Infinite

222

Dossiers on transaction treatment under the resolution of the United Nation Security Council on “preventing the financing of terrorism and proliferation of weapons of mass destruction”

...

223

Dossiers and materials on Vietnam’s roles as a member of the Asia Pacific Group on money laundering combating

Infinite

224

Reports on money laundering prevention and combating activities

- Annual reports

- Half-year, quarterly, monthly and ad hoc reports

Infinite

...

225

Official correspondence on money laundering prevention and combating

10 years

14. DOSSIERS AND MATERIALS ON PAYMENT OPERATIONS

14.1. Dossiers and materials on management of payment operations

...

Dossiers and materials on formulation of projects, proposals and plans for payment operation development; dossiers and materials on implementation of projects, proposals and plans in the payment sector.

Infinite

227

Dossiers on formulation and introduction of administrative documents; instructional documents on payment.

Infinite

228

Regulatory documents on creation, assignment, management and use of secret signals, bank codes, operation codes, digital signatures and other signals used in remittance (after the end of validity period)

15 years

229

...

10 years

230

Dossiers and materials on inspection and monitoring of compliance with rules, regulations and policies on payment operations of payment service providers

10 years

231

Instructional and monitoring dossiers and materials on remittance transactions between the State Bank’s affiliates, clearing and settling transactions and payments between payment service providers

20 years

232

Dossiers and materials on licensing and suspension of payment operations (after operational termination)

...

233

Dossiers and materials concerning payment system supervision

20 years

234

Records on elimination of expired digital signatures

10 years

235

Dossiers and materials on management of card issuance activities

10 years

...

Dossiers of customers applying for card issuance, including card issuance registration forms, card information change forms and confirmations of card handover, etc. (as from the date of card cancellation)

5 years

237

Transaction proofs and statements: POS transaction receipts, proofs and receipts or bills of transactions without using cards (at the units accepting credit card payments in the tourism and entertainment sector), types of statement that must be printed out and marked at the end of day, month and period, etc.

5 years

238

Dossiers on administration of card-accepting units (as from operational termination)

5 years

239

...

5 years

240

Exchange dossiers and dossiers on collaboration with international card organizations on handling of disputes and complaints with

10 years

241

Books and proofs of payment operations

conforming to finance - accounting part (section 15.1)

242

Reports on payment operations

...

- Half-year, quarterly, monthly and ad hoc reports

Infinite

10 years

243

Official correspondence on payment operations

10 years

14.2. Dossiers and materials on international payment operations

...

244

Dossiers on remittance of payments for completion of foreign currency buy and sell transactions, investment in deposits, trading of valuable papers on the international market and interbank foreign currency market (after termination of transactions)

10 years

245

Dossiers and materials on inspection and control of international payment operations; cashing out and in operating funds; investment and trading transactions that take place on the international market and inter-bank foreign currency market

10 years

246

Dossiers on operation of international payment system and design of key cryptosystems and security requirements (after the end of validity period)

10 years

...

Dossiers and materials on monitoring of Vietnam’s share capital contribution to international finance – monetary organizations

Infinite

248

Dossiers on implementation of international payment and trade finance operations

10 years

249

Dossiers on receipts and payments of units having account relationships at the transaction center of the State Bank, management of operating funds, foreign currency and valuable papers

10 years

250

...

5 years

251

Contracts for maintenance, repair, overhaul and upgradation of SWIFT payment system (after the end of validity period)

5 years

252

Reports on fluctuations in overseas deposits of the State Bank

- Annual, multiple-year reports

- Monthly, quarterly and periodic reports

...

5 years

253

Reports on international payment operations

10 years

254

Official correspondence on international payment operations

10 years

15. DOSSIERS AND MATERIALS ON FINANCE - ACCOUNTING

...

15.1. Dossiers and materials on finance - accounting

255

Dossiers on formulation and introduction of rules, regulations and instructional or directional documents on finance and accounting

Infinite

256

Dossiers and materials on approval and disbursement of government budget to the State Bank's affiliates

Infinite

...

Dossiers and materials on management of receipts and payments, including annual financial plans; notifications, instructions and examinations of implementation of plans; budget estimates and final accounts of fixed asset shopping amounts, annual receipts and payments, amounts set aside for different funds and payments to the State Budget

Infinite

258

Annual financial dossiers and statements, and balance sheets of accounting entries and annual revenue statements (current status charts of enterprises), annual balance sheets (annual summary charts of assets), and performance reports on incomes, expenses and annual accounting reports.

Infinite

259

Monthly accounting reports

20 years

260

...

20 years

261

Financial statements

- Annual statements

- 9-month, half-year, quarterly and monthly statements

Infinite

20 years

262

...

- Serious cases

- Others

Infinite

10 years

263

Financial audit dossiers:

- Serious cases

- Other audits

...

Infinite

10 years

264

Accounting records:

- General accounting records

- Detailed accounting records

30 years

+ Logbooks used for monitoring issuance, payment transactions with the state budget, temporary safe-keeping and temporary custody of assets and others

...

+ Other books

10 years

265

Journals of invoices for dispatched and received goods

10 years

266

Records on checking of invoices, secondary records on invoices of incoming and outgoing commodities paid on complete delivery (?)

5 years

267

...

5 years

268

Detailed books on on-balance-sheet and off-balance-sheet accounts

20 years

269

Books on detailed accounting entries, on or off-balance-sheet collections

10 years

270

Cash books

...

271

Records on notifications of loss of savings books, promissory notes, bonds, certificates of deposit

30 years

272

Logbooks on savings books, promissory notes, bonds, certificates of deposit

20 years

273

Account balances and accounting-year final settlements attached with report forms

Infinite

...

Combined reports on daily revenue in foreign currency

10 years

275

Combined reports on accounting entries:

- Daily reports

- Monthly reports

30 years

5 years

...

Balance sheets of accounting entries:

- Daily reports

- Monthly reports

5 years

30 years

277

Voucher journals (except for those mentioned in point 279, 280, 281, 282)

30 years

...

Voucher journals on savings books, promissory notes, bonds, certificates of deposit, loans (after final settlement)

30 years

279

Documents on forfeiture, compulsory purchase, temporary safe-keeping, custody of jewels and foreign cash.

Infinite

280

Documents on issued goods dispatch or receipt

Infinite

281

...

Infinite

282

Documents regarding cases which have been investigated and judged

Infinite

283

Documents on spending on fixed asset shopping

- Real property

- Other assets

...

30 years

284

Letters of credit

10 years

285

Other types of import and export payment documents

10 years

286

Monthly statements on balances of collectibles and payables

...

287

Books and records on checking, tallying and liquidation of small labor instruments, or easily broken and cheap articles

5 years

288

Dossiers and materials on assignment, transfer and liquidation of fixed assets (as from completion of assignment, transfer and liquidation)

- Real property

- Other assets

Infinite

...

289

Reports on tallying and revaluation of fixed assets

30 years

290

Records, reports on payments to people’s debts, people’s debt obligations and overdue debts of economic organizations

Infinite

291

Documents on public debt repayments to domestic partners and public debt repayments to foreign partners

Infinite

...

Dossiers on financing and inspection of payments for construction investments

Infinite

293

Dossiers and final accounts of construction investments

- Falling within Group A

- Falling outside of Group A

Infinite

30 years

...

Logbooks on construction capital

10 years

295

Final accounts of major repair of houses and equipment

Depending on the useful life of structures and equipment

296

Final accounts of minor repair of houses and equipment

15 years

297

...

20 years

298

Accounting dossiers and materials regarding foundation, division, split, amalgamation, merging or ownership transformation, dissolution, operational termination, bankruptcy of banks or banking organizations

Infinite

299

Annual final accounts of assets

Infinite

300

Annual final accounts of loss and profit

...

301

Annual final accounts of expenditure

Infinite

302

Dossiers on payment transactions with partners coming from various countries (remittance and telegraphic transfer)

10 years

303

Dossiers on monitoring of domestic economic organizations as borrowers

10 years

...

Books on requests for debt repayments (debt repayments finished)

10 years

305

Different types of budget estimates

5 years

306

Other types of cheque booklets

5 years

307

...

30 years

308

Appendices and components

5 years

309

Agreements on trade, non-trade, borrowing, financing transactions signed with other countries (after termination of conventions)

20 years

310

Economic contracts (after termination of contracts)

...

311

Dossiers on opening and checking of customer's accounts (after operational termination)

5 years

312

Dossiers on collection, cheques and incoming or outgoing remittances

10 years

313

Lists and orders of overseas remittances

10 years

...

Letters of overseas remittances which have been handled

10 years

315

Entrustments of export collections

5 years

316

Reports on finance – accounting operations

- Long-term, annual reports

- 9-month, half-year reports

...

Infinite

20 years

5 years

317

Official correspondence on finance and accounting operations

10 years

15.2. Electronic documents (after being printed out)

...

318

General reports on checking of accounting data on interbank remittances

5 years

319

Payment orders and payment documents with the same characteristics

10 years

320

Result reports on clearing and settling transactions with banks

10 years

...

Telegraphic confirmations of electronic settling and clearing transactions within a day

10 years

322

Telegraphic traces and trace responses

10 years

323

Telegraphic requests for confirmations, confirmations of high-value transfer orders

10 years

324

...

10 years

325

General reports on transactions of member organizations

10 years

326

General reports on member transactions

10 years

327

Balance sheets of remittances

...

328

Reports on accounting results

10 years

329

General reports on clearing results

10 years

330

General reports on accounting results

10 years

...

Interbank accounting reports within a day

5 years

332

General and checking reports on receipt of remittances within a day

10 years

333

Statements on remittances; incoming and outgoing remittances

5 years

334

...

10 years

335

General reports on checking of electronic clearing and settling results

10 years

336

General reports on electronic clearing and settling transactions

10 years

337

Reports on outward and inward remittances for interbank payments

...

338

Records on remittance checking

5 years

339

Charts of results of interbank payments of member organizations

10 years

340

Journals on interbank payment documents

5 years

...

Other electronic payment documents; statements on payments for high-value commodity invoices

5 years

16. DOSSIERS AND MATERIALS ON ISSUE AND VAULT

342

Money printing schemes for creation of new money to supplement and replace money in circulation

Infinite

343

...

20 years

344

Annual and long-term schemes for play money printing

5 years

345

Financial plans for printing or creation, elimination of money, issuing administrative expenses and other expenses related to issuing and vault operations

10 years

346

Dossiers and materials on techniques of design and appraisal of money and valuable paper samples that the State Bank plans to issue

...

347

Decision on establishment, dissolution and merging of money vaults

Infinite

348

Dossiers on old money recall and new money issuance

Infinite

349

Decisions on issuance of currency and check types

Infinite

...

Decisions on termination of currency and check types

Infinite

351

Decisions on recall and replacement of currency types subject to termination

Infinite

352

Dossiers on money and check specimen

Infinite

353

...

30 years

354

Dossiers on money and check specimens

20 years

355

Dossiers and materials on inspection of fake currency, suspected counterfeit currency and currency ineligible for circulation

20 years

356

Dossiers and materials on supervision of elimination of currency ineligible for circulation and terminated currency

...

357

Dossiers and materials on supervision of elimination of misprinted money or rag paper used for printing money at money printing factories

20 years

358

Final accounts of jewels in the banking sector

- Annual, multiple-year reports

- Half-year and quarterly reports

Infinite

...

359

Final accounts of jewels at the local banking sector

- Annual, multiple-year reports

- Half-year, quarterly and monthly reports

10 years

5 years

360

Records and books on preservation of funds of cash, jewels and valuable papers

...

361

Inventories of types of currency, jewels, foreign currency and cash tallying books

20 years

362

Minutes on opening of standby vault key box; records on delivery and receipt of standby safe key.

5 years

363

Dossiers on handling of cases in which money amounts or assets in the custody of banks are lacked or lost

20 years

...

Papers on allocation and distribution of capital

5 years

365

Accounting books and records

Conforming to finance - accounting part (section 15.1)

366

Statistical reports and telegraphic notifications of cash

10 years

367

...

5 years

368

Schedules of face values of received and spent cash; schedules of dispatch and receipt of new series of currency

5 years

369

Records on retention of counterfeit currency

5 years

370

Final reports on issue and vault operations

...

371

Official correspondence on issue and vault operations

10 years

17. DOSSIERS AND MATERIALS ON SCIENCE AND TECHNOLOGY

372

Dossiers on formulation of strategies, operational regulations, plans, programs, schemes and projects for science and technology researches

Infinite

...

Dossiers and materials on technical assessment of technology projects of credit institutions

25 years

374

Dossiers on technical and preservation procedures for electronic documents

25 years

375

Schemes for technical procedures for preservation and archive of electronic data of payment service providers

25 years

376

...

10 years

377

Dossiers on development and application of science and technology to banking management, business and service operations

Infinite

378

Dossiers on technical breakthroughs and inventions, technological procedures or useful solutions which have been accredited

- At national, Ministry and industry level

- At the local level

...

10 years

379

Dossiers and materials on management and application of solutions to maintaining technology safety, security in the banking sector

25 years

380

Technical instruction and operational manuals for computer networks (after programs are not used)

5 years

381

Technical dossiers on design analysis and programming of banking software products (after software products are not used)

...

382

Design dossiers on installation of computer networks (when network systems are no longer used)

10 years

383

Technical materials of computer equipment (when equipment items are no longer used)

5 years

384

Dossiers on allocation, management, application and authentication of digital signatures used for control of banking data (after the expiration of signatures)

10 years

...

Contracts for shopping and installation of computer equipment (after termination of contracts)

20 years

386

Procedures for archive of software of various versions and archive of databases (after these are no longer used)

10 years

387

Dossiers on software copyrights (after software products are no longer used)

5 years

388

...

Infinite

389

Dossiers on formulation and management of databases in the banking sector and organizations

Infinite

390

Specialized scientific papers conducted by organizations to participate in scientific workshops

20 years

391

Dossiers on scientific research programs and projects

...

- At the local level

Infinite

10 years

392

Dossiers on international scientific seminars or workshops held by organizations

Infinite

393

Dossiers and materials on operations of the Science Council of the banking sector and organizations

...

394

Dossiers and materials on checking and monitoring of compliance with rules, regulations, policies on information technology for organizations and credit institutions

10 years

395

Plans and reports of science and technology activities

- Long-term, annual basis

- 9-month, half-year basis

- Quarterly, monthly basis

...

20 years

5 years

396

Official correspondence on science and technology activities

10 years

18. DOSSIERS AND MATERIALS ON ORGANIZATION, PERSONNEL AND TRAINING

...

397

Dossiers on formulation, perfection of organizational models and structures of the State Bank and credit institutions

Infinite

398

Dossiers and materials on establishment, change of names, functions, duties and powers; amalgamation, merging, splitting, division, dissolution of organizations

Infinite

399

Dossiers on formulation and introduction of the organizational charter, labor rules and regulations, organizational and staffing guidance of organizations

...

400

Dossiers on short-term and long-term proposals for appointment of managers and leaders at all levels

20 years

401

Dossiers and materials on personnel distribution and arrangement through recruitment and dispatch of personnel to affiliates of the State Bank and credit institutions

20 years

402

Dossiers on appointment, recommendation, dispatch, discharge and transfer of personnel

70 years

...

Original documents of officials and public employees

Infinite

404

Employment contracts:

- Long-term type (after termination of contracts)

- Short-term type (after termination of contracts)

10 years

5 years

...

Dossiers on personnel disciplines

70 years

406

Dossiers and materials on standards and titles of officials and public employees

Infinite

407

Annual statistical reports on list, quantity and quality of officials and public employees

Infinite

408

...

70 years

409

Dossiers and materials on protection of internal workplace politics of organizations

20 years

410

Dossiers and materials on personnel selection tests, rank promotion and transfer tests on an annual basis

- Reports on results and list of selected candidates

- Test applications, test papers and test organization materials

...

5 years

411

Dossiers and materials on setting and fulfillment of staffing requirements; reports on compliance with annual staffing requirements

Infinite

412

Dossiers on operations of the Committee for the advancement of women

10 years

413

Books and papers on management of staff files

...

414

Organizational and personnel plans and reports

- Long-term, annual basis

- 9-month, half-year basis

- Quarterly, monthly basis

Infinite

20 years

5 years

...

Official correspondence on organization and personnel

10 years

18.2. Dossiers and materials on employment and salary

416

Plans for employment and salary

- Long-term, annual basis

- 9-month, half-year basis

...

Infinite

20 years

5 years

417

Dossiers and materials on formulation and implementation of employment norms, rules, regulations and labor management in the banking sector, and implementary reports

Infinite

418

Dossiers and materials on formulation of regulations on allowances in the banking sector and implementary reports

...

419

Dossiers and materials on formulation of regulations on employment benefits, salary and bonus levels; salary scale in the banking sector and implementary reports

Infinite

420

Annual final accounts of salary, bonus or welfare benefits

10 years

421

Dossiers on pay rate promotion, and books or records on salary

20 years

...

Monthly payrolls

5 years

423

Dossiers and materials on formulation and implementation of employment benefits, including occupational protection and safety and hygiene in the banking sector

Infinite

424

Annual general reports on labor accidents in the banking sector and organizations

Infinite

425

...

- Serious cases

- Non-serious cases

Infinite

20 years

426

Reports on employment and salary:

- Long-term, annual basis

- 9-month, half-year basis

...

Infinite

20 years

5 years

427

Official correspondence on employment and salary

10 years

18.3. Dossiers and materials on training

...

18.3.1. Dossiers and materials on training administration

428

Dossiers and materials on monitoring and management of training activities at training establishments affiliated to the State Bank:

- Directional documents, programs, plans and annual reports

- Monthly and quarterly proposals and reports, and official correspondence, and reference materials

Infinite

...

429

Dossiers and materials on training-related workshops and seminars

10 years

430

Dossiers on monitoring and management of training activities

Infinite

431

Training cooperation projects and plans (after termination of these projects and plans)

10 years

...

Evaluation reports on operations of training cooperation projects

10 years

433

Dossiers and materials on monitoring and management of limited amounts of annual training budget

20 years

434

Dossiers and materials on holding of training and refresher courses for banking officials and employees

10 years

435

...

Infinite

18.3.2. Dossiers and materials on training

436

Plans and reports on implementation of plans for student training and enrolments at schools of the State Bank

- Annual, multiple-year basis

- Half-year and quarterly basis

...

5 years

437

Annual intake requirements assigned by the Ministry of Education and Training to schools affiliated to the State Bank

Infinite

438

Teaching materials designed for these schools

Infinite

439

Dossiers and materials on research projects conducted by these schools' personnel:

...

- At institute, industry and national level

- At department and school level

Infinite

20 years

440

Graduation thesis

20 years

441

Dossiers on annual student enrolment

...

442

Test papers of examinees and records on handover of test papers on annual basis stored by the Board of examiners at these schools

10 years

443

Dossiers and materials on annual test organization, examination and supplementary examination activities

5 years

444

Examinees’ documents:

- Students’ documents

...

10 years

5 years

445

Annual lists of students of classes, training courses held at schools and test scores

Infinite

446

Dossiers on annual graduation recognition for students joining classes and courses

Infinite

...

Official correspondence on training activities

10 years

19. DOSSIERS AND MATERIALS ON EMULATION AND REWARD

448

Dossiers on formulation and introduction of rules, regulations and instructions for emulation and reward

Infinite

449

...

Infinite

450

Dossiers and materials on workplace rewards assessment meetings held by the Council for Emulation – Reward at all levels in the banking sector and the Civil Affairs Committee of the Communist Party at the State Bank

Infinite

451

Dossiers on rewards granted to collectives and individuals:

- Forms of reward and emulative titles conferred by the President and the Prime Minister

Infinite

...

20 years

- Other reward forms

10 years

452

Dossiers on rewards granted to foreigners

Infinite

453

Dossiers and materials on inspections and surveys for the purpose of verification of performance relating to emulation and reward activities at organizations

5 years

...

Dossiers and materials on review reports on emulation and reward activities

10 years

455

Dossiers and materials on final review reports on emulation and reward activities

Infinite

456

Dossiers and materials on handling of recommendations and accusation letters in relation to emulation and reward activities

10 years

457

...

10 years

458

Dossiers and materials on holding of emulation and reward workshops in the banking sector

Infinite

459

Plans and reports on emulation and reward activities

- Long-term, annual basis

- 9-month, half-year basis

- Quarterly, monthly reports

...

Infinite

20 years

5 years

460

Official correspondence on emulation and reward activities

10 years

20. DOSSIERS AND MATERIALS ON LEGAL AFFAIRS

...

Instructional documents on legal affairs:

- Dossiers on introduction of regulations on instructions for legal affairs

- Documents and materials on professional instructions for legal affairs provided to affiliates of the State Bank and credit institutions

Infinite

10 years

462

Dossiers on assessment of legislative documents under jurisdiction of the Governor of the State Bank

Infinite

...

Dossiers and materials on formulation and introduction of legislative documents

Infinite

464

Dossiers on execution of programs on formulation of law projects conducted by the State Bank

Infinite

465

Materials on conduct of law-making programs after being approved by competent authorities

15 years

466

...

5 years

467

Dossiers and materials on legal consultancy provided to the Governor in negotiation, signing and implementation of international agreements, contracts and covenants with domestic and foreign partners or litigation against justice agencies

Infinite

468

Dossiers and materials on legal verification of cases regarding responsibilities and powers of banks

30 years

469

Dossiers and materials on performance of legal consultancy function for credit institutions’ operations:

...

- Important and typical cases

- Unimportant type

Infinite

10 years

470

Dossiers and materials on review, statistics, systemization and handling of results of review of legislative documents on banking activities

10 years

471

Dossiers and materials on monitoring of law enforcement and inspection of law implementation

...

472

Dossiers and materials on indemnity activities of the State in the banking sector

Infinite

473

Dossiers on holding of seminars on legal affairs and activities of popularizing legislative documents

10 years

474

Dossiers and documents on examination and handling of legislative documents

10 years

...

Dossiers and materials on corporate legal assistance activities

10 years

476

Legal affair plans and reports

- Annual, multiple-year basis

- Half-year, quarterly and monthly basis

Infinite

10 years

...

Official correspondence on legal affairs

10 years

21. DOSSIERS AND MATERIALS ON CONSTRUCTION INVESTMENT

478

Dossiers on formulation of documents on rules/regulations, instructions on construction investments made by the banking sector and organizations

Infinite

479

...

- Long-term, annual basis

- 9-month, half-year basis

- Quarterly, monthly basis

Infinite

20 years

5 years

480

Dossiers on infrastructure construction works

...

Infinite

- Group B and C and major repair works

Depending on the lifespan of structures

481

Dossiers on minor repair of works

15 years

482

Dossiers and materials on inspection of implementation of construction investment plans in the banking sector

...

483

Construction books, records and documents

Conforming to finance - accounting part (section 15.1)

484

Official correspondence on construction investment activities

10 years

22. DOSSIERS AND MATERIALS ON PROPAGANDA AND PRESS AFFAIRS

...

Directional documents, programs and plans for propaganda and press affairs

- Annual basis

- Quarterly, monthly basis

Infinite

10 years

486

Dossiers and materials on implementation of programs, plans for propaganda and press affairs

25 years

...

Dossiers and materials on holding of press conferences, exchange meetings with the press on a periodic or extraordinary basis, fairs, exhibitions in the banking sector

5 years

488

Proceedings, speeches delivered on big celebrations, important events in the banking sector

Infinite

489

Articles on serious and typical cases regarding the banking sector

20 years

490

...

5 years

491

Guidelines and plans for development of the Banking Museum of Vietnam

Infinite

492

Dossiers and materials on conservation and exhibition activities of the State Bank

Infinite

493

Lists of conserved and exhibited objects, such objects and tradition rooms in the banking sector

...

494

Reports on propaganda and press activities

- Year-end meetings.

- Quarterly, monthly basis

Infinite

10 years

495

Official correspondence on propaganda and press affairs

...

23. DOSSIERS AND MATERIALS ON ADMINISTRATIVE AFFAIRS

496

Plans for shopping, major repair and liquidation of assets

10 years

497

Records on distribution of necessities and office supplies

5 years

...

Dossiers and materials on use, operation and repair of motor vehicles, machinery and equipment

Depending on the useful life of equipment

499

Dossiers and materials on workplace location and adjustment for banking organizations

10 years

500

Estimates of operating budget

10 years

501

...

20 years

502

Tables of salaries, wages, allowances and other staff payments

10 years

503

Dossiers on healthcare activities of banking organizations

10 years

504

Dossiers on management and monitoring of distribution of houses to staff members

...

505

Records on disaster prevention and control

10 years

506

Dossiers and materials on fire and explosive protection activities

10 years

507

Dossiers and materials on national defence, military activities

10 years

...

Dossiers and materials on protection and guarantee of security and order

10 years

509

Dossiers on codes of corporate conduct

10 years

510

Official correspondence on administrative affairs

10 years

...

511

Dossiers on formulation and introduction of rules, regulations and instructions for administrative, records and archives affairs

Infinite

512

Registers of incoming and outgoing documents

20 years

513

Records on outgoing documents and registers of outgoing documents:

...

- Directives, decisions, rules, regulations and instructions

- Others

Infinite

50 years

514

Dossiers on regulations on carving of seals of the State and the banking sector

Infinite

...

Seal and signature specimens in the banking sector (after the end of validity period)

20 years

516

Seal and signature specimens received from outside of the banking sector (after the end of validity period)

5 years

517

Counterfoils of recommendation letters, leave forms, business trip forms and document delivery slips

5 years

518

...

Infinite

519

Index books of dossiers and materials of organizations which have been corrected

Infinite

520

Logbooks serving the purpose of exploiting materials

20 years

521

Statistical reports on archives, records and archived documents

...

522

Dossiers on implementation of archival operations (collection, preservation, correction and use, etc)

20 years

523

Dossiers on elimination of materials of which preservation validity period ends (as from the date of material elimination)

20 years

524

Dossiers on seminars on office, records and archives activities

10 years

...

Instructional and inspection documents on office, records and archives activities in the banking sector

20 years

526

Plans for and reports on office, records and archives activities

- Annual, multiple-year basis

- Quarterly, monthly basis

Infinite

10 years

...

Official correspondence on administrative, records and archives affairs

10 years

25. DOSSIERS AND MATERIALS ON OPERATIONS OF COMMUNIST PARTY ORGANIZATIONS, TRADE UNIONS AND COMMUNIST YOUTH UNIONS

25.1. Dossiers and materials on operations of Communist Party organizations

528

...

Till the end of document validity

529

Dossiers on General Meetings held in terms

Infinite

530

Programs and plans for Communist Party organization affairs

- Year or term-based final reports

- Half-year, quarterly and monthly basis

...

10 years

531

Directional dossiers and materials on implementation of documents on superior-level Communist Party organizations

- Important ones regarding the banking sector

- Those used for information only

Infinite

5 years

532

...

Infinite

533

Dossiers and materials on evaluation and ranking of Communist Party’s grassroots organization and Communist Party members

70 years

534

Dossiers on foundation/ merging and recognition of Communist Party organization

Infinite

535

Dossiers on receipt and handover of Communist Party tasks

...

536

Dossiers on inspection and supervision activities

20 years

537

Dossiers and materials on Communist Party organization and staffing activities

70 years

538

Minutes of periodic and extraordinary meetings of Communist Party organizations

20 years

...

Communist Party members

70 years

540

Dossiers and materials on awarding of Communist Party medals

Infinite

541

Records on registration of Communist Party members and fees

20 years

542

...

- Year or term-based basis

- Monthly, quarterly and half-year basis

Infinite

10 years

543

Official correspondence on Communist Party affairs

10 years

...

544

A collection of instructional and directional documents CCed by superior-level Trade Unions to banking organizations

Till the end of document validity

545

Dossiers on implementation of trade union operations of grassroots Trade Unions

10 years

546

Dossiers on implementation of major mobilization, resolutions of superior-level and corporate Trade Unions

...

547

Dossiers on annual meetings with officials and public employees

20 years

548

Materials on operations of people’s inspection organizations

- Annual reports

- Other materials

Infinite

...

549

Dossiers on the admission to Trade Unions

25 years

550

Dossiers on General Meetings of Trade Union

Infinite

551

Materials on organization, personnel and operations of Trade Unions

Infinite

...

Minutes of periodic and extraordinary meetings of Trade Unions

20 years

553

Dossiers and materials on Trade Union’s operating budget

20 years

554

Programs, plans and reports of Trade Union affairs

- Year or term-based basis

- Half-year, quarterly and monthly basis

...

Infinite

10 years

555

Official correspondence on Trade Union affairs

10 years

25.3. Dossiers and materials on operations of Communist Youth Union

556

...

Till the end of document validity

557

Documents on implementation of Communist Youth Union activities

5 years

558

Dossiers on implementation of major mobilization, resolutions of the Communist Party, the State and the Communist Youth Union

Infinite

559

Dossiers on General Meetings of Communist Youth Union

...

560

Dossiers and materials on organization, personnel and operations of the Communist Youth Union

20 years

561

Minutes of periodic and extraordinary meetings of the Communist Youth Union

20 years

562

Dossiers and materials on budget for operations of the Communist Youth Union

20 years

...

Programs, plans and reports of Communist Youth Union affairs

- Year or term-based basis

- Half-year, quarterly and monthly basis

Infinite

10 years

564

Official correspondence on Communist Youth Union affairs

10 years

...

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Circular No. 43/2011/TT-NHNN providing on the preservation period for dossiers

Official number:	43/2011/TT-NHNN	Legislation Type:	Circular
Organization:	The State Bank	Signer:	Tran Minh Tuan
Issued Date:	20/12/2011	Effective Date:	Premium
Gazette dated:	Updating	Gazette number:	Updating
		Effect:	Premium

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Circular No. 43/2011/TT-NHNN of December 20, 2011, providing on the preservation period for dossiers, documents in banking sector

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