Decision No. 1087/2003/QD-NHNN on the issuance of regulations for protecting state secrets in banking

DECISION OF THE GOVERNOR OF THE STATE BANK OF VIETNAM

Regarding the issuance of the Regulation on Protecting State Secrets in the Banking Industry

state secrets in the banking sector

GOVERNOR OF THE STATE BANK OF VIETNAM

Pursuant to the Law on the State Bank of Vietnam No. 01/1997/QH10 dated December 12, 1997;

Pursuant to the Law Amending and Supplementing Certain Provisions of the Law on the State Bank of Vietnam No. 10/2003/QH11 dated June 17, 2003;

Pursuant to the Ordinance on Protecting State Secrets No. 03/2000/PL-UBTVQH10 dated December 28, 2000;

Pursuant to the Decree No. 33/2002/NĐ-CP dated March 28, 2002 of the Government detailing the implementation of the Ordinance on Protection of State Secrets;

Pursuant to Decree No. 86/2002/NĐ-CP dated November 5, 2002 of the Government stipulating the functions, tasks, powers, and organizational structure of Ministries and ministerial-level agencies;

At the proposal of the Director of the Office of the State Bank;

DECISION:

Article 1. This Decision promulgates the Regulation on Protecting State Secrets in the Banking Industry.

Article 2. This Decision shall take effect fifteen days from the date of publication in the Official Gazette. Decision No. 299/QĐ-NH4 dated November 26, 1994 of the Governor of the State Bank of Vietnam ceases to be effective.

Article 3. The Director of the Office, Heads of Departments under the State Bank of Vietnam; Heads of Units under the State Bank of Vietnam; Chairmen of Management Councils, General Directors (Directors) of credit organizations are responsible for implementing this Decision.

REGULATIONS
PROTECTING STATE SECRETS IN THE BANKING INDUSTRY
(Issued together with Decision No. 1087/2003/QĐ-NHNN dated September 17, 2003 of the Governor of the State Bank of Vietnam)

Chapter 1:

GENERAL PROVISIONS

Article 1- State secrets in the banking industry include information about cases, matters, documents, objects, locations, times, statements containing important contents within the field of banking activities that have not been disclosed or will not be disclosed, and if disclosed will affect national security, politics, economy, and other fields of the state and the industry, and are defined in the list of state secrets by competent authorities.

Article 2

Article 1.- This regulation applies to the State Bank system, credit organizations, and enterprises in the banking industry (hereinafter referred to as units), bank employees, and related organizations and individuals.

Article 2.- All acts of collecting, processing, leaking, losing, appropriating, buying, selling, and illegally destroying information belonging to state secrets in the banking industry are strictly prohibited.

Chapter 2:

SPECIFIC PROVISIONS

Article 3- Determination and stamping of the level of confidentiality for documents and objects carrying state secrets.

Point 1.- Documents and objects carrying state secrets must be stamped with the level of confidentiality according to their degree: Top Secret, Confidential, or Secret.

Point 2.- When drafting documents containing state secrets, the drafter must propose the level of confidentiality for each document, and the person approving and signing the document is responsible for deciding the stamping of the level of confidentiality and the circulation scope of the document.

Point 3.- For objects carrying state secrets, there must be a document clearly stating the name of the object attached and stamped with the level of confidentiality on this document.

Point 4.- Sample seals for different levels of confidentiality

- Sample seal for "Secret"

Rectangle shape, size 20mm x 8mm, with a border around, inside is the word "SECRET" in bold uppercase letters, evenly spaced from the border by 2mm.

- Sample seal for "Top Secret"

Rectangle shape, size 30mm x 8mm, with a border around, inside is the phrase "TOP SECRET" in bold uppercase letters, evenly spaced from the border by 2mm.

- Sample seal for "Top Secret"

Rectangle shape, size 40mm x 8mm, with a border around, inside is the phrase "TOP SECRET" in bold uppercase letters, evenly spaced from the border by 2mm.

- Sample seal for recalling documents carrying state secrets

Rectangle shape, size 80mm x 15mm, with a border around, inside has two rows of text, the top row is "DOCUMENTS TO BE RECALLED" in bold uppercase letters, the bottom row starts with "Time limit" in regular font at the beginning followed by dots until the end, characters in both rows are evenly spaced from the border by 2mm.

The recall seal for confidential documents is used when confidential documents are only issued for a specific period, users can only use them during that period and then return them to the issuing authority. When stamping "Documents to be recalled" on issued documents, the time limit line must clearly indicate the specific date and time for returning the document.

- Sample seal for "Only named persons may open"

Rectangle shape, size 100mm x 10mm, with a border around, inside is the phrase "Only named persons may open" in regular bold font, evenly spaced from the border by 2mm.

The "Only named persons may open" seal is used when transferring Top Secret documents where only the recipient may open the envelope to ensure the confidentiality of the document, the outside of the envelope must clearly state the recipient's name, and the sending unit must deliver it directly to the named person.

The ink used for stamping all types of seals above is bright red.

The archive department handling documents carrying state secrets of agencies and units is responsible for managing and stamping the above types of seals according to the instructions of the agency or unit heads or competent authorities determining the level of confidentiality as prescribed.

Article 4- Printing, copying, photographing state secrets-carrying documents and objects in the Banking sector.

The printing, copying, and photographing of state secrets-carrying documents and objects must be carried out in accordance with the following provisions:

1. The Governor of the State Bank shall decide on the printing, copying, and photographing of state secrets-carrying documents and objects in the Banking sector at the Top Secret and Absolute Secret levels, specifying the exact number of prints, copies, and photographs. The Governor may delegate the decision to print, copy, and photograph state secrets-carrying documents and objects in the Banking sector at the Confidential level to the Heads of Departments, Bureaus, organizations, enterprises within the Banking sector, Branches of the State Bank of Vietnam in provinces and centrally-administered cities, and credit institutions directly managing those documents and objects.

2. The printing, copying, and photographing of state secrets-carrying documents and objects must be conducted in places ensuring confidentiality and safety. Only the approved number of copies should be printed, copied, or photographed. After completion, excess copies, defective copies, carbon paper, and other materials used for printing machines must be immediately destroyed to ensure that information cannot be recovered.

3. After typing, printing, copying, or photographing confidential documents, they must be stamped with the classification level, marked for recall if necessary, numbered by page, copy, quantity printed, circulation range, recipient, typist, printer, copier, and photographer's name.

4. Computers connected to the Internet and external computer networks shall not be used for typing, printing, or copying confidential documents.

5. State secrets-carrying documents and objects copied or photographed onto tapes or discs must be sealed and stamped with the classification level, clearly indicating the name of the person who made the copy or photograph on the seal.

Article 5- Transporting and handing over state secrets-carrying documents and objects in the Banking sector.

1. Transporting state secrets-carrying documents and objects

a. State secrets-carrying documents and objects when transported must be placed in sturdy packaging made of appropriate material; they must be sealed according to regulations when necessary; transportation means must ensure safety in all situations; in cases where deemed necessary, personnel must be assigned to protect the transport of these documents and objects.

b. Information transmitted through telecommunications and computer networks must be encrypted according to state and sector regulations.

2. Handing over and retrieving state secrets-carrying documents and objects

All instances of handing over and receiving state secrets-carrying documents and objects between drafters, clerks, couriers, responsible persons, custodians, etc., must be recorded in a logbook, with signatures from both the giver and receiver.

a. Sending state secrets-carrying documents and objects must comply with the following rules:

- Logging: Before sending state secrets-carrying documents and objects, they must be logged in the "Documents Out" logbook for tracking. The "Documents Out" logbook must include all fields: serial number (which is also the document number sent), date, place of receipt, summary of content, classification level, urgency level, signature, and remarks. For documents and objects classified as "Top Secret," the summary of content field can only be filled with permission from authorized personnel. Sent documents must be placed in sealed envelopes and transferred to the clerk for outer envelope preparation.

- Envelope Preparation: State secrets-carrying documents and objects sent must have separate envelopes. Envelope paper must be durable, water-resistant, and opaque; adhesive must be strong and difficult to peel.

State secrets-carrying documents and objects classified as "Confidential" must be stamped with the letter

C (the uppercase letter "C" in bold, within a circular border, diameter 1.5 cm) outside the envelope.

State secrets-carrying documents and objects classified as "Secret" must be stamped with the letter

B (the uppercase letter "B" in bold, within a circular border, diameter 1.5 cm) outside the envelope.

State secrets-carrying documents and objects classified as "Top Secret" must be sent in two envelopes:

+ Inner envelope: Clearly indicate the number and code of the document, the recipient's name, stamp "Top Secret." If it is a document or object sent specifically to a responsible person, stamp "Only named person may open."

+ Outer envelope: Marked like regular documents, stamped with the letter A (the uppercase letter "A" in bold, within a circular border, diameter 1.5 cm).

b. Receiving state secrets-carrying documents and objects

- All state secrets-carrying documents and objects received from various sources must be logged in the "Confidential Documents In" logbook for tracking and then transferred to the responsible person for handling.

- If the inner envelope of state secrets-carrying documents and objects received has a "Only named person may open" stamp, the clerk logs the document number indicated on the outer envelope and immediately transfers it to the person named on the envelope. If the named person is absent, transfer it to the responsible person. The clerk must not open the envelope.

- If state secrets-carrying documents and objects received show signs of being opened or exposed, or if there are signs of exchange, loss, damage, the recipient must immediately report to the head of the agency or unit for timely action.

c. Retrieving state secrets-carrying documents

Documents marked "For Recall," the clerk must monitor, retrieve, or return them to the sender within the specified time frame. Upon receipt and return, thorough checks must be conducted to ensure no loss of documents.

Article 6- Use of Documents and Objects Carrying State Secrets in the Banking Sector.

1. All documents and objects carrying state secrets must be used for their intended purpose, with the appropriate subjects and within the necessary scope for dissemination or study. Dissemination and study must be organized in places that ensure confidentiality and security.

2. Recording, audio recording, or video recording of documents and objects carrying state secrets may only be done with the permission of the Governor of the State Bank or the head of the unit directly managing such secrets. Audio tapes and video recordings must be managed and protected like original documents.

Article 7- Statistics, Storage, and Preservation of Documents and Objects Carrying State Secrets.

After processing, documents and objects carrying state secrets must be statistically recorded, classified, and stored separately; they must be kept safe using means such as cabinets, safes, vaults, and warehouses. They shall not be taken out of the agency without authorization; if it is necessary to take them for work purposes or to bring them home, written approval from the heads of units is required, registration with the security department is mandatory, and strict security measures must be implemented. Any loss, exchange, damage, or leakage of documents or objects carrying state secrets must be immediately reported to the unit head for prompt action. The head of the unit directly managing state secrets in the banking sector must regularly inspect and direct the statistical recording, classification, storage, and preservation of state secrets within their jurisdiction.

Article 8- Protection of Areas and Locations Storing and Conducting Activities Involving State Secrets in the Banking Sector.

Areas, locations, and places storing and conducting activities involving state secrets (including printing, copying, meeting, disseminating state secrets; product storage warehouses, electronic data storage warehouses, decoding and information transfer locations; research and testing sites involving state secrets in the banking sector) must ensure safety and have internal regulations for protection. Unauthorized persons are not allowed to access these areas. Staff coming to work must present an introduction letter along with their national identity card and be assigned to a dedicated room. Security forces, whether full-time or part-time, must be organized based on the nature and requirements of each location, with patrols, guards, and strict control over people entering and exiting, and technical protective equipment must be arranged.

Article 9- Strictly Prohibiting Agencies, Organizations, and Individuals from Providing Information Within the Scope of State Secrets in the Banking Sector to Publishing Agencies, Media, and Other Public Information Agencies in Any Form.

Article 10- Provision of Information Within the Scope of State Secrets in the Banking Sector to Agencies, Organizations, and Vietnamese Citizens.

1. Persons tasked with gathering information within the scope of state secrets in the banking sector must present a national identity card along with an introduction letter from the agency specifying the content and requirements for gathering information, and must obtain approval from the competent authority of the unit storing the secrets.

2. When providing information within the scope of state secrets in the banking sector to agencies, organizations, and Vietnamese citizens, the unit storing state secrets must obtain approval from the competent authority according to the following provisions:

a. State secrets at the Top Secret and Confidential levels require approval from the Governor of the State Bank.

b. State secrets at the Secret level require approval from the head of the unit directly storing the information.

Article 11 - Provision of information classified as state secrets within the banking sector to foreign organizations and individuals. 1. Units and individuals within the banking sector shall not disclose state secrets when interacting or contacting (conferences, seminars, roundtable discussions, scientific material exchanges, implementing cooperation programs, performing official duties, etc.) with foreign organizations and individuals.

2. When conducting international cooperation programs or performing official duties, if there is a requirement to provide information classified as state secrets to foreign organizations and individuals, it must be carried out in accordance with the following principles:

a. Protecting national interests;

b. Only providing information approved by competent authorities according to the following regulations:

- Information classified as Top Secret shall be approved by the Prime Minister.

- Information classified as Confidential shall be approved by the Minister of Public Security.

- Information classified as Secret shall be approved by the Governor of the State Bank.

c. Requiring the recipient to use the information for the agreed purpose and not to disclose it to third parties.

Article 12 - Carrying classified materials within the banking sector's state secrets abroad.

Bank employees carrying classified materials within the banking sector's state secrets abroad for work or scientific research purposes must obtain permission in writing from the Governor of the State Bank. The application must clearly state the person carrying the classified materials; the scope and intended use. Upon departure, they must present the approved application to the immigration management agency at the border checkpoint. During their stay abroad, they must take measures to manage and protect the confidentiality of the carried materials. If provided to foreign organizations and individuals, it must be done in accordance with Article 11 of this Decision.

Article 13 - Standards and responsibilities of staff involved in state secrets within the banking sector.

1. Staff directly involved in state secrets must have good moral qualities, a sense of responsibility, organizational discipline awareness, and vigilance in maintaining state secrets; possess professional expertise and the ability to complete assigned tasks, and must commit to protecting state secrets in writing submitted to the head of the unit.

2. Individuals tasked with coming into contact with state secrets in any form must strictly adhere to legal provisions on protecting state secrets. Article 14 - Establishment, modification, and declassification of state secrets.

By December each year, units within the banking sector must proactively propose to the Governor information to be included in the list of state secrets, changes in classification levels, and declassification of state secrets within the sector. The General Supervision Department is responsible for compiling and submitting these proposals to the Governor for decision by the Ministry of Public Security and the Prime Minister.

Article 15 - Destruction of materials containing state secrets within the banking sector.

1. Destruction of materials containing state secrets classified as Top Secret or Confidential that are no longer in use shall be decided by the Governor of the State Bank. 2. Destruction of materials containing state secrets classified as Secret that are no longer in use shall be decided by the head of the unit directly storing such materials.

3. During the destruction process of materials containing state secrets, it must ensure that state secrets are not leaked. Destruction of items containing state secrets must alter their shape and functionality. Destruction of documents must involve burning, shredding, or grinding to ensure they cannot be restored.

Article 15- Destruction of materials and objects carrying state secrets in the banking industry.

1- The destruction of materials and objects carrying state secrets classified as Top Secret and Confidential that are no longer in use shall be decided by the Governor of the State Bank.

2- The destruction of materials and objects carrying state secrets classified as Secret that are no longer in use shall be decided by the head of the unit directly responsible for storing such materials and objects.

3- During the process of destroying materials and objects carrying state secrets, it must ensure that state secrets are not disclosed or leaked. When destroying objects within the scope of state secrets, their shape and functions must be altered. When destroying documents, they must be burned, shredded, or ground to a fine powder to ensure they cannot be restored.

Article 16- Inspection in the field of protecting state secrets in the Banking sector.

1- Heads of units in the sector shall conduct inspections in the field of protecting state secrets regularly or at random within their management scope for each unit.

2- The General Supervision Department shall be responsible for inspecting the implementation of this Regulation at units under the State Bank of Vietnam system, public institutions, and enterprises in the banking sector. Branches of the State Bank of Vietnam in provinces and centrally-administered cities shall be responsible for inspecting the implementation of this Regulation at credit organizations in their respective areas.

3- Inspections in the field of protecting state secrets in the banking sector shall be conducted at least once every two years or randomly when necessary.

4- The inspection process and self-inspection must assess strengths and weaknesses, identify deficiencies and loopholes, and recommend remedial measures. After each inspection, a report must be submitted to the Governor of the State Bank of Vietnam (through the General Supervision Department), which will then be forwarded to the Ministry of Public Security for monitoring.

Article 17- Reporting, interim review, and final evaluation systems on state secret protection work in the Banking sector.

1- Reports include two types:

a. Reports (random) on incidents involving the leakage or loss of state secrets or violations of laws on protecting state secrets that harm national security, the interests of the state, or the sector, to be carried out by heads of units in the sector (where the incident occurred).

b. Comprehensive reports on state secret protection work in the sector to be conducted annually, implemented in January of the following year by heads of units in the sector.

These reports shall be sent to the General Supervision Department for consolidation into a comprehensive report for the entire sector.

2- Annual interim reviews and five-year final evaluations shall be organized. Interim and final evaluation reports on state secret protection work in the banking sector shall be submitted to the Prime Minister and the Ministry of Public Security for reporting. The General Supervision Department shall take the lead in coordinating with relevant units to implement these activities.

Chapter 3:

REWARD AND VIOLATION HANDLING

Article 18- Awards

Organizations, agencies, and citizens who achieve any of the following achievements shall be rewarded according to the provisions of the law:

1. Timely discovery and denunciation of acts of collecting, leaking, losing, appropriating, selling, or illegally destroying state secrets.

2. Overcoming all difficulties and dangers to ensure the safety of state secrets.

3. Finding lost state secret documents or items; preventing or limiting the consequences caused by others' acts of leaking, losing, appropriating, selling, or illegally destroying state secrets.

4. Excellently completing the assigned tasks of protecting state secrets.

Article 19- Handling Violations

All violations of the state secret protection regime in the banking sector must be thoroughly investigated. Individuals committing such violations shall be subject to disciplinary action, administrative penalties, or criminal prosecution depending on the nature and harmful consequences of their actions.

Chapter 4:

IMPLEMENTING PROVISIONS

Article 20- Amendments and supplements to this Regulation shall be decided by the Governor of the State Bank.