Decision No. 45/2007/QD-NHNN On the level of confidentiality for each type of document and object carrying state secrets in the banking sector

Pursuant to …;

Regarding the degree of confidentiality for each type of document and object carrying state secrets

in the Banking Industry

___________________

GOVERNOR OF THE STATE BANK OF VIETNAM

Pursuant to the Law on the State Bank of Vietnam 1997 and the Law Amending and Supplementing Certain Provisions of the Law on the State Bank of Vietnam 2003;

Based on the Law on Credit Institutions in 1997 and the Law Amending and Supplementing Certain Provisions of the Law on Credit Institutions in 2004;

Based on Ordinance No. 30/2000/PL-UBTVQH10 dated December 28, 2000 of the Standing Committee of the National Assembly on protecting state secrets;

Based on Decree No. 52/2003/NĐ-CP dated May 19, 2003 of the Government on the functions, tasks, powers, and organizational structure of the State Bank of Vietnam;

Based on Decree No. 33/2002/NĐ-CP of the Government detailing the implementation of the Ordinance on Protecting State Secrets;

Based on Decision No. 15/2003/QĐ-TTg dated January 20, 2003 of the Prime Minister on the list of state secrets classified as Top Secret and Confidential in the banking sector;

Based on Decision No. 151/2003/QĐ-BCA (A11) dated March 11, 2003 of the Minister of Public Security on the list of state secrets classified as Secret in the banking sector.

At the proposal of the Director of the Office,

DECISION:

Article 1. Object and scope of regulation:

This Decision stipulates the degree of confidentiality for each type of document and object carrying state secrets in the banking sector drafted, issued, designed, constructed, received, and processed by units under the State Bank, the National Note Printing Factory, credit institutions, service providers of payment settlement, and other organizations engaged in banking activities.

Article 2. Principles for determining the degree of confidentiality in certain cases:

1. For documents and objects carrying state secrets containing information at different levels of confidentiality, the degree of confidentiality of such documents and objects shall be determined based on the highest level of confidentiality of the information contained.

2. For documents and objects carrying state secrets that have not been published, the unit responsible for determining the degree of confidentiality must clearly mark "not yet published" on such documents and objects.

Article 3. Documents and objects carrying state secrets in the banking sector classified as "Top Secret" include:

1. Unpublished documents concerning plans and schemes for issuing cash into circulation.

2. Documents on annual supply plans and actual situations.

3. Proposals, plans for currency exchange and results of currency exchange not yet published.

4. Proposals, plans, and designs for new currency models.

5. Approved design samples, original printing plates (original engravings, original films), trial prints, trial castings; technical specifications, security keys of each currency model and valuable papers like money.

6. Documents on anti-counterfeiting factors, technical specifications of the Vietnamese currency and valuable papers like money that have not been published.

Article 4. Documents and objects carrying state secrets in the banking sector classified as "Confidential" include:

1. Documents on the quantity of printed, minted, and issued money.

2. Plans for transferring funds, schedules for transporting funds, telegrams for transporting money, precious assets, and valuable papers (departure date, time, location, route, means of transport, volume, value, type of asset).

3. Reserve issuance fund ledgers, accounting ledgers for reserve issuance funds.

4. Sub-ledgers of Central Treasury Vaults.

5. Statistical reports, inspection records, and inventory reports of reserve issuance funds of Central Treasury Vaults, branches of the State Bank in provinces and cities.

6. Documents on excess income and expenditure of cash that have not been published.

7. Documents on the quantity and storage locations of the state's foreign exchange reserves, rare metals, precious stones, and other rare items managed and stored by the State Bank.

8. Documents on standards, limits, and ratios of the state's foreign exchange reserves.

9. Reports on the balance of foreign currency deposits on accounts opened by the State Bank with foreign counterparties.

10. Detailed reports on investments made by the State Bank abroad according to form, term, counterparty, and investment region.

11. Reports on the balance of the state's foreign exchange reserve fund, stabilization fund, and other sources of foreign currency.

12. Reports evaluating the situation of entrusted investments by the State Bank Trading Department.

13. Reports on the ranking of foreign counterparties of the State Bank Trading Department with data on the investment limit of the state's foreign exchange reserves at each counterparty.

14. Reports on the results of supervising the execution of tasks managing the state's foreign exchange reserves at the State Bank Trading Department; inspection records of the Chief Auditor at the State Bank Trading Department.

15. Documents on plans and schemes to place credit institutions in special supervision and control status.

16. Documents on plans and schemes for merging, consolidating, dissolving, buying and selling, restructuring credit institutions that have not been published.

17. Documents on designing note printing factories, coin minting factories, and treasuries.

18. Technological processes for printing, minting, and valuable papers like money.

19. Formulas for ink composition for printing money.

20. Documents on allocating serial numbers for printing and minting money.

21. Documents on designing systems and installing security measures for information technology and communication systems in the banking sector.

22. Documents on algorithms and computer software for building digital signatures and encryption keys; cryptographic algorithms and methods for encrypting data.

23. Encryption keys for creating digital signatures and secret keys for generating digital signatures in information technology and communication systems in the banking sector.

24. Documents on preparation plans and negotiation results of agreements and arrangements on currencies and banking operations signed between Vietnam and foreign counterparts that have not been published.

25. Detailed monetary balance sheets of the State Bank.

26. Summary monetary balance sheets of the State Bank.

Article 5. Documents and objects carrying state secrets in the banking sector classified as "Secret" include:

1. Documents on the strategy for developing the banking sector and implementation solutions that have not been published.

2. Documents on policies, plans, and solutions for managing monetary policy by the State Bank that have not been published.

3. Reports on foreign exchange inter-bank market transactions.

4. Documents on bidding and tendering projects implemented by the State Bank that are still under review and have not been published.

5. Accounting account balance sheets, accounting balance sheets, revenue and expense plan reports, and financial statement explanations of the State Bank that have not been published.

6. Documents and vouchers on the issuance and receipt of various types of money from the National Note Printing Factory, central treasury vaults, the State Bank Trading Department, branches of the State Bank in provinces and cities, and credit institutions.

7. Orders for transferring money, precious assets, and valuable papers.

8. Documents and certificates regarding destroyed currency;

9. Documents stipulating the symbols for various types of currency and negotiable instruments such as money;

10. Documents, files, plans, design drawings, and installation diagrams for systems of equipment and technical means ensuring the safety of currency storage facilities, national printing works, and minting factories;

11. Lock codes for currency storage facilities and safes;

12. Reports on the results of monitoring the activities of currency printing at the National Printing Works;

13. Reports on the results of performing tasks to monitor the safety of assets at Central Currency Storage Facilities;

14. Documents concerning counterfeit currency that has not been announced;

15. Documents related to deposits and other assets of each customer at credit institutions;

16. Detailed documents related to deposits and other assets of each credit institution at the State Bank;

17. Codes and secret signs used in banking telegrams, data transmission codes;

18. Samples of account holder signatures, samples of signatures used in payment operations;

19. Secret signs used in payment and transfer operations by service providers for payment services (excluding electronic fund transfers);

20. Customer identification numbers specified for determining personal payment cards, credit cards, and other types of cards used in banking activities;

21. Access passwords to computer systems, database systems; passwords used for banking application programs;

22. Unannounced documents related to inspection, supervision, complaint resolution, anti-corruption, and anti-money laundering activities, including:

a. Annual work plans and programs of the Banking Inspection Department;

b. Directives on inspection, supervision, complaint resolution, anti-corruption, and anti-money laundering activities;

c. Periodic inspection reports;

d. Special topic reports on complaint resolution activities; reports on anti-corruption and anti-money laundering activities;

e. Documents concerning cases and contents currently under inspection and audit; inspection records, conclusions, and reports on inspection and audit results;

23. Unannounced annual classification results of credit institutions;

24. Documents and files related to transactions reported to the Anti-Money Laundering Center by individuals and organizations according to anti-money laundering regulations;

25. Documents concerning ongoing audit and control cases that have not been announced; audit and control records, conclusions, and unannounced audit and control reports; unannounced directives and guidance documents in audit and control activities;

26. Unannounced reports on the operation status and inspection results regarding the organization and activities of credit institutions and other entities engaged in banking activities;

27. Documents concerning the authors of complaints and appeals being reviewed, verified, and resolved but not yet announced; documents and items storing information related to the verification and resolution of complaints and appeals not yet announced;

28. Documents concerning the planning of cadres managed by the Party Cadre Affairs Committee and the Governor of the State Bank, including: documents on cadre backgrounds; trustworthiness survey forms at meetings introducing cadre candidates; joint meeting minutes between unit leaders and Party and mass organization leaders; evaluations and appraisals by Party committees;

Article 6. This Decision shall take effect fifteen days from the date of publication in the Official Gazette.

Article 7. The Director of the Office, Heads of units under the State Bank, Director of the National Printing Works, Chairmen of the Board of Directors, General Managers (Directors) of credit institutions, service providers for payment services, and other entities engaged in banking activities are responsible for implementing this Decision./.