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THE
STATE BANK OF VIETNAM
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SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No:
01/2014/TT-NHNN
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Hanoi,
January 06,2014
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CIRCULAR
STIPULATING THE DELIVERY, RECEIPT, PRESERVATION AND
TRANSPORT OF CASH, PRECIOUS ASSETS AND VALUABLE PAPERS
Pursuant to the Law on the State Bank of
Vietnam No. 46/2010/QH12 dated June 16, 2010;
Pursuant to Law on Credit Institutions No.
47/2010/QH12 dated June 16, 2010;
Pursuant to the Government’s Decree No.
156/2013/ND-CP dated January 11, 2013, defining functions, tasks, powers and
organizational structure of the State Bank of Vietnam;
Pursuant to the Government’s Decree No.
40/2012/ND-CP dated May 02, 2012, on issue of money; preservation and
transportation of precious assets and valuable papers within the system of the
State Bank, credit institutions and foreign banks’ branches;
At the proposal of Director of Treasury and
Issuance Department;
The Governor of the State Bank of Vietnam
promulgates the Circular stipulating the delivery, receipt, preservation and
transportation of cash, precious assets and valuable papers,
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GENERAL PROVISIONS
Article 1. Scope of
regulation
1. This Circular stipulates the delivery,
receipt, preservation and transportation; inspection, inventory, hand-over and
handling superfluity or shortage of the cash, precious assets and valuable
papers in the banking domain; the collection and expenditure of cash between
the State Bank, credit institutions or foreign banks’ branches and their
clients.
2. The packaging, sealing, counting, delivery
and receipt of gold, precious metals, precious stones and other precious assets
are not under the scope of regulation of this Circular.
Article 2. Subjects of
application
1. The State Bank of Vietnam (below collectively
referred to as the State Bank).
2. Credit institutions and foreign banks’
branches.
3. Clients in the
transaction relations of cash, previous assets, valuable papers with the State
Bank, credit institutions, foreign banks’ branches.
Article 3. Interpretation of
terms
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1. “Cash” means banknotes and coins issued by
the State Bank.
2. “Banknotes” include cotton banknotes and
polymer banknotes issued by the State Bank.
3. “Precious assets” include gold, precious
metals, gems, foreign currencies in cash and other types of precious assets.
4. “Valuable papers” include bonds, bills and
other types of valuable papers according to legal regulations.
5. “Sheet” means a quantitative unit of
banknotes, foreign currencies in cash and valuable papers.
6. “Piece” means a quantitative unit of coins.
7. “Sealing” means the use of sealed papers and/
or lead clamps to record signs on bundles, bags, boxes, sacks or casks of cash
packed as prescribed, ensuring those bundles, bags, boxes, sacks or casks of
cash being kept intact and fully.
8. “Lead clamping” means a sealing method using specialized pliers clamped in the two ends of a
string fastened mouths of bags, sacks or boxes of money with lead balls.
After clamping, the name and specific signs of units having money must be
clearly and fully embossed on the surface of the lead ball.
9. “Clients” means individuals, organizations,
enterprises other than Banking sector that have transactions in cash, previous
assets, valuable papers with the State Bank, credit institutions, foreign
banks’ branches.
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CHECK, COUNT, PACKING,
DELIVERY AND RECEIPT OF CASH, PRECIOUS ASSETS AND VALUABLE PAPERS
SECTION 1. REGULATIONS ON
PACKING AND SEALING OF CASH, PRECIOUS ASSETS AND VALUABLE PAPERS
Article 4. Cash packing
1. A bundle of money shall include 1,000 (one
thousand) sheets of banknotes with the same denomination and materials packed in
10 (tenth) sheaves, each sheaf includes 100 (one hundred) sheets.
2. A sack of money shall include 20 (twenty)
bundles with the same denomination and material.
3. A bag of money shall include 1,000 (one
thousand) pieces of coins circulated with the same denomination being packed in
20 (twenty) bars, each bar includes 50 (fifty) pieces.
4. A box of money shall include 2,000 (two
thousands) pieces of newly-casted coins with the same denomination being packed
in 40 (forty) bars, each bar includes 50 (fifty) pieces.
5. A box of coins shall include 10 (ten) bags of
money with the same denomination.
For the Central cash vaults and the cash vaults
of the State Bank’s branch in Binh Dinh province, a box of coins shall include:
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b) 75 (seventy five) bags of coins with the
denominations of VND 2,000; VND 1,000 and VND 500;
c) 100 (one hundred) bags of coins with the
denomination of VND 200.
6. Director of the Treasury and Issuance
Department shall guide formalities of packing cash.
Article 5. Cash Sealing
1. Seal paper for bundle of money means a type
of thin paper with dimension which is suitable with each type of money and
readily printed a number of contents. The State Bank shall use sealed papers in
white color and printing inks in black color. Credit institutions and foreign
banks’ branches are entitled to use their own colors for papers or colors for
printing inks on seal papers after unifying the sample of the seal paper with
the State Bank.
2. On the seal papers of bundles, bags, boxes,
sacks or buckets must have full and clear contents as follows: The bank names,
types of money; quantities (sheets, pieces, bundles, bags) of money; amounts of
money; surnames, names and signatures of the counting or packing officers;
dates, months and years of packing and sealing.
3. Persons who have names and signatures on the
seal papers must be responsible for bundles, bags, boxes, sacks and buckets of
money sealed.
4. Regulations on sealing bags, sacks and casks
of money of the State Bank:
a) Clamp leads for newly-issued money;
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5. Put seals for newly-issued money:
a) On seal papers of newly-issued packs of money
(10 bundles) shall include contents as follows: The printing or casting
establishment of money; type of money, serial number; name or number sign of
the officer who do packing in sack or in bag; year of manufacture;
b) On a sack of money shall have contents as
follows: notation of type of money, year of issuance, serial or barcode of the
money sack.
Article 6. Pack and seal of
precious assets, valuable papers
The pack and seal of foreign currencies,
valuable papers shall be conducted as the pack and seal of cash.
Pack, seal, check, count, delivery and receipt
of gold, precious metals, gems and other precious assets shall be stipulated in
a separate legal document.
SECTION 2. CHECK, COUNT,
DELIVERY AND RECEIPT OF CASH, FOREIGN CURRENCIES AND VALUABLE PAPERS
Article 7. Principals in the
collection and expenditure of cash, foreign currencies and valuable papers
1. All collections and expenditures of cash,
foreign currencies and valuable papers of the State Bank, credit institutions,
foreign banks’ branches shall be conducted through its funds.
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Cash, foreign currencies or valuable papers
which are collected or paid must be enough and correct with the total amounts
(in numbers and in words), be coincident in time (date, month, year) on account
documents, account books or cash books. After collecting and before paying
cash, account documents must have signatures of the submitting persons (or the
receiver of money) and the cashier or the vault keeper or staff who collects or
pays cash.
Article 8. The statement of
types of money collected (or paid)
Every account document for the collection (or
payment) of cash, foreign currencies or valuable papers, it is required to
accompany by a statement of types of money collected (or paid) or a minute on
delivery and receipt. The statement, the minute on delivery and receipt shall
be preserved as prescribed.
Article 9. Check and count
of cash, foreign currencies and valuable papers
1. When collecting, paying cash, foreign
currencies or valuable papers, it is required to be precisely checked and
counted.
2. The persons who pay or receive cash, foreign
currencies or valuable papers must witness when the banks check and count or
re-check and re-count before leaving the payment counters of the banks.
Article 10. Collection,
payment of cash with clients
1. Cash revenues and expenses of the State
Bank’s Transaction Center (below collectively referred to as the Transaction
Center), The State Bank’s branches in centrally-run cities or provinces (below
collectively referred to as the State Bank’s branches), credit institutions,
branches of foreign banks with their clients must tally sheets or pieces
according to professional processes.
In case the tally of cash collections from
clients cannot be done within the day, credit institutions or branches of
foreign banks and clients may agree to apply the method of cash collection and
receipt in sealed bags and organize the tally according to sheets (pieces) of
cash received in sealed bags on the following working day.
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3. Director of the Department of Issuance and
Treasury shall guide the processes of cash collection and payment for the State
Bank.
Article 11. Delivery and
receipt of cash in banking sector
1. Cash delivery and receipt in a bundle which
is enough 10 sheaves, with its seal remains intact or the money bag with its
lead seal remains intact in the following cases:
a) Cash delivery and receipt within internal
Transaction Center, the State Bank’s branches for cash which were put into
circulation (except cases prescribed in point c, Clause 2 of this Article);
b) Cash delivery and receipt based on transfer
orders between the Central vaults with Transaction Center or with the State
Bank’s branches and vice versa; among Central vaults; among the State Bank’s
branches;
c) Cash delivery and receipt between the
Transaction Center, the State Bank’s branches with credit institutions or
branches of foreign banks and vice versa; among credit institutions or branches
of foreign banks in localities of provinces or cities.
2. Cash delivery and receipt in bags, boxes or
casks with its seals remain intact in the following cases:
a) Delivery and receipt of types of
newly-printed or casted money of the printing or casting establishments or of
the State Bank in cases as prescribed in Clause 1 of this Article;
b) Types of money are tallied, classified,
packed by the multi-functional machine system handling the tally,
classification or packing in bundles (bags) continuously of the State Bank,
credit institutions, branches of foreign banks shall be delivered and received
as newly-printed or casted money as prescribed in this Clause;
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3. Credit institutions, branches of foreign
banks shall stipulate the cash delivery and receipt within their system.
Article 12. Tally of cash
delivered and received in banking sector
1. The Transaction Center, the State Bank’s
branches receiving money in case as prescribed in point b, Clause 1 of Article
11 and organizing the tally of sheets (pieces) of money received must set up
the Tally Councils as prescribed in Clause 3, Article 62 of this Circular. The
tally duration is 30 working days from the date of receiving money. The
delivering unit shall assign its personnel to witness; in case of no witness,
the delivering unit must send a written notice to the receiving unit.
Director of the Department of Issuance and
Treasury shall consider and decide extending the time of cash tally based on
transfer orders in cases of having objective reasons at the proposal of the
Transaction Center or the State Bank’s branches.
In case the Transaction Center or the State
Bank’s branches receive money but do not organize tallying sheets (pieces) of
cash received according to transfer orders, may deliver such bundles (bags) of
money which its seals remain intact to credit institutions, branches of foreign
banks within the same provinces or cities and have to assign persons to witness
the money tally by sheets (pieces) organized by the receiving units.
2. Credit institutions, the State Bank’s
branches receiving money as prescribed in point c, Clause 1 of Article 11, that
organize tallying sheets (pieces) of money received, must set up the Tally
Councils as prescribed in Clause 3, Article 62 of this Circular. The tally
duration is 05 working days since the date of receiving money. The delivering
unit shall assign its personnel to witness; in case of no witness, the
delivering unit must send a written notice to the receiving unit.
3. The witness is the representative of the
delivering unit coming to witness the tally of the receiving unit. The witness
must directly consider, witness the tally of the Tally Council of the receiving
unit; verify the flaws of the money bundle (bag), sign his/her name for
verification on the back of the paper to seal such money bundle (bag).
Article 13 Delivery and
receipts of foreign currencies or valuable papers
1. Foreign currency revenues and expenses between
credit institutions, branches of foreign banks and their clients; between
credit institutions, branches of foreign banks; between Transaction Centers or
the State Bank’s branches and credit institutions or branches of foreign banks
shall tally sheets and comply with processes of cash collection and payment.
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2. Delivery and receipt of valuable papers shall
be conducted as follows:
a) Delivery and receipt between credit
institutions, branches of foreign banks, Transaction Centers, the State Bank’s
branches and their clients; between Transaction Centers, the State Bank’s
branches and credit institutions, branches of foreign banks; among credit
institutions or branches of foreign banks shall tally sheets and comply with
processes of cash collection and payment.
b) Delivery and receipt between the printing or
casting establishments with the Central vaults, between the Central vaults and
the Transaction Centers, the State Bank’s branches, among the State Bank’s
branches, among the Central vaults shall be conducted as follows:
- The newly-printed valuable papers shall be
delivered and received in bags with the lead seals intact as for cash or
bundles with seals intact (if no odd bags); valuable papers which were put into
circulation shall be delivered and received in a bundle which is enough with 10
sheaves and the seals of the Transaction Centers or the State Bank's branches
remain intact, except the case of not enough bundles where sheets shall be
delivered and received.
The Transaction Centers, the State Bank’s
branches shall set up the Council to tally sheets before delivering to credit
institutions, branches of foreign banks or clients.
- Valuable papers are expired: Deliver and
receive in bundles, in which the seals of Transaction Centers or the State
Bank’s branches remain intact or deliver and receive sheets (in case there are
not enough bundles).
c) Valuable papers which are deposited at the
State Bank by credit institutions, branches of foreign banks or the State
Treasury in order to participate in currency market shall conduct delivery and
receipt of a bundle which is enough 10 sheaves with its seal remains intact, in
case there are not enough bundles, it is required to deliver and receive
sheets.
d) Credit institutions, branches of foreign
banks shall stipulate the delivery and receipt of valuable papers within their
system.
Article 14. Cash delivery
and receipt with the State Treasury or units providing treasury services of
credit institutions
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2. Units under credit institutions providing
treasury services shall be entitled to submit bundles of money which are enough
10 sheaves with intact seals to Transaction Centers, the State Bank’s branches
via the payment deposit accounts of those credit institutions opened at
Transaction Centers or the State Bank’s branches. The delivery, receipt and
tally of above money bundles within the banking sector, between the State Bank
with the State Treasury shall comply with provisions of Clause 1, Article 11
and Article 12 of this Circular.
Chapter 3.
PRESERVATION OF CASH,
PRECIOUS ASSETS AND VALUABLE PAPERS
SECTION 1. ARRANGEMENT,
PRESERVATION OF CASH, PRECIOUS ASSETS AND VALUEABLE PAPERS AT TRANSACTION
COUNTERS AND IN VAULTS
Article 15. Arrangement,
preservation of assets at transaction counters and in vaults
1. At the end of daily working hours, entire
cash, precious assets and valuable papers must be preserved in vaults.
Directors of Transaction centers, Directors of
the State Bank’s branches shall stipulate in writing the safe preservation of
cash, precious assets and valuable papers during lunch break (if any) at their
units.
Credit institutions, branches of foreign banks
shall stipulate in writing the safe preservation of cash, precious assets and
valuable papers during lunch break (if any) within their systems.
2. All types of assets preserved in vaults must
be classified, tallied, packed, sealed and arranged neatly and scientifically.
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4. Credit institutions, branches of foreign
banks shall be responsible for promulgating regulations and guiding the
implementation of the safe preservation of cash, precious assets and valuable
papers within their systems and have necessary measures to strengthen the
assurance of absolute safety for assets.
Article 16. Asset
preservation while conducting other treasury services
Credit institutions, branches of foreign banks
shall stipulate conditions, processes to receive and to return assets to
clients, duties of relevant units (account, treasury) in the assurance of asset
safety while providing services of asset management, preservation, renting
cabinets and safe boxes and other treasury services; stipulate the deliver,
receipt and preservation of valuable papers mortgaged for loans or other cases
of depositing valuable papers.
SECTION 2. MANAGEMENT OF
CASH, PRECIOUS ASSETS, VALUABLE PAPERS AND VAULTS
Article 17.
Responsibilities of Director of the Department of Issuance and Treasury, Heads
of the Sub-departments of Issuance and Treasury, Directors
1. Director of the Department of Issuance and
Treasury, Heads of the Sub-departments of Issuance and Treasury, Directors of
Transaction Centers, Directors of the State Bank’s branches, General Directors
(Directors) of credit institutions or branches of foreign banks (below
collectively referred to as Directors) shall be responsible for managerial
organization, assurance of safety and secret for cash, precious assets,
valuable papers and operations of vaults in their units, shall be obligated to:
a) Equip with means, equipment ensuring safety
as prescribed;
b) Direct applying necessary measures to prevent
loss, misleading, thief, robbery, fire, explosion, flood, storm, humidity,
dampness and other reasons, ensure quality of money and assets being preserved
in vaults;
c) Control and keep keys of one lock for outside
wing of the vault door;
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2. Director of the Department of Issuance and
Treasury, Heads of Sub-departments of Issuance and Treasury shall perform their
tasks and powers as Directors as prescribed in Article 23, Article 25, Article
26, Article 28, Article 31, Article 32, Article 33, Article 34, Article 36,
Article 37, Article 38, Article 39, Article 41, Article 43, Article 44, Article
55, Article 59, Article 60, Article 61, Article 65 and Article 67 of this
Circular.
Article 18.
Responsibilities of Managers of Accounting Departments
1. Managers of Accounting departments of credit
institutions or branches of foreign banks being responsible for managing,
supervising the exit, entry and preservation of assets in vaults shall be
obligated to:
a) Organize accounting cash, precious assets and
valuable papers in compliance with statistical-accounting regime;
b) Control and keep keys of a lock for outside
wing of the vault door, directly open and lock the vault door to supervise the
exit, entry and preservation of assets in vaults;
c) Check, compare figures between accounting
books and cash books to ensure the coincidence;
d) Directly participate in the inventory of
assets periodically or extraordinarily to ensure the coincidence between actual
balance of funds with accounting books and cash books; sign and verify actual
balance of funds on cash books and books tracking each type of asset, inventory
books and the vault tags.
dd) Guide, check the open and record of books of
cashiers and keepers of vaults.
2. Managers of Accounting departments of
Transaction Centers, Managers of Accounting Departments of the State Bank’s
branches, Manager of Accounting - Financial Division of the Department of
Issuance and Treasury, Heads of Accounting - Financial Divisions of the
Sub-departments of Issuance and Treasury shall be responsible for managing,
supervising the exit, entry and preservation of assets in vaults and perform
their tasks in accordance with points a, b, c, d of Clause 1 of this Article.
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1. The vault keepers of Transaction Centers, the
State Bank’s branches, credit institutions, branches of foreign banks being
responsible for ensuring absolute safety for all types of assets preserved in
vaults, shall be obligated to:
a) Conduct the exit and entry of cash, precious
assets and valuable papers precisely, timely and completely in compliance with
orders of competent levels, valid and legal accounting documents;
b) Open cash books, books tracking each type of
money and each type of asset; the vault tags; other necessary books; record and
preserve books and papers completely, precisely and clearly;
c) Organize arrangement of cash, precious assets
and valuable papers in vaults neatly, scientifically to ensure sanitary of
vaults; propose necessary measures to ensure quality of cash, precious assets
and valuable papers stored in vaults;
d) Control and keep keys of one lock of outside
wing of vault doors preserving received assets, locks of vault doors and means
preserving assets in vaults (safe boxes, iron cabinets).
2. Keepers of vaults of the State Bank’s
branches shall preserve cash under the issue preservation funds; gold, types of
precious stones and metals and other assets.
3. The Central vault shall have a number of
keepers: the keeper of the issuing preservation funds, the keeper for precious
assets, and the keeper for valuable papers. Each keeper shall be responsible
for assets within his/her assigned scope and perform his/her tasks in
accordance with Clause 1 of this Article.
4. There are some vault assistants to help the
vault keeper in counting, packaging, loading, transporting cash, precious
assets and valuable papers
Article 20.
Responsibilities of cashiers
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2. Transaction Centers, the State Bank’s
branches may arrange a number of collection teams and payment teams. Each
cashier shall be in charge of a collection (payment) group and responsible for
the assigned assets. In this case, a Chief cashier concurrently being the
treasurer shall be appointed to preserve the Issuing Operation Fund
3. State Bank’s branches which have private
vault for preserving the Issuing Operation Fund, foreign currency and valuable
papers, a cashier concurrently being the treasurer of the vault shall be
appointed to preserve the assigned assets. In this case, the cashier
concurrently being the treasurer of the vault as prescribed at Clauses 2, 3
this Article shall be entitled to enjoy rights as for the treasurer
The State Bank’s branches in centrally-run
cities are permitted to arrange a vault keeper who is specialized in preserving
the Issuing Professional Funds, foreign currencies and valuable papers.
4. Credit institutions, branches of foreign
banks having one or a number of cashiers, transaction staff. Each cashier,
transaction staff must be responsible for assets within his/her scope of
assignment; of which a cashier concurrently being the treasurer or a treasurer
shall be appointed to be in charge.
Article 21. Obligations of
Heads of the Central vaults, Heads of Treasury Divisions of Transaction
Centers, Heads of Monetary and Vault Divisions under State Bank’s branches
1. Guide, check the safe management of vaults; organize
collection and payment (exit, entry), preservation and transport of cash,
precious assets or valuable papers as prescribed.
2. Guide, check the open and record of books by
cashiers and vault keepers.
3. Joint the inspection, tally and hand-over of
cash, precious assets and valuable papers.
Article 22.
Responsibilities of tally staff
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2. Tally staff shall be responsible for cash,
precious assets and valuable paper within their scope of assignment for
tallying, selecting and packing.
Article 23. Duties of
security staff of vaults
1. Security staff of vaults shall have duties:
a) Checking on the spot conditions ensuring
safety for the exit and entry of assets in vaults and during organization of
loading and unloading, transporting in and out by orders of competent levels;
checking safe assurance of vaults during working hours;
b) Controlling and supervising persons permitted
to work in vaults; checking, searching suspicious persons who come in and go
out of the vault;
c) Checking the implementation of regulations on
exist and entry of vaults;
d) Suggesting and proposing Directors about
measures to protect the safety in vaults.
2. In the event where there is not a specialized
security officer for the vault, the treasurer shall take concurrent
responsibility
Article 24. Standards of
such titles as vault keepers, cashier, tally staff
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2. Credit institutions, branches of foreign
banks shall base on standard of titles such as vault keepers, cashiers, tally
staff of the State Bank and other legal provisions to stipulate standard of
titles such as vault keepers, cashiers and tally staff in their system.
Article 25. Cases are not
permitted to be assigned as management officers of banking vaults
1. Wife or husband, father, mother, natural
children, adopted children, brothers and sisters (including brothers and
sisters of wife or husband) of the Manager, Deputy Manager shall not be
appointed for positions of cashier, vault keepers
2. Persons who are wife and husband; father,
mother, natural children, adopted children; brothers and sisters shall not be
appointed for jointly holding the keys of the vault's doors, jointly
participating in the inventory, counting of cash, precious assets, valuable
papers or jointly working in the same vehicle or group of vehicles that
transport cash, precious assets and valuable papers
Article 26. Provisions on
authorization by participants to the management of cash, precious assets,
valuable papers and vaults
1. Provisions on authorization by Directors:
a) Director is entitled to authorize in writing
for a Deputy Director to perform his task in managing cash, precious assets,
valuable papers and vaults in a certain period. In case where the authorized
Deputy Director is absent, Director is entitled to authorize in writing to
another Deputy Director to perform his task in managing cash, precious assets,
valuable papers and vaults.
b) The authorized persons shall be responsible
with Director on the management of cash, precious assets, valuable papers and
vaults as prescribed in this Circular and in accordance with relevant legal
provisions.
2. For the Central Vaults:
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b) For the Vault No. I at Ao Phen, Director of
the Department of Issuance and Treasury shall be entitled to authorize in
writing a Deputy Director or Head of the Vault No. I to perform his/her task in
managing cash, precious assets, valuable papers and vaults in a certain period.
In case where the authorized Deputy Director is absent, Director of the
Department of Issuance and Treasury shall be entitled to authorize each times
in writing another Deputy Director or a Deputy Head of the Vault No. I.
c) For the Central Vault in Ho Chi Minh City,
the Head of the Sub-department of Issuance and Treasury shall be entitled to
authorize in writing a Deputy Head of the Sub-department of Issuance and
Treasury to perform his/her task in managing cash, precious assets, valuable
papers and vaults in a certain period. In case where the authorized Deputy Head
of the Sub-department of Issuance and Treasury is absent, the Head of the
Sub-department of Issuance and Treasury shall be entitled to authorize in
writing another Deputy Head of the Sub-department of Issuance and Treasury to
perform his/her task in managing cash, precious assets, valuable papers and
vaults.
d) The authorized persons as prescribed in
points a, b and c of this Clause shall be responsible before the authorizing
person on the management of cash, precious assets, valuable papers and vaults
in accordance with this Circular and relevant legal provisions.
3. Managers of Accounting Departments shall be
entitled to authorize in writing a his/her Deputy to perform his/her task in
managing cash, precious assets, valuable papers and vaults in a certain period
(The authorized letter must be accepted by the Director). The authorized
persons shall be responsible before the Manager and the Director on the
management of cash, precious assets, valuable papers and vaults in compliance
with this Circular and legal provisions.
4. The vault keeper must submit a written
proposal to the Director for his approval if he wants to be on leave under the regulated
regime or goes on business, goes to a meeting, wants to join a training course.
The Director shall appoint in writing a substitute person and organize the
inventory, handing over of the assets. The substitute person shall be
responsible for confidentiality, absolute security of the assets and usual
operational activities during the assigned period
5. Upon terminating the authorized period and
having handed over assets, the authorized person must report the works he has
done, relating to the management of cash, precious assets, valuable papers and
vaults to the authorizer. The authorized person shall not be entitled to
re-authorize another person.
The substitute person of the vault keeper shall
also comply with provisions in this Clause.
6. Credit institutions, branches of foreign
banks shall stipulate the authorization of Directors, Manager of Accounting
Divisions in managing cash, precious assets, valuable papers and vaults in
special cases where it is unable to assign authorized persons as prescribed in
Clause 1 and Clause 3 of this Article.
SECTION 3. USE AND
PRESERVATION OF KEYS OF VAULTS OR SAFE BOXES
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Every lock of the vault door, door of the vault
booth or safe box must have enough and correct two keys, one for daily use and
another for reserve. Key of the digital lock shall be a combination of the code
and the located key (if any).
Article 28. Preservation of
key of vault doors
1. Every member keeping key of the vault door
must preserve safely the daily-used key in separate safe box located at working
place in the head office.
2. The vault door having code lock, each member
managing code lock shall self-set his/her codes and record codes exactly,
easily for read on papers; record two to three codes for daily use and
regularly change. Each code shall be sealed in a separate envelope, preserved
in separate safe box together with its located key used. If he/she forgets
codes, it is permitted to open the seal and to re-seal for preservation. In
case he/she wants to use other codes beside the sealed codes, it is required to
have a written document reporting to the Director; when he/she is permitted in
writing, it is required to conduct procedures for unlocking the key for
reserve, replacing other codes and sending the key for reserve of the vault
door as prescribed in Article 31 of this Circular.
Article 29. Preservation of
keys of the vault booths and safe boxes
1. The daily-use keys of safe boxes (if any) of
a vault booth shall be kept in a small iron box put in one of safe boxes inside
such a vault booth.
2. The daily-use keys of vault booths or safe
boxes preserving boxes of keys as prescribed in Clause 1 of this Article, the
daily-use keys of the safe boxes preserving assets at transaction counters
shall be preserved as the daily-use keys of the vault doors.
Article 30. Hand-over of
the vault door's key
1. Every time of
hand-over of the vault door’s key, the deliver and the receiver shall directly
hand over and receive the key and sign in the hand-over book of the vault
door's key. For the digital lock, when
handing over the key of the vault door, all three members who hold the key of
the vault door must be presented to open the vault door. The deliver shall
erase the code, hand over the located key; the receiver shall change the code.
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Article 31. Sealing and
sending the backup key of the vault door’s lock
1. The sealing of the backup key of the vault
door’s lock shall be witnessed, recorded in minutes and jointly signed names on
the seal by all the member holders of the key and the supervising official.
Codes for daily use and regular changes prescribed in clause 2, Article 28 of
this Circular shall be recorded by each member and sealed in separate envelopes
together with the backup located key, that is the backup key of the vault door
which has the digital lock. The box of the backup key shall be sent to vault of
another State Bank branch, another credit institution, and another branch in
the same system of credit institution or at the State Treasury on the same day.
The receiving unit shall be responsible for the safe and intact preservation of
the seal of the backup key box in its vault.
2. The backup key of vault's doors of the
Central Vault shall be sent to the vault of the nearest State Bank’s branch.
The backup key of the State Bank’s branch shall be sent to the Central Vault in
the local area (if any) or the vault of the State Treasury in provinces, cities
3. Box preserving the backup key of the vault’s
doors shall have two locks, each lock shall be kept by the Manager and the
vault keeper; keys of this box shall be preserved like keys in use of vault's
doors
Article 32. Management of
backup keys for door locks of the apartment store or the safe box
Backup keys for doors of the apartment store or
the safe box shall be sealed up according to the same procedures as backup keys
for the vault door and be preserved at the safe box of the Director.
Article 33. Unlocking boxes
of backup keys
1. Cases of unlocking boxes of backup keys:
a) Where the key being daily used is lost or
where the door of vault needs to be opened in urgent cases as prescribed in
Article 38 of this Circular;
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c) Where the backup keys of the locks, which
have been changed, are taken out;
d) For the inspection, inventory of backup keys
in accordance with the written order of the Director or competent levels.
2. The opening of the box of backup keys of
vault door must be witnessed by Director, Chief
Accountant, keeper of the vault, control officer; Director shall appoint 1 of 3
members who keep keys of the vault to open the backup key's box. If it is
urgent to open the backup key's box but the key holder is absent, the Director
shall appoint the authorized person of the key holder to witness the unlocking
of the backup key’s box.
Every time of unlocking the backup key’s box
prescribed in points a, b, c of Clause 1 of this Article, it is required to
have a written consent of the Director.
Article 34. Repair and
replacement of keys for vault doors
It is forbidden to make more or to duplicate
keys of vault door or safe box. In case lock or key of vault door is damaged or
needed to be repaired or replaced, it is required to have a written consent of
the Director. The Director shall be responsible for deciding to select partner
(technician) for repairing or replacing key for the vault door or the safe box.
When replacing or repairing key of the vault door, it is required to have
witness of the key holder or the authorized person of the key holder.
Article 35.
Responsibilities of the official assigned to manage and use key of the vault
door or the safe box
Ensure the safety and the secret of the assigned
key, not to mislay, lose, and damage the key. It shall be strictly prohibited
to allow other people to see, hold, and keep the key
Not to bring the keys out of the office.
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Not to let the
happening of a situation that gradually, all keys for the lock of vault door
are handed over to a person. If such situation happens, it is supposedly
all locks of the vault door disclosed or lost its keys, the Director must
replace with new locks or codes as prescribed in Clause 1 of Article 37 of this
Circular.
Article 37. Dealing with
the cases where the keys of the vault’s door, safe box are lost or revealed
1. Keys of vault doors, apartment store or safe
boxes which are not preserved according to this Circular shall be considered as
being revealed. When the secret of the key is revealed, it is required to
replace with new key or new code.
2. If the daily-used key of the vault door is
lost, the person who has the key lost must immediately report to the Director
and the higher bank in the vertical system (if any) in writing, state clearly
reason, time and location where the key is lost. For the Transaction Service
and a branch of the State Bank, if the key of the vault door is lost, the
Director must immediately report to the police office of the same level, make a
minute on the key loss and conduct procedures to get the backup key’s box for
use. The replacement of new key must conduct timely within a period of 36
hours; in this period, it is required to strengthen measures to protect and to
ensure absolutely safety of the assets.
The person who revealed or lost the key must be
seriously reviewed and must compensate costs of replacing new lock; must be
disciplined or be handled according to legal regulations.
Article 38. Dealing with
the vault’s door in urgent cases
In urgent cases, if lacking one or two key keepers
of the vault’s door, the Director shall permit the use of backup key or decide
on breaking the door to save the asset and timely report to the bank of the
superior level in the vertical system (if any).
SECTION 4. ENTRANCE AND
EXIT OF THE VAULT
Article 39. Objects
permitted to enter into the vault
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1. The Governor, the deputy Governor of the
State Bank upon the inspection of the vaults in banking sector.
2. Director of the Department of Issuance and
Treasury entering into the vault in the system of the State Bank to perform the
assigned tasks.
3. Officers who are permitted in writing by the
Governor of the State Bank to enter into the vault for the inspection of the
vault in banking sector.
4. Directors of the State Bank branches,
officers who are permitted in writing by the Directors of the State Bank
branches to inspect the vault of the credit institutions, foreign banks’
branches in the area of provinces, cities
5. Chairpersons of Management Boards,
Chairpersons of Member Councils, General Directors of credit institutions or
branches of foreign banks upon the inspection of the vault in their system.
6. Officers permitted in writing by Chairpersons
of Management Boards, Chairpersons of Member Councils, General Directors
(Directors) of credit institutions or branches of foreign banks to check vaults
of credit institutions or branches of foreign banks within their system.
7. Directors and members who are responsible for
keeping keys of the vault doors.
8. Controllers entering into the vault to
supervise the delivery and receipt of assets; to inspect the vault in
accordance with the working plan approved by the Directors.
9. Officers, staffs who are assigned to organize,
load and transport assets preserved in vault.
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11. Supervisors and technicians, workers who
repair the vault who repair, install, maintain equipment, locks in the vault,
and have an application approved by the Director to enter into the vault.
Article 40. Cases permitted
to enter into vaults
1. Conduct orders, delivery and receipt slips
for cash, precious assets or valuable papers.
2. Put cash, precious assets, and valuable papers
into vaults for preservation or take out for daily use.
3. Carrying out the periodical or ad-hoc
inspection, inventory of assets in the vault.
4. Cleaning the vault, loading, re-arranging the
vault.
5. Repairing, maintaining or installing
equipments in vaults.
6. Saving assets in vaults in urgent cases.
7. Delivering, receiving assets for temporary
preservation at the State Bank’s store; delivering, receiving assets to perform
the service of managing, preserving assets, renting cabinets or safe boxes or
other treasury services of credit institutions or branches of foreign banks.
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Article 41. Provisions on
the entrance into, exit from the vault
1. When entering, keepers of vaults shall enter
first; when exiting, keepers of vaults shall exit last. The opening and closing
of the vault door locks shall base on the principles person-by-person and in
the right order, when opening the vault: Director, manager of accounting
department, keeper of the vault; the order shall be conversed when closing the
vault door: the vault keeper, manager of accounting department, director. Every
time of entrance into or exit from the vault, everybody must sign their names
for verification on the registration book for entering into the vault.
2. Before the entrance into or exit from the
vault, members who enter into the vault must be fully presented at a buffer
zone to witness members who are keeping the vault door keys to open and close
the vault door. Members who are keeping the vault door keys must protect the
secret of codes or keys of the vault door themselves when opening and closing
the vault door.
Article 42. Inspection
before entrance into or exit from the vault
1. Before opening the lock, safety guard of the
vault and members who are keeping the vault door keys must observe carefully
the situation outside the locks and vault's doors.
a) If traces are found, it is required to record
fully traces before opening the lock;
b) If traces of intruders are found, it is required
to keep the scene intact and inform the police agencies to inspect and make a
record; then the vault's doors may be opened.
2. Before leaving the vault:
a) Check items needed to bring out of the vault;
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c) The vault keeper and the vault safeguard
staff must check again for last time before closing the vault door.
SECTION 5. GUARD AND
PROTECTION OF THE VAULT OR THE TRANSACTION COUNTER
Article 43. Regulations of
the vault or the cash transaction counter
1. Persons who have duties to enter into the
cash transaction counter or the vault must wear labor safety clothes or
transaction uniform with no pockets.
2. Persons who have no duties shall be not
permitted to enter into the transaction counter or the vault.
3. The transaction counter and the vault must
have regulations provided for by the Director.
Article 44. Working
overtime at the head office which is also the vault
When the working hours end, it is required to
lock the transaction counter and doors under the vault zone; beside the guard
force, the staff on duties controlling safety equipments of the vault who have
been assigned (if any), no one is permitted to stay alone at working place in
the head office which is also the vault. If there is requirement of working
overtime, there must be at least 2 people who are permitted in writing by the
Director and the guardians must be informed.
Article 45. Guard and
protection of the vault
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2. The vaults of the
Transaction Offices, the vaults of the State Bank branches, the Central vaults
shall have the protection police force.
Article 46.
Responsibilities of security guard
Persons who have tasks of protecting the vault
must be responsible for the security of the vault within their assigned tasks.
Chapter 4.
TRANSPORT OF CASH,
PRECIOUS ASSETS AND VALUABLE PAPERS
Article 47. Transport
process
Process of transporting cash, precious assets or
valuable papers shall start from receiving, packing, sealing assets; loading to
transportation means; transporting on roads, arriving at the places receiving,
delivering and it shall be ended where all procedures of delivery and receipt
have been completed.
Article 48.
Responsibilities in organization of transport
1. The Department of Issuance and Treasury shall
be responsible for organizing the transport of cash, precious assets and
valuable papers from the establishments which printed or casted money,
airports, harbors, stations to the Central vault; between the Central vaults;
from the Central Vault to the vaults of State Bank branches and vice versa;
between State Bank branches.
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The State Bank branch of Binh Dinh province
shall be responsible for organizing the transport of cash, precious assets and
valuable papers between the branch of Binh Dinh province and the Central vault,
between State Bank branches in provinces or cities in the Central region and
Western Highlands (according to provisions of the Governor of the State Bank of
Vietnam in each period).
2. The State Bank transporting foreign
currencies to overseas must have Orders of the Governor.
3. Credit institutions, branches of foreign
banks shall stipulate procedures and competencies in issuing orders for
transporting foreign currencies to overseas, orders for shifting cash between
branches and stipulate the transport of cash, precious assets and valuable
papers within the system.
Article 49. Power of
attorney for transport
When delivering, receiving and transporting
cash, precious assets and valuable papers, persons who escort goods must have
powers of attorney issued by the competent state levels.
For the transport of foreign currencies by the
State Bank, persons who escort must have powers of attorney issued by the
Governor of the State Bank.
Before delivering goods to the recipients, the
delivers shall check the validity and legality of the powers of attorney; check
elements which ensure safety according to new regulations on giving permits to
transport goods out of the head offices of the State Bank, credit institutions
or branches of foreign banks.
Article 50. Transport means
1. Transport of cash, precious assets or
valuable papers must use specialized transport means and necessary technical
means.
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In cases where it is required to hire other
transport means such as aircrafts, trains, ships for transporting cash,
precious assets or valuable papers, the Governor of the State Bank shall
decide.
3. In cases where credit institutions, branches
of foreign banks use other means to transport cash, precious assets or valuable
papers, those credit institutions or branches of foreign banks shall stipulate
in writing and guide process of transport, protection and measures for ensuring
security of the assets.
4. In cases the Transaction Services, the
branches of the State Bank have demands in delivering or receiving directly
cash, precious assets or valuable papers from the State Bank at the Central
vault and are capable of self-arranging transport means for transporting cash,
precious assets or valuable papers (specialized transport means), it is
required to have approvals from Director of the Department of Issuance and
Treasury.
Article 51. Ensuring the
confidentiality of transport information
1. Persons involved in organization of and
participation in transporting cash, precious asset or valuable papers must
absolutely keep the confidentiality of information about time, route, type of
goods, quantity, value, means of transportation, and means of preserving assets
under the provisions on protection of the State secrets.
2. Persons who are not involved in the task
shall be not permitted to accompany on means of transporting cash, precious
assets or valuable papers.
3. Documents related to the work of transporting
cash, precious assets, valuable papers used the phrase "special
goods" instead of the phrase "cash, precious assets, valuable
papers" to ensure the secret of transport information.
Article 52. Ensuring the
safety on the way of transport
1. Cash, precious assets or valuable papers
being transported must be packed, sealed and preserved safely.
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3. In case of long way transport, it is required
to have a rest on the way, and avoid stopping the vehicle in crowded places. In
case of taking a rest overnight on the way, the vehicle must be parked in the
office of the State Bank, credit institutions or units of public security, army
to ensure the security, coordinating to arrange guarding the vehicle or sending
assets to the vault for preservation
Article 53. Coordination in
protection of transporting routes
Transaction Services, State Bank branches,
credit institutions, foreign banks’ branches at the receipt of the notice that
the vehicle which transports cash, precious assets or valuable papers of the
Banking sector faces the break down on the route of their local area, shall
take initiative in communicating, coordinating with public security agency and
the transport vehicle’s force to take measures for the safety of the assets. In
case of necessity, ask local People's committee to coordinate and be
responsible to timely settle the breakdowns
Article 54. Organization of
receipt
At the arrival of the cash, precious asset or
valuable papers, the receiving unit must mobilize the labor force at the unit
to receive the assets as quick as possible (even working overtime or in
holidays) to move the assets into the vault for preservation
Article 55. Forces involved
in the transport and responsibility of the escorts
1. When transporting cash, precious assets or
valuable papers, it is required to have sufficient forces to control the means
of transport, escort and protection.
2. The escort is the one
who takes general responsibility on the way of transport, takes responsibility
for the security of cash, precious assets or valuable papers; organizing the
delivery, receipt, transport in compliance with provisions of this Circular.
In case where the volume, value of transported
cash, precious assets or valuable papers are large and the transport needs to
be organized by team of vehicles and escorted by several persons, the Director
shall appoint an escort to be the team leader.
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1. Vehicles transporting cash, precious assets
or valuable papers of the State Bank protected by an armed police force; it
depends on the volume, value and nature of each shipment, banks shall discuss
and unify with the police unit to determine the number of guardians. In case of
a vehicle, it is required to have at least two polices for protection.
Security forces or police protecting cash,
precious assets or valuable papers shall be responsible for: Having plans to
protect goods, persons and means from starting receipt of goods until
finalizing delivery of goods and returning to the head office safely; complying
with regulations in transport as prescribed in this Circular; dealing with
specific cases that happen and not letting the vehicle be examined, searched on
the way. Where any unsafe case occurs, they shall directly fight and assign
members of the team to jointly protect persons, cash, precious assets, valuable
papers and means.
2. Credit institutions or branches of foreign
banks shall stipulate responsibilities in protection or transport of cash,
precious assets or valuable papers in their system.
Article 57. Responsibility
of the vehicle driver
The vehicle driver shall be responsible for the
technique of the transport means; correctly complying with provisions on the
transport of cash, precious assets or valuable papers in accordance with this
Circular; complying with the traffic law; taking initiative in asking for a
preferential permit or buying bridge, ferry toll promptly
Article 58. Book for
following up the transport
The unit that organizes the transport of cash,
precious assets or valuable papers must open a book for following up each lot,
from the arrangement of personnel, means to the schedule of transport
Chapter 5.
INSPECTION, INVENTORY,
HAND-OVER AND SETTLEMENT OF THE EXCESS OR DEFICIENCY OF CASH, PRECIOUS ASSETS
OR VALUABLE PAPERS
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Article 59. Periodical
inspection or inventory
1. The comprehensive examination of the security
work for the vault and the general inventory of cash, precious assets, valuable
papers shall be carried out twice per year, at 0 o'clock 01st January and 0
o'clock 01st July
2. The inventory of the Issuing Reserve Fund and
other assets which are preserved in vault shall be performed on monthly basis,
at 0 o'clock on the first day every month.
3. Inventory cash in the cash Funds of credit
institutions or branches of foreign banks, the Fund for issuance of the
Transaction Service, branches of the State Bank, valuable papers, other
precious assets at the end of daily working hours.
4. The ad-hoc examination, inventory shall be
carried out in following cases:
a) Where there is any change in the key keepers
of vault’s door;
b) Where there is any change in the lock or key
of the vault’s door is lost;
c) When there are doubts on having crooks invading
in vault, cash collection and payment counters or cash, precious assets or
valuable papers on transport; detecting mistakes on assets during delivery and
receipt at vault and cash collection and payment;
d) Where there is an order or a document on the
examination of the vault, issued by the competent level as provided for in
Clauses 1, 2, 3, 4, 5, 6 Article 39 of this Regime
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5. Director shall be entitled to organize the
extraordinary inventory or total inventory of cash, precious assets or valuable
papers at any time.
Article 60. Methods of
inventory
1. Inventory for items of types of cash,
precious assets or valuable papers to ensure the consistency between the actual
balance of funds with the balance on the accounting book and the cash book (or
the book for following up the entrance into and exit of assets).
2. Members participating in the inventory must
directly check and count each bundle, bag, sack, box or cask with seal intact
for cash, precious assets or valuable papers packed as prescribed; examine the
sealed situation of bundles, bags, sacks, boxes or casks of cash, precious
assets or valuable papers. In questionable cases, it is required to open for
checking and counting items inside or checking and counting each sheet (for
cash). It is required to record results of inventory (details of asset types
according to quantity and value) in books as prescribed. Compare the actual
assets invented (quantity, value) with the balance recorded in books of
accountant and cashier (or the vault keeper); if there is a difference (excess
or deficiency), it is required to make a minute and to settle in accordance
with Article 64 of this Circular.
The inventory of the balance at the end of a
day, for uneven money in bundles (or bags), it is required to check and to
count sheets (or pieces).
3. The inventory minute
must be passed publicly, members of the Inventory Council and the cashier (or
the vault keeper) must sign their names for verification. Director, Head of
Accounting Division, cashier (or the vault keeper) must sign their names for
verification of figures recorded in the cash book or the inventory book (if
any).
Article 61. Hand-over of
cash, precious assets or valuable papers
Where there is a change in one of three key
keepers of the vault’s door (Director, Chief of Accounting Division,
treasurer), it is required to hand over cash, precious assets, valuable papers.
Upon the requirement of the work, closing time, the Director may issue a decision
on the handing over of a part of or the entire of assets.
The receiver must directly check, examine, count
the assets and shall not be entitled to authorize others to do that on his
behalf
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1. When conducting the periodic inventory as
prescribed in Clauses 1 and 2 of Article 59 of this Circular and cases of
hand-over of cash, precious assets or valuable papers, it is required to have a
Decision on setting up an inventory council by the Director.
2. Every time of checking, counting and
classifying types of money or valuable papers received in sacks, casks or
bundles, bags or boxes with seals intact, Director shall decide to set up a
Council for checking, counting and classifying types of money.
3. Members of the Inventory Council or Council
for checking, counting or classifying types of money shall include:
a) Chairperson of the Council: Director;
b) Members: Heads of departments or divisions of
Accounting, Vault, Control (or controllers).
c) A number of assistant officers as being
decided by Chairperson of the Council.
The Council shall make a minute for checking,
counting and classifying types of money or a minute for inventory and dealing
with the excess or deficiency of cash, precious assets or valuable papers in
accordance with prevailing regulations.
4. If there is a need of ad-hoc inventory or
inspection, it is required to set up an Inventory Council, members of such a
Council shall be decided by levels competent to decision on ad-hoc inventory or
inspection, but must not less than members prescribed in Clause 3 of this
Article.
5. The inventory at the end of a day shall be
performed by the Director, Chief of Accounting Division or the person
authorized by the Director, Chief of Accounting Division in accordance with the
Article 26 of this Circular. The Director may mobilize some officers to assist
him in the inventory at the end of the working day. The supervision over the
inventory at the end of the working day shall be performed in accordance with
the Regulation on the internal control, auditing of the State Bank (for
inventory of the State bank), or of the credit institutions, foreign banks’
branches (for inventory of credit institutions, foreign banks’ branches).
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Article 63. The inventory
council, the council for checking, counting and classifying types of money of
the Central vault
1. The Inventory Council for the preservative
Fund for issuance, precious assets, valuable papers at the Central vault
periodically at 0 o'clock 01 January and 01 July shall be decided to set up by
the Governor of the State Bank, including following members:
a) Chairperson of the Council: Director of
Internal Audit Department;
b) Members: Director of the Financial -
Accounting Department, Director of the Department of Issuance and Treasury.
2. The Inventory Council for the preservative
Fund for issuance, precious assets, and valuable papers at the Central vault
periodically at 0 o'clock first day monthly shall include following members:
a) Chairperson of the Council: Director of the
Department of Issuance and Treasury or Head of Sub-department of Issuance and
Treasury;
b) Members: Head of Accounting-Financial
Department, Head of the Vault, controller.
3. The Council for checking, counting and classifying
types of money at the Central vault shall be decided to set up by the Director
of the Department of Issuance and Treasury, including members as follows:
a) Chairperson of the Council: Director of the
Department of Issuance and Treasury or Head of the Sub-department of Issuance
and Treasury;
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4. The Inventory Council, the Council for
checking, counting and classifying types of money of the Central vault are
entitled to gather a number of assistants based on a decision of the
Chairperson of the Council.
The Council shall make a minute for checking,
counting and classifying types of money or a minute for inventory and dealing
with the excess, deficiency of cash, precious assets or valuable papers in
accordance with prevailing regulations.
SECTION 2. DEALING WITH THE
EXCESS, DEFICIENCY OF CASH, PRECIOUS ASSETS OR VALUABLE PAPERS
Article 64. Dealing with
the excess, deficiency of cash, precious assets or valuable papers in checking,
counting and packing
In case of deficiency of cash, precious assets
or valuable papers according to the minutes of the Council for checking,
counting and classifying types of money, the Inventory Council under the
provisions of this Circular, the person named on the seal of bundles, bags,
boxes, sacks or casks of money, precious assets or valuable papers must
compensate 100% of the deficient asset value. In case of recidivism, depending
on the seriousness, they shall be subject to discipline in accordance with
current provisions. Serious cases will be handled in accordance with legal
provisions. For case where the amount of money in the cash bundle, bag, box,
pack, and cask is excessive, that excessive amount shall be recorded as an
operational receipt of the bank whose name is stated in the seal.
2. Credit institutions, branches of foreign
banks shall base on Clause 1 of this Article to stipulate within its system the
dealing with the excess or deficiency of sheets (or pieces) in money bundles
(bags) delivered and received in the banking sector according to a bundle which
is full of 10 sheaves sealed or a sack of coins sealed.
Article 65. Dealing with
the excess or deficiency of cash, precious assets or valuable papers preserved
in the vault, transaction counter or on the way of transport
1. Cases detected excess or deficiency of cash,
precious assets or valuable papers in the vault, transaction counter or during
the process of transport, the Director must decide on inventory of all related
assets. Director, Head of related departments or committees or divisions of
Accounting, Controlling, Treasury must directly review, inspect, make records,
record books and prosecute individual obligations of person who are assigned to
preserve assets and obligations of relevant persons to timely recover the
entire lost and deficient value of assets.
2. Cases of deficiency or lost of cash, precious
assets or valuable papers worth VND 50 (fifty) million or more or cases of deficiency
or lost of cash under the reserve fund for issuance, it is required to report
to the higher level under the vertical system (if any); credit institutions or
branches of foreign banks shall report to branches of the State Bank, branches
of the State Bank shall report to the State Bank (the Department of Issuance
and Treasury) within 24 hours.
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Article 66. Dealing with
the deficiency or loss of money due to negligence in profession
1. In case of negligence in delivery and
receipt, check, counting and preservation leading to a deficiency or loss of
cash, precious assets or valuable papers, it is required to pay compensation
for the entire damage and to be handled in accordance with legal provisions.
2. For cases which are under the State Bank, it
is required to set up a Council for settlement of compensation to handle
material responsibilities.
Article 67. Handling cases
of deficiency or loss of money due to subjective reasons
1. In case where the Director and persons, who are
responsible for the management, supervision, security assurance of cash,
precious assets, valuable papers, fail to complete their duties, resulting in
the deficiency, loss of money in the vault or enable their employees to
embezzle, take advantage or steal assets, they shall be disciplined under
provisions of laws; where they have jointly material responsibility in the loss
of money, assets, they must compensate; or they shall be prosecuted for
criminal liability
2. If the officers, employees who are in charge
of treasury work, embezzle, take advantage to steal cash, precious assets,
valuable papers, they shall be subject to the compensation for 100% of the
value of the deficiency assets and be dismissed; or they shall be prosecuted
for criminal liability
Chapter 6.
ORGANIZATION OF
IMPLEMENTATION
Article 68. Rights and
benefits for the vault staff
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The officers and staff working in the vault as
prescribed in this Circular shall be entitled to enjoy responsibility
allowance; harmful and heavy work allowance; feeding-up allowances for
harmfulness in kind; be equipped with personal protection equipment… and other
rights and benefits in accordance with provisions of the State and the branch.
Article 69. Report on the
work of vault safety
State Bank branches, credit institutions and
branches of foreign banks shall prepare annual report on the performance of the
treasury safety work according to contents in this Circular. Report of the
credit institutions, branches of foreign banks shall be sent to the State Bank
branch in the local area and the credit institution, branches of foreign banks
of the superior level (if any). State Bank branches, credit institutions and
branches of foreign banks shall sum up reports and send to the State Bank
(Department of Issuance and Treasury) before 15 January of the following year
Article 70.
Responsibilities of relevant units of the State Bank
1. Director of the Department of Issuance and
Treasury shall be responsible for guiding and checking the implementation of
this Circular.
2. Director of Internal Audit Department shall
be responsible for guiding the control of organizing the implementation within
the system of the State Bank.
3. Chief of Banking inspection and supervision
shall be responsible for inspecting the organization of implementation of this
Circular by credit institutions and branches of foreign banks.
Article 71.
Responsibilities of credit institutions, branches of foreign banks
Credit institutions, branches of foreign banks
shall base on provisions in this Circular to stipulate and to guide the
implementation within their systems in compliance with operational form,
organizational structure of their units and bear obligations in ensuring safety
for cash, assets; organize the control over the implementation within the
system.
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IMPLEMENTATION
PROVISIONS
Article 72. Implementation
effect
1. This Circular shall come into force on
February 20, 2014.
2. From the effective date of this Circular, the
following documents shall cease to be effective;
a) Decision No. 60/2006/QD-NHNN dated December
28, 2006, of the Governor of State Bank, promulgating the Regime for the
delivery, receipt, preservation and transportation of cash, precious assets and
valuable papers;
b) Decision No. 27/2007/QD-NHNN dated June 21,
2007 on the amendment, supplementation of a number of Articles of the Regime
for the delivery, receipt, reservation and transportation of cash, precious
assets and valuable papers promulgated in Decision No. 60/2006/QD-NHNN ;
c) Circular No. 21/2011/TT-NHNN dated August 30,
2011 on the amendment, supplementation of Clause 5 of Article 3 of the Regime
for the delivery, receipt, reservation and transportation of cash, precious
assets and valuable papers promulgated in Decision No. 60/2006/QD-NHNN .
Article 73. Responsibilities
in organization of implementation
Head of Office, Director of the Department of
Issuance and Treasury, Director of the Transaction Service of the State Bank,
Heads of units under the State Bank, Directors of branches of the State Bank in
provinces or centrally-run cities, Chairpersons of the Management Boards,
Chairpersons of the Member Councils, the General Directors (or Directors) of
credit institutions, branches of foreign banks shall be responsible for
organizing the implementation of this Circular.
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FOR
THE GOVERNOR
THE DEPUTY GOVERNOR
Dao Minh Tu