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| THE STATE BANK | SOCIALIST REPUBLIC OF VIET NAM |
| No: 269/2001/QD-NHNN | Hanoi, April 01, 2001 |
THE STATE BANK GOVERNOR
Pursuant to Vietnam State Bank Law No. 01/1997/QH10 of December 12, 1997 and Credit Institution Law No. 02/1997/QH10 of December 12, 1997;
Pursuant to the Government’s Decree No. 15/CP of March 2, 1993 on the tasks, powers and State management responsibilities of the ministries and ministerial-level agencies;
Pursuant to the Government’s Decree No. 81/1998/ND-CP of October 1, 1998 on printing, minting, keeping, transporting and destroying banknotes and coins; transporting and keeping precious assets and valuable papers within the banking system;
Pursuant to the Government’s Decree No. 87/1998/ND-CP of October 31, 1998 on issuing, recovering and replacing bank notes and coins;
At the proposal of the director of the Department for Issuance and Treasury Operations,
DECIDES:
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STATE BANK GOVERNOR
Le Duc Thuy
ON DELIVERY, RECEPTION, CUSTODY AND TRANSPORTATION OF CASH, PRECIOUS ASSETS, VALUABLE PAPERS
(Issued together with Decision No. 269 of April 1, 2002 of the State Bank Governor)
Article 1.- This Regime shall apply to:
1. The State Bank branches, the State Bank Transaction Bureau (hereinafter called State Bank branches), the Central Vault.
2. The credit institutions operating under the Credit Institution Law and licensed by the State Bank.
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Article 2.- In this Regime, the following terms and phrases shall be construed as follows:
1. Cash: Banknotes and coins, issued by the State Bank of Vietnam.
2. Precious assets: Foreign currencies, precious metals, precious stones and other kinds of precious assets.
3. Valuable papers: Payment money orders, notes, bonds and other types of valuable papers as prescribed by law.
TALLY, PACKING, DELIVERY AND RECEPTION OF CASH, PRECIOUS ASSETS, VALUABLE PAPERS
Section I. PROVISIONS ON PACKING, SEALING OF CASH, PRECIOUS ASSETS, VALUABLE PAPERS
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3. A sack of banknotes contains 20 bundles of notes of the same par value.
4. A box of coins contains 10 bags of coins of the same par value.
2. The seals of money bundles, bags, sacks and cans must be fully and clearly inscribed with the following details: The bank name; money type; money quantity (notes, bars, bundles, bags); money amounts; full names and signatures of the talliers and packers; the date of packing and sealing.
3. The persons whose names and signatures are inscribed on the seals must bear responsibility for the assets in the sealed money bundles, bags or sacks and/or boxes.
4. The State Bank’s regulation on sealing money bags, sacks and boxes:
a/ Lead-sealing for newly printed banknotes;
b/ Lead-sealing of seals for already circulated money.
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2. The packing, tally, delivery and reception of assorted precious metals, precious stones and other precious assets shall be stipulated by the State Bank Governor in a separate document.
Section II. TALLY, DELIVERY AND RECEPTION OF CASH, FOREIGN CURRENCIES,
VALUABLE PAPERS
2. Revenues and expenditures in cash, foreign currencies, valuable papers must be based on the accounting vouchers. Before effecting the collection and/or payment, the validity and legality of the accounting vouchers must be inspected.
Cash, foreign currencies and/or valuable papers flown in or spent out must be adequate and correct in the total money amounts (written in numerals and words) and correct in the time (day, month, year) inscribed on the accounting vouchers, the fund journal and fund book; the accounting vouchers must be signed by the money payers (or payees) and the cashiers or the vault keepers.
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The payees of cash, foreign currencies and/or valuable papers must re-tally them before leaving the payment counters of banks.
Credit institutions and customers may reach agreement on the application of the mode of collecting and receiving cash in sealed bags.
2. The general directors (directors) of credit institutions shall stipulate the procedures for cash revenues and expenditures with customers (even when new technologies are applied), the procedures for cash collection in sealed bags.
3. The director of the Department for Issuance and Treasury Operations shall stipulate the procedures for cash collection and payment applicable to the State Bank.
Within 30 working days, the State Bank branches which receive the money must set up the Tally Councils which shall tally notes in the presence of the witnesses sent by the delivering units; in case of trusting the recipients, the delivering units shall authorize in writing the receiving units to organize the Tally Councils.
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2. The delivery and reception of cash between State Bank branches and credit institutions and vice versa and between credit institutions in the same province or cities shall be effected with the tally of money bundles with full 10 sheaves each and intact seals.
In cases where credit institutions tally the received money amounts note by note, the Tally Councils must be set up and the tally must be completed within 15 working days to the witness of the persons sent by the delivering units; in case of trusting the receiving parties, the delivering parties shall authorize in writing the receiving parties to organize the Tally Councils.
3. Coins shall be delivered and received in bags with full 10 bars each, with intact seals as in the cases prescribed at Clauses 1 and 2 of this Article.
4. The newly printed banknotes of various sorts shall be delivered and received in sacks and boxes with intact lead-seals of the banks’ money printing factories for cases prescribed at Clauses 1 and 2 of this Article.
5. The cash delivery and reception within credit institutions shall be stipulated by the general directors (directors) of such credit institutions.
The delivery and reception of foreign currencies within credit institutions shall be stipulated by the general directors (directors) of such credit institutions.
2. The delivery and reception of valuable papers shall be effected as follows:
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b/ The delivery and reception between the printing houses of banks and the central vault; between the central vaults and State Bank branches; between State Bank branches; and between central vaults shall be effected as follows:
- Newly printed valuable papers shall be delivered and received in sealed bags as for cash, or in sealed bundles (if not enough for a bag); the already circulated valuable papers shall be delivered and received in bundles with full 10 sheaves each and intact seals of the State Bank branches; in cases where a bundle is not enough with 1,000 notes, the delivery and reception shall be effected in notes.
The receiving State Bank branches must set up the Councils for Tallying Notes before making payment to credit institutions or customers.
- Valuable papers with expired circulation duration: To be delivered and received in bundles with intact seals of the State Bank branches or in notes (in case of being not enough 1,000 notes).
MANAGEMENT OF CASH, PRECIOUS ASSETS, VALUABLE PAPERS AND VAULTS
- To organize the accounting of cash, precious assets, valuable papers according to the accountancy and statistical regime; to guide and inspect the book opening and recording by the cashiers and the vault keepers;
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- To examine and compare data on accounting books, the cashiers’ books, the vault keepers’ books to ensure the compatibility;
- To directly partake in the periodical or extraordinary inventories of assets in order to ensure the compatibility between the amounts actually left in vaults and those on accounting books, cashiers’ books, vault keepers’ books; sign the vault books for certification of the amounts actually left in the vaults, the books for monitoring each type of assets, the inventory books, vault cards.
- At the central vault, the head of the Accountancy Section of the Department for Issuance and Treasury Operations or the head of the Accountancy Section shall perform the tasks prescribed in this Article.
1. The vault keepers shall have the tasks:
- To effect the delivery and warehousing of cash, precious assets and valuable papers in a precise, timely and adequate manner strictly according to the orders of the competent authorities, with proper and lawful accounting vouchers;
- To open vault books; books for monitoring each type of cash, each type of asset; vault cards; other necessary books; to record and keep books and papers fully, clearly and accurately;
- To organize the tidy and scientific arrangement of cash and assets in the vaults, ensuring vault hygiene;
- To manage and keep the key of one lock of the inner door of the vaults, preserving the assigned assets, locks at vault compartments and preservation means in the vaults (safes, iron cabinets).
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Each central vault is staffed with a number of keepers: The keeper of the Issuance Reserve Fund, the keeper of the precious asset storehouse, the keeper of the valuable paper storehouse. Each keeper shall be accountable for the assets assigned to him/her and perform the tasks as provided for in Clause 1, this Article.
3. To assist the vault keepers in tallying, packing, loading and unloading, transportation of cash, precious assets and/or valuable papers, with a number of their assistants.
2. At the State Bank branches which have separate vaults for the custody of issuance operation fund, foreign currencies and valuable papers, the cashiers cum vault keepers shall preserve the assigned assets. For this case, the cashiers shall enjoy benefits like the vault keepers.
3. At the Vault Sections of credit institutions, which have one or several cashiers, each cashier shall bear responsibility for the assets assigned to him/her; among them, one shall be assigned to work also as a part-time or full-time vault keeper.
- To guide and inspect the managerial operation for vault safety;
- To organize the delivery, warehousing, custody and transportation of cash, precious assets and valuable papers according to regulations;
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Article 18.- The vault security personnel shall have the tasks:
- To inspect on spot the conditions to ensure safety for the delivery, warehousing of vault assets as well as the loading, unloading and transportation to and fro on orders of competent authorities; to inspect the work on vault safety during the working hours;
- To control and supervise people working inside the vaults; to be entitled to inspect and check people moving into and out of vaults whenever there appear any doubts;
- To inspect the observance of regulations on entry into or exit from vaults;
- To propose to the directors measures for organizing the protection of safety in the vaults.
Where full-time vault security personnel cannot be arranged, the vault keepers shall work also as part-time security personnel.
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1. Directors may authorize in writing their deputies to perform the task of managing cash, precious assets, valuable papers and vaults for a given period of time. The authorized persons shall be answerable to the directors for the management of cash, precious assets, valuable papers, vaults according to this Regime and law provisions.
2. Heads of the Accountancy Sections may authorize in writing their deputies to represent them in managing cash, precious assets, valuable papers and vaults for a given period of time (the authorization documents are approved by the directors). The authorized persons shall be answerable to the section heads and directors for the management of assets and vaults according to this Regime and law provisions.
3. Whenever the vault keepers take leaves according to the prescribed regime, are absent for working missions, meetings or study, they must make written requests therefor and obtain the directors’ approval. The directors shall appoint in writing persons for substitution and organize the inventory and hand-over of assets. The substitutes shall have to keep secret and ensure absolute safety for assets and normal professional operations during the time they are assigned the tasks.
4. Upon the expiry of the authorization duration and the asset hand-over, the authorized persons must report on the work they have performed regarding the management of cash, precious assets, valuable papers and vaults to the authorizers. The authorized persons must not further authorize other persons.
The substitutes of vault keepers shall also observe the provisions in Clause 4 of this Article.
5. The general directors of credit institutions shall stipulate the authorization by the directors (of branches, Transaction Bureaus, representative offices… of the credit institutions) for the management of cash, precious assets, valuable papers and vaults in such special cases as the absence of leaders or the shortage of leading officials.
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2. Persons who have no tasks must not enter transaction counters or vaults.
3. The transaction counters and vaults must have internal regulations prescribed by the directors.
The safe custody of cash, precious assets and valuable papers during noon breaks (if any) shall be stipulated by the general directors (directors).
2. All assets kept in vaults must be classified, tallied, packed and sealed in strict accordance with recipes, be arranged in a tidy and scientific manner.
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4. Pending the construction of vaults, the credit institutions may keep cash, precious assets and valuable papers in iron safes adequately furnished with safety conditions. The director (or the head of Accountancy Section) and the cashier shall each manages and keeps the key of one lock of the iron safe. The general directors (directors) of the credit institutions shall specify the enhanced safekeeping of assets in this case for uniform application within the system.
Section II. USE AND PRESERVATION OF VAULT KEYS
2. The vault compartment key and the key of the iron safe where the key box mentioned in Clause 1 of this Article is kept; the being used key of the iron safe, iron cabinet preserving assets at the transaction counters shall be kept like the being used keys of the vault door.
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2. The special cases (where various combination locks are used) of credit institutions shall be stipulated by the general directors (directors).
The Central Vault shall deposit the reserve keys of the vault door into the vault of the nearest State Bank branch. The State Bank branches shall deposit the reserve keys at the vaults of the State-run credit institutions.
The vault door reserve key box has two locks, each of which shall be managed by the vault director and keeper; the keys shall be preserved like the vault door keys being in use.
Article 31.- The reserve key boxes shall be opened only in the following cases:
1. The daily-use keys are lost or the vault doors must be opened in emergency circumstances while the key keepers are absent.
2. The reserve keys of new locks are additionally deposited or combinations are changed.
3. The reserve keys of replaced locks are withdrawn.
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The opening of reserve key boxes must be witnessed directly by the director, the Accountancy Section head, the vault keeper and the controller. The opening of reserve key boxes in cases prescribed in Clauses 1, 2 and 3 of this Article must be approved in writing by the directors.
1. Not to mislay, lose or damage the keys. Absolutely not to let other persons watch, hold or keep the keys.
2. Not to bring keys out of the agencies’ offices.
3. Where the daily-use keys are lost, the persons at fault must immediately report thereon in writing to the directors, clearly stating the key-loss reasons, time and places. If the keys of the vault doors are lost, the directors must immediately report thereon to the police office of the same level and the superior bank. Then, the record on the key loss shall be made and the procedures shall be carried out to take the reserve key for use. The lock replacement must be carried out quickly within 36 hours.
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Article 37.- Subjects are allowed to enter vaults while on official duties:
1. Directors and members with responsibility to keep keys of the vault doors.
2. The State Bank Governor, deputy-governors, who inspect vaults within the banking service.
3. Chairmen of the Managing Boards, the general directors of credit institutions, who inspect vaults within the system.
4. The director of the Department for Issuance and Vault Operations enter vaults of the State Bank’s system to perform the assigned tasks.
Officials who are permitted in writing by the State Bank Governor to enter for inspection of vaults within the banking service. Officials who are permitted in writing by the general directors of credit institutions to inspect vaults of the credit institutions.
5. The directors of the State Bank branches, officials who are permitted in writing by the State Bank branch directors to inspect vaults of the credit institutions in the provinces or centrally-run cities.
6. The controllers who enter the vaults to supervise the delivery and warehousing of assets; to inspect the vaults under the working plans already approved by the directors.
7. Officials and employees, who are assigned the task to organize and carry out the loading and unloading, transportation of assets preserved in vaults.
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9. Supervisory officials and technicians, workers performing the tasks of repairing, installing, maintaining equipment and locks in vaults, who make written requests approved by the directors who permit the entry into vaults.
Article 38.- Cases of permitted entry into vaults:
1. To execute orders, bills on delivery or warehousing of cash, precious assets and/or valuable papers.
2. To deposit cash of the operation fund, foreign currencies and/or valuable papers into vaults for custody, or deliver them for daily use.
3. To inspect vaults in the cases prescribed at Clauses 2, 3, 4 and 5 of Article 37 of this Regime, to inventory assets and other cases of periodical or extraordinary inspection as provided for in Article 56 of this Regime.
4. To clean, carry out loading and unloading or swaps in vaults;
5. To repair, install and check equipment in vaults;
6. To rescue assets in vaults in emergency cases.
7. To deliver and warehouse assets in the performance of precious object-keeping services; to deliver and warehouse special commodities of the State Bank or other credit institutions, which have been deposited overnight.
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a/ If finding signs of doubt, such doubt must be fully recorded before opening the locks;
b/ If finding traces of intruding into vaults by evildoers, the scene must be kept intact for police to consider and make record; then unlocking the door to enter the vault.
2. Before exiting the vaults:
a/ Checking objects to be taken out of the vaults;
b/ Re-checking the security equipment systems;
c/ The vault keeper and security personnel must make the final examination before closing the vault door.
Section IV. GUARDING, PROTECTING VAULTS, TRANSACTION COUNTERS
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Vaults of the State Bank branches, the Central Vaults shall be protected by police forces.
TRANSPORTATION OF SPECIAL COMMODITIES
The organization of transportation of special commodities must follow the process, starting from the time of receiving, packing and sealing assets and preserving means; loading onto vehicles; transportation en route, arrival at the reception place; delivery of commodities, to the completion of all delivery and reception procedures.
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3. The general directors (directors) of the credit institutions shall prescribe the competence to issue orders on cash transfer between branches and stipulate the transportation of special commodity within the system.
In unexpected cases or where the transported volume and property values are big and the transportation is carried on long distances, requiring the rent of other means such as airplanes, trains, sea-going ships, it must be decided by the State Bank governor (for the State Bank’s property) or the general directors (directors) of credit institutions.
1. Special commodities, when transported, must be packed and sealed.
2. The persons who organize and participate in the transportation must absolutely keep secret the time, itinerary, type of commodity, volume, value, transport means.
3. Persons who have no responsibility must not travel on means used for the transportation of special commodities.
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Vehicles carrying special commodities of the State Bank must be protected by armed police; depending on the volume, value and nature of each commodity shipment, the bank shall discuss and agree with the police units on the number of guards, ensuring that a vehicle carrying special commodities must be protected by at least two armed policemen.
2. The persons who escort special commodities shall be the general commanders throughout the course of transportation, having the responsibility to ensure safety for the special commodities and organize the delivery, reception, transportation and protection strictly according to the provisions in this Regime.
Where the volume and value of the transported special commodities are great, requiring the organization of convoys and a number of escorts, the directors shall appoint one escorting official to be the head of the convoy.
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Section I. EXAMINATION, INVENTORY AND HAND-OVER OF CASH, PRECIOUS ASSETS, VALUABLE PAPERS
Article 56.- Conducting periodical examination and inventory as follows:
1. Conducting the comprehensive examination of the work of ensuring safety for vaults and the general inventory of cash, precious assets and valuable papers twice a year at 00.00 hrs of January 1 and July 1.
2. Inventorying the issuance reserve fund and other assets kept in vaults, once a month at 00.00 hrs on the first day of every month.
3. Inventorying cash of the credit institution funds, Issuance Operation funds of the State Bank branches, valuable papers and precious assets at the end of every working day.
4. Conducting unexpected examination and inventory in the following cases:
a/ The keepers of the vault door key are replaced;
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c/ There appear doubts that evil doers have intruded into vaults, cash collection and payment counters or transported special commodities en route; mistakes are detected in vault delivery or deposit and cash collection and payment;
d/ There are orders or documents on examination of vaults, issued by competent authorities prescribed in Clauses 2, 3, 4 and 5, Article 37 of this Regime.
e/ Cash tally and/or sorting are examined.
5. The directors are entitled to conduct unexpected inventories and general inventories of cash, precious assets and/or valuable papers at any time.
The receivers must personally examine, inspect, tally the assets and must not authorize other persons to do such instead.
Upon each tally of assorted banknotes and/or valuable papers, which have been received in sacks, boxes, bundles or bags of money, with intact seals, the director shall issue a decision to set up the money tally council.
1. The composition of an Inventory Council or a Money Tally Council:
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- Members: The Accountancy Section head (or chief accountant), the Money- Vault Section head (or the Treasury Section head), the chief controller (or controller).
The Council shall requisition a number of assisting officials to be decided by the Council chairman.
The Council shall make the tally records or inventory records and handle the asset surplus or deficit according to current regulations.
2. Where unexpected inventory or inspection is needed, the Inventory Council must be set up; the composition of the Council shall be prescribed by the head of the agency deciding the examination and inventory, but must not be smaller than the composition stipulated in Clause 1, this Article.
3. The day-end inventory shall be effected by the director, the Accountancy Section head (or chief accountant). In case of his/her absence, thus being unable to directly participate therein, every of the above-mentioned members may authorize his/her deputy or competent person to effect the inventory. The director can additionally mobilize a number of officials and employees to assist in the day-end inventory. The chief controller or controllers shall supervise the day-end inventory.
- The Council chairman: The director of the General Control Department;
- Members: The director of the Finance-Accountancy Department, the director of the Department for Issuance and Treasury Operations.
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2. The Inventory Council of the Issuance and Treasury Operations Department shall inventory the issuance reserve fund, the precious assets and valuable papers in the Central Vault at 00.00 hrs on the first day of every month, consisting of the following members:
- The Council chairman: The director of the Issuance and Treasury Operations Department or the director of the Central Vault;
- Members: The Accountancy Section head, the Vault Operation Section head, the controller.
The Council may requisition a number of assistants to be decided by the Council chairman.
Section II. HANDLING CASH, PRECIOUS ASSET, VALUABLE PAPER SURPLUS OR DEFICIT
2. For each credit institution: The general director (director) of the credit institution shall base on Clause 1 of this Article to stipulate the handling of surplus or deficit of banknotes in the note bundles already delivered with full 10 sheaves each and intact seals.
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For cases of money loss, which show signs of intrusion by evildoers to rob assets, embezzlement or misappropriation (with criminal elements), the scenes must be kept intact and the cases must be reported to the police offices.
2. Officials and employees who are engaged in vault work, if embezzling or misappropriating cash, precious assets and/or valuable papers, shall have to compensate 100% of the value of the deficit assets and be sacked; in case of serious violations, they must bear penal liability.
3. Officials and employees performing the vault work prescribed in this Regime shall be entitled to enjoy responsibility allowance, hazard allowance, heavy work allowance; hazard supports in kind; be equipped with personal protection devices… according to the regulations of the State and branches.
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2. The director of the General Control Department shall have to guide the control of the organization of implementation thereof within the State Bank system. The chairmen of the Managing Boards, the general directors (directors) of the credit institutions shall organize the control of the organization of implementation within the system.
3. The State Bank chief inspector shall have to deploy the work of inspection of the organization of implementation by the credit institution.
STATE BANK GOVERNOR
Le Duc Thuy
- 1Circular No. 01/2014/TT-NHNN dated January 06,2014, stipulating the delivery, receipt, preservation and transport of cash, precious assets and valuable papers
- 2Decision No.1277/2002/QD-NHNN of November 18, 2002 adjusting the compulsory reserve rate for foreign currency deposits of credit institutions
- 3Decision No. 1472/2001/QD-NHNN of November 23, 2001, on the adjustment of the required reserve ratios for foreign currency deposits of credit institutions
- 1Circular No. 01/2014/TT-NHNN dated January 06,2014, stipulating the delivery, receipt, preservation and transport of cash, precious assets and valuable papers
- 2Decree of Government No. 81/1998/ND-CP of October 01, 1998 on the printing, minting, preservation, transport and destruction of banknotes and coins; and the preservation and transport of precious property and valuable papers within the banking system
- 3Law No. 06/1997/QH10 of December 12, 1997 on The State Bank of Vietnam
- 4Law No. 07/1997/QH10 of December 12, 1997 on credit institutions
- 5Decree No.15-CP of Government, relating to duties, powers and responsibilities for State Mangement of Ministries, ministerial Agencies.
Decision No. 269/2001/QD-NHNN of the State Bank, promulgating the regime of delivery, reception, custody and transportation of cash, precious assets, valuable papers
- Số hiệu: 269/2001/QD-NHNN
- Loại văn bản: Quyết định
- Ngày ban hành: 01/04/2001
- Nơi ban hành: Ngân hàng Nhà nước
- Người ký: Lê Đức Thuý
- Ngày công báo: Đang cập nhật
- Số công báo: Đang cập nhật
- Ngày hiệu lực: Kiểm tra
- Tình trạng hiệu lực: Kiểm tra