Circular 31/2013/tt-Nhnn: Statistical Reporting Regulations Apply To The Units Of The State Bank And Credit Institutions, Branches Of Foreign Banks

Original Language Title: Thông tư 31/2013/TT-NHNN: Quy định báo cáo thống kê áp dụng đối với các đơn vị thuộc Ngân hàng Nhà nước và các tổ chức tín dụng, chi nhánh ngân hàng nước ngoài

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CIRCULAR statistics reporting regulations apply to the units of the State Bank and credit institutions, branches of foreign banks _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ pursuant to the law the State Bank of Vietnam the number 46/2010/QH12 on 16/6/2010;
Pursuant to the law on credit institutions the number 47/2010/QH12 on 16/6/2010;
Pursuant to the law No. 04/statistics 2003/QH11 on 17/6/2003;
Pursuant to Decree No. 96/2008/ND-CP dated 26/8/2008 by government regulations on functions, tasks, powers and structure of the State Bank of Vietnam;
According to the proposal of the Director General, monetary statistics, forecasts;
The Governor of the State Bank of Vietnam issued a circular regulating the statistical report applies to the units of the State Bank and credit institutions, foreign bank branch, chapter I GENERAL PROVISIONS article 1. Scope the statistical report applies to the units of the State Bank and credit institutions, branches of foreign banks (hereinafter referred to as statistical reporting) Regulations this circular kind of statistical reporting basis under the provisions of the Statistics Act No. 04/2003/QH11 on 17/6/2003.
Statistical reports specified in this circular form to collect statistical information from the reporting units to meet the implementation of State management functions on currency, banking activities and functions of the Central Bank of the State Bank.
With regard to the other reports are not in the scope of this circular, the unit reported to follow the current rules of the Governor of the State Bank and the State administration authorities.
Article 2. The reporting unit 1. The unit in the organizational structure of the Bank (hereinafter referred to as the units of the State Bank).
2. Credit institutions (except for micro-finance institutions), foreign bank branches are established and operate on the territory of Vietnam according to the law on credit institutions (hereinafter referred to as the institutions).
Article 3. The Unit received reports the Unit received reports that the units of the State Bank.
Article 4. Reporting criteria and forms of statistical reports (hereinafter referred to as the target, form reports) 1. The indicator reports are categorized into groups of nest norms. Each group only contains the different target groups.
2. The norms, forms of periodic reports: periodically, the time limit for submitting the report, the Unit reports, content and reporting criteria guide, sample schedule recurring reports are specified in article 11 of this circular and its annexes 1, 2, 4a, 4b attached to this circular.
3. where necessary for the management, direction, State Bank Governor or Director of State Bank branch in the central cities, reporting requirements under the criteria, the reporting form has not been specified in this circular; The units have the responsibility to report fully and timely meet reporting requirements.
Article 5. Statistical code and the instructions distributed to, category 1. The specific provisions of the code applied in the banking statistics are provided in Appendix 5 attached to this circular.
2. Guide on organization and classification, individual economic sectors under the nest 3 partition sector nest residents and non-residents of Vietnam are specified respectively in annexes 6, 7 and 8 included herewith.
Article 6. The reporting method 1. Electronic report is the report expressed as a file (file) electronic data is transmitted through the computer network or sent over the bearing. Electronic reports must be fully electronic signatures of the heads or the authorized person of the reporting units and the correct symbol, communication codes, file structure specified by the State Bank.
Application of electronic reports required for the specified report criteria in annex 1 and the form prescribed report forms for electronic reporting in Appendix 4a, Appendix 4b attached to this circular.
2. the written report was reported by the paper and must follow the form prescribed in form, have a full seal, signature of authorized person of the reporting units and the signature, full name of the establishment, the control report.
Article 7. Networked and electronic reporting process 1. The Head Office of the credit institution (excluding the people's credit funds and foreign bank branches are not branches of the same branch of the clue system activity in Vietnam) communication network with Department of information technology to send the report to the State Bank as defined in annex 2 and Appendix 4b attached to this circular.
2. State Bank of India branch of the province, central cities (hereafter referred to as the State Bank branch in the province, City) communication network with Department of information technology to send the report to the State Bank as specified in annex 2, Appendix 4a attached to this circular and harness the Organization's report on credit from the General data warehouse at State Bank under the guidance of the Department of information technology.
3. people's Credit Fund network communication with State Bank branch, headquarters city to send the report to the State Bank as defined in annex 2 and Appendix 4b attached to this circular.
The case of the people's credit funds not yet qualified to connect communication networks with State Bank branch in the city, then send the file to the report through the bearing or send a report in writing to the Bank branch, headquarters city. State Bank branch in the city is responsible for updating the data reported by each people's credit Funds into the database at the State Bank branch in the city, to the post of State Bank.
4. in case of a data transmission system that has the problem, the report unit must submit the report files are saved on the bearing to the State Bank as defined below: a) credit organization headquarters (except the people's credit funds and foreign bank branches are not branches of the same branch of the clue system activity in Vietnam) sent to The Bureau informatics technology.
b) the people's credit funds sent to the Department of information technology through State Bank branch, headquarters city.
Article 8. Send a report in writing to The written report are applied to form the report specified in paragraph 3 article 4 and for the reporting form in Appendix 4b attached herewith in case the people's credit funds not yet qualified communication network with State Bank branch , the city.
Article 9. Information security metrics report statistical report and the related documents in the category of State secrets should be managed, used and transmitting information in accordance with the provisions of the law on the protection of State secrets.
Article 10. Data quality statistics report The statistics report data to ensure completeness, timeliness, integrity, objectivity, accuracy. When editing for a reported data or figures in the report period have different volatility often report unit must submit the presentation of written reports for the unit to receive the report.
Article 11. And the time limit for submitting the 1st report. Periodical reports.
a) States on reports are determined according to the working day.
b) States, reports, quarterly, year is determined by the calendar.
c) States reported 10 days (or 3/month): States 1 count from 1 to 10 of December report; period 2 is calculated from April 11 to 20, and reports of States 3 is calculated from April 21 to the last day of the reporting month.
d) reports 15 days (or 2/month): States 1 are counted from 1 to 15 of March reports; period 2 is calculated from April 16 to the last day of the reporting month.
2. The time limit for submitting the report apply to the target report.
a) reports on: the Unit report submitted the report at the latest on the next working day 14 hours immediately after the report date.
b) reported 10 days (3/month), 15 days (2/month): the Unit report submitted the report at the latest after 2 the next working day from the last day of the reporting period.
c) reports: reporting units send the report at the latest on the 12th of the next month following the reporting month.
d) reported quarterly: the Unit report submitted the report at the latest on the 20th of March beginning next quarter immediately following the reporting quarter.
DD) reports: reporting units send the report at the latest on the 20th of the next year following the reporting year.
e) particularly for the report of each people's credit Funds, State Bank branch in the province, the city sent the State Bank under the time limit, as follows:-the 10-day report (3/month), 15 days (2/month): send the latest after 3 the next working day from the last day of the reporting period.
-Report: submit at the latest on the 15th of the next month following the reporting month.
-Quarterly report: submit at the latest on the 25th of the next month following the reporting quarter.
-Report: submit at the latest on 25 of the first half of next year following the reporting year.
g) other reporting period Field with the aforesaid provisions shall be specified in Appendix 3 attached to this circular.
3. The time limit for sending the report to the report forms are specified on the report form in Appendix 4a, Appendix 4b attached to this circular.
4. If the date of the final report deadline coincides with Tet holidays, holidays or weekends, then the date the report is the next working day following holidays, new year holidays or weekends.
Case report submitted in writing, on the actual report is calculated is the seal of the post office where the receiving reports sent. Case report submitted through electronic reporting channels, on sending the report is on file to report the success of the Department of information technology.
Emergency or unscheduled, the unit must submit the report in writing via fax. After sending the report through fax, reporting units are responsible to submit official reports in writing in accordance with clause 2 article 6 and article 8 of this circular. On the actual report is counted as day fax report.
Article 12. Investigation process for the target, the electronic report form 1. At the Department of information technology:

a) immediately after receiving reports according to the time limit for submitting the report the provisions in paragraph 2 and article 11 paragraph 3 of this circular, the Department of information technology to check the adequacy of the norms, the electronic report form by the State Bank of India branch of the province, the city, the headquarters of the credit organization passed through informatics networks.
If the Bank branch of the province, the city, the headquarters of the credit organization does not transmit or communicated lack of indicators, electronic report form or transfer the lack of reports of the subsidiary credit institution in the system, the Department of information technology must be notified via network for State Bank branch in the city Headquarters, credit institutions to submit full reports for the State Bank.
b) Shortly after receiving the results of the investigation units of the State Bank, Department of information technology through timely notification of information network for the State Bank branch in the province, the city, the headquarters of the credit organization to handle, pass the correct data for the Department of information technology.
c) right after getting the only goal of the electronic report form, so the State Bank branch in the province, the city, the credit organization to the Department of information technology, Department of information technology announced through the network to the receiving unit to report timely updated figures.
2. In the Service, Bureau, Agency inspectors, bank supervision: in 4 working days from the date of expiry of the report specified in point c, d, e, f, g paragraph 2 and article 11 paragraph 3 of this circular, the Service, Bureau, Agency inspectors, bank supervision to check the reasonableness of the aggregate data from the target the electronic reporting form, under the responsibility of tracking, the sum specified in article 16 of this circular; If the detected errors, Service, Bureau, Agency inspectors, monitoring the Bank posted results investigation of information network for the Department of information technology to inform the unit reported to pass the correct data.
3. State Bank branch In the province, City: a) In 3 working days from the date of expiry of the report specified in point c, d, e, g paragraph 2 and article 11 paragraph 3 of this circular, the State Bank branch in the city, check the adequacy, of synthetic data from the target the electronic reporting form, each transaction, branch credit institutions, credit institutions do not have the branch subordinated to; If the detected errors, State Bank branch in the province, the city sent the investigation results via data network for the Department of information technology to inform the unit reported to pass the correct data.
b) In 1 working days since the date of the notice of investigation of the Department of information technology, State Bank branch in the province, the city must pass a full, accurate reports for the Department of information technology to the Service, Bureau, Agency inspectors, overseeing the Bank.
4. In credit institutions: in 3 working days since the date of the notice of investigation of the Department of information technology, headquartered on credit institutions to retransmitted full, accurate reports for the Department of information technology to the units of the State Bank.
Article 13. Investigation process for the written report form 1. At the Service, Bureau, Agency inspectors, Bank monitoring: a) Within 2 working days from the date of expiry provided in the reporting form to report, in writing, the Service, Bureau, Agency inspectors, monitoring the Bank checking the adequacy, of synthetic data from the forms to report in writing; If the unit detects the report or reports errors, Service, Bureau, Agency inspectors, monitoring the Bank notified via phone or fax for reporting units send full or resend the correct figures.
b) In 1 working days since the date of the notice of investigation over the phone or fax of Service, Bureau, Agency inspectors, bank supervision, report unit must submit full or resend the correct metrics for the Service, Bureau, Agency inspectors, overseeing the Bank.
2. In the State Bank branch, City: a) Within 2 working days from the date of expiry provided in the reporting form to report applies to people's credit Funds, State Bank branch in the city, check the adequacy, of synthetic data from the forms to report in writing on their people's Credit Fund geographical areas; If the people's Credit Fund does not send or report data errors, the State Bank branch in the province, the city notified via phone or fax for the people's credit funds to send full or resend the correct figures.
b) immediately after receiving reports of people's credit Funds on the return it to State Bank branch in the province, city, State Bank branch in the province, the city is fully synthetic, accurate data and passed through informatics networks for Department of information technology to the units of the State Bank.
3. In the people's credit funds: in 2 working days from the date of the notice of investigation over the phone or fax the Bank's branch in the province, the city, the people's credit funds must submit full or resend the correct figures for State Bank branch in the city.
Article 14. The target form, the report does not arise with respect to indicators, the report form prescribed in Appendix 1, annex 4a and Appendix 4b does not arise, the report unit follow the instructions of the Department of information technology.
Chapter II LIABILITY of the UNITS BELONGING to STATE BANK and CREDIT INSTITUTIONS in the IMPLEMENTATION of article 15 STATISTICS REPORT. According to function, task, Service, inspection agency, Bureau, responsible for bank supervision are as follows: 1. the construction of the norms, forms of reports related to the performance of functions and duties of the unit.
2. When requesting a modification, addition or issued only aim, form reports related to the performance of functions and duties of the unit, the Service, Bureau, Agency inspectors, the Bank must develop monitoring indicators, reporting forms need modifications, supplements or new enactment consistency with the units of the clue is the Service forecast, monetary statistics and by the monetary statistics, forecasts the State Bank Governor.
2. In collaboration with the Service forecast, monetary statistics held sessions on statistical reports, guides set the norms, forms the report due to its construction unit.
3. In collaboration with the Service forecast, monetary statistics, guidelines and timely reply to the report on the problems relating to its responsibilities in the implementation of this circular. The case was the Governor of the State Bank of delivery instructions or answer for the reporting unit for the problem in the professional range, its management board to submit Service forecasting, monetary statistics, guidance documents or answer of his unit.
4. track, urging implementation of reporting units send full, timely indicators, the reporting form as defined in article 16 of this circular; when detecting erroneous reporting norms, must promptly request the reporting unit to edit and resend the correct data; in collaboration with the information technology Bureau investigation the electronic report of the reporting unit over the network.
5. Within 10 working days from the date of expiry of the report specified in points c, d, e, f, g paragraph 2 and article 11 paragraph 3 of this circular, the Service, Bureau, Agency inspectors, monitoring the Bank handles, censorship criteria, the reporting form by his unit in charge , data transmission has been censored over the network for the Department of information technology to update into the data warehouse of the State Bank.
6. quarterly periodic reviews, reviews the implementation of the statistics report for the report unit targets, forms the report due to his unit in charge and send Service forecasting, monetary statistics, the latest on the last working day of the first month following quarter to General , general notice.
7. Organization and management of statistical reports written by his unit directly from the reporting units according to the current rules on the management of records and documents in the banking industry.
8. Cooperation with the inspection agency, the banking supervision and internal audit Service inspection, testing organizations, units involved in the implementation of this circular.
9. Prepare and submit the report form, targets for the unit receives a report under the provisions of this circular.
Article 16. The responsibilities of the Service, Bureau, Agency inspectors, bank supervision in the construction, monitoring, investigation, and urge the aggregate indicators, reporting forms 1. Service forecasting, monetary statistics; 1a. 1, 1B, 1 d, 1 g, 1, 2A, 2B, 5A, 7 c, 7 d, 7E.
2. monetary policy: 1 c, 3A, 7B.
3. Service credits: 1A, 1A. 3, 1B, 1B, 1E, 7A. 3, 7A. 4, 8E.
4. Foreign Exchange Management: 5A, 5A, 5A, 5A, 5A, 5A, 5B.
5. Service payment: 4A, 4B.
6. The Bureau released and Vault: 4 c.
7. The inspection authority, the banking supervision: 6A, 6B, 6 c, 8A, 8B, 8 c, 8 d, 8 g, 8 h, 81, 8 k, 8 l, 8 m, or decaploid, 8O, 8 p, 8Q, 8R, 8S, 8T.
8. Transaction: 7A. 1, 7A. 2.
9. The Unit received reports are specific regulations on the reporting form in Appendix 4a, Appendix 4b attached to this circular is responsible for monitoring, investigation, and urge the synthesis report forms due to her unit received.
Article 17. The responsibility of the Service forecast, monetary statistics in addition to the liability referred to in article 15 and article 16 of this circular, the predictions, the monetary statistics is responsible for: 1. The clue in the State Bank in receiving petitions in writing about the implementation of this circular, in cooperation with the relevant units to respond to the unit's comments; Track the processing of recommendations of the unit concerned.
2. update and announcement Division statistical clue in the units of the State Bank on the Website of the State Bank to credit organizations to contact, the Exchange when arising problems.
3. Synthesis and advised the Governor of the State Bank for approval and additional rights, mining rights norms change, form the report was censored for units in the State Bank.

4. Coordinate with the related instructions, check the implementation of this circular; Periodically you, General comments, reviews the implementation of the provisions of statistical report of this circular and redundant State Bank Governor command sent the relevant units to know and implement.
5. Coordinated with the related unit periodically establish, preserve, store, deliver and publish aggregate statistical data according to the provisions of the law and the direction of the Governor of the State Bank.
Article 18. The responsibility of the Department of information technology 1. As the focal organization receiving the norms, forms a report as a data file, check the name, file structure, code indicators reported by the unit over the network or send through message bodies. Case report was wrong about the name, the code or the file structure of the target, to request that the reporting unit to edit and resubmit as prescribed; timely feedback on the status of the file data for the reporting unit. The case of the crash line data of the State Bank, must promptly notify the reporting unit and immediately measures to fix the problem.
2. Build and management organization data warehouse reports statistics of State banks; Make sure the exploitation, use statistics for units in the State Bank.
3. Connect and maintain the communication network for the units in the State Bank.
4. Deliver, set up, installation and operating instructions computer program statistical report for the State banking units to transmit, receive, track, aggregate, mining, investigation targets, report form through the computer network and burn, backup, norms form the report was sent.
5. Chaired and coordinated with the forecasting, monetary statistics, research, build the programs applied in the work of the statistical report, the deployment process for transmitting, receiving, inspection and control of electronic reports through the network and guide the implementation of this circular pursuant to the State Bank Governor.
6. Chaired and coordinated with other units of the State Bank, headquartered on credit organizations handle the obstacles in the process of implementing electronic reporting investigation.
7. Guide the allocation, management, key signing program used in the statistics report for the report unit communication network directly with Department of information technology.
8. the Chair, in cooperation with the monetary statistics, forecasts and other related units of building and issued the code of the target statistical reports. Guide to the rules of the name, the data file structure of electronic reports and guide the unit up, sending the target form, the report does not arise to implement this circular.
9. Build and guide the process of sending the electronic reporting file applicable to the units of the State Bank in the case of data transmission system of the State Bank has the problem.
10. in case of the unit reported the announcement was transmitted the report data file but the Unit received reports still have not received the report through the network targets, after receiving the reflection of the unit, the Department of information technology is responsible for checking, verifying the file transfer report data of the reporting units and the announcement of results for the Unit received reports to coordinate timely processing.
11. Updated timely indicators, the reporting form by reporting units have to edit the request investigation of the State Bank.
12. Recording and backup receiver targets, forms the report because the report submitted. Quarterly, the latest on the last day of the first month of the following quarter, sending the log message reception, investigation targets, form reported in the previous quarter for the unit in the Bank through the network to assess, review and announce the implementation of the executive regulations, this circular of the reporting unit.
13. Periodically, the slowest month on September 30 of the next month, General, notified by network processing results, censorship criteria, form reported in the last month of the adjacent Service, Bureau, Agency inspectors, bank supervision and send Service forecasting, monetary statistics to track.
Article 19. The responsibilities of the Agency inspection, External bank supervision responsibility referred to in article 15 and article 16 of this circular, inspection agency, bank supervision is responsible for: 1. The inspection organizations, units and individuals involved in the observance of this circular and handle breach with respect to the violations of the provisions of the law.
2. Base reviews, reviews the implementation of the provisions of periodic quarterly statistical report of State Bank, Agency inspectors, bank supervision is responsible for processing the violation under the provisions of the law for those organizations, units, individual violations of the provisions of this circular.
Article 20. The responsibilities of the internal audit Service internal audit is responsible for checking the observance of this circular of the units belonging to State Bank through the audits.
Article 21. The responsibility of the State Bank of India branch of the province, the city of 1. Urge the people's Credit Fund in full, promptly sending the norms, forms of reporting; check the reasonableness of the report; the aggregate reports and send about the State Bank under the provisions of this circular.
2. The cases in the province, the city has not yet arisen (or none) of the activities related to the content of the target or the reporting forms specified in this circular, the State Bank branch in the province, the city must comply with the provisions of article 14 of this circular.
3. Quarterly, comments, reviews and report the implementation of this circular of the people's credit Funds in the same time, the State Bank report (forecasting, monetary statistics) guideline for the last working day in the first quarter to General, general notice.
4. Prepare and submit the report form, targets for the unit receives a report under the provisions of this circular. Check out, edit, and promptly submit the report right about the Bureau of information technology when it received the request for electronic reporting of the investigation the Department of information technology.
5. Direct contact with units in the State Bank has the responsibility to monitor, General targets, the report form as prescribed in article 16 of this circular or reflect in writing on State Bank (Service forecasting, monetary statistics) when there are obstacles in the implementation process.
6. Perform inspection, checking the observance of the provisions of this circular with regard to organizations, individual units on the management authority of the State Bank branch in the city.
Article 22. The responsibility of credit institutions 1. The correct observance of the rules of statistical report of the Governor of the State Bank of this circular. In the process, if there are obstacles to timely reflect the State Bank to be resolved according to the following rules: a) credit organization headquarters (except the people's credit funds and foreign bank branches are not branches of the same branch of the clue system activity in Vietnam) direct contact with the units of the State Bank responsible for tracking, General targets, the report form as prescribed in article 16 of this circular or reflect in writing on State Bank (Service forecasting, monetary statistics).
b) people's Credit Fund contact directly or reflected in writing on State Bank branch, headquarters city.
2. credit institutions headquarters is the clue report and completely responsible before the law and the Governor of the State Bank of the adequacy, timeliness, the accuracy of the figures sum up the whole system, detailed data of each transaction, the credit organization branch in the system to send to the State Bank as instructed in Appendix 2.
3. When the notice of investigation the electronic report of the Department of information technology or discovered the report sent to the State Bank has errors, the headquarters credit institutions must promptly edited and sent back reports true for State Bank, at the same time explain the flaws for the unit to receive the report.
4. where the credit institution has not arisen (or none) of the activities related to the content of each group reporting criteria or reporting forms specified in this circular, the credit institution must comply with the provisions of article 14 of this circular.
Article 23. Exploit targets, reporting forms 1. The units of the State Bank allowed to exploit the target, due to report form his unit is responsible for building, monitoring, investigation, and urge General as defined in article 16 of this circular.
2. The units of the State Bank in need of extraction target, due to report form other units belonging to State Bank of censorship they must subscribe in writing to Service forecasting, monetary statistics to aggregate, the Governor of the State Bank approval.
3. The unit or individual is allowed to exploit targets, forms the report responsible management, use of information, statistical data for your purposes and in compliance with the provisions of the law on information security.
Chapter III IMPLEMENTATION article 24. Emulation, reward organization, individual unit implementation specified in this circular is one of the conditions to the State Bank review awarded the emulative and rewarded according to the provisions of the current law.
Article 25. Violation processing organizations, units, individuals violating the provisions of this circular, depending on the nature and extent of the violation will be handled in accordance with the current legislation.
Article 26. Effect 1. This circular effect since December 1, 2014.
2. This circular replaces circular No. 21/2009/TT-NHNN on 08/10/2010 statistical reporting regulations apply to the units of the State Bank and credit institutions, foreign bank branch of the State Bank Governor.
3. Office, Director of the forecasting, monetary statistics, the heads of the relevant units in the State Bank, the Chairman of the Board, the Chairman of the Board members and the ceo (Director) credit institutions responsible for the implementation of this circular.