Thông tư 06/2011/TT-NHNN về điều tra thống kê tiền tệ, hoạt động ngân hàng

CIRCULAR

STIPULATION OF STATISTICAL SURVEY IN MONETARY, BANKING ACTIVITIES AND FOREIGN EXCHANGE TRANSACTIONS

THE STATE BANK OF VIETNAM

Pursuant to the Law on the State Bank of Vietnam No. 46/2010/QH12 of June 16, 2010;
Pursuant to the Law on Credit Institutions No.47/2010/QH12 of June 16, 2010;
Pursuant to the Statistics Law No. 04/2003/QH11 of June, 17, 2003;
Pursuant to the Government’s Decree No. 40/2004/ND-CP, of February 13, 2004, providing in detail and guiding for execution a number of Articles of the Statistics Law;
Pursuant to the Government’s Decree No.03/2010/ND-CP of January 13, 2010, providing for position, functions, duties, authorities and statistical organizations of ministr, Ministerial-level agencies, the agencies attached to the Government;
Pursuant to the Government’s Decree No.96/2008/ND-CP of August 26, 2008, providing for functions, duties, authorities and organizational structure of the Vietnam State Bank,
The Vietnam State Bank (hereinafter called as the State Bank) issues Circular providing for monetary statistical survey, banking activities and foreign exchange transactions as follows:

Chapter I

GENNERAL PROVISIONS

Article 1. Scope of regulation

This Circular stipulates on statistical survey in monetary field, banking activities and foreign exchange transactions (hereinafter called as monetary and banking); statistical survey in monetary and banking activities of organizations and individuals outside the system of State statistical organizations.

Article 2. Subjects of application

1. The units of the State Bank.

2. Credit Institutions.

3. The branches of the foreign banks.

4. The representative offices of the foreign credit institutions.

5. The organizations not belong to the subjects provided from clause 1 to clause 4 of this Article and individuals, households in related to the monetary and banking statistical survey.

Article 3. The purpose of the State Bank’s statistical survey

The State Bank conducts statistical surveys in order to collect statistical informations of monetary, bank and the other concerned statistical informations to execute the state management function and the central bank function under laws.

Article 4. Interpretation of terms

1. Statistical survey is the form of collection of statistical information according to a survey plan.

2. Statistical survey of monetary and banking field is the statistical survey conducted by the State Bank as the main responsible person under laws of statistic.

3. Statistical survey of monetary and banking of the organizes, individuals outside the system of State statistical organizations is the statistical survey implemented by the organizes, individuals outside the system of State statistical organizations in order to collect statistical information of monetary and banking. Statistical survey of monetary and banking is provided in Item 2, Chapter II of this Circular.

4. Objects of statistical survey are the organizes (including of the foreign credit institutions, branches of foreign banks), individuals, households statistical surveyed.

Article 5. Principles of implementing the statistical survey in monetary and banking field

1. Assuring the faith, objectivity, accuracy, completeness, timeliness and science in statistical survey.

2. Assuring professional independence in statistical acts.

3. Not to carry out statistical surveys repeated, overlapped the contents of the other statistical surveys. Not to implement statistical surveys of the information, datas collected and synthesized under laws on statistical report.

4. Publicity of statistical survey method and publicization of statistical survey information under laws.

5. Ensuring the equal rights in the access to and use of the statistical survey information publicized.

6. The statistical survey information of each organization, individual must be used for right purpose and kept in confidentiality under laws.

Article 6. The cases of statistical survey conducting in monetary and banking field

1. Collecting statistical information from the organizes do not apply the statistical reporting regimes in banking field or the organizes not responsible for reporting, providing information to the State Bank under laws.

2. Supplementing information from the organizes are responsible for statistical reporting regimes in banking field and the oraganizes are responsible for reports, providing information to the State Bank under laws.

3. Collecting information from households or individuals businesses, households and individuals.

4. Collecting statistical information when there are unexpected demands.

Article 7. Statistical survey program in monetary and banking field

1. Statistical survey program in monetary and banking field includes the item list of statistical surveys implemented by the State Bank as the main responsible unit, duration and time of the survey, main responsible unit, coordinating unit to survey, fund estimates and fund sources for surveying.

2. The statistical surveys which are belonging to the statistical survey program in monetary and banking field include:

a) The statistical surveys in monetary and banking field which are belong to the national statistical survey program decided by Prime Minister and assigning the State Bank to implement;

b) The statistical surveys in monetary and banking field implemented by the State Bank as the main responsible agency without the national statistical survey program.

3. The State Bank Governor (hereinafter called as the Governor) approves, amends, supplements, cancels the national statistical survey program in monetary and banking field, except for the statistical surveys belong to the national statistical survey program.

4. The Governor proposes the General Department of Statistic for submitting to the Prime Minister for decision, supplementation, cancellation the prolong and annual national monetary and banking statistical survey under statistics laws.

5. Based on its functions, duties, the entities under the State Bank’s management propose the next year statistical surveys to send to the Monetary Statistics and Forecast Department (before the first of May every year for the statistical survey belong to the national statistical survey program and before the first of October every year for the statistical survey outside the national statistical survey program).

Article 8. Unexpected statistical survey in monetary and banking field

1. Unexpected statistical survey in monetary and banking field is the statistical survey implemented by the State Bank and not belongs to the monetary and banking statistical survey program.

2. The Governor decides the unexpected statistical surveys in monetary and banking field.

3. The unexpected statistical surveys in monetary and banking field implemented according to provisions in Item 1, Chapter II of this Circular and the related other laws.

Chapter II

SPECIFIC PROVISIONS

ITEM 1. STATISTICAL SURVEY IN MONETARY AND BANKING FIELD

Article 9. Preparation for statistical survey

1. Decision of statistical survey

Every statistical survey that the State Bank is the main responsible person to implement must be decided by the Governor.

2. Establishment of a steering committee of the statistical survey.

a) Depending on the nature and scale of the statistical survey, the Governor decides to establish or not a steering committee of the statistical survey;

b) The members of the steering committee of the statistical survey include: the Governor or deputy Governor as the chief of committee; 01 leader officer of the unit assuming the prime responsibility to implement the survey as deputy chief of committee and remain members decided by the Governor;

c) The Organization and Personnel Department is the wholecontact to coordinate with the Monetary Statistics and Forecast Department and the related units to compile and submit to the Governor for issuing the Decision on establishment of the steering committee of the statistical survey;

d) The steering committee of the statistical survey has rights and duties upon the provisions in Article 14 of this Circular.

3. Statistical survey plan

a) Statistical survey must have its plan;

b) The statistical survey plan includes the provisions and guides on: Purpose, requirement, scope, object, unit, content, surveying method, surveying information handling and synthesizing method, time of survey, duration of survey, the main responsible unit, coordinating unit to survey, surveying forces, synthesizing, analyzing, publicization the surveying result, fund and other material conditions to assure for implementation, responsibilities of the related organizations, units, individuals;

c) The statistical survey plan enclosed with the statistical survey questionnaire form must be professionally evaluated by the General deparetment of Statistic before being submitted to the Governor for approval.

4. The statistical survey questionnaire form

a) The statistical survey questionnaire form enclosed with the instructions of asking, answering survey questions issued together with the statistical survey plan;

b) Only the information written, reflected or collected form valid statistical survey questionnaire form shall be used to synthesize in the statistical survey result.

5. The valid statistical survey questionnaire form must meet the following conditions:

a) Having fully contents and forms as specified in the statistic survey questionnaire approved together with the statistical survey plan;

b) The contents of information on the statistical survey questionnaire form must be written, reflected of information, ideas, opinions of the statistical survey objects faithfully, fully, objectively, exactly;

c) The statistical survey questionnaire form must be delivered by the steering committee of the statistical survey or the main responsible unit to implement statistical survey;

d) In case of statistical survey implemented via direct method, the statistic survey questionnaire form completed writing information collected from the statistic survey objects must be signed and clear write full named of statistical survey executing person.

6. Statistical plan evaluated documents sending to the General department of Statistic include the proposing correspondence of evaluating and the draft of statistical survey plan enclosed with the statistical survey questionnaire form.

7. The Governor approves the statistical survey plan and the statistical survey questionnaire form after it is evaluated by the General department of Statistic.

Article 10. Execution of statistical survey

1. Organize to send the statistical survey questionnaire form or appoint statistical survey executing person contact directly to the statistical survey objects to collect statistical information.

2. Synthesize and settling statistical information collected.

3. Compile and submitt to the Governor for approval the report of statistical survey result.

4. Send the statistical survey result to the General deparment of Statistic.

5. In neccessary, the Governor decides to rent the organize outside the State Bank to implement one or several statistical survey works.

Article 11. Publishing the statistical survey result

1. The Governor publishes the statistical survey result under the regulations of statistics law.

2. The statistical survey result is published timely stipulated in the statistical survey plan approved and not later 45 working days since the Governor have approvaled the statistical survey result.

3. The statistical survey result is published via one of or some of forms and means as follows:

a) The statistic yearbook;

b) The statistic products in writing, electricity on the internet;

c) The Press meetings;

d) Means of media.

Article 12. Confidentiality and using of statistical survey information, results

1. Statistical survey information, results must be kept in confidentiality including:

a) The information, data to beralated to particular name, address of each organize, individual except of case that organize, individual agree to publish;

b) The information belongs to the state confidential list.

2. Statistical survey information, results used precisely with its purpose stipulated in the statistical survey plan approved according to the regulations of statistics laws.

3. Quoting, using statistical survey information, results published by the Governor must be faithful and notes clearly of information source.

4. Strictly forbid using statistical survey information, results to cause bad effect to the stability of monetary and banking operation safety, harm to national benefits and benefit of the organizes, individuals provided survey information.

Article 13. Statistical survey fund

1. Fund for implementing statistical surveys is synthetized in budget estimate of State bank according to provisions of State Budget Law and Statistics Law depending on the scale and nature of each statistical survey.

2. The estimation, using and handling of the statistical surveys’ funding implemented under the laws.

3. Annually, the Finance-Accounting Department is the wholecontact to coordinate with the Monetary Statistics and Forecast Department and the related units to plan and submit to the Governor the fund estimation in advance to assure for implementing the statistical survey programs, the statistical surveys in monetary and banking field.

Article 14. Rights and duties of the statistical survey Steering Committee

1. The Steering committee of statistical survey instructs the statistical surveys implementing main responsible and related units to execute:

a) Compiling and submitting to the Governor for approving the statistical survey plan, the statistical survey questionnaire form enclosed with the instructions of asking and answering survey questions;

b) Organizing to implement the statistical survey upon the statistical survey plan approved;

c) Collecting, synthetizing, handling, analyzing the statistical survey information and making the report of statistical survey result.

2. Submitting to the Governor for approving the statistical survey result and publishing statistical survey result under the regulations of the statistics Law.

3. Implementing the other statistical survey duties appointed by the Governor and provided by related regulations of statistics laws.

Article 15. Rights and Duties of the statistical survey implementing main responsible Units

1. Sponsoring, coordinating with the Monetary Statistics and Forecast Department to compile and submit to the Governor for issuing the statistical survey Decision.

2. Consulting, helping the Steering Committee of statistical survey (if have) to execute its rights and duties as stipulated in Article 14 of this Circular.

3. Implementing the rights and duties of the Steering Committee of statistical survey as stipulated in Article 14 of this Circular in case the Governor does not establish the statistical survey Steering Committee.

4. Sponsoring, coordinating with the Monetary Statistics and Forecast Department and the related organizations, units to make the statistical survey plan, statistical survey questionnaires form enclosed with the instructions of asking and answering survey questions.

5. Implementing the procedures of suggesting to be approved by the related state management organizations toward the statistical surveys under its scope of management functions under the regulations of statistics laws.

6. Sponsoring, coordinating with the Monetary Statistics and Forecast Department to make documents to suggest the General department of Statistics evaluate the statistical survey plan, statistical survey questionnaire form.

7. Sponsoring, coordinating with the related organizations, units to cary out of implementing of the statistical survey upon the statistical survey plan approved.

8. Collecting, synthetizing, handling, analyzing the statistical survey information and making the report of statistical survey result to submit the Governor for approving (in case of no establishing the statistical survey Steering Committee) or submit the statistical survey Steering Committee for agreement, submit the Governor for approving (in case of establishing the statistical survey Steering Committee).

9. Sending statistical survey decision, statistical survey plan, enclosed with the form of statistical survey questionnaire, report of the statistical survey result to the General department of Statistics and the Monetary Statistics and Forecast Department right after documents being approved or issued by the Governor.

10. Saving, managing the statistical survey’s documents, datas.

11. Implementing the other statistical survey duties assigned by the Governor and under the related regulations of statistics laws.

Article 16. Rights and Duties of Monetary Statistics and Forecast Department

1. Sponsoring, coordinating with the related units to make the item list of statistical surveys in monetary and banking field is subject to the program of national statistical survey to submit to the Governor for approving, sending to the General department of Statistics.

2. Sponsoring, coordinating with the related units to make, submit to the Governor for issuing, amending, supplementing the program of statistical survey in monetary and banking field.

3. Sponsoring, coordinating with the related units to implement the program of statistical survey in monetary and banking field.

4. Instructing, monitoring, checking the related units in implementing the program of statistical survey in the monetary and banking field approved.

5. Coordinating with the statistical survey main responsible unit to compile, submit to the Governor for issuing the decision of statistical survey and approving the plan of statistical survey, the statistical survey questionnaire form.

6. Sponsoring to implement the statistical surveys are subject to the program of statistical survey in the monetary and banking field, except for the statistical survey the Governor assigned to the other units in sponsoring.

7. Instructing, spreading of the profesional skill and knowledge of statistical survey to the banking organizes, units.

8. Receiving, investigating documents of monetary and banking statistical survey of the organizes, individuals not belong to the state statistical organizational system and not have the function of banking activities to submit to the Governor for considering and approving.

9. Implementing the other statistical survey duties assigned by the Governor and the related regulations of statistics laws.

Article 17. Rights and duties of statistical survey implementing personnel

1. Being trained, guided on the statistical survey professional skills and knowledge.

2. Implementing survey exactly upon the plan of statistical survey approved.

3. Providing information, explaining, instructing for the statistical survey objects of the survey and the statistical survey questionnaire form.

4. Collecting, taking note, synthesizing the information, datas of statistical survey faithfully, fully upon the statistical survey questionnaire form.

5. Keeping the information, data of statistical survey in confidentiality under laws of statistics and state secret protection.

6. Reporting timely to the Steering committee of statistical survey or the header of the statistical survey implementing main responsible unit about difficulties, problems and law violations in the process of statistical survey.

7. Implementing the other rights and duties under laws.

Article 18. Rights and duties of statistical survey objects

1. Being informed of the statistical survey decision.

2. Not to refuse or obstruct the statistical survey implementation of the State Bank. In case statistical survey implemented with indirect method, the statistical survey objects must fill in faithfully, fully the statistical survey questionnaires form and send timely to the State Bank (the statistical survey implement main responsible unit).

3. Providing truth, fully and timely reliable information at the request of statistical survey person.

4. Information secrets, statistical survey datas supplied shall be kept in safe under laws.

5. Claiming, accusing of law violations on statistical survey.

6. Implementing the other rights and duties under regulations of law.

ITEM 2. STATISTICAL SURVEY ON MONETARY AND BANKING OF THE ORGANIZES, INDIVIDUALS OUTSIDE THE STATE STATISTIC ORGANIZATIONAL SYSTEM

Article 19. Purposes, principles of statistical survey on monetary and banking of the organizes, individuals outside the state statistic organizational system.

1. The organizes, individuals outside the state statistic organizational system have the function of banking operation are permitted to implement statistical survey on monetary and banking in order to service for scientific research and business product under laws.

2. The organizes, individuals outside the state statistic organizational system have no the function of banking operation just implement statistical survey on monetary and banking if the State Bank approved before statistical survey implement.

3. The results of statistical surveys stipulated in clause 1, clause 2 of this Article are not valid to replace statistical survey information published by the State Bank.

4. The statistical surveys stipulated in clause 1, clause 2 of this Article are implemented upon the principle of survey contents and time spontaneous of organizes, individuals.

5. Forbidding organizes, individuals implementing statistical surveys harming to the national benefits, monetary stability, safety of banking operation and national monetary policy.

Article 20. The Procedures for the State Bank’s approving of statistical surveys on monetary and banking of the organizes, individuals outside the state statistic organizational system and without function of banking operation

1. The organizes, individuals outside the state statistic organizational system and without function of banking operation who have demands for statistical surveys on monetary and banking must apply documents of statistical survey to the State Bank for considering, approving.

2. Documents of statistical survey can sent 01 dossier via mail to the State Bank (the Monetary Statistics and Forecast Department) or hand in directly at the State bank (the Monetary Statistics and Forecast Department) include:

a) An application suggest the State Bank to approve for statistical surveys implementing on monetary and banking;

b) Drafting of the statistical survey plan with the following contents: Purpose, requirement, scope, object, unit, content, method of survey, method of survey information synthesize and handling, time and duration of the survey, the surveying units and the forces for survey implementing, synthesizing, analyzing, publishing the survey result, funding and the other material conditions to assure for executing, responsibilities of the related organizes, individuals;

c) Statistical survey questionnaire form enclosed with the instructions of asking and answering survey questions.

3. Within 15 working days since the date of receiving complete and regular statistical survey documents, the State Bank shall reply that they approve or not of the statistical survey.

Article 21. Rights and duties of the organizes, individuals outside the state statistic organizational system and without function of banking operation when implement statistical surveys on monetary and banking.

1. Implementing as provided in clause 1, clause 2 of Article 20 of this Circular.

2. Amending the content of survey plan, forms of statistical survey questionnaire, instructions for asking and answering survey questions upon the State Bank’s opinion and send back to the State Bank (the Monetary Statistics and Forecast Department) for considering and approving.

3. Implementing statistical survey with the statistical survey plan approved by the State Bank and under regulations of laws.

4. Sending the statistical survey result to the State Bank (the Monetary Statistics and Forecast Department) within 30 working days since the date of ending the statistical survey and at least 10 working days prior to the publishing of the survey result.

5. Using the statistical survey result in accordance with the purpose stipulated at the statistical survey plan approved by the State Bank and under the regulations of laws.

6. Implementing the other rights and duties under the regulations of laws.

Chapter III

IMPLEMENTATION ORGANIZATION

Article 22. Implementation effect

This Circular takes effect as from the first of June, 2011.

Article 23. Implementation organization

Chief Office, Head of the Monetary Statistic and forecast Department, Heads of related units of the State Bank, Directors of State Bank s branches in centrally-affiliated cities and provinces, Chairman of the Board of Directors, General Directors (Directors) of the credit institutions, related organizations and individuals shall be responsible for the implementation of this Circular./.