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RESOLUTION OF BOARD OF THE NATIONAL BANK OF UKRAINE

of November 27, 2018 No. 130

About approval of Rules of application of the list of the documents which are formed in activities of the National Bank of Ukraine and banks of Ukraine

(as amended on 29-12-2021)

According to Articles 7, of 15, 56 Laws of Ukraine "About the National Bank of Ukraine", to the Laws of Ukraine "About National Archive Fund and archival organizations", "About system of guaranteeing household deposits", and also for the purpose of systematization and document storage, the Board of the National Bank of Ukraine DECIDES: the organizations of archiving and work with documents in bank system

1. Approve Rules of application of the list of the documents which are formed in activities of the National Bank of Ukraine and banks of Ukraine which are applied.

2. To impose control over the implementation of this resolution on the vice-chairman of the National Bank of Ukraine Borisenko R. N.

3. The resolution becomes effective since January 1, 2019.

Chairman

Ya. V. Smoly

It is approved:

Chairman of the National commission on securities and stock market

 

T. I. Hromayev

Approved by the Resolution of Board of the National Bank of Ukraine of November 27, 2018 No. 130

Rules of application of the list of the documents which are formed in activities of the National Bank of Ukraine and banks of Ukraine

1. These Rules are developed according to the Laws of Ukraine "About the National Bank of Ukraine", "About National Archive Fund and archival organizations", "About system of guaranteeing household deposits", to the Procedure for education and activities of the commissions on the conducting examination of value of documents approved by the resolution of the Cabinet of Ministers of Ukraine of August 8, 2007 No. 1004 (with changes), to the List of the standard documents created during activities of state bodies and local government bodies, other organizations, companies and organizations, with indication of storage durations of documents, to No. 578/5, approved by the order of the Ministry of Justice of Ukraine of April 12, 2012 registered in the Ministry of Justice of Ukraine on April 17, 2012 for No. 571/20884 (with changes) (further - the List of standard documents), and to Rules of the organization of clerical work and archival document storage in state bodies, local government bodies, at the companies, in organizations and the organizations, the approved order of the Ministry of Justice of Ukraine of June 18, 2015 No. 1000/5, registered in the Ministry of Justice of Ukraine on June 22, 2015 for No. 736/27181.

2. These Rules determine:

1) the organization of high-quality replenishment of National Archive Fund (further - NAF) are also used during forming of cases, preparation of the nomenclature of cases, development of schemes of systematization of documents, and also work of the commissions of the National Bank of Ukraine and banks of Ukraine on conducting examination of value of documents (further - commissions of experts);

2) document types, created during activities of the National Bank of Ukraine (further - National Bank) and banks (further - banks);

3) storage durations of documents, irrespective of type of the carrier on which they are constituted (paper, electronic).

3. Document types, sequence number of line, sequence number of Article, terms of archival document storage, explanation by storage durations of documents are specified in the List of the documents which are formed in activities of National Bank and banks with indication of storage durations (further - the List), being appendix to these rules.

The list does not contain specific headings of documents, and only determines their types. The list is used by National Bank and banks in case of determination of storage durations of documents, their selection on temporary (up to 10 years inclusive), long (more than 10 years) and permanent storage or for destruction.

Also separate types of standard documents determined by the List of standard documents are included in the List.

In the List of line have end-to-end serial numbering (the column 1), is appropriated to Articles single end-to-end numbering (column 2) and the generalized names of document types (column 3) are provided. In case of consolidation in one Article of the different documents on one question having identical storage duration the term "documents" is used, and in brackets names of the main documents included in Article reveal.

4. The list is constructed on functional industry sign taking into account the process approach, it includes 50 Chapters and the XIII Sections.

5. Storage durations of documents in the List are differentiated on three groups:

1) in National Bank (column 4);

2) in banks in which activities documents NAF (column 5) are created;

3) in banks and their separate divisions (branches, departments, representations) in which activities documents NAF (column 6) are not created.

The National Bank and banks in case of determination of storage durations of documents shall consider all explanations to Articles of the List (column 7).

6. The storage durations of documents determined in the List are minimum and are not subject to reducing. Terms of temporary storage of separate document types can be in case of need prolonged according to the solution of commissions of experts or expert survey boards of archival organizations (further - EPK).

The mark "EPK" near storage duration of documents which is established in the List for some document types means that the solution on entering into NAF or destructions of these documents accept EPK.

Storage durations of documents in branches, representations and departments of banks are applied same, as in banks.

The storage duration "Will not pass requirement yet" means that documents have only long practical value. The term of their storage is determined by National Bank or banks, but there cannot be less than one year.

The storage duration "Constantly" means that such documents belong to NAF and are subject to eternal storage.

The storage duration "Before liquidation of bank" means that documents it is termless are stored in bank, and in case of its liquidation these documents are subject to repeated examination of value and depending on its results, those from them which affect the rights of citizens, are given to archival storage according to the legislation of Ukraine and regulatory legal acts of National Bank.

In case of determination of storage durations of cases in the nomenclature of cases in each Article reference to the corresponding list is made, for example:

Constantly, the Art. of 37-of TP (the mark "TP" means that storage durations are determined based on the List of standard documents);

3 l., Art. 203 P (the mark "P" means that storage durations are determined based on the List).

7. Determination by National Bank and banks of storage durations of documents which are not specified in the List is performed according to the List of standard documents.

8. Documents should be selected on archival storage in the form of originals. If there are no originals, then the copies of the relevant documents certified in accordance with the established procedure are accepted.

9. Examination of value of documents in National Bank and banks is performed according to the legislation of Ukraine.

It is forbidden to perform destruction of documents without preliminary conducting examination of their value.

10. Documents of bank are subject to repeated examination of value in case of liquidation of bank and depending on its results, those from them which concern the rights of citizens, are given to archival storage according to the legislation of Ukraine and regulatory legal acts of National Bank.

11. In case of determination of storage durations of documents it is necessary to find the relevant article of the List or the List of standard documents and to carry out sheet viewing of cases. Selection put on archival storage or destruction only on headings in the nomenclature of cases, in inventories or on covers of cases it is not allowed.

12. Calculation of storage durations of documents is made since January 1 the year following after year of completion by their clerical work (for example, calculation of storage duration of the cases finished by clerical work in 2016 begins since January 01, 2017).

13. Banks in which activities documents NAF are formed, transfer documents NAF for permanent storage in the Public Records Offices according to the legislation of Ukraine.

14. Reference of banks to sources of forming of NAF is performed by the Public Records Offices based on examination of value of their documents.

15. Control of correctness of application of the List is exercised by National Bank, the Public archive agency of Ukraine and the public archival institutions authorized by it.

Director of the department of ensuring activities of the National Bank of Ukraine

Ya. V. Ilnitsky

It is approved:

Vice-chairman of the National Bank of Ukraine

 

R.N.Borisenko

Appendix

to Rules of application of the list of the documents which are formed in activities of the National Bank of Ukraine and banks of Ukraine (Item 3)

The list of the documents which are formed in activities of national bank of Ukraine and banks of Ukraine with indication of storage durations

Content


line

Section I. Organization of management system


1.

Administrative activities


2.

Organizational bases of management


3.

Control of activities


4.

Ensuring protection of the state secret


Section II. Economic forecasting, planning and budgeting


5.

Monetary policy and economic forecasting


6.

Financial activities, planning and budgeting


Section III. Cash money turnover


7.

Regulation of cash currency circulation, issued and cash servicing and transportation of values


8.

The organization of production of commemorative, investment coins, the souvenir and accompanying products


Section IV. Operating activiies


9.

Legal cases of partners (clients/partners/agents / financial institutions)


10.

Accounting/registration of banking activities


11.

Transactions with securities and debt obligations


12.

Depository activity


13.

Cash transactions


14.

Electronic means of payment


15.

Transactions with precious metals and stones


16.

Collection and transportation of values


Section V. External economic relations, international currency control


17.

International bank backgrounds


18.

International settlements, correspondence relations


Section VI. Banking supervision


19.

Regulation of activities of banks


20.

Registration, reorganization and licensing of activities of banks of Ukraine


21.

Currency control


22.

Inspection of banks, exit checks


Section VII. Financial accounting, reporting and taxation


23.

Financial reporting


24.

Financial accounting and account management


25.

Settlings with personnel


26.

Statistical reporting and managerial accounting


Section VIII. Information technologies


27.

Program and technical supply


28.

Communication networks and telephony


Section IX. Payment systems and translations


Section X. Safety


Section XI. Economic activity


Table

№ 
payment order

№ 
Articles

Document types

Storage durations of documents

Explanation

in National Bank

in banks

in which activities documents NAF are created

in which activities documents NAF are not created

1

2

3

4

5

6

7

1

I. Organization of management system

2

1. Administrative activities

3

1

Resolutions and board decisions of National Bank

Constantly

-

-


4

2

Protocols of board meetings of National Bank and documents (presentation materials, reports) to them

Constantly

-

-


5

3

Resolutions, decisions, recommendations, protocols of meetings of Council of National Bank

Constantly

-

-


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