INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of September 26, 2024 No. 6863-U

About procedure for carrying out by the operator of the automated information system of insurance of operational audit

This Instruction based on the subitem 9 of Item 7 of article 33.10 of the Law of the Russian Federation of November 27, 1992 No. 4015-I "About the organization of insurance case in the Russian Federation" establishes procedure for carrying out by the operator of the automated information system of insurance of operational audit.

1. The operator of the automated information system of insurance (further - AIS of insurance) according to the subitem 9 of Item 7 of article 33.10 of the Law of the Russian Federation of November 27, 1992 "About the organization of insurance case in the Russian Federation" (further - the Law "About the Organization of Insurance Case in the Russian Federation") shall No. 4015-I at least once in two years book operational audit by means of assessment of conformity to requirements of the Federal Laws, and (or) other regulatory legal acts of the Russian Federation, and (or) the regulations of the Bank of Russia regulating activities of the operator of AIS of insurance, the following systems, procedures and measures:

risk management systems, requirements to which organization are established by the Bank of Russia based on the subitem 8 of Item 7 of article 33.10 of the Law "About the Organization of Insurance Case in the Russian Federation";

the procedures directed to fulfillment of requirements to operational reliability of the operator of AIS of insurance which are established by the Bank of Russia based on the subitem 5 of Item 7 of article 33.10 of the Law "About the Organization of Insurance Case in the Russian Federation";

the procedures aimed at providing with the operator AIS of insurance of uninterruptedness and continuity of functioning of AIS of insurance, including at proper functioning of reserve complexes of software and hardware according to the subitem 4 of Item 7 of article 33.10 of the Law "About the Organization of Insurance Case in the Russian Federation";

the measures directed to implementation by the operator of AIS of defense insurance of information containing in AIS of insurance, requirements to which providing are established by the Bank of Russia based on the subitem 5 of Item 7 of article 33.10 of the Law "About the Organization of Insurance Case in the Russian Federation";

the measures taken for personal data protection in case of their processing according to article 19 of the Federal Law of July 27, 2006 No. 152-FZ "About personal data" (further - the Federal Law "About Personal Data") from safety hazards when processing personal data in AIS of insurance determined by the Bank of Russia based on part 5 of article 19 of the Federal law "About Personal Data" and the subitem 6 of Item 7 of article 33.10 of the Law "About the Organization of Insurance Case in the Russian Federation".

2. Before carrying out operational audit the operator of AIS of insurance develops the plan of carrying out operational audit containing including:

information on the systems, procedures and measures specified in Item of 1 this Instruction concerning which operational audit will be booked;

the list of the Federal Laws, and (or) other regulatory legal acts of the Russian Federation, and (or) the regulations of the Bank of Russia regulating activities of the operator of AIS of insurance, assessment of conformity by which it shall be performed within carrying out operational audit;

term of carrying out operational audit;

approval procedure of the report on carrying out operational audit, and also procedure for the direction by the operator of AIS of insurance of the specified report in the Bank of Russia by means of private office, the reference to which is posted on the official site of the Bank of Russia on the Internet, according to the order of interaction established by the regulation of the Bank of Russia adopted based on Article 9. 2, parts one and fourth Article 73. 1, parts one, third, sixth and eighth Article 76. 9, parts one, third, sixth and eighth article 76.9-11 of the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)", parts 1, 4, the 5 and 7 article 35.1 of the Federal Law of June 27, 2011 No. 161-FZ "About national payment system", within five working days from the date of approval of the report on carrying out operational audit.

3. For carrying out operational audit the operator of AIS of insurance determines the official authorized on carrying out operational audit or structural division of the operator of AIS of insurance (further - the authorized person or division) or involves the legal entity (legal entities) performing (performing) activities for rendering services of audit of the program technical means providing implementation of crucial processes and (or) engineering procedures of the organizations, and (or) the measures performed by the organizations for the purpose of providing continuity of implementation of their crucial processes and (or) engineering procedures (further - the auditor).

4. The operator of AIS of insurance provides to the authorized person or division or the auditor the plan of carrying out operational audit not later than 10 calendar days, except for the non-working holidays recognized by those according to article 112 of the Labor Code of the Russian Federation about day of the beginning of term of carrying out operational audit.

5. By results of carrying out operational audit preparation by the authorized person or division or the auditor of the report on carrying out the operational audit including is performed including:

specifying on the authorized officer or division booking operational audit, or details of the auditor booking operational audit (complete the corporate and reduced corporate (in the presence) names in Russian, identification taxpayer number, the primary state registration number, the address within the location specified in the Unified State Register of Legal Entities);

information on the systems, procedures and measures specified in Item of 1 this Instruction which assessment was carried out within operational audit;

the list of the Federal Laws, and (or) other regulatory legal acts of the Russian Federation, and (or) the regulations of the Bank of Russia regulating activities of the operator of AIS of insurance assessment of conformity by which it was carried out within operational audit;

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