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BOARD DECISION OF CENTRAL BANK OF THE AZERBAIJAN REPUBLIC

of July 30, 2013 No. 16/3

About approval "Instructions about carrying out archival work in bank system of the Azerbaijan Republic"

For the purpose of enhancement of the mechanism of normative regulation of archival work in bank system, the Central Bank of the Azerbaijan Republic, based on article 22.0.17 of the Law of the Azerbaijan Republic "About the Central Bank of the Azerbaijan Republic" and article 39.1 of the Law of the Azerbaijan Republic "About banks", solved:

1. Approve "The instruction about carrying out archival work in bank system of the Azerbaijan Republic" it (is applied);

2. Charge to legal department (R. Melikov) ensuring submission of this instruction to the Ministry of Justice, for the purpose of entering of the instruction into the State Register of Legal Acts of the Azerbaijan Republic within 3 days;

3. Cancel "The instruction about carrying out archival work in bank system of the Azerbaijan Republic", approved (the certificate No. 3442 of 20.04.2009) the decision of the Central Bank of Azerbaijan of 07.04.2009 (the protocol No. 9).

Chairman

Elman Rustamov

 

"Is approved" by Board decision of the Central Bank of the Azerbaijan Republic of July 30, 2013 No. 16/3

The instruction about carrying out archival work in bank system of the Azerbaijan Republic

1. General provisions

1.1. This Instruction was prepared according to the Laws of the Azerbaijan Republic "About the Central Bank of the Azerbaijan Republic", "About banks", "About National Archive Fund", and also according to other regulatory legal acts of the Azerbaijan Republic, and determines rules of carrying out archival work in bank system, including storage durations of documents in archive.

1.2. This Instruction determines (appendix No. 1) the minimum storage durations of the documents resulting from activities of the Central Bank of the Azerbaijan Republic (further - the Central bank), and also the banks operating in the territory of Azerbaijan, non-bank credit institutions and local branches of foreign banks (further - banks). Banks, at own discretion, have the right to store documents during longer terms, considering their scientific and practical value.

1.3. If this instruction does not provide separate circumstances, the bank is meant the word also Central bank. Storage durations of the documents revealed after entry into force of the instruction, or just constituted documents, before modification of the instruction, are determined by bank, considering scientific and practical value of documents.

1.4. Storage of classified documents is regulated by "By rules of carrying out clerical work on classified documents in public authorities, managements, the organizations and organizations", approved by the Presidential decree of the Azerbaijan Republic of January 19, 2005 No. 179.

1.5. This Instruction can be also used in the direction of the effective organization and classification of documents in clerical work, their selection on permanent and temporary storage, forming of cases and creation of the working nomenclature.

2. Requirements for protection of documents

2.1. Protection of the archive documents resulting from activities of banks is performed directly by these banks. Archive documents of banks which controlling stock the state does not own constitute the non-state sector of national archive and are considered as its property.

2.2. Banks have the right to transfer own documents to the possession of the state for their protection in the Public Records Office. These relations are governed by the agreement signed between the Public Records Office of the Azerbaijan Republic (further - the organization of the public archive agency) and bank.

2.3. The bank shall allocate suitable buildings or rooms for storage of archive documents, to provide protection of documents and to appoint persons bearing responsibility for protection of documents.

2.4. The buildings or rooms allocated for archive in banks shall be equipped with the special equipment (cells, regiments, safes, boxes, folders or other the equipment of this kind).

2.5. The buildings or rooms provided for document storage shall be equipped with fire-proof means and the fire alarm. In these rooms it is necessary to use the technical means creating the optimum temperature (humidity) and the sanitary and hygienic mode.

3. Storage of electronic documents

3.1. According to the "Rules of exchange of electronic documents" approved by the resolution of the Cabinet of Ministers of the Azerbaijan Republic of January 28, 2006 No. 27, in case of storage of electronic documents the following conditions shall be provided:

3.1.1. the electronic document shall keep structure of creation, transfer or acceptance;

3.1.2. the electronic document shall create possibility for determination of the sender, the receiver, date of sending and obtaining;

3.1.3. there shall be possibility of use of information which is available in the electronic document for the subsequent reference;

3.1.4. it is necessary to comply with the other conditions established by the legislation and the consent of the parties.

3.2. The storage duration of electronic documents cannot be less storage duration, provided for paper documents. Depending on technical quality of the electronic medium, information which is available on this carrier shall be postponed for the new electronic medium at the scheduled time.

3.3. In case of storage of electronic documents it is necessary to provide storage of the programs providing maintaining the corresponding log books, data of verification of digital signatures (their certificates) and verification of digital signatures.

3.4. For implementation of investigation of conflict situations in case of storage of electronic documents it is necessary to provide communication (synchronism) between electronic documents and data of verification of digital signatures.

3.5. Electronic archives shall be protected from intervention without the permission, accidental destruction or misstatement.

4. Delivery of cases in archive and instructions for use archive

4.1. In archive the performed permanent documents, temporarily stored documents and documents on staff are given. Delivery of these documents is carried out according to the constituted lists.

4.2. Documents, after check of correctness of creation and systematization are numbered as storage unit and join in the list of storage units of permanent and long-term storage. Lists of storage units of permanent and long-term storage are constituted separately.

4.3. The cases consisting from performed long-term (more than 10 years) and constantly stored documents, are given in archives of the Central bank and banks (further - archives of management) after the expiration of biennial storage duration and use in the relevant structural departments.

4.4. Financial records on purchase of goods, work and rendering services in connection with the credits obtained with the state guarantee or projects performed at the expense of other sources are given in archive of management after full completion of the project.

4.5. In the cases which are handed over in archive the storage duration according to this instruction is specified. Except for the cases passing for the next year, all documents of one year are created in folders. Pages of case are numbered from top to down, since the right corner. The number of pages in one folder shall not exceed 250 pages. Documents are taken in in the folder in one copy. On the documents provided for office use and (or) for folders in which they are stored there is record "For Office Use". On the documents displaying personal data and (or) for folders in which they are stored there is record "For office use. Personal data".

4.6. In the folder there shall not be intermediate layers, metal nodes and clips, documents shall be sewn on the sequence.

4.7. The documents which are stored in archives of management can be taken on temporary use only based on the written requirement (appendix No. 6) signed by officials for term, no more than 5 working days. The documents issued based on the written requirement are registered the employee of archive after the receiver is signed in the special register of archive, return of the document is also controlled at the scheduled time.

4.8. The documents issued by archive to law enforcement agencies are drawn up by the protocol of withdrawal according to the Code of penal procedure of the Azerbaijan Republic. Archive documents in connection with production on legal cases are shown in court with the cover letter of bank. Copies of the documents issued to law enforcement agencies and courts are stored in archive of management with the corresponding record on these documents. The documents issued by archive are registered the employee of archive in the special register.

4.9. According to documents of the reorganized banks lists which are given to the legal successor of bank are constituted.

4.10. In case of issue, creation and execution of archival references following is observed:

4.10.1. archival references are issued based on request of the organizations for the questions corresponding to profile of their activities, and to citizens, on the questions connected with providing their rights and legitimate interests - based on their statements;

4.10.2. archival references are constituted based on the documents which are stored in archive of management and relating to the question specified in the statement (the original or the copy certified according to the legislation). Use of verified copies of documents is specified in the text of the reference ("verified copy");

4.10.3. archival references are constituted in the form of bank with indication of the name of the document "Archival Reference" (appendix No. 7). In the reference names of documents, their dates and information which is available in these documents are specified. In this case the chronological sequence of circumstances, but not chronology of the documents displaying circumstances is observed. In the reference it is possible to cite documents, specifying them in quotes. The first time in the text of documents the name of the organizations shall be specified completely, in case of reuse of these names application officially of the accepted abbreviations is allowed. At the end of the reference archival codes of the documents which are the basis for creation of the archival reference (number of funds, working lists and working pages) are specified;

4.10.4. the archival reference is signed by the head of bank or structural department which includes archive of management, and the registrar (person responsible for archive of management). The reference makes sure seal of bank. The copy of the archival reference without seal is stored in case;

4.10.5. copies of the documents approving the data specified in the archival reference according to the appeal of the requesting party or the statement from these documents are attached to the reference;

4.10.6. In case of lack of documents, for approval of required data in archive of management, the letter on the form of bank is constituted. In the answer the absence reason of documents is specified, recommendations relatively the place where it is possible to address in connection with the reference are issued.

5. Organization of examination of cost of documents

5.1. Storage durations of the documents which are not provided by this instruction and the new revealed documents, are determined as a result of examination of their scientific and practical cost.

5.2. Expertize of cost of documents is carried out for the purpose of their Section on terms of their storage for determination of their scientific and practical value.

5.3. Examination of cost of documents is performed directly in clerical work of banks and archives of management.

5.4. For the purpose of implementation of examination of documents, delivery of documents of scientific and practical value in the Public Records Office on permanent storage, selection for destruction of documents, with the expired storage duration, and registrations of these works the Commission of Experts (CE) is created, and in the Central bank and in banks with 5 and more certain sectors (branches, departments) the Central Commission of Experts (CCE) for the purpose of implementation of examination of documents, examination managements in subordinated organizations and rendering methodical assistance is created.

5.5. The head of archive of management, skilled and experienced bank employees, and also the representative (in national banks) the relevant Public Records Office shall be part of TsEK (EK).

5.6. In case of difficulties in connection with conducting examination of documents, with the permission of management of bank the specialists of the public archive agency allowed to work with data carriers based on the legislation can be involved.

5.7. Powers of commission of experts of the abolished banks are performed by liquidation commission or the liquidator.

5.8. TsEK (EK) performs the below-specified powers:

5.8.1. annually checks lists of the cases shown in the Public Records Office and also the cases on personnel which are stored in the Public Records Office (appendix No. 5) and passes the decision relatively to presentation of these lists in the Expert Survey Board (ESB) of the public archive agency. The solution of commission of experts affirms management of bank;

5.8.2. considers acts of destruction of the documents selected for destruction including documents of departments of bank, and passes decisions concerning destruction of documents;

5.8.3. prolongation of the storage duration of various categories of documents established by this instruction, and also, consideration of offers concerning storage duration of the new revealed documents, determination of scientific and practical value of these documents and pronouncement of relevant decisions;

5.8.4. participation in preparation and consideration of internal regulations of bank on archiving and clerical work, and also other methodical means;

5.8.5. ensuring scientific and technical development, creation of lists and delivery in archive of management of documents in the liquidated departments of organizational structure of bank.

6. Delivery of documents in the Public Records Office for permanent storage

6.1. The documents of the Central bank and other national banks intended for permanent storage according to this instruction after temporary storage throughout the term established by the Law the Azerbaijanian of the Republic "About National Archive Fund" are given in the Public Records Office according to the list. The banks which are owners of non-state archival funds can transfer to the Public Records Office the documents intended for permanent storage after examination of cost of these documents based on the contract with the public archive agency.

6.2. In the Public Records Office documents are accepted according to the lists approved by the Expert Survey Board (ESB) of the public archive agency. Documents acceptance in the Public Records Office is drawn up by the delivery and acceptance certificate (appendix No. 3), constituted in duplicate.

6.3. Selection of documents for permanent storage is performed considerations of each page of case. Without having considered the document, selection of documents according to names is not allowed.

6.4. Documents of territorial administrations of the Central bank, branches, departments and representative offices of banks are given in the Public Records Office as a part of archival fund of the Central bank and banks respectively.

6.5. The solution of TsEK (EK) concerning document transfer in the Public Records Office affirms management of bank.

6.6. Archives of management constitute the list of the cases submitted to the Public Records Offices on permanent storage in duplicate (for scientific and technical documents in triplicate), they are discussed at meetings of the Central Commission of experts, signed by members of the commission and go for approval of Expert survey board. After approval, one copy of these lists is stored in the Public Records Office as the control document, the second copy returns to archive of management. Documents acceptance on the state storage is carried out by data by the list. The list of the documents concerning personnel provided for long-term storage will be approved with EPK the public archive agency and affirms the chief of the department.

6.7. Overdue documents of the abolished bank or the documents intended for permanent storage are given in the public archive agency based on "Rules of entering into National Archive Fund, withdrawal or destruction of archives, archival funds and collections of documents", approved by the decision of the Cabinet of Ministers of the Azerbaijan Republic of March 6, 2000 No. 32.

7. Destruction of documents

7.1. Overdue documents are selected for destruction, the relevant statement is drawn up (appendix No. 2), is signed by the chairman and members of TsEK (EK), affirms the head of bank then it is represented in the public archive agency for the purpose of receipt of permission to destructions of documents. Without the permission of the public archive agency documents cannot be destroyed.

7.2. Selection of documents for the purpose of destruction is performed by consideration of each page of case. Without having considered the document, selection of documents according to names is not allowed.

7.3. After approval of the act by the public archive agency, the documents and cases specified in the act are destroyed. Documents are transferred to collection points for waste paper, or destroyed directly by bank. Document transfer in collection points for waste paper is drawn up by the document of acceptance delivery, destruction is drawn up by the act.

7.4. The classified documents and documents which are carriers of bank secrecy shall be destroyed by the method excluding possibility of their recovery (to burn, crush, dissolve in solution, etc.).

7.5. Documents which storage duration did not expire cannot be destroyed.

7.6. Based on this instruction, the documents intended for permanent storage, which however lost scientific and practical value can be destroyed by the solution of TsEK (EK) of bank and with the permission of the public archive agency.

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