Guidelines on Applying the List of Retention Periods for Documents Generated in Commercial Bank Activities

Joint Directive of the Board of the Central Bank of the Republic of Uzbekistan and the Head of the State Archives Administration under the Cabinet of Ministers, registered on 26.07.2000, Registration No. 951

Effective Date:
05.08.2000

Dates of Validity/Amendments:
10.08.2021
02.11.2017
10.08.2015
07.05.2011
18.09.2010
13.11.2009
18.05.2007
05.08.2000

Language:
Russian
Uzbek
O’zb
Uzbek|Russian

Status:
Document lost force 10.08.2021

[OKOZ:
1.
07.00.00.00 Legislation on Finance and Credit. Bank Activity / 07.19.00.00 Banking System / 07.19.02.00 Commercial Banks. Private Banks. Foreign Banks]
[TSZ:
1.
Finance / Banks and other credit institutions. Credits]

Republic of Uzbekistan

Approved by the Board of the Central Bank of the Republic of Uzbekistan on June 3, 2000 (Protocol No. 10)

Approved by the Main Archives Administration under the Cabinet of Ministers of the Republic of Uzbekistan on June 3, 2000

GUIDELINES
on Applying the List of Retention Periods for Documents Generated in Commercial Bank Activities

[Registered by the Ministry of Justice of the Republic of Uzbekistan on June 26, 2000, Registration No. 951]

This guideline is removed from the State Register of Departmental Normative Legal Acts effective August 10, 2021, based on Order No. 11-mh dated May 6, 2021, of the Minister of Justice of the Republic of Uzbekistan "On Removing Certain Departmental Normative Legal Acts from the State Register of Departmental Normative Legal Acts" (Registration No. 3298, 06.05.2021).

1. General Provisions

1.1. The Guidelines on Applying the List of Retention Periods for Documents Generated in Commercial Bank Activities (hereinafter referred to as the "Guidelines") are developed in accordance with the Laws of the Republic of Uzbekistan "On Archival Affairs," "On the Central Bank of the Republic of Uzbekistan," "On Banks and Banking Activity," and Resolution No. 482 of the Cabinet of Ministers of the Republic of Uzbekistan dated October 30, 1999 "On Approving Normative Documents on Archival Affairs."

1.2. The Guidelines serve as the main normative document for the retention periods of documents generated during banking operations in commercial banks of the Republic of Uzbekistan. Retention periods for other documents submitted to archives are determined at the discretion of the head offices of commercial banks.

The document retention periods specified in these Guidelines are mandatory for all commercial banks of the Republic of Uzbekistan.

1.3. The Guidelines list categories and types of documents rather than providing exact titles for file folders. To create file folder titles, the relevant name of the document and the precise expression of the issue are taken from the Guidelines and supplemented with other necessary elements, namely the author, correspondent, and date. Retention periods are indicated in the nomenclature of file folders and title sheets according to the Guidelines. When forming file folders, it is necessary to separate permanently and temporarily stored documents into separate groups.

1.4. Documents designated as "permanent" in the Guidelines are organized and processed, and along with the relevant scientific-reference apparatus, are submitted to the relevant state archives for permanent storage according to the document list.

1.5. Temporarily stored documents cannot be destroyed before the established retention period expires. In necessary cases, the retention periods of individual file folders may be extended by decision of expert commissions.

1.6. Changing the retention periods for all categories of documents identified or arising after the publication of these Guidelines, as well as establishing retention periods by document type, is implemented in accordance with the decision of the Central Expert Commission of the commercial bank's head office, coordinated with the Central Expert-Inspection Commission of the "Uzarxive" Agency under the Cabinet of Ministers of the Republic of Uzbekistan.

2. Structure of the Guidelines and Procedure for Their Application

2.1. The list is structured according to the subject-matter principle and consists of sections relevant to the main issues of commercial bank activities.

2.2. In these Guidelines, document retention periods are stratified into two structural parts (columns 3 and 4) depending on the management level in the system of commercial banks of the Republic of Uzbekistan. Column 3 shows retention periods for documents in main commercial banks, column 4 shows retention periods in regional directorates, and column 5 shows retention periods in branches of commercial banks.

2.3. The calculation of document retention periods begins on January 1 of the year following the year in which their file processing was completed.

2.4. The "EKC" (Expert-Inspection Commission) mark in the Guidelines indicates that some part of documents of this type may have scientific-historical and practical significance, and these materials must be reviewed by the relevant commission after the expiration of the retention period.

Documents marked "Until no longer necessary" indicate that they have only limited practical significance, and their retention periods are determined by the commercial banks themselves.

2.5. Sorting of archival documents for storage and destruction must be done page-by-page in file folders. It is not permitted to conduct an expertise on the value of documents based solely on their titles without viewing the documents themselves.

2.6. An act must be formalized for documents designated for destruction. The act must be signed by members of the expert commission and approved by the bank director. If the list of permanently stored documents has not been approved by the relevant archival authority or institution for the corresponding period, and the list of documents for personal staff has not been coordinated, documents included in the act for destruction designated for destruction shall not be destroyed.

Acts for documents and file folders designated for destruction by branches of commercial banks are coordinated with the central expert commission of the head bank.

2.7. Certain categories of documents approved for destruction may be physically shredded by decision of the expert commission of the head bank, while other documents are handed over to organizations producing secondary raw materials. The handover of documents is formalized by a waybill indicating the quantity of file folders and the weight of the set of accepted documents.

2.8. It is prohibited to destroy documents that have not been formalized and coordinated at the required level, as well as to violate the document retention periods established in these Guidelines.

2.9. Guidance and control over the correct application of the requirements of these Guidelines are carried out by the responsible structural unit of the Central Bank established by the management.

2.10. With the publication of these Guidelines, the "List of Retention Periods for Documents of Institutions and Organizations of the Banking System of the Republic of Uzbekistan" dated March 2, 1994, No. 68, loses its force.

LIST
of Retention Periods for Documents Generated in Commercial Bank Activities of the Republic of Uzbekistan

Seq. No.	Document Title	Retention Period	Notes
		Head Office	Regional Directorates	Bank Branches
1	2	3	4	5	6

1. File Processing and Archival Affairs

Nomenclature of the Bank's File Folders:
a) Coordinated: Permanent | Permanent | Permanent b) Uncoordinated: Until no longer necessary | Until no longer necessary | Until no longer necessary
Nomenclature of File Folders of Structural Units: 5 years | 5 years | 5 years
Correspondence on Improving File Processing: 3 years | 3 years | 3 years
Documents of Fund File Folders (historical reference, archive passport, acts of checking the existence and condition of file folders, acts of handing over and accepting documents for state storage, acts of designating documents for destruction, acts of lack of documents and irreparable damage): Permanent * | Permanent * | Until no longer necessary
Submitted after completion of state storage
Documents on Checking the Status of File Processing and Archival Affairs: 3 years | 3 years | 3 years
Registers of Receipt of Citizens' Suggestions, Applications, and Complaints: 5 years | 5 years | 5 years
Registers of Receipt of Orders and Normative Documents of the Central Bank of the Republic of Uzbekistan: Permanent | Permanent | Permanent
Registers of Receipt and Dispatch of Documents: 3 years | 3 years | 3 years
Registers of Dispatched Documents: 1 year | 1 year | 1 year
Copies of Telegrams in Subscriber Telegraphs: 6 months | 6 months | 6 months
Registers and Records of Blank Forms: 3 years | 3 years | 3 years
Orders-Blanks for Typing and Copying Work: 1 year | 1 year | 1 year
Correspondence on Archival Affairs Issues: 3 years | 3 years | 3 years
List of Retention Periods for Documents of Commercial Banks of the Republic of Uzbekistan, Amendments and Additions thereto: Permanent | Until updated | Until updated
Correspondence and Conclusions on Amendments and Additions to the List of Retention Periods: 3 years | 3 years | 3 years
Information on the Content and Composition of Documents, Subject Comments: Permanent | Permanent | Permanent
Registers of Accounting for Receipt and Departure of Documents to the Archive: Permanent * | Permanent * | Permanent *
Not submitted to state storage
List of Documents:
a) Permanently stored: Permanent | Permanent b) Temporarily stored: 3 years* | 3 years* | 3 years* After file folders are destroyed
Registers and Books of Accounting for Issuance of Documents from the Archive: 3 years* | 3 years* | 3 years*
After all documents are returned to the archive

2. Credit and Economic Issues

Acts, Certificates, and Invoices for Completed Construction Work, Registers of Invoices: 5 years* | 5 years* | 5 years*
After completion of construction
Documents on Providing Construction with Design and Estimate Documentation (correspondence, acts, certificates, conclusions): 5 years* | 5 years* | 5 years*
After completion of construction
Tables, Calculations, Information, and Other Documents Prepared by Commercial Banks for Management on the Status of Calculations (status of debtor and creditor debts, bankruptcy, financial-economic activity of ministries and departments, sanations, indicators of the development of entrepreneurial activity): 5 years EKC | 3 years EKC | 2 years
Annual Statistical Reports on Credit and Economic Work: Permanent | Permanent | 10 years
Documents on Bank Credit Policy (obligations, certificates, notices):
a) Short-term lending: 5 years* | 5 years* | 5 years* After loan repayment b) Medium-term lending: 5 years* | 5 years* | 5 years* After loan repayment c) Long-term lending: 5 years* | 5 years* | 5 years* After loan repayment
Analyses on Bank Credit Policy:
a) Short-term lending: 5 years | 5 years | 5 years b) Medium-term lending: 5 years | 5 years | 5 years c) Long-term lending: 5 years | 5 years | 5 years
Annual Reports of Banks, Regional Directorates, and Departments on Credit Work, Money Circulation, etc.: Permanent | Permanent | Permanent
Reports of Ministries and Departments on Credit Work and Money Circulation:
a) Annual: 5 years | 5 years | 5 years b) Quarterly: 3 years | 3 years | 3 years
Reports of Economic Entities on Credit Work and Money Circulation:
a) Annual: 5 years | 5 years | 5 years b) Quarterly: 3 years | 3 years | 3 years
Quarterly Reports on Outstanding Overdue Debts on Bank Loans (Credits) of Bank Institutions: 3 years | 3 years | 3 years
Correspondence on Credit-Resource Issues, Settlement Practices, and Financial-Economic Activity: 3 years | 3 years | 3 years
Notices on Credit Limits, Credit Permits, Letters, and Telegrams: 3 years | 2 years | 2 years
Credit Contracts between Borrowers and Banks on Granting Loans: 5 years* | 5 years* | 5 years*
After expiration of the contract validity period
Documents on Factoring Operations (orders, notices, certificates, correspondence): 5 years* | 5 years* | 5 years*
After account closure
Documents on Leasing Operations (orders, notices, certificates, correspondence): 5 years* | 5 years* | 5 years*
After account closure
Capital Construction Plans, Address Lists of Construction, Internal Equipment Title Lists, Main and Annual Contracts for Construction, Acts and Certificates of Checking the Existence of Approved Design and Estimate Documents for Construction: 3 years* | 3 years* | 3 years*
After completion of construction
Copies of Approved Aggregate Financial Settlements, Copies of Expenses, Sets of Individual Prices, Catalogs, and Conclusions on the Results of Reviewing Estimate and Financial Settlements: 5 years* | 5 years* | 5 years*
After completion of construction
Statistical and Accounting Reports of Capital Construction, Capital Investments, Construction and Construction Organizations, and Conclusions on Reports: 3 years | 3 years | 3 years
Correspondence on Mandatory Reserves and Long-Term Lending Norms: 5 years | 3 years | 3 years
Documents on Refinancing of Commercial Banks (requests, economic calculations, credit contracts, correspondence, conclusions): Permanent | Permanent | Permanent
Information on Debtor and Creditor Debts and Correspondence on These Issues: 3 years | 3 years | 3 years
Credit Work (orders, information, letters): 5 years* | 5 years* | 5 years*
After loan repayment
Consolidated Reports on Bank Profits and Losses: Permanent | Permanent | —
Documents for Granting Loans (letters of credit, guarantees): 3 years EKC* | 3 years EKC* | 3 years EKC*
After loan repayment

3. Money Circulation

Quarterly Cash Plans, Calculations, and Explanatory Letters for Their Preparation: Permanent | Permanent | Permanent
Certificates on the Execution of Cash Plans: Permanent | Permanent | 3 years
Reports, Analytical Tables, and Analysis of the State of Money Circulation on the Execution of Cash Turnover Forecast Indicators, Tables for Assessing the Balance of Monetary Income and Expenditures of the State Population in the Soum Region, Explanatory Letters, Correspondence, etc.: Permanent | 5 years | 3 years
Documents on the Execution of Cash Plans and Analysis of the State of Money Circulation (reports, reports, comments, analyses, explanatory letters, etc.): Permanent | Permanent | Permanent
Customer Orders on Quarterly Cash Turnover Forecasts: 1 year | 1 year | 1 year
Certificates on the Availability of Funds Directed for Consumption: 3 years | 3 years | 3 years
Documents on One-Time Checks of the Procedure for Conducting Cash Operations (certificates, notifications, correspondence): 3 years | 3 years | 3 years
Correspondence on Cash Plan Issues: 3 years | 3 years | 3 years
Correspondence on Cash Plan Execution Issues: 3 years | 3 years | 3 years
Certificates on Bank Cash Turnovers: 3 years | 5 years | 3 years
Customer Cash Orders and Settlements for Retail Trade: 1 year | 1 year | 1 year
Correspondence on Providing Cash Services to Customers: 5 years | 5 years | 5 years
Balances of Monetary Income and Expenditures of the Population, Calculations, and Correspondence Thereto: Permanent | Permanent | 10 years
Correspondence, Limit Notices on Controlling the Expenditure of Wage Funds by Bank Departments and Other Organizations: 3 years | 3 years | 3 years
Certificates on Accrued and Paid Wages and Account Sheets for Funds Paid for Wages: 3 years* | 3 years* | 3 years*
After debt repayment
Documents on One-Time Checks of Cash Discipline and Retail Trade (acts, reports, correspondence): 2 years | 2 years | 2 years
Correspondence on the Receipt of Funds from Enterprises and Organizations Other Than Trade Organizations from the Revenue of Trade Organizations and Other Organizations: 2 years | 2 years | 2 years

4. Issuance - Cash Operations

Correspondence on Money-Item Lotteries with Citizens: 1 year | 1 year | 1 year
Information, Data, Certificates, and Correspondence Received from Local and Subordinate Organizations on Deposit Operations: 3 years | 3 years | 3 years
Information, Data, Certificates on Indicators (Indexation) of Monetary Funds on Special Account Numbers for Deposits, Profitability of Reserve Cash Offices, Acceptance of Payments for Utilities, Information on Cashless Settlements: 3 years | 3 years | 3 years
Correspondence with the Ministry of Internal Affairs and Bank Departments on Counterfeit or Forged Banknotes and Metal Coins: Permanent | Permanent | Permanent
Certificates on Issuance Balances and Movement of Issuance: Permanent | Permanent | Permanent
Annual Reports of Regional Directorates on Issuance-Cash Work: Permanent | Permanent | Permanent
Memorials, Cash, and Off-Balance Sheet Orders with Appendices on Issuance-Cash Operations: 5 years* | 5 years* | 5 years*
After completion of audit inspection
Books of Accounting for Shortages Identified in Re-counting Securities: 3 years | 3 years | 3 years
Books of Accounting for Receipt Booklets Given to Responsible Executors: 5 years | 5 years | 5 years
Warehouse Books on Accounting for Receipt, Issue, and Availability of Goods and Materials in Warehouses and Bases: 5 years* | 5 years* | 5 years*
After completion of audit inspection
Books of Accounting for Strictly Accounted Report Blanks: 5 years | 5 years | 5 years
Books of Accounting for Blanks and Special Certificates: 5 years | 5 years | 5 years
Inspection Acts of Reserve Funds and Turnover Cash Offices of Warehouses Conducted by the Inspection Apparatus of Higher Bank Departments Outside of Audits: 5 years | 5 years | 5 years
Acts of Re-counting Paper Money and Coins and Correspondence on Re-counting Paper Money and Coins with Bank Institutions and Other Institutions: 3 years | 3 years | 3 years
Acts and Correspondence on Discrepancies Made by Bank Cashiers Identified During the Re-counting Period with Bank Departments and Other Departments: 3 years | 3 years | 3 years
Correspondence on Cash Services and Storage of Securities: 1 year | 1 year | 1 year
Acts on Handing Over and Accepting Cash and Securities in Turnover Cash, Reserve Funds, and Securities Warehouse (Acts are formalized with the "Confidential" heading and sent separately): 3 years | 3 years | 3 years
Correspondence on Issuance-Cash Work: 1 year | 1 year | 1 year
Correspondence on Signaling and Technical Means of Protection: 3 years | 3 years | 3 years

5. Foreign Economic Activity and International Settlements

Reports of Enterprises and Organizations with Accounts in Foreign Currency Abroad: Permanent | Permanent | Permanent
Correspondence on Registration of Exchange Branches: 5 years | 5 years | —
Certificates on the State of Currency Resources: 5 years | 5 years | 5 years
Books of Currency Warehouses on Accounting for the Movement of Cash Foreign Currency and Other Securities: Permanent | Permanent | Permanent
Contracts, Agreements, and Treaties with Foreign Banks, Representatives of International and Foreign Organizations (including amendments and additions, correspondence on them): Permanent * | Permanent * | Permanent *
Permits and Licenses for Residents to Open Accounts Abroad: Permanent | Permanent | Permanent
Correspondence on Issues of Opening Accounts for Residents Abroad: 10 years | 10 years | 10 years
Permits for the Accumulation of Currency Funds in Accounts of Enterprises and Organizations: Permanent | Permanent | Permanent
Correspondence on Issues of Opening and Maintaining Accounts in Foreign Currency by Residents and Non-Residents: 10 years | 10 years | 10 years
Correspondence on Issues of Opening and Maintaining Accounts in Soum by Non-Residents: 5 years | 5 years | 5 years
Correspondence on Regulation of Operations in Soum by Non-Residents: 5 years | 5 years | 5 years
Correspondence on Issues of Accumulating Currency Funds in Accounts: 10 years | 10 years | 10 years
Correspondence on Currency Regulation Issues: 5 years | 5 years | 5 years
Correspondence on Non-Trading Nature Currency Operations and Currency-Cash Service Issues: 5 years | 5 years | 5 years
Correspondence on Issues of Selling Currency Receipts: 5 years | 5 years | 5 years
Correspondence on Issues of Regulating the Internal Currency Market: 5 years | 5 years | 5 years
Correspondence on Currency Control Issues: 5 years | 5 years | 5 years
Correspondence on Issues of Preventing Illegal Currency Operations: 5 years | 5 years | 5 years
Correspondence on Issues of Implementing Investments in the Bank-Financial Sector Abroad: 5 years | 5 years | 5 years
Correspondence on Issues of Using Funds in Soum by Non-Residents in Investment Activity: 5 years | 5 years | 5 years
Permits on Granting Loans to Non-Residents and Extending Payment Deadlines Therefor: Permanent | Permanent | Permanent
Correspondence on Granting Loans to Non-Residents and Extending Payment Deadlines Therefor: 10 years | 10 years | 10 years
Reports of Commercial Banks on Currency Operations:
a) Annual: Permanent | Permanent | Permanent If no annuals, Permanent b) Quarterly, Monthly: 5 years* | 5 years* | 5 years*
Bulletins of the Central Bank of the Republic of Uzbekistan on Exchange Rates of Foreign Currency to Soum: Permanent | Until no longer necessary | Until no longer necessary
Documents on Establishing Exchange Rates of Foreign Currency to Soum (calculations, certificates, correspondence): 25 years | 25 years | 25 years
Information Materials on Prices of Foreign Currency, Gold, Rates, and Rates of Eurodeposits Abroad: 5 years | 5 years | 5 years
Correspondence on Foreign Currency Exchange Rates: 5 years | 5 years | 5 years
Guarantees of the Central Bank of the Republic of Uzbekistan for Banks to Carry Out Currency Operations: 25 years | 25 years | 25 years
Registers of Accounting for Guarantees of the Central Bank of the Republic of Uzbekistan for Carrying Out Currency Operations: 25 years | 25 years | 25 years
Documents on International Settlements and Issues of International Payment Systems (certificates, conclusions, correspondence): 10 years | 10 years | 10 years
Set of Documents on Customers' Currency Accounts: 10 years* | 10 years* | 10 years*
After account closure
Correspondence on Acceptance for Collection of Money Settlement Documents, Documentary Letters of Credit, and Payment Documents for Non-Profit Operations: 5 years | 5 years | 5 years
Registers of Accounting for Money Transfers and Recipients of Money Transfers on the "Unpaid Foreign Transfers" Balance Account: 25 years | 25 years | 25 years
Registers of Accounting for Copies of Transfers and Checks Sent Abroad: 10 years | 10 years | 10 years
Confirmation of Balances on Accounts: 5 years | 5 years | 5 years
Cash and Off-Balance Sheet Receipt and Payment Orders for Operations in Foreign Currency, Together with Attached Documents (certificates, payment orders, orders): 5 years | 5 years | 5 years
Memorials and Off-Balance Sheet Orders for Operations in Foreign Currency, Together with Attached Documents (appendices, payment orders): 5 years | 5 years | 5 years
Correspondence on Issues of Changing the Order of Currency Accounts with Enterprises and Organizations: 5 years | 5 years | 5 years
| | | |
Correspondence regarding mutual claims on foreign currency operations
5 years
5 years
5 years
Personal accounts for foreign currency operations
10 years*
10 years*
10 years*
*after the closure of accounts
Sheets for balance and off-balance sheet accounts in foreign currency
10 years
10 years
10 years
Documents (correspondence, information, certificates, copies) for maintaining representative accounts in operations conducted in foreign currency
10 years
10 years
10 years
Instructions and transfers of funds regarding transfers from foreign currency accounts
10 years
10 years
10 years
Certificates of receipt of funds in foreign currency
10 years
10 years
10 years
Tariffs for commission rewards for performing currency operations
3 years*
3 years*
3 years*
*after the renewal of tariffs
Documents for the acceptance of payment documents and documentary letters of credit and payment documents for collection to and from abroad, as well as documents for guarantees issued and accepted by the Central Bank of the Republic of Uzbekistan (certificates, memorial orders, etc.)
10 years
10 years
10 years
Registers for recording documentary letters of credit and collections for export and import
10 years
10 years
10 years
List of employees of commercial banks authorized to sign documents for currency control and perform operations
10 years
10 years
10 years
Correspondence regarding the submission of the list of employees of commercial banks authorized to sign documents for currency control and perform operations, and amendments and additions to it
10 years
10 years
10 years
Register for recording meetings with representative offices of foreign banks and organizations
Permanent
Permanent
Permanent
Register for recording representative offices of foreign banks and credit institutions
Permanent
Permanent
Permanent
Information on the status of banks' currency resources
Permanent
10 years after the end of the reporting period 5 years after the end of the reporting period
Documents for recording operations on conducting foreign operations (powers of attorney, authorities, lists)
15 years*
10 years*
5 years*
*after the expiration of the term of authority
Cancelled signature samples of employees of foreign representative organizations and correspondence with them
Until there is no need
Until there is no need
Until there is no need
Agreements with foreign banks on government and interbank credit agreements, accounting procedures and settlements on foreign credit systems, amendments and additions to agreements
Permanent
10 years after the end of the reporting period 5 years after the end of the reporting period
Government agreements on trade turnover and payments, agreements with foreign banks and branches on conducting operations on international settlements, accounting and account maintenance procedures, interbank representation contracts and other agreements on currency operations and international settlements, protocols on amendments and additions to agreements, exchange letters and other documents and correspondence on them
Permanent
10 years after the end of the reporting period 5 years after the end of the reporting period
Notices of foreign banks on the sale of travel checks and correspondence on them
5 years
5 years
5 years
Books of the currency warehouse for accounting the availability of cash foreign currency and other valuables
Permanent
Permanent
Permanent
Copies of certificates on the acceptance and opening of consignments containing foreign currency and other valuables, and correspondence on shortages and surpluses in consignments
5 years
5 years
5 years
Correspondence on operations in foreign currency, currency-economic and legal issues
30 years
15 years
15 years
Correspondence on foreign trade operations
5 years after the end of the reporting period
5 years after the end of the reporting period
5 years after the end of the reporting period
Correspondence on foreign operations with citizens of the Republic of Uzbekistan
10 years
10 years
10 years
Confirmation of telegraphic instructions of foreign banks
5 years
5 years
5 years
Confirmations from foreign banks regarding the receipt of telegrams from the Central Bank of the Republic of Uzbekistan
5 years
5 years
5 years
Documents and reports for accounting export contracts (contracts, registration books, certificates)
15 years*
15 years*
15 years*
*after the expiration of the contract term
Documents and reports for accounting import contracts (contracts, registration books, certificates)
15 years*
15 years*
15 years*
*after the expiration of the contract term
Reports sent for information on currency, exchange, and over-the-counter operations
Permanent
Permanent
Permanent
Copies of registration of transfers and permits
5 years
5 years
3 years
Documents on currency-exchange trading:
a) Initial orders for the purchase and sale of foreign currency in interbank trading sessions 5 years 5 years 5 years b) Documents on the results of interbank trading sessions (exchange certificates, operational sheets) 10 years 10 years 10 years c) Documents on the results of auctions, secondary trading, and redemption of state securities (exchange information, copy of the trading protocol, copy of the contract registry, copy of the dealer's personal account sheet, dealer's obligation, report on the "deposit" account, registry of entered orders, copy of the dealer's personal account sheet on the results of redemption) 15 years 15 years 15 years d) Correspondence on confirming the balance of bonds in the dealer's "deposit" personal account sheet 5 years 5 years 5 years e) Information on coupon payments 5 years 5 years 5 years
Documents for providing funds in foreign currency for business trip expenses (resolutions, instructions)
3 years
3 years
3 years
Contracts, agreements, etc. on mutual cooperation with other banks and customers
5 years *
5 years *
5 years *
*after the expiration of the contract term
Correspondence on issues of conducting operations with cash foreign currency and payment funds in foreign currency
5 years after the end of the reporting period
5 years after the end of the reporting period
5 years after the end of the reporting period
Daily operational documents on currency-exchange operations and operations conducted with foreign banks (blanks under strict accounting for the purchase and sale of currency, registers, ledger for accounting for cash foreign currency sold for sums and payment documents in foreign currency, reports on exchange branch operations, grounds for exchanging sums for currency)
10 years
10 years
10 years
Correspondence on bank capital, charter, reserves, profit distribution, and other financial issues
10 years
10 years
5 years
Annual reports, balance sheets of Uzkhorijbanks, along with their appendices, conclusions, published annual balances
Permanent
10 years
—
Annual reports of external and internal auditors on the activities of Uzkhorijbanks
Permanent
10 years
—
Correspondence on issues of opening new Uzbek bank branches abroad
Permanent
10 years
—
Administrative and economic expense estimates for Uzkhorijbank branches
10 years
—
—
Documents related to payroll calculations with employees of Uzkhorijbanks (correspondence, records)
75 years after the end of the reporting period 75 years after the end of the reporting period —
Financial reports of employees of Uzkhorijbanks on business trips to other countries
10 years after the end of the reporting period 10 years after the end of the reporting period —
Operations of exchange branches
Daily distribution limit of US dollars sold through currency exchange branches
Permanent
3 years
3 years
Exchange rates of foreign currencies against the sum
Permanent
5 years
5 years
Daily information on the exchange of sums for foreign currency in currency exchange branches and balances of currency funds in National Bank warehouses
5 years after the end of the reporting period
5 years after the end of the reporting period
5 years after the end of the reporting period
Court decisions, execution sheets, and correspondence on confiscated currencies
5 years after the end of the reporting period
5 years after the end of the reporting period
5 years after the end of the reporting period
Permits for the export of cash foreign currency and payment documents in foreign currency equivalent to it outside the republic
5 years after the end of the reporting period
5 years after the end of the reporting period
5 years after the end of the reporting period
Documents on the acceptance of cash foreign currency for collection, expertise, exchange, and its conversion
5 years after the end of the reporting period
5 years after the end of the reporting period
5 years after the end of the reporting period
Documents for providing funds in foreign currency for business trip expenses
5 years after the end of the reporting period
5 years after the end of the reporting period
5 years after the end of the reporting period
Notice of the issuer on travel checks
3 years after the end of the reporting period
3 years after the end of the reporting period
3 years after the end of the reporting period
Certificates on one-time checks of operations conducted in cash foreign currency
5 years
5 years
5 years
Operations on securities
Information and data on the charter capital of banks
25 years
25 years
25 years
Documents related to operations on securities (reports, information, data)
5 years*
5 years*
5 years*
*after redemption
Reports of commercial banks on operations with state securities
a) Annual
Permanent
Permanent
Permanent b) Quarterly
10 years
10 years
10 years c) Weekly
5 years
5 years
5 years
Documents on organizing settlements, concluding and registering transactions, placement, circulation, servicing, and redemption of state securities (contracts, personal accounts, certificates, protocols, decisions on the issuance of securities, notices, comments, certificates, correspondence)
5 years*
5 years*
5 years*
*After the expiration of the contract terms or after the redemption of the issued state securities
Accounting registers of depositary operations
Permanent
Permanent
Permanent
Documents on the issuance of securities (notices, comments, certificates, information, correspondence)
5 years
5 years
—
Information and data on calculated and paid dividends
Until there is no need
Until there is no need
Until there is no need
Information and data documents on the securities market and operations on securities (comments, tables, analytical notes, certificates)
5 years after the end of the reporting period
5 years after the end of the reporting period
5 years after the end of the reporting period
Documents related to the coordination and control of the securities market activities (information, reports, correspondence)
Until there is no need
Until there is no need
Until there is no need
Exchange information on exchange trading
Until there is no need
Until there is no need
Until there is no need
Documents related to excise stamps (information, destruction certificates, correspondence)
Permanent
Permanent
Until there is no need
Documents related to investment project issues (projects, proposals, conclusions)
Until there is no need
Until there is no need
Until there is no need
Registers of deposit and savings certificates
Permanent
Permanent
Until there is no need
Documents for the registration of the issuance of securities (prospectuses, applications, certificates, information)
15 years
15 years
Until there is no need
Documents on violations of the rules for the issuance of securities (certificates, information, records, certificates, conclusions)
Permanent
Permanent
Until there is no need
Annual reports of commercial banks on operations with securities
Permanent
Permanent
Until there is no need
Terms of issuance of deposit and savings certificates
Permanent *
Permanent *
Permanent *
*by place of issuance
Documents on the issuance of state securities (contracts, certificates, protocols, terms of issuance)
Permanent
10 years*
10 years*
*After the expiration of the contract terms or after the redemption of the issued state securities
Register of contracts concluded with state bonds
Permanent
Permanent
Permanent
Reports on the completion of the issuance of securities
Permanent
Permanent
Until there is no need
Reports on operations in the secondary market of state securities
Permanent
Permanent
Permanent
Accounting and reporting

8.1. Accounting

Memorial and off-balance sheet orders for operations expressed in foreign currency (together with attached documents), as well as for received and provided loans
5 years
5 years
5 years
Personal accounts for payroll
75 years after the end of the reporting period 75 years after the end of the reporting period 75 years after the end of the reporting period
Summary sheets and inspection records for balance sheet and off-balance sheet accounts prepared as of the 1st of the month
5 years
5 years
5 years
Reporting sheets and records for initial inter-branch payments, copies of monthly turnover records for inter-branch payments, books, tabulograms, and other materials related to the processing of reports by inter-branch payment centers and HM
5 years*
5 years*
*after the issuance of the summary balance for inter-branch payments
Certificates on the acceptance, inspection of inventories, and removal of unusable property from accounting, and correspondence on these issues
5 years*
5 years*
5 years*
*after the completion of the audit inspection
Powers of attorney for receiving monetary funds and commodity-material valuables (including cancelled ones)
5 years
5 years
5 years
Guarantee letters
5 years
5 years
5 years
Copies of application records for obtaining strictly accountable blanks and correspondence on them
10 years
10 years
5 years
Personal accounts, sheets, books, and registers for analytical accounting of balance and off-balance sheet accounts (excluding documents indicated in the previous four rows)
5 years*
5 years*
5 years*
*after the closure of accounts
Savings books of citizens
Permanent *
Permanent *
—
*not submitted to the state archive
Savings books of military servicemen
Permanent *
Permanent *
*not submitted to the state archive
Registers for recording execution sheets, books for accounting for transferred wages to depositors
5 years
5 years
5 years
Information on the accounting of funds, limits established for payroll and their distribution, excess payroll expenses, debt calculations, and information on the control of payroll payments for vacation and days off worked
5 years
5 years
5 years
Documents on pensions, social payments, and payments on sick leave certificates for social insurance (copies of reports, copies of protocols, conclusions)
5 years
5 years
5 years
Information on payments for study leave and certificates for receiving tax benefits
5 years
5 years
5 years
Documents on the re-evaluation of fixed assets (certificates, protocols, reports, records)
Permanent
Permanent
Until re-evaluation
Passports of buildings, structures, equipment
5 years *
5 years *
5 years *
*after the removal of fixed assets from the register
Documents on issues of fake accounting payment documents (certificates, comments, tables, correspondence)
Permanent
15 years
15 years
Accounting registers (General Book, journal-orders, production tables)
5 years*
5 years*
5 years*
*after the completion of the audit inspection
Correspondence on issues of preparing accounting reports
5 years
3 years
3 years

8.2. Accounting Reporting

Summary annual accounting reports of commercial banks
Permanent
Permanent
Permanent
Quarterly reports of commercial banks
5 years*
5 years*
5 years *
*permanent if there are no annual reports
Annual reports of enterprises on economic accounting
5 years
5 years
5 years
Daily balances and accounting journals (including cash)
5 years
5 years
5 years
Annual accounting reports of the management departments of commercial banks of the Republic of Uzbekistan
Permanent
Permanent
—
Summary annual accounting reports on the main activities of commercial banks
Permanent
Permanent
Permanent
Records on monthly turnover and balance (balance), together with their specified appendices
5 years
5 years
5 years
Correspondence on issues of accounting and operational work
5 years
5 years
5 years
Personal accounts for the accounting of charter and reserve funds
Permanent
Permanent
Permanent
Personal accounts for citizens' deposits (including those of military servicemen)
10 years*
10 years*
10 years*
*after the closure of the account or if there is no claim
Personal accounts for accounting long-term credit operations and debts written off as losses
5 years*
5 years*
5 years*
*after the closure of the account
Books for the handover and acceptance of personal accounts, liabilities, and other materials when operational staff change, and signature samples of employees
25 years
10 years
10 years
Books for the registration of opened analytical account accounts
25 years
25 years
25 years
Daily operational documents (memorials, cash orders, payment orders, applications)
5 years*
5 years*
5 years*
*after the completion of the audit inspection
Memorial and cash documents for loans to individual borrowers (payment orders, applications, memorial orders)
25 years
25 years
25 years
Memorial, cash, and other payment documents related to participants who have a share in the construction of bank branches
10 years
10 years
10 years
Accrued interest on loans for residential housing
20 years
20 years
20 years
Correspondence on deposits of military servicemen
Permanent
Permanent
Permanent
Applications of customers regarding the blocking of funds in accounts for paying wages, and records of payment documents on claims of various organizations and banks
1 year*
1 year*
1 year*
*after payment
Inspection records and control sheets on deposits of military servicemen
10 years
10 years
10 years
Alphabetical books and personal accounts of citizens' deposits (including those of military servicemen)
75 years
75 years
75 years
Sheets for accounting for the provision of copies of customers' personal accounts, and powers of attorney of customers for receiving copies
5 years
5 years
5 years
Certificates, inventories, lists, and correspondence on the transfer of customers' personal accounts and other materials and their main accounts to another branch of another bank
5 years
5 years
5 years
Documents that have lost their force regarding the opening of accounts and granting authority to manage accounts, and documents for closed accounts (licenses, certificates, resolutions)
10 years
10 years
10 years
Sheets with cancelled signature samples of customers
5 years
5 years
5 years
Registers and journal-lists for accounting for collection operations and mutual settlements, copies of payment applications, registers, and other documents
5 years
5 years
5 years
Pension slips for the receipt of one-time paid pensions and benefits whose payments have ended
5 years
5 years
5 years
Correspondence on issues of providing explanations on banks' accounting practices
1 year
1 year
1 year
Certificates on the confirmation of balances on customers' accounts and the comparison of information on reports of budget funds used by credit consumers
1 year
1 year
1 year
Approved blanks and forms of statistical reports (instructions, recommendations)
Until there is no need
Until there is no need
Until there is no need
Albums maintained for signature samples of officials of banking institutions authorized to sign payment documents with a seal impression
5 years*
5 years*
5 years*
*after renewal
Court decisions, execution sheets, records, and correspondence on various deductions from wages
10 years
10 years
10 years
Commission protocols on the write-off of amounts from balance and off-balance sheet accounts, together with requests from bank branches and documents confirming the falsity of amounts
5 years
5 years
5 years
Copies from representative accounts
5 years
5 years
5 years
Contracts of the bank with customers on accounts
5 years*
5 years*
5 years*
*After the expiration of the contract terms
Closed legal cases (applications, conclusions, certificates)
5 years
5 years
5 years
Documents on daily NBU operations (calculations, records, certificates, etc.)
5 years
5 years
5 years
Personal accounts for NBU
5 years
5 years
5 years
Balance records for NBU
5 years
5 years
5 years
Timekeeping tables for accounting working time
5 years
5 years
5 years
Reports on types of accrued wages and other withholdings
5 years
5 years
5 years
Execution of the State Budget
Summary reports on the cash execution of the state budget received from territorial main departments:
a) Annual
Permanent
Permanent b) Monthly
3 years
3 years c) Urgent
3 years
1 year
Personal accounts for annual reports on state budget revenues
3 years*
3 years*
*after the closure of accounts
Statistical Reporting
Statistical reports received from banks on all main types of activities:
a) Annual
Permanent
Permanent
Permanent b) Quarterly
5 years
5 years
5 years
Summary statistical reports on all main types of activities (mainly lending and settlements)
Permanent
Permanent
—
Summary statistical reports and systematic collections of statistical materials on all main types of activities of republic banks
Permanent
Permanent
—
Records for the development of statistical reports by republic banks and their regional departments:
a) Annual
Permanent
Permanent
— b) Monthly, quarterly
25 years
10 years
5 years
Statistical and statistical-economic developments and tables on separate issues of the activities of republic banks
10 years
10 years
5 years
Correspondence on the preparation of statistical reports with bank branches and other organizations
3 years
3 years
3 years
Material and Technical Support
Documents on requirements for materials and equipment (accounts, summary records, tables, calculations, applications, correspondence)
2 years
2 years
2 years
Correspondence on issues of material and technical support
3 years
3 years
3 years
Collections of documents, information on the receipt of raw materials, materials, and finished products into warehouses, accounting of balances, and consumption
3 years
3 years
3 years
Certificates and conclusions on the quality of incoming products
5 years
5 years
5 years
Certificates on the acceptance and delivery of products to ordering representatives
5 years
5 years
5 years
Documents on the sale of excess and unused goods and equipment (records, information, certificates, correspondence)
5 years
5 years
5 years
Documents on the organization and equipping of warehouses (notices, correspondence)
3 years*
3 years*
3 years*
*after renewal
Notification letters and correspondence on the arrival of cargo
1 year*
1 year*
1 year*
*3 years for export-import
Schedules and correspondence regarding the delivery of goods to warehouses

1 year

2
69
.

Acts of acceptance of goods and materials being entered into the warehouse

5 years*

*after the completion of the audit inspection

27
0
.

Documents regarding the movement and balance of goods and materials in the warehouse (acts, reports, certificates, records, lists, waybills, orders, accounting books)

3 years*

*after the completion of the audit inspection

27
1
.

Documents regarding the issuance of goods from the warehouse (orders, invoices, work orders, requisitions, waybills, notifications, maps, accounting books)

5 years*

*after the completion of the audit inspection

27
2
.

Permits for the removal of goods and materials from the warehouse

1 year

27
3
.

Acts and records of inventory of property.

3 years*

*after the completion of the audit inspection

27
4
.

Documents regarding shortages of goods, materials, equipment and over-standard consumption (acts, reports, certificates, correspondence)

5 years*

*after the completion of the audit inspection

27
5
.

Documents regarding the preparation of publishing products (requisitions, accounting books, correspondence)

3 years

27
6
.

Documents regarding the preparation of strictly accounted blanks (orders, correspondence)

5 years

Personnel

2
77
.

Reports, explanations, reports, summary information and annual statistical data on the status of work with employees

permanent

10 years

2
78
.

Personal consolidated files of workers and employees (questionnaires, resumes, references, orders on hiring and dismissal, etc.)

75 years ETC

2
79
.

Personal sheets of workers and employees

75 years ETC

28
0
.

Original personal documents of workers and employees (not required) (labor record books)

Until requested, for a period of not less than 50 years

28
1
.

Accounting books of the movement of labor record books and additional sheets attached to them

50 years

28
2
.

Annual and quarterly reporting information, acts and correspondence on the accounting of the entry and exit of labor record books

3 years

28
3
.

Correspondence regarding the awarding of employees with departmental awards

10 years

3 years

28
4
.

Lists and references of employees awarded with state and government awards (copies of award sheets, drafts of orders and decisions of the Oliy Majlis of the Republic of Uzbekistan and the Chairmen of the Boards of Republic Banks)

permanent

10 years

28
5
.

Correspondence on issues of awarding, transferring, and dismissing bank employees

3 years

28
6
.

Documents and correspondence for formalizing business trips):

a) within the republic

1 year

b) abroad

10 years ETC

2
87
.

Correspondence and reports on issues of accounting for compulsory military service

3 years

2
88
.

Schedules and lists for taking labor leave, summaries and correspondence on the use of leave by workers and employees

1 year

2
89
.

Personal accounting sheets for specialists with higher and secondary special education

75 years

29
0
.

Questionnaires and applications of persons not hired

1 year

29
1
.

Accounting book of passports of bank workers and employees.

75 years ETC

Capital construction and material and technical support

29
2
.

Correspondence on technical and economic justifications for the appropriateness of construction and capital repair works

5 years

29
3
.

Documents on the preparation for and progress of capital construction and renovation works (reports, explanations, reports, information certificates)

5 years*

*after the completion of construction

29
4
.

Technical specifications for the design, construction and renovation of buildings and structures

after the completion of the handover of the object to the customer, until the handover to the builders

a) by the place of design and approval

permanent *

10 years *

b) in other organizations

until there is no need

29
5
.

Photo albums of unique buildings and structures

permanent

10 years

29
6
.

Acts of valuation of completed construction objects

25 years

297
.

Correspondence with government bodies on construction issues

5 years ETC

5 years

298
.

Correspondence on design, construction and renovation

5 years

299
.

Approved design and estimate documents for the construction and renovation of objects (drawings, explanatory notes, estimates, acts of approval of technical documents, conclusions):

a) by the place where the designs were developed and approved

25 years

b) by the place of use

until the end of the service life of the object

30
0
.

Approved limits for the capital construction, renovation and expansion of buildings

25 years ETC

30
1
.

Internal construction title lists for ongoing objects

3 years

30
2
.

Acts, decisions and acts with attached land plans and side views regarding the allocation of land plots for construction, and other materials

permanent

10 years

30
3
.

Documents regarding the acceptance and receipt of buildings for balance sheet (acceptance-transfer acts, building passport and other documents)

until removed from balance

30
4
.

Acts of acceptance of completed bank objects for operation

permanent

30
5
.

Correspondence on capital construction and repair issues

5 years

Approved estimates for capital repair

25 years

3
07
.

Acts of acceptance of buildings after capital repair

25 years

3
08
.

Contracts and agreements on renting out and taking buildings and additional service rooms, acceptance-transfer acts of the building when renting it out

5 years*

*after the expiration of the contract validity period

3
09
.

Orders for all types of material and technical support

3 years

31
0
.

Correspondence on issues of providing bank branches with machinery and mechanization tools for banking operations

3 years

31
1
.

Contracts concluded with suppliers for all types of material and technical support

5 years*

*after the expiration of the contract validity period

31
2
.

Annual and quarterly orders for the preparation of securities and correspondence on these issues

5 years

—

Administrative and economic issues

31
3
.

Approved internal labor regulations

1 year*

*after updating

31
4
.

Correspondence on economic issues

3 years

31
5
.

Correspondence on the organization and equipment of warehouses

3 years

31
6
.

Summary estimate of expenses for the apparatus of subordinate banks and reports on its execution

permanent

10 years

3
17
.

Estimates of expenses of commercial banks of the Republic of Uzbekistan and their branches

permanent

10 years

3
18
.

Estimates of administrative and economic expenses

10 years

3
19
.

Correspondence on the approval of samples of seals and stamps, and acts on their destruction

5 years

3 years

3
20
.

Correspondence on the issuance of permits for entry into service rooms

1 year

32
1
.

Documents on the issuance of certificates and permits for entry into organizations (orders, lists, correspondence)

1 year

32
2
.

Accounting books for the issuance of certificates and permits

3 years

32
3
.

Acts of acceptance of certificate and permit blanks, acts of destruction of certificates, permits and their covers

1 year

32
4
.

One-time permits for entry and exit from service buildings and for the removal (taking away) of material valuables, basis of the permit bundle

1 year

32
5
.

Estimate of expenses for current repair

3 years

32
6
.

Correspondence on housing issues

3 years

3
27
.

Production and financial plans of enterprises on economic accounting of republican banks

3 years

3
28
.

Acts of acceptance of goods and materials received in the warehouse

5 years

3
29
.

Acts of deregistration of vehicles

5 years*

33
0
.

Correspondence on the organization and equipment of warehouses, plans for the delivery of goods and materials to warehouses, acts of their acceptance, information on movement and balance

3 years

33
1
.

Road tickets

3 years*

*after the completion of the audit inspection

Electronic documents

33
2
.

Full database of electronic information related to the bank operation day

permanent *

—

33
3
.

Encryption of expired electronic digital signature keys

permanent *

—

33
4
.

Bank operation day programs and other separate software suites

ZQ*

—

The new program must be compatible with the previous program

33
5
.

Electronic journal-acts on the process of acceptance and transmission of electronic payment documents

5 years

—

33
6
.

All documents received and transmitted via electronic communication

5 years

—

3
37
.

Archiving of all incoming and outgoing electronic payment documents in file format sent by bank branches, in encrypted and unencrypted forms

permanent *

—

3
38
.

Consolidated balances of commercial banks

permanent *

—

3
39
.

Information on credit and other banking operations of commercial banks

permanent *

—

Information technology

34
0
.

Software products*

*Documents not related to Section 15 "Electronic Documents"

a) by the place of development

permanent

b) by the place of use

after updating

34
1
.

Documents for issuing permits for the use of software products in the banking system of the Republic of Uzbekistan (applications, copies of software products, meeting minutes, conclusions, orders, etc.)

3 years *

—

*After updating

34
2
.

Registry of software products in the banking system of the Republic of Uzbekistan

a) by the place of development and approval

permanent

b) in other organizations

34
3
.

Correspondence on information technology issues

5 years

Electronic carriers are reviewed twice a year and submitted to state storage in the established order.

Chairman of the Central Bank F. MULLAJANOV

June 3, 2000

Head of the Main Archive Administration P. NIGMATOV

June 3, 2000

Guidelines on Applying the List of Retention Periods for Documents Generated in Commercial Bank Activities

Guidelines on Applying the List of Retention Periods for Documents Generated in Commercial Bank Activities

1. General Provisions

2. Structure of the Guidelines and Procedure for Their Application

1. File Processing and Archival Affairs

2. Credit and Economic Issues

3. Money Circulation

4. Issuance - Cash Operations

5. Foreign Economic Activity and International Settlements

Lineage: Amended

Timeline

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