Rules on Archival Work in Banks of the Republic of Uzbekistan

Rules of the Central Bank of the Republic of Uzbekistan, registered on 25.11.1999, registration number 841

Date of Entry into Force

25.11.1999

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11.11.2021

18.09.2010

25.09.2000

25.11.1999

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Document lost its force 11.11.2021

[ OKOZ: 1. 07.00.00.00 Legislation on Finance and Credit. Banking Activity / 07.21.00.00 Banking Activity / 07.21.21.00 Other Issues of Banking Activity] [ TSZ: 1. Finance / Banks and other credit institutions. Credits]

Republic of Uzbekistan

Approved by

the Central Bank of the Republic of Uzbekistan

"APPROVED"

August 21, 1999 No. 147

Republic of Uzbekistan

Central State Archive

"AGREED"

November 5, 1999 No. 19

RULES

ON ARCHIVAL WORK IN BANKS OF THE REPUBLIC OF UZBEKISTAN

[Registered by the Ministry of Justice of the Republic of Uzbekistan on November 25, 1999, No. 841]

These Rules are based on the Resolution of the Management Board of the Central Bank of the Republic of Uzbekistan dated July 15, 2021, No. 17/4 "On recognizing as invalid the Rules on Archival Work in Banks of the Republic of Uzbekistan, as well as amendments and additions thereto" (registration number 841-2, 10.08.2021) and have lost their force since November 11, 2021.

These Rules were developed in accordance with the Laws of the Republic of Uzbekistan "On Archival Affairs", "On the Central Bank of the Republic of Uzbekistan", and "On Banks and Banking Activity", as well as the Resolution of the Cabinet of Ministers of the Republic of Uzbekistan dated October 30, 1999, No. 482 "On Approval of Regulatory Documents on Archival Affairs", and they establish the procedure for conducting archival work, storing documents, and using them in banks of the Republic of Uzbekistan.

(Preamble in the edition of the Resolution of the Management Board of the Central Bank of the Republic of Uzbekistan dated August 14, 2010, No. 27/1 (registration number 841-1, 08.09.2010) — UR QT, 2010, No. 35-36, Article 312)

1. GENERAL PROVISIONS

1.1. Document management and record-keeping, as well as the formation of archives in banks of the Republic of Uzbekistan, are carried out in accordance with the Office Work Instructions approved by Resolution No. 140 of the Cabinet of Ministers of the Republic of Uzbekistan and other regulatory documents.

1.2. Responsibility for conducting archival work and document management in banks, as well as for their improvement, is placed on the heads of banks. Responsibility may be transferred to the chief accountant or their deputy based on a written order of the bank head. This does not relieve the bank manager of overall responsibility.

2. FUNCTIONS AND DUTIES OF THE ARCHIVE

2.1. Depending on the composition of documents accumulated in the bank archive and the state obligations of organizations carrying out departmental storage, the following types of archives may be organized:

an archive storing documents belonging to only one bank;

a central archive storing documents of the central apparatus and organizations under the bank.

2.2. The main duties of the bank archive include:

accumulating documents in archives in the manner provided for by laws on archives and other regulatory documents;

ensuring the integrity of documents stored in the archive, correct record-keeping, quality processing, and effective use of them;

organizing document management in banks, as well as conducting supervision and inspections in the organization of archive documents.

2.3. The main functions of the bank archive include:

accepting documents of structural subdivisions of banks for storage in accordance with paragraphs 3.48-3.53 of these Rules;

recording accepted bound volumes and documents and ensuring their integrity;

preparing documents and handing them over to the state archive for storage;

organizing or carrying out the annual presentation and compilation of consolidated lists of permanently stored volumes by departments;

providing methodological and practical assistance to the institution's (office, secretariat) document management service in searching for volumes that have not arrived at the bank archive on time according to the consolidated list;

informing bank management about the composition and content of documents in the archive, and identifying documents upon the request of bank management;

keeping records of the use of documents stored in the archive;

participating in the special expert commission in reviewing annual sections of the consolidated list of volumes selected for destruction due to expiration of storage periods or reasons for retention;

checking the integrity, correct formation, and official documentation of documents in bank document management;

developing regulatory and methodological documents on archival work (instructions, recommendations, regulations, etc.) and organizing document management;

participating in training sessions to improve the qualifications of archive and document management service staff.

2.4. The central archive of the bank participates in organizing document management in archival work and banks and exercising control over them.

3. PREPARATION AND HANDOVER OF DOCUMENTS TO THE ARCHIVE

3.1. After the end of the calendar year, finalized volumes are officially documented and removed from record for permanent and temporary storage purposes in accordance with the "Basic Rules for Departmental Archives" and the requirements of these Rules.

3.2. The official documentation of volumes is carried out by the document management service staff of the bank and its structural subdivisions under the methodological assistance and control of the bank archive.

3.3. Bound volumes are fully or partially documented depending on the storage period.

3.4. Bound volumes for permanent, temporary, and personal staff storage are fully documented.

Full documentation of bound volumes includes:

sorting and binding of bound volumes;

numbering the pages of bound volumes;

compiling certification inscriptions (Appendix 1);

compiling an internal list of bound volume documents when necessary (Appendix 2);

entering necessary clarifications into the requisites of the bound volume cover (specifying the bank name, indicating the index and date in the title of the bound volume, etc.).

3.5. Documents forming a bound volume are stitched or covered with a hard cardboard cover with four holes, taking into account the possibility of freely reading the texts, dates, reference marks, and resolutions of all documents in them. Metal fasteners (clips, staples) in the documents are removed during stitching (covering) of the bound volume.

3.6. Bound volumes for permanent storage consisting of documents of particular value or prepared on paper of various sizes are stored in hard folders with three flaps and ties, or in cardboard envelopes (boxes).

3.7. If a bound volume contains documents of particular value, as well as personal documents (labor record books, etc.) that are not requested, these documents are placed in an envelope and then stitched into the bound volume. If there are many such documents, they may be removed from the bound volume and a separate list may be compiled for them.

3.8. At the end of each bound volume, sheets in the form of personal forms are stitched for the certification inscription, and at the beginning of the bound volume, sheets in the form of an internal list for the documents of the bound volume are stitched when necessary.

3.9. To ensure the integrity of documents included in the bound volume and to strengthen the arrangement order, all pages, except for the certification inscription and internal list, are numbered sequentially (in order) with Arabic numerals in the upper right corner without touching the text of the document, using a numbering pen or a black drawing pencil. The use of ink and colored pens for numbering pages is prohibited. The pages of the internal list of documents in the bound volume are numbered separately.

Daily accounting documents, as well as documents related to internal bank accounts, are documented and stitched in this manner.

3.10. Pages of bound volumes consisting of several volumes or parts are numbered separately for each volume or part.

3.11. Special documents existing as independent sheets in the bound volume are numbered in the upper left corner of the back side.

3.12. Complex sheets with foldable parts and those stitched on the right side are numbered in the upper right corner. At the same time, any sheets of any size stitched on one side are numbered as one sheet; complex and centrally stitched documents are re-stitched and numbered as one sheet.

3.13. Sheets with firmly glued documents (cutouts, copies, etc.) are numbered as one sheet. If other documents (cutouts, additions to the text, translations, etc.) are glued to a document, each document is assigned a separate number.

3.14. Envelopes stitched into the bound volume with documents inside are numbered together; first, the envelopes are numbered, and then each document inside the envelope is numbered with the next number.

3.15. Documents stitched into the bound volume with their own private numbers (including printed products) may be numbered in the general manner or, if they correspond to the arrangement order of pages in the bound volume, may retain their own private numbers.

3.16. In cases where a large number of errors are found during the numbering of bound volume pages, when re-numbering them in document management, a single diagonal line is drawn over the old number, and the new number of the page is placed next to it; a new certification inscription is compiled at the end of the bound volume, with the old certification inscription crossed out but kept in the bound volume.

When the bank archive prepares bound volumes for handover to the state archive, if some errors in page numbering are found, permission is granted to assign alphanumeric numbers to the pages in agreement with the state archive.

3.17. A certification inscription is compiled for the bound volume to record the count of pages and the specific features of their numbering. The certification inscription is compiled in the prescribed form.

3.18. It is prohibited to write the certification inscription on the cover of the bound volume or on the back of the last clean page of the last document. If the bound volume is stitched or covered without a certification sheet, the sheet is glued to the upper part of the inner side of the bound volume cover.

3.19. The number of numbered pages in the certification inscription of the bound volume is written in numbers and words, followed by a separate "+" (plus) sign, and the number of pages of the internal list (if it exists) is indicated.

3.20. The certification inscription indicates the following specific features of numbering documents in the bound volume:

the presence of numbers marked with letters (liters) in documents and the presence of skipped numbers;

the numbers of sheets with documents, newspaper cutouts glued and pasted;

the numbers of large-sized sheets;

the number of letter volumes containing documents and the number of pages of these documents.

3.21. The person compiling the certification inscription writes their surname, first name, patronymic, position, and date of compilation, and signs it.

All subsequent changes in the composition and condition of the bound volume (certifications, replacement of original documents with copies, addition of new documents, etc.) are marked in the certification inscription based on relevant documents.

3.22. An internal list is compiled for the record-keeping of permanently and temporarily stored documents, taking into account their specific characteristics.

An internal list is also necessary for permanently and temporarily stored bound volumes formed from various documents, the title of which does not reveal the exact content of the documents.

The necessity of compiling an internal list for bound volume documents is determined by the instructions and regulations regarding document management in the institution.

3.23. The internal list is compiled on a separate sheet in the prescribed form and includes information on the sequential number, index, date, title, and page number of each document in the bound volume.

A final conclusion is compiled for the internal list of the bound volume, indicating the number of documents included in the internal list and the number of internal list pages in numbers and words.

The person compiling the internal list signs it, fully indicating their surname, first name, patronymic, position, and date of compilation.

If the internal list of bound volume documents is covered or stitched without a sheet, the list compiled in the prescribed form is glued to the inner side of the front cover of the bound volume.

3.24. When the composition of documents in the bound volume changes (documents are received, added, replaced with copies, etc.), these changes are reflected in the relevant documents of the internal list, and when necessary, a new final entry and certification inscription are compiled for the internal list of the bound volume.

3.25. Covers of bound volumes for permanent, temporary, and personal staff storage are documented in the following form. The cover of the bound volume indicates:

the name of the bank and the higher organization to which it directly subordinates;

the name of the structural subdivision;

the index of the bound volume;

the number of the bound volume according to the list of bound volumes;

the name of the bound volume;

a brief description of the documents of the bound volume (permanently stored bound volumes consisting of documents of particular value);

the date of the bound volume (volume, part);

the number of pages in the bound volume;

the storage period of the bound volume;

the archive registration marks of the bound volume.

3.26. The cover of permanently stored bound volumes leaves space for writing the name of the state archive to which they are handed over, the code of the state archive, and the bank.

3.27. When documenting the cover of the bound volume, the name of the bank and the name of the bank to which it directly subordinates are written in full in the nominative case. If the bank or higher authority has an officially accepted abbreviated name, it is indicated in parentheses after the full name.

FOR EXAMPLE: Uzbek Joint-Stock Commercial Industrial-Building Bank (UzSanoatQurilishBank).

3.28. The name on the cover of the bound volume is copied from the nomenclature of bank bound volume titles. If a bound volume consists of several volumes (parts), the general title of the bound volume and the title of each volume (part) are placed on the cover of each volume (part).

3.29. The cover of the bound volume compiled in document management must indicate the year the bound volume was compiled and closed.

If documents not corresponding to its date are also stitched into the bound volume, the following is written on a new line below the date: "Documents of ....... year(s) are present in the bound volume."

3.30. The date of bound volumes consisting of orders, creative, and other content documents where an exact date is of great importance, as well as bound volumes consisting of several volumes (parts), is calculated as the date of the first and last documents in the bound volume, i.e., the dates (day, month, year) of registering (compiling) the earliest and latest documents included in the bound volume are considered the date of the bound volume.

3.31. The date of bound volumes consisting of minutes of meetings and gatherings is the date of approval (if they are approved) or the dates of the first and last minutes forming the bound volume.

3.32. When determining the date of a document, the year is indicated first, then the day and month. The year and day are written in numbers, and the month is written in words.

If the date of documents or certain parts of them is determined approximately based on an analysis of the content of the document, the date or certain parts of it are enclosed in parentheses. The entire date or certain parts that are not fully reliable are given together with a question mark.

The date of a personal bound volume is considered the dates of orders signed regarding the hiring and dismissal of the person.

3.33. It is mandatory to indicate the number of pages in the bound volume on the cover. They are written based on the certification inscription and storage period of the bound volume (for permanently stored bound volumes: "For Permanent Storage" is written).

3.34. In accordance with the Basic Rules for Departmental Archives, all bound volumes of the bank intended for permanent and temporary storage in document management, as well as bound volumes related to the personal staff of employees, undergo expertise, and a list of documents is compiled for the bound volumes.

3.35. A list of documents is an archive reference work intended to provide a systematic list of names of bound volumes, reveal their composition and content, and strengthen their systematic arrangement and registration within the fund. Currently, a list of documents is considered the main type of scientific reference work that ensures the accounting of volumes and their rapid search.

3.36. Lists are compiled separately:

for permanently stored bound volumes;

for temporarily stored bound volumes;

for bound volumes related to personal staff and other types;

for specially compiled bound volumes belonging to only one bank;

for departmental service publications.

A separate list consists of a list of completed bound volumes numbered independently (sequentially).

3.37. A list of documents of the types indicated above compiled in document management is compiled for each calendar year for each bound volume kept by each structural subdivision of the bank (Appendix 4a).

NOTE. If there are bound volumes for which a list has not been compiled for several years in structural subdivisions, a single list may be compiled for them in agreement with the archive (bound volumes are placed inside according to the year they were kept).

3.38. The list of documents of structural subdivisions is compiled by the document management service staff of the bank or persons responsible for document management in structural subdivisions under the methodological guidance of the archive, in accordance with the procedure established in the bank's document management instructions.

3.39. The list of documents of structural subdivisions is compiled in the prescribed form (according to Appendix 3) and is handed over to the archive one year after the bound volume in document management is finalized.

3.40. When writing the name of the bound volume in the list, it is first checked whether the quality of formation and documentation of bound volumes, and the number of bound volumes included in the list, correspond to the number of bound volumes compiled according to the bank's bound volume nomenclature.

When checking bound volumes: the correspondence of the volume title to the content of documents in the bound volume; the correctness of the documentation and grouping of documents included in the bound volume; the quality of covering and stitching the bound volume; the correct numbering of bound volume pages; the presence and correctness of an internal list in the bound volume when necessary; the correct documentation of the bound volume cover; the presence and correctness of the certification inscription of the bound volume are checked.

If bound volumes registered in the bank's nomenclature are found to be lost, structural subdivisions take measures to find them. Found bound volumes are registered. If the measures taken do not yield results, a certificate is compiled regarding the reasons for the loss of the missing bound volume, the head of the structural subdivision signs it, and it is handed over to the archive together with the list of documents of the structural subdivision.

3.41. The descriptive section of the list of documents of a structural subdivision includes the following components:

the sequential number of the bound volume (volume, part) according to the list;

the index of the bound volume (volume, part);

the name of the bound volume (volume, part) fully corresponding to the name on the cover of the bound volume;

the date of the bound volume (volume, part);

the number of pages in the bound volume (volume, part);

the storage period of the bound volume.

3.42. The following requirements must be observed when compiling the list of documents of a structural subdivision:

each bound volume is entered into the list with an independent sequential number. If a bound volume consists of several volumes (parts), each volume (part) is entered into the list with an independent number;

the systematic arrangement of bound volumes in the list and the assignment of a list number to the structural subdivision are determined by the archive.

The systematic registration of bound volumes in structural subdivisions corresponds to the systematic nomenclature of bank bound volumes. The number of the structural subdivision list consists of adding the numerical designation of the structural subdivision according to the staffing table, the initial capital letters of the name of the documents forming the list, and the last two digits of the year the bound volumes were compiled.

The lists of documents for permanent, temporary, and personal staff storage of the 5th structural subdivision, which is in the nomenclature and compiled since 1991, will have the numbers 5d-91, 5v-91, and 5sh/t-91.

the columns of the list are filled in exactly corresponding to the information written on the covers of the bound volumes;

when sequentially writing bound volumes with the same name in the list, the name of the first bound volume is written in full, and all other bound volumes of the same type are indicated with the word "as above", while other information about the bound volumes is written in full in the list (the name of the bound volume column is written in full at the beginning of each new page of the list);

the "Note" column of the list is used to record specific features of the physical condition of bound volumes, the transfer of bound volumes to other structural subdivisions of the bank, the presence of copies, etc.

3.43. At the end of the list, a final conclusion is compiled after the last descriptive section, indicating the number of existing bound volumes in the list (in numbers and words), the first and last numbers of bound volumes according to the list, as well as the specific features of numbering bound volumes in the list (bound volumes marked with letters and skipped numbers).

3.44. The person compiling the list of documents of a structural subdivision signs it, indicating their position, the list is agreed upon with the head of the bank's document management service, and approved by the head of the structural subdivision.

3.45. The list of documents of a bank structural subdivision is compiled in two copies, one of which is handed over to the archive together with the bound volumes, and the second remains in the structural subdivision as a control copy.

3.46. Temporary numbering of bound volumes is carried out on the covers of bound volumes included in the structural subdivision list with a soft black pencil in agreement with the archive.

3.47. The preparation of the list of a structural subdivision serves as the basis for compiling the annual section of the consolidated list of bank documents, which is the responsibility of the archive (the person responsible for the archive).

3.48. Bound volumes for permanent, temporary storage, and related to the personal staff of employees are handed over to the archive.

3.49. Bound volumes for temporary storage (up to 3 years) are generally not handed over to the archive; they are stored in a centralized manner in the document management service or in structural subdivisions, and after the expiration of the storage period, they are destroyed in the prescribed manner. These bound volumes may be handed over to the archive only in exceptional cases, by decision of the bank head. They are handed over to the archive according to the list of documents or nomenclature.

3.50. Bound volumes are handed over to the bank archive according to a schedule compiled by the archive, approved by the bank head, and agreed upon with the heads of the bank and structural subdivisions handing over the documents to the archive.

3.51. During the period of preparing bound volumes for handover to the bank archive by structural subdivisions, an archive employee checks in advance their correct preparation, documentation, and whether the number of bank bound volumes included in the list corresponds to the number of bound volumes compiled according to the bank's bound volume nomenclature. If bound volumes are found to be lost, a certificate is compiled (see paragraph 3.40).

3.52. The head of the bank archive (the person responsible for the archive, a special employee of the archive) accepts each bound volume with the participation of an employee of the structural subdivision. In this case, a mark is placed on both copies of the list compiled for each bound volume regarding the existence of the bound volume. The list indicates at the end of each copy the number of bound volumes actually accepted into the archive in numbers and words, the numbers of lost bound volumes, the date of acceptance/handover of the bound volume, as well as the signatures of the bank archive employee and the person handing over the bound volume.

When accepting bound volumes of particular value, the number of pages in them is checked.

3.53. Consolidated files are handed over to the bank archive in conjunction with employees of the structural subdivisions. Along with the consolidated files, the bank archive is also handed over the card index for registration and control of documents by the registry (secretariat). The name of each card index is entered into the register.

4. ENSURING THE INTEGRITY OF ARCHIVAL DOCUMENTS

4.1. To ensure the integrity of documents in the archive, the following actions must be carried out:

• creating optimal conditions for the integrity of documents;
• placing documents in storage areas;
• observing the procedure for issuing consolidated files from the archive;
• maintaining document accounting, checking their availability and condition;
• identifying the composition of documents of particular value and forming their insurance fund;
• ensuring the physical and chemical integrity of documents.

4.2. To ensure acceptable conditions for the integrity of documents, the following measures must be taken:

• allocating rooms for the bank archive and repairing them on a planned basis;
• equipping archive rooms with fire extinguishing equipment (OP, RA, OU, and other types of fire extinguishers), fire protection and alarm devices;
• using special equipment for document storage (shelves, safes, boxes, etc.);
• ensuring acceptable temperature-humidity and lighting conditions in the archive room, and conducting sanitary-hygienic measures.

4.3. Separate rooms (in large banks, if necessary, specially constructed and equipped or adapted buildings for document storage) are allocated for the bank archive in accordance with the volume and composition of the stored consolidated files.

4.4. A special building for the bank archive is designed according to model projects of state archives, as well as individual projects agreed upon with interested organizations.

4.5. When constructing the administrative building of the bank, the construction of special rooms for the archive must also be envisaged. If there are no specially equipped rooms for the archive, rooms adapted for the archive are allocated from the bank's administrative building.

4.6. Creating acceptable conditions for the integrity of documents and working with them requires allocating the following rooms for the archive:

• storage areas for storing documents;
• rooms for receiving, temporary storage, and acclimatization of documents;
• work rooms for archive staff.

Work rooms for staff must be separate from document storage rooms.

Document storage rooms that are not separated from work rooms by a wall are fenced off with a specially installed mesh. Foreign persons are allowed into document storage rooms only with the permission of the archive director and in the presence of an archive employee.

4.7. Archive rooms must be located far from laboratories, production facilities, warehouses, and household service rooms where food products or chemical substances are stored or used, and must not have common ventilation ducts with them.

Archive rooms must be fire-safe, guaranteed against flooding, and have an additional exit door.

4.8. The exterior (paneling) and doors of the archive building must be covered with asbestos cloth and metal mesh on both sides and have strong locks. During non-working hours, they are sealed or stamped. The seal or stamp is kept together with the keys by the bank duty officer or in a place specified by the internal order rules. Archive rooms are equipped with security devices. Double-layered metal grilles with stamped locks are installed on the windows.

4.9. Archive rooms are accepted by a commission appointed by the bank head before documents are placed in them. The commission must consist of representatives of the structural subdivision to which the archive belongs, the relevant institution of the state archive service, the fire protection service, and the sanitary-epidemiological station.

The commission checks the technical equipment of the archive rooms and the temperature-humidity conditions in them, and draws up an act based on this. The act is approved by the bank head. Subsequent inspections of the condition of the archive rooms are conducted at least once every 5 years at the request of the archive director.

4.10. Electrical wires in archive rooms are laid in a closed manner; it is not permitted to pass electrical wires through gas pipes. Lighting is carried out with closed-type (semi-hermetic, etc.) luminaires. Luminaires and electrical switches must operate in a closed manner. Distribution electrical panels, protectors, sockets, and switches are installed outside the archive room.

For the protection of staff, all electrical equipment is connected to a protective circuit grounded.

4.11. Archive rooms fall into category "V" in terms of fire hazard. An archive room must be located in buildings with a fire resistance rating of not less than the second degree.

4.12. The main fire-fighting means in archives are carbonic acid (OU-3, OU-5, OU-25, etc.) and powder (OP-5, OP-6, etc.) fire extinguishers, at least one for every 50 sq. meters, but at least two in each separate room.

4.13. Warehouses and rooms for working with documents must be equipped with fire alarm devices (DIP-3, DIP-5, DIP-10, OSD-5, etc.).

4.14. Instructions on fire protection measures, the list of firefighters in case of a fire, and the plan for removing documents and property must be posted on a wall in a visible place in the archive. All archive staff are included in the firefighter unit, and they are periodically, but at least once every three months, conducted fire safety drills and practical actions during a fire.

In the event of a fire, all staff perform their pre-assigned duties and actively participate in extinguishing the fire.

In archive rooms:

• smoking;
• the use of electric heating devices;
• the storage of food products, highly flammable substances, and explosive materials is prohibited.

4.15. In archive rooms operating without air exchange, it is recommended to ventilate the rooms, install additional sources of air humidification or devices for drying the room, etc., to improve the storage regime.

The temperature-humidity regime for document storage should correspond to a storage temperature of ± 14±20° C, and air humidity should be 50-60%.

4.16. The temperature-humidity regime for document storage is controlled by measuring air temperature and humidity indicators twice a week at the same time.

4.17. Control measuring devices are installed away from heating and ventilation systems, on the main aisles of shelves.

4.18. Closed cabinets and safes used for storing documents are ventilated at least once a week.

4.19. Archive warehouses can be lit naturally and artificially. Direct sunlight hitting documents is not permitted.

4.20. Archive rooms must be kept clean, and the appearance of moths, insects, rodents, and the accumulation of dust must be prevented.

4.21. Protection of documents from dust:

• ensuring the highest hermeticity of archive warehouse rooms, equipping them with air purification devices from dust and toxic gas mixtures;
• cleaning archive warehouse rooms and document shelves at least once a year using an electric vacuum cleaner or cotton (doxa) tampons moistened with a formalin mixture;
• constantly wiping archive rooms with a wet cloth: floors, skirting boards, and window sills at least once a month with a water mixture of appropriate chemical agents;
• ventilating archive rooms periodically. The appropriateness of ventilation must be carried out taking into account the absolute humidity of internal and external air.

4.22. Sanitary-hygienic work (dusting, moving consolidated files, etc.) in archive rooms is envisaged in the bank archive work plan (at least once a month) by holding cleanliness days.

4.23. Archive rooms must be equipped with movable cabinets of the specified type. Wooden shelves are placed in archive rooms only if they are treated with fire-resistant materials. The structure and dimensions of shelves, as well as shelves intended for documents of a separate format (newspapers, drawings, plans, etc.), are determined in accordance with the dimensions of these documents.

4.24. Safes or metal cabinets are used for storing confidential, documents of particular value, and accounting documents of the archive.

Card index cabinets are installed for placing card index data relevant to documents in the archive warehouse or work room.

4.25. Archive rooms must be arranged so that the workstations of archive staff are rationally organized for the purpose and necessary conditions are created for their effective work.

4.26. In the event of emergencies (fire, flooding, unauthorized entry of a foreign person into the archive with malicious intent, and other cases), measures are taken to preserve and protect documents. An act is drawn up with the participation of representatives of the relevant authorities (fire protection, police, technical control, etc.) regarding the incident that occurred.

4.27. A commission is appointed by the bank head to determine the causes of the emergency, the physical condition of the documents, and to check their availability. The results of the commission's work are formalized by an act.

4.28. In the event of an emergency, the archive develops a plan for moving documents to another location and taking them to safe places, which must include:

• the procedure and location for moving documents to safe places;
• the list and number of documents to be moved and taken to safe places in the 1st, 2nd, and 3rd priority;
• the list of employees responsible for moving documents to safe places;
• measures for protecting moved and taken-to-safe-places documents.

If an emergency occurs, the plan for moving documents to safe places must be pre-agreed with the relevant service departments and approved by the bank head.

All archive staff must be familiar with the plan for moving documents to safe places.

4.29. Consolidated files are rationally placed in archive rooms, taking into account the following:

• creating favorable conditions necessary for storing bank documents;
• the annual movement of consolidated files (receiving and handing over consolidated files);
• creating conditions for the prompt use of documents.

4.30. All documents received by the bank archive are stored in shelves in archive rooms, with documents of each structural subdivision collected in one place and arranged according to the annual receipt order.

4.31. Permanent documents are placed in a separate location from temporary storage and personnel-related documents.

4.32. Documents of liquidated banks are stored separately.

4.33. Permanent documents are stored in cardboard boxes, folders, or containers made of materials that do not harm the documents, while temporarily stored documents are stored bound.

Labels are attached to boxes and bundles indicating the name of the structural subdivision, the number of the fund and list, the year(s) of the consolidated files included in this box (bundle), and the serial number of the first and last consolidated file. Boxes (bundles) are numbered with serial numbers within each fund and list.

4.34. Consolidated files in boxes (or bundles) can be placed on shelves horizontally or vertically. The procedure for placing consolidated files is determined depending on their storage conditions.

Boxes and bundles must not protrude from the shelves of the shelves. Storing documents in cargo containers, placing them on the floor, window sills, stair landings, and other places not intended for this purpose is not permitted.

4.35. Consolidated files from archive rooms may be issued to employees of structural subdivisions for use with the written permission of the bank head, as well as temporarily issued to them based on written requests from courts and investigative bodies. Working with documents is carried out under the supervision of an archive employee in the archive's work room.

Access to archive documents for the user is ensured by providing the scientific-reference apparatus, as well as the relevant archive documents or their copies. (Note 4.35 was supplemented with a second paragraph in accordance with Resolution No. 27/1-1 of the Board of the Central Bank of the Republic of Uzbekistan dated August 14, 2010 (registration number 841-1, 08.09.2010) — UR NLT, 2010, No. 35-36, Article 312)

4.36. The issuance of consolidated files from the archive room, as well as the issuance and formalization of archive information, document copies, and extracts, is recorded in registers (Appendix 4).

The issuance of consolidated files from the archive room is formalized with the following documents:

• issuance of consolidated files to the bank's structural subdivisions for temporary use — with orders (requests);
• issuance to other organizations for temporary use — formalized with an act.

4.37. The issuance of consolidated files to other organizations for temporary use is formalized by an act drawn up in two copies (on the general form of the bank); one copy of the act remains in the archive, and the second is given to the recipient of the consolidated file.

The head of the bank issuing the consolidated file and the head of the organization receiving it sign the act; the signatures are sealed with the seals of these organizations.

4.38. The sending of consolidated files for repair, restoration, binding, and copying is formalized by an order.

4.39. The integrity of consolidated files returned to the archive after use must be checked in the presence of the person returning these documents. If a shortage of consolidated files or the absence of some pages is detected, as well as if the consolidated files and documents are damaged, an act is drawn up in two copies. One is sent to the head of the organization that used the document or to the relevant authorities for identifying and holding the guilty parties accountable, and the second remains in the archive.

4.40. The main tasks for checking the availability and integrity of consolidated files include:

• determining the actual availability of consolidated files listed in the register;
• identifying consolidated files that are not temporarily used, require preventive processing, and restoration.

4.41. Checking the availability and integrity of consolidated files is part of the regular planned work of the archive.

Checking the availability and integrity of permanent consolidated files is conducted at least once every 5 years, and before handing them over to the state archive, it is mandatory.

Checking the availability and integrity of personnel-related and permanent documents is conducted at least once every 10 years.

The availability and integrity of consolidated files in the archive are checked simultaneously in the following cases:

• after consolidated files are moved to another room;
• after an emergency causing the movement of consolidated files to another room (moving out) or unauthorized entry of foreign persons into the archive room;
• when handing over based on the handover-acceptance act by the archive director or the person responsible for the archive;
• when the bank is reorganized and when it is liquidated.

Checking the availability and integrity of consolidated files is conducted by archive staff or a specially appointed commission by order of the bank head.

The results of each check are formalized by a separate act for each fund. After the act is approved by the bank head, necessary changes are made to the accounting documents.

4.42. For checking the availability and integrity of consolidated files, the list of consolidated files is compared with the list on the cover of the consolidated file with the descriptive item.

The physical condition of consolidated files is determined by going through them one by one. All identified deficiencies and defects are recorded in the inspection sheet, and then in the inspection act.

4.43. The inspection sheet for checking the availability and integrity of consolidated files in the fund is drawn up when all documents of the fund are being checked. If the fund is large in volume and has a large number of lists, it is permitted to draw up a separate inspection sheet for each list. Inspection sheets are numbered with serial numbers within each fund, and executors sign them.

4.44. After checking the availability and integrity of consolidated files for each list, "Checked" is written at the end of the list after the confirming header, and the date of the check is indicated; these entries are signed by the employees who conducted the check, indicating their positions.

4.45. If there are lettered, repeated, or skipped numbers not indicated in the final conclusion in the list, the final conclusion is redrawn, a mark is placed on the inspection sheet, and this is recorded in a generalized form in the act of checking the availability and integrity of fund consolidated files.

4.46. Based on the final conclusions in the inspection sheets, an act is drawn up for checking the availability and integrity of consolidated files in the fund. Each act is signed by the employee who conducted the check and approved by the bank head. Acts are numbered by the serial numbers of the checks conducted within the fund, and after approval, they are attached to the relevant fund consolidated file. Work is carried out to eliminate deficiencies identified in accordance with the acts.

4.47. The bank archive, in agreement with the state archive and under its direct leadership, identifies documents of particular value of the National Archive Fund of the Republic of Uzbekistan.

The identification of such documents is carried out in the following sequence:

• identifying funds;
• identifying consolidated files by list;
• direct review of the selected consolidated files.

The list of funds selected for review is mandatory agreed upon with the state archive. Documents of particular value are identified in the composition of existing document lists. Consolidated files of particular value are drawn up according to the form in Appendix 9.

After the list is approved, the index "SPV" (Special Value) is placed in the upper right corner of the cover of the consolidated files of documents of particular value.

4.48. Consolidated files of particular value are separated from other consolidated files in the archive and stored separately; they are located near the exit doors of the archive room and are taken out first. The most favorable and rational conditions must be created for the integrity of these documents, and strict protection and fire protection rules must be established.

4.49. Banks prepare insurance copies of documents of particular value of the National Archive Fund of the Republic of Uzbekistan. The bank archive carries out the work of preparing documents for copying insurance copies.

4.50. The collection of insurance copies of documents of particular value stored in the bank archive constitutes the insurance fund of documents of particular value.

4.51. The insurance fund of documents of particular value is established for the purpose of preserving valuable document information in case the original copy of the document is lost or damaged. This fund is inviolable, and insurance copy documents must be stored in a special place, separated from the original copies of the documents.

5. MAINTAINING ACCOUNTING OF DOCUMENTS IN THE ARCHIVE

5.1. Maintaining accounting of documents in the archive is one of the means of ensuring their integrity and controlling their availability.

Accounting must be maintained for all documents stored in the archive, including unregistered documents, documents not related to this archive area, insurance copies of documents of particular value, the fund of documents in use (if available), as well as the register of documents.

5.2. In maintaining accounting of archive documents, centralized and generally accepted principles of maintaining accounting of documents in the registry and state archive are observed. These principles are reflected in the accepted single units of accounting, accounting forms, and basic information regarding the composition and content of documents.

5.3. Accounting of documents in the archive is maintained by funds (combined funds), collections, storage units (consolidated files).

5.4. Centralized accounting of documents is mandatory in the archive; if there are several archive rooms, documents are accounted for separately for each archive room.

5.5. All documents accounted for in maintaining centralized accounting in the archive must be accumulated in the person responsible for maintaining their accounting, and archive room accounting documents must be under the control of the relevant persons responsible for maintaining this document accounting. Documents related to accounting are stored in safes or metal cabinets in the archive room (or a specially allocated room).

5.6. Accounting of documents in the archive is carried out based on main and auxiliary accounting documents. Maintaining main accounting documents is mandatory for each bank archive. The necessity and type of maintaining auxiliary accounting documents are determined by the archive.

5.7. The main accounting documents of the archive include:

• a register of incoming and outgoing documents for maintaining accounting of each document received by and issued from the archive (Appendix 4);

• a register of documents received by and issued from the insurance fund and the fund of use for maintaining accounting of each document received by and issued from the insurance fund and the fund of use;

• a register of funds for general and separate registration and numbering of funds and collections;

• a fund sheet (Appendix 5) for recording changes in the fund name, maintaining accounting of the list of fund consolidated files and their numbering, and reflecting changes in the composition and volume of the fund;

• a register of documents (Appendices 3, 6, 7, 8) for separate and general accounting of consolidated files; Note. Accounting for documents stored for up to 10 years can be maintained according to the nomenclature of consolidated files.

• a register of documents of particular value (Appendix 9) for separate and general accounting of consolidated files of particular value.

5.8. Documents of the National Archive Fund stored in archives are accounted for in the form of a fund sheet (Appendix 10).

5.9. The register of incoming and outgoing documents (Appendix 4) is intended for recording changes in funds in the archive. An independent serial number is assigned to each received or outgoing consolidated file. If received consolidated files consist of documents from several funds, information relevant to each fund (name, number of the fund, etc.) is written in a new row after this serial number. In an archive where one fund is stored, the accounting of incoming and outgoing documents is maintained according to the fund sheet.

Note: A bank archive with a complex structural structure may maintain accounting of incoming and outgoing documents for each structural subdivision separately and independently in the register of incoming and outgoing documents.

If fund documents arrive at the archive for the first time, the fund number is assigned after a number is given to the fund in the register of incoming and outgoing documents. If the incoming documents are a structural part of the fund documents already existing in the archive, the number previously assigned to this fund is indicated in the corresponding row of the register. If documents not in the register arrive or are taken away, the sign "Not Registered" is placed in row 6 of the registration book, and information about the volume of documents is provided in rows 13-14 of the registration book. The registration book counts the number of documents (case files) that arrived and were taken away during the year.

5.10. In archives where documents of two or more funds are stored, a fund list is compiled. When fund (combined fund) documents arrive at the archive for the first time, they are entered into the fund list. New documents arriving at the archive fund are given the next number in the fund list according to the order of arrival. A slash is placed after the fund number assigned for transfer to the State Archive, and the corresponding number assigned when the part of the fund was first transferred to the State Archive is added.

If the fund consists of documents of separate value, the index "AQE" (High Value) is added to its number.

If the fund has been transferred to another archive, included in a combined fund, or all its documents have been taken away, the freed number is not assigned to another fund. In columns 4-5 of the fund list ("sign of receipt"), the name of the archive where the fund arrived, as well as the name, number, and date of the document serving as the basis for the fund's removal, are indicated.

The fund name is copied from the fund sheet into the list.

If the name of the fund creator changes, the fund list indicates: for operating banks, their names at the time of entry into the fund; for liquidated banks, their last names. All previous and subsequent names are listed in the fund sheet and fund card index. Combined funds are entered under the general name "Combined Fund."

Blank lines are left between fund names. A final summary is compiled for the fund list as of January 1 of each year, indicating the number of funds stored, the number of funds consisting of documents of separate value, and the free numbers in the fund list (if any).

5.11. The document list, while performing several functions simultaneously, also serves as a primary accounting document for the separate and general registration of permanent, temporary storage, and personnel-related case files. In separate accounting, an independent number is assigned to each case file (storage unit). General accounting of case files is achieved by compiling final summaries of the lists (see clause 3.43).

Changes in the volume of case files in the list related to their receipt, arrival, addition, or reprocessing are reflected in the final summaries of the list.

If the list consists of several volumes (parts), a general final summary is compiled in the last volume (part) for all lists (all volumes, parts).

5.12. The list of documents of structural subdivisions serves as an accounting document until the annual section of the bank's consolidated document list is compiled and is stored in the fund case file until these years' documents are transferred to the State Archive.

5.13. A sequential number is assigned to each completed fund sheet in the general order. Simple sequential numbers are assigned to completed lists of permanently stored documents. If fund documents have been transferred to the State Archive for storage, the number of the completed list is agreed upon with this archive.

Indexes "sh" (personnel) are assigned to completed lists related to personnel, and index "v" is assigned to completed lists of temporarily stored documents.

The sequential number of a structural subdivision list is formed by adding the index "tb" (structural subdivision) to the structural subdivision number, followed by a dash and the last two digits of the calendar year in which the case file included in the list was formed.

For example: 1tb-91; 4tb-93.

If all case files stored according to a completed list are removed from accounting, its number is not assigned to another list.

5.14. The accounting document for separate registration of temporarily stored case files is usually the consolidated nomenclature of bank case files, where the list and final summary are written. The number is formed by adding a dash after the index "Vn" and the last two digits of the calendar year in which the case file nomenclature was formed.

For example, Vn-91; Vn-93.

5.15. Lists and their replacing case file nomenclatures are stored separately for each fund; within the fund, lists of permanently and temporarily stored documents and those related to personnel are placed separately, and then by list numbers.

5.16. The Fund Sheet (Appendix 5) is maintained starting from the time documents first arrive at the fund.

The Fund Sheet is filled out in compliance with the following main requirements:

• if the fund consists of documents of separate value (AQE), the index "AQE" is added to its number;
• in the column "Fund Location," the name of the bank where the archive storing the fund is located is indicated;
• in the column "Date of First Arrival of the Fund," the date when the fund case files first arrived at this archive is indicated; for combined archive funds and collections, the date of their first arrival at the archive or the date of formation within the archive structure is indicated;
• in the column "Boundary Dates of Each Fund Name," the initial and final dates of operation of the bank under each name are indicated, regardless of whether there are documents in the fund for this period.

This column is filled out as follows:

• for a combined archive fund formed according to the object of activity or bank subordination, the last date of the fund object or the governing body formed on this basis is indicated;
• for a combined archive fund consisting of documents of banks that continuously replaced each other, the first date of formation of one of them and the final date of cessation of the last one are indicated. If the organization is still operating, the last date is not entered.

In the "Fund Name" column, the names of the banks that formed the fund and the institutions under their subordination are listed, regardless of whether they have documents during this period from the time of their emergence.

For combined archive funds, in the column allocated for them, the general name of the fund is indicated, and then the names of all banks whose documents were part of the combined fund throughout the entire period of their existence are listed.

All subsequent changes in the names of the banks that formed the fund and the institutions under their subordination are recorded in the fund sheet as the fund documents arrive at the archive.

6. PROCEDURE FOR TRANSFERRING ARCHIVAL DOCUMENTS TO THE STATE ARCHIVE STOREHOUSE

6.1. Permanent documents in bank archives are transferred to the State Archive for permanent storage after the expiration of the established retention periods for them.

6.2. The list of retention periods for documents in bank archives is agreed upon with the "Uzarxiv" Agency under the Cabinet of Ministers of the Republic of Uzbekistan. (Paragraph 6.2 in the edition of Resolution No. 27/1-1 of the Board of the Central Bank of the Republic of Uzbekistan dated August 14, 2010 (register No. 841-1, 08.09.2010) - HRIT, 2010, No. 35-36, Article 312)

6.3. If the necessary conditions for safe storage are insufficient, documents whose retention periods have not expired may be transferred to the State Archive in agreement with the State Archive. Documents of liquidated banks are transferred to the State Archive ahead of schedule only if the bank has been fully liquidated.

6.4. The relevant archival authorities determine the transfer of documents from the bank archive to the State Archive.

6.5. The transfer of documents from the bank archive to the State Archive is usually carried out annually in accordance with a schedule approved by the heads of banks and relevant archival institutions. Banks that accumulate a small volume of permanently stored documents (up to 200 case files) per year are allowed to transfer their documents once every three to five years.

Documents of separate value are transferred to the State Archive together with a separate list, necessary scientific information, insurance copies, and documents regarding their technical condition.

6.6. Documents are transferred to the State Archive according to an approved list in the established order. The acceptance of documents by the State Archive is carried out based on an acceptance-transfer act (Appendix 11) drawn up in two copies.

6.7. Before transferring documents from banks to the State Archive, a representative of the State Archive checks the physical and sanitary-hygienic condition of the documents at the bank. If deficiencies are identified, an act is drawn up by the State Archive employee according to the form in Appendix 11; the identified deficiencies are eliminated by the bank.

6.8. When documents are transferred to the State Archive, after the expert-examination commission approves the list, two additional copies of the list are submitted in addition to the control copy given to the State Archive. Case files are transferred separately according to the list; the number of sheets in case files of separate value is checked and transferred. The second copy of the list remains at the bank together with a copy of the act.

6.9. When documents are transferred to the State Archive for the first time, a historical reference about the bank is submitted. When these bank documents are transferred to the State Archive subsequently, additions are made to the historical reference regarding changes in the bank's name, functions, structural structure, and the composition of documents transferred to the State Archive under its subordination.

(Chapter 7 lost its force in accordance with the "Instructions on Electronic Archival Work in the Banking System of the Republic of Uzbekistan" approved by the Central Bank of the Republic of Uzbekistan and the Main Archive Administration under the Cabinet of Ministers of the Republic of Uzbekistan on September 2, 2000, No. 479 (register No. 970, 15.09.2000) - Normative Documents Bulletin, 2000, No. 17)

With the entry into force of these Rules, the "Rules on Maintaining Archival Work in Institutions of Banks of the Republic of Uzbekistan" No. 147 dated July 26, 1995, of the Central Bank lose their force.

Deputy Chairman of the Central Bank M.R. JUMAGALDIEV

Director of the State Archive I.A. ABDULLAYEV

APPENDIX 1

__ NUMBERED CASE FILE CONFIRMATORY SHEET

Case file (attached and numbered)___________________________________________________

(number and in words) sheet(s) stitched:

including, numbered sheets _________________________________________________ unnumbered (dropped) internal list sheets_______________________________________________

---

Formation of case files and importance of physical condition

Sheet numbers

1

2

Compiler Title of position "_____"_____________199______year

---

(signature)

---

(Signature interpretation)

Archivist (person responsible for the archive) "_____"_____________199______year

---

(signature)

---

(Signature interpretation)

APPROVED

By the Protocol of the Bank MEC of ""______ 199_____year No. ____

APPROVED

By the Protocol of the ETK of the Ministry of Finance of the Republic of Uzbekistan of ""______ 199_____year No. _____

APPENDIX 10

FUND SHEET No. _____