INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of July 22, 2014 No. 3338-U

About procedure for carrying out by territorial offices of the Bank of Russia of checks of observance by credit institutions of requirements to the calculating and sorting machines used when processing the banknotes of the Bank of Russia intended for issue to clients

According to the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)" (The Russian Federation Code, 2002, No. 28, Art. 2790; 2003, No. 2, Art. 157; No. 52, Art. 5032; 2004, No. 27, Art. 2711; No. 31, Art. 3233; 2005, No. 25, Art. 2426; No. 30, Art. 3101; 2006, No. 19, Art. 2061; No. 25, Art. 2648; 2007, No. 1, Art. 9, Art. 10; No. 10, Art. 1151; No. 18, Art. 2117; 2008, No. 42, Art. 4696, Art. 4699; No. 44, Art. 4982; No. 52, Art. 6229, Art. 6231; 2009, No. 1, Art. 25; No. 29, Art. 3629; No. 48, Art. 5731; 2010, No. 45, Art. 5756; 2011, No. 7, Art. 907; No. 27, Art. 3873; No. 43, Art. 5973; No. 48, Art. 6728; 2012, No. 50, Art. 6954; No. 53, Art. 7591, Art. 7607; 2013, No. 11, Art. 1076; No. 14, Art. 1649; No. 19, Art. 2329; No. 27, Art. 3438, Art. 3476, Art. 3477; No. 30, Art. 4084; No. 49, Art. 6336; No. 51, Art. 6695, Art. 6699; No. 52, Art. 6975; 2014, No. 19, Art. 2311, Art. 2317; No. 27, the Art. 3634) and the solution of the Board of directors of the Bank of Russia (the minutes of the Board of directors of the Bank of Russia of July 11, 2014 No. 21) this Instruction establish procedure for carrying out by territorial offices of the Bank of Russia of checks of observance by credit institutions of requirements to the calculating and sorting machines used by credit institutions when processing the banknotes of the Bank of Russia intended for issue to clients, established by Items 1.1 and 2.9 of the Provision of the Bank of Russia of January 29, 2018 No. 630-P "About procedure for conducting cash transactions and storage precautions, transportations and collections of banknotes and coin of the Bank of Russia in credit institutions in the territory of the Russian Federation", No. registered by the Ministry of Justice of the Russian Federation on June 18, 2018 51359, on June 10, 2020 No. 58625.

Chapter 1. General provisions

1.1. Observance by credit institutions of requirements to calculating and sorting machines are performed in credit institutions (branches) (further - credit institution), the internal structural divisions of credit institution opened according to regulations of the Bank of Russia (further - VSP).

Check of observance by credit institutions of requirements to calculating and sorting machines consists in determination of capability of calculating and sorting machines to distinguish on all area of banknote at least four machine-readable protective signs of banknotes of the Bank of Russia according to Items 1.1 and 2.9 of the Provision of the Bank of Russia of January 29, 2018 No. 630-P "About procedure for conducting cash transactions and storage precautions, transportations and collections of banknotes and coin of the Bank of Russia in credit institutions in the territory of the Russian Federation" (further - the Provision of the Bank of Russia No. 630-P) (further - machine-readable protective signs of banknotes) by conducting testing of calculating and sorting machines.

Testing of calculating and sorting machines is held according to the procedure, established in Chapter 2 presents of the Instruction, with use of the banknotes of the Bank of Russia prepared by credit institution, VSP according to Item 1.7 of this Instruction, and printing products of the organization which is making banknotes and coin of the Bank of Russia, similar to banknotes of the Bank of Russia on graphic design, paper and methods of seal, but having variations from specifications of production of banknotes of the Bank of Russia including the word "SAMPLE" on site for the left serial number (further - test samples).

1.2. The organization and conducting checks of observance by credit institutions of requirements to calculating and sorting machines is performed according to the Instruction of the Bank of Russia of January 15, 2020 No. 202-I "About procedure for conducting checks of persons under surveillance of persons by the Bank of Russia", registered by the Ministry of Justice of the Russian Federation on April 22, 2020 No. 58159 (further - the Instruction of the Bank of Russia No. 202-I), and with the regulation of the Bank of Russia about the organization of inspection activities of the Bank of Russia.

1.3. Testing of calculating and sorting machines shall be held (including in case of inclusion of question of observance by credit institutions of requirements to the calculating and sorting machines used by credit institutions when processing the banknotes of the Bank of Russia intended for issue to clients (further - question of observance by credit institutions of requirements to calculating and sorting machines), in structure of other questions which are subject to check) employees of territorial offices of the Bank of Russia in number of at least two people (further - working group).

1.4. All calculating and sorting machines used by credit institution, VSP when processing the banknotes intended for issue to clients are subject to testing.

1.5. Testing of each calculating and sorting machine is held at least once in 36 months.

1.6. For conducting testing of calculating and sorting machines the head of credit institution, VSP carries out the organizational actions aimed at providing conducting testing of calculating and sorting machines including for preparation of banknotes of the Bank of Russia according to Item 1.7 of this Instruction, determines employees of credit institution, VSP performing the organization of testing of calculating and sorting machines and interaction with working group (further - responsible persons of the checked credit institution).

1.7. For conducting testing of calculating and sorting machines the treasurer of credit institution, VSP shall prepare at least 100 banknotes of the Bank of Russia of each of nominals: 100 rubles, 500 rubles, 1000 rubles and 5000 rubles.

Chapter 2. Procedure for conducting testing of calculating and sorting machines

2.1. Testing of the calculating and sorting machine is carried out in two steps.

Results of testing of the calculating and sorting machine are drawn up according to appendix 1 to this Instruction (further - results of testing).

2.1.1. On the first test stage of the calculating and sorting machine processing of banknotes of the Bank of Russia in the mode providing sorting of banknotes of the Bank of Russia on suitable and shabby with simultaneous check of machine-readable protective signs of banknotes is carried out.

The cash employee of credit institution, VSP in the presence of the working group and responsible persons of the checked credit institution carries out processing of the banknotes of the Bank of Russia specified in Item 1.7 of this Instruction by the calculating and sorting machine for all provisions of banknotes of the Bank of Russia according to appendix 2 to this Instruction.

The banknotes of the Bank of Russia removed by the calculating and sorting machine after the first run in pocket of manual completion are allowed to be subjected by the calculating and sorting machine to repeated run.

Results of processing of banknotes of the Bank of Russia for each tested calculating and sorting machine are reflected working group in columns 3, 5 - 7 parts 1 "The first stage (banknotes of the Bank of Russia are used)" of results of testing.

2.1.2. On the second test stage of the calculating and sorting machine processing of test samples in the mode, certain in paragraph one of subitem 2.1.1 of this Item is carried out.

The working group in the presence of responsible persons of the checked credit institution carries out processing of test samples by the calculating and sorting machine for all provisions of test samples according to appendix 2 to this Instruction.

Test samples on one are once passed through path of the calculating and sorting machine. For each test sample the result is reflected working group in columns 2 - 11 parts 2 "The second stage (test samples are used)" of results of testing.

If all test samples intended for check of one sign for all checked nominals of banknotes of the Bank of Russia and for all provisions of test samples were sent by the calculating and sorting machine to pocket of manual completion, then the machine-readable protective sign of banknotes is considered distinguished by the calculating and sorting machine, in the column 12 of part 2 "Second stage (test samples are used)" of results of testing the positive result is reflected, otherwise in the column 12 of part 2 "Second stage (test samples are used)" of results of testing the negative result is reflected.

2.2. Testing of the calculating and sorting machine has positive result if the calculating and sorting machine distinguishes at least four machine-readable protective signs of banknotes. In results of testing it is specified that the calculating and sorting machine passed test with positive result.

2.3. Testing of the calculating and sorting machine has negative result if the calculating and sorting machine distinguishes less than four machine-readable protective signs of banknotes. In results of testing it is specified that the calculating and sorting machine did not pass test with positive result.

2.4. Results of testing are signed by the head of working group and members (member) of working group who held testing of the calculating and sorting machine, and responsible persons of the checked credit institution.

2.5. In need of the course of check of credit institution, VSP repeated testing of the calculating and sorting machine after obtaining from credit institution, VSP of the written message constituted in any form about the performed tuning of the calculating and sorting machine which did not pass test with positive result can be held.

Chapter 3. Features of registration of results of check concerning observance by credit institutions of requirements to calculating and sorting machines

3.1. Results of the inspection which is carried out only concerning observance by credit institutions of requirements to calculating and sorting machines are reflected in the final inspection statement, stipulated in Item 5.7 Instructions of the Bank of Russia No. 202-I.

In case of inclusion of the specified question in structure of other questions which are subject to check, results of its check are reflected in the intermediate inspection statement or in the inspection statement on the single questions constituted before date of completion of check according to Item 5.10 of the Instruction of the Bank of Russia No. 202-I.

3.2. Analytical part of the inspection statement concerning observance by credit institutions of requirements to calculating and sorting machines joins data:

about names, serial (factory) numbers, dates of issue of calculating and sorting machines, numbers of versions of the software, dates of commissioning, useful lifex;

about results of testing of calculating and sorting machines;

about results of repeated testing of calculating and sorting machines (in case of its carrying out);

about the elicited facts of discrepancy of calculating and sorting machines to the requirements established by Items 1.1 and 2.9 of the Provision of the Bank of Russia No. 630-P.

Results of testing are appendix to the inspection statement concerning observance by credit institutions of requirements to calculating and sorting machines.

Chapter 4. Final provisions

4.1. This Instruction becomes effective after 10 days after day of its official publication in "the Bulletin of the Bank of Russia".

Appendix 1

to the Instruction of the Bank of Russia of July 22, 2014 No. 3338-U "About procedure for carrying out by territorial offices of the Bank of Russia of checks of observance by credit institutions of requirements to the calculating and sorting machines used when processing the banknotes of the Bank of Russia intended for issue to clients"

See Appendix 1 (10Kb In original language)

Appendix 2

to the Instruction of the Bank of Russia of July 22, 2014 No. 3338-U "About procedure for carrying out by territorial offices of the Bank of Russia of checks of observance by credit institutions of requirements to the calculating and sorting machines used when processing the banknotes of the Bank of Russia intended for issue to clients"

See Appendix 2 (3Kb In original language)

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