Reserve Bank of Australia




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CONTACT INFORMATION


For assistance with this authority or for advice on other records management matters, please contact National Archives’ Agency Service Centre.
Queen Victoria Terrace Tel: (02) 6212 3610

Parkes ACT 2600 Fax: (02) 6212 3989

PO Box 7425 Email: recordkeeping@naa.gov.au

Canberra Business Centre ACT 2610 Website: www.naa.gov.au



AUTHORISATION



RECORDS AUTHORITY 2014/00441373










Person to whom notice of authorisation is given:


Glenn Stevens

Governor


Reserve Bank of Australia

65 Martin Place

Sydney NSW2000


























Purpose:

Authorises arrangements for the disposal of records in accordance with Section 24(2)(b) of the Archives Act 1983.

Determines records classed as ‘Retain as national archives’ in this Records Authority to be part of the archival resources of the Commonwealth under Section 3C of the Archives Act 1983.















Application:

All core business records relating to Banking Operations; Banknotes & Secure Documents; Financial Management Operations; Financial System Stability; Fund Administration; International Relations; Monetary Policy; Payments System Operations; Payments System Policy; and Statutory Appointments.


















This authority gives permission for the destruction, retention or transfer to the National Archives of Australia of the records described. This authority will apply only with the consent of the agency currently responsible for the business documented in the records described.








Authorised by Date of issue:







David Fricker 28 April 2015

Director-General

National Archives of Australia















BANKING OPERATIONS


The core business of providing specialised banking services to the Australian Government, its agencies and other instrumentalities, overseas banks and official institutions.

The core activities include:



  • developing, implementing and reviewing policies, plans and procedures;

  • negotiating, establishing and implementing contracts and agreements;

  • setting up and maintaining customer accounts;

  • recording and managing customer identification details;

  • processing, recording and settling customer banking transactions;

  • managing ongoing relationships with banking customers;

  • determining pricing for services;

  • handling breaches and incidents;

  • monitoring, forecasting and reporting on financial transactions and banking operations;

  • developing new and/or enhanced products and services;

  • designing, developing and producing forms for banking;

  • providing teller services, including the provision of safe custody boxes;

  • managing registry operations (eg providing registry services to official foreign institutions);

  • managing and participating in committees, meetings and working groups; and

  • providing and receiving advice in relation to banking operations.

The performance of the core business is supported by general activities such as:

  • developing, implementing and reviewing internal operating policies and procedures; and

  • reviewing.

Cross references to other areas of this records authority

For the handling and management of banknotes, including enquiries regarding numismatic banknotes, handling and management of counterfeit banknotes, mutilated notes claims as part of the Bank’s teller services, use BANKNOTES & SECURE DOCUMENTS.

For international committees, meetings, working groups, and relations with international bodies, use INTERNATIONAL RELATIONS.

Cross references to AFDA Express records authority

For the development and management of banking systems hardware and software, use TECHNOLOGY & TELECOMMUNICATIONS.

For advice, briefs and submissions to the portfolio Minister, cabinet submissions and the organisation’s participation in formal inquiries, use GOVERNMENT RELATIONS.

For media releases and statements, use COMMUNITY RELATIONS or GOVERNMENT RELATIONS.

For the acquisition of goods and services including external consultants and service providers, use PROCUREMENT.

For internal and external audits, use STRATEGIC MANAGEMENT.

Cross references to other records authorities

For records of the Reserve Bank Board or the Payments Systems Board, use GOVERNING BODIES.

Class no

Description of records

Disposal action

61598

The following significant records documenting:

  • developing, implementing and reviewing policies, plans and procedures which establish high level banking and registry processes, controls and frameworks, including final versions, milestone drafts, consultation and supporting research;

  • final versions of intergovernmental and other high-level agreements, such as bilateral agreements and memorandums of understanding with states, territories and financial institutions, including those establishing principles, processes and responsibilities for managing banking and registry operations in Australia;

  • breaches and incidents which significantly impact on the operations or reputation of the Bank or another Government agency, or results in major changes to policies, procedures or operations of the Bank. Includes incident reports, investigation records, suspicious matters reports, and other reports provided to regulatory authorities or law enforcement agencies;

  • design, development and review of new or enhanced products and services that are innovative, unique and valuable to government such as the Government Direct Entry Service. Includes final versions and milestone drafts of business plans, research papers, legal advice and marketing plans;

  • high-level reviews of the core business. Includes final review reports, milestone drafts, recommendations, stakeholder consultations, submissions and supporting research; and

  • master version of agency external publications.

Retain as national archives

61599

Records relating to the identification of customers. Such as Know Your Customer (KYC) identification forms and checklists and associated supporting documentation, as well as advice received regarding changes to identification details.

Destroy 10 years after relationship with customer ceases

61600

Records documenting arrangements for committees, meetings and working groups.

Destroy 2 years after action completed

61601

Records documenting:

  • routine operational administrative tasks supporting the core business; and

  • banking operations activities, other than those covered in classes 61598 to 61600.

Destroy 10 years after action completed
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