ANNEXURE(Branches)

Branch Documents register and related items (arranged as per index)

BMMC register and the file containing the certificates sent
Complaint register, Complaint Book and file
Consumer Forum/Ombudsman related complaints and related correspondence file.
Customer Service Committee/Customer Relationship Programme Preventive Vigilance Committee
Meeting Register/correspondence files.
Loan application received and disposed-off register
Inspection register
Document execution register.
EM/Title Deeds/Insurance registers
NPA backup register
Write-off register
Suits filed register and correspondence files
Files and correspondence relting to suits filed against the Bank/ Claim against the Bank, not
acknowledged as debt
INCA/AUCA register
DCB register
Compromise proposals/OTS register
Cash Credit register
Hypothecation register
EP/RC register and related files
IOA shuttle memo register
Unclaimed drafts/BCs/TDRs/STDRs register
Loan documents arranged product-wise and account number-wise.
Individual files (loan accounts)
Control returns and related correspondence file(if kept separately)
Self Audit reports duly validated by the Controller related file and individual reports
Previous audit reports RFIA/Circle Audit/Statutory Audit/RBI inspection (Sec 35/10)/Migration
Audit/others audits, if any
P Form and Budget files and related correspondence
Branch Dossier
Highlights of performance under business, cross selling etc.
Community Services Banking activities undertaken and related correspondence.
Branch visit book and correspondence file
Disaster Recovery Plan/Business Continuity Plan
Office order register/file
Reports checking roaster
All books/registers relating to IS audit, like System room access register, Hardware access register, User
ID allocation register etc.
 ANNEXURE-01

An indicative list of important Registers/Files which may be kept in readiness by the Branch Manager so
that they are scrutinized by the IO along with the relevant vouchers:

i) Branch Managers Monthly Certificate Register & File

ii) Budget File

iii) Branch Dossier File

iv) Branch Document Register

v) Complaints Register + File

vi) Frauds Register + File

vii) Customer Service File

viii) Customer Relations Program File

ix) Cheques Referred and Returned Register

x) Insurance Register

xi) Term Loan Documents Executed Register

xii) Cash Credit Register

xiii) Stock Statement Register

xiv) Suits Filed Register

xv) Safe Custody & Security Register

xvi) Nomination Register

xvii) Security Forms (VPIS) Register

xviii) ATM related Registers + Files

xix) Internet Banking Registers + Files

xx) Cash Balance Register

xxi) Vault Register

xxii) Loan Applications Received & Disposed Register

xxiii) NPA Monitoring Register

xxiv) Write Off Register

xxv) Recalled Assets Register

xxvi) AUCA Register

xxvii) Unit Inspection Register

xxviii) Equitable Mortgage Register

xxix) Pass Books Issued & Retained Register

xxx) Cheque Books Issued & Retained Register

xxxi) Token Register

xxxii) Transit Voucher Book(s)

xxxiii) High Value Cash Monitoring Register

xxxiv) Key Register

xxxv) Dispatch/Courier Register

xxxvi) Petty Cash Register

 ANNEXURE (BPR entities Non Credit)

Branch Documents register and related items (arranged as per index)

BMMC register and the file containing the certificates sent
Complaint register, Complaint Book and file
Consumer Forum/Ombudsman related complaints and related correspondence file.
Customer Service Committee/Preventive Vigilance Committee Meeting Register/correspondence files.
Files and correspondence relating to suits filed against the Bank/ Claim against the Bank, not
acknowledged as debt
Account opening forms (Deposits) arranged product-wise and account number-wise.
Control returns and related correspondence file
Self Audit reports duly validated by the Controller related file and individual reports
Previous audit reports RFIA/Circle Audit/Statutory Audit/RBI inspection (Sec 35/10)/Migration
Audit/others audits, if any
Branch Dossier
Branch visit book and correspondence file
Disaster Recovery Plan/Business Continuity Plan
Office order register/file
Reports checking roaster
All books/registers relating to IS audit, like System room access register, Hardware access register, User
ID allocation register etc.
 ANNEXURE (BPR entities - Credit)

Branch Documents register and related items (arranged as per index)

BMMC register and the file containing the certificates sent
Complaint register, Complaint Book and file
Consumer Forum/Ombudsman related complaints and related correspondence file.
Customer Service Committee/Preventive Vigilance Committee Meeting Register/correspondence files.
Loan application received and disposed-off register
Inspection /Asset verification register
Document execution register.
EM/Title Deeds/Insurance registers
NPA backup register
Write-off register
Suits filed register and correspondence files
Files and correspondence relating to suits filed against the Bank/ Claim against the Bank, not
acknowledged as debt
INCA/AUCA register
Compromise proposals/OTS register
Cash Credit register
Hypothecation register
EP/RC register and related files
Loan documents arranged product-wise and account number-wise.
Individual files (loan accounts)
Control returns and related correspondence file(if kept separately)
Self Audit reports duly validated by the Controller related file and individual reports
Previous audit reports RFIA/Circle Audit/Statutory Audit/RBI inspection (Sec 35/10)/Migration
Audit/others audits, if any
P Form and Budget files and related correspondence
Branch Dossier
Highlights of performance under business cross selling etc.
Branch visit book and correspondence file
Disaster Recovery Plan/Business Continuity Plan
Office order register/file
Reports checking roaster
All books/registers relating to IS audit, like System room access register, Hardware access register, User
ID allocation register etc.