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JOINT ORDER OF THE MINISTER FOR CULTURE AND SPORTS OF THE REPUBLIC OF KAZAKHSTAN AND MINISTER OF NATIONAL ECONOMY OF THE REPUBLIC OF KAZAKHSTAN

of June 9, 2017 No. 172, on August 14, 2017 No. 301

About approval of criteria for evaluation of risk degree and checking sheets behind compliance with law of the Republic of Kazakhstan about National Archive Fund and archives

(as amended on 28-01-2019)

According to subitems 16) and 17) Item 2 of article 18 of the Law of the Republic of Kazakhstan of December 22, 1998 "About National Archive Fund and archives", the subitem 5) Item 2 of article 5 of the Law of the Republic of Kazakhstan of January 7, 2003 "About the electronic document and the electronic digital signature", Item 3 of Article 141 and Item 1 of article 143 of the Entrepreneurial code of the Republic of Kazakhstan of October 29, 2015 PRIKAZYVAYEM:

1. Approve:

1) criteria for evaluation of risk degree behind compliance with law of the Republic of Kazakhstan about National Archive Fund and archives according to appendix 1 to this joint order;

2) criteria for evaluation of risk degree behind compliance with law of the Republic of Kazakhstan about the electronic document and the electronic digital signature regarding electronic document management and electronic archives in sources of completing of National archive of the Republic of Kazakhstan, the central Public Records Offices according to appendix 2 to this joint order;

3) checking leaf behind compliance with law of the Republic of Kazakhstan about National Archive Fund and archives according to appendix 3 to this joint order;

4) checking leaf behind compliance with law of the Republic of Kazakhstan about the electronic document and the electronic digital signature regarding electronic document management and electronic archives in sources of completing of National archive of the Republic of Kazakhstan, the central Public Records Offices according to appendix 4 to this joint order.

2. To provide to department of archiving and documentation of the Ministry of Culture and sport of the Republic of Kazakhstan in the procedure established by the legislation:

1) state registration of this joint order in the Ministry of Justice of the Republic of Kazakhstan;

2) within ten calendar days from the date of state registration of this joint order the direction of its copies in printing and electronic form in the Kazakh and Russian languages in the Republican state company on the right of economic maintaining "The republican center of legal information" for official publication and inclusion in Reference control bank of regulatory legal acts of the Republic of Kazakhstan;

3) within two working days after its official publication placement of this joint order on Internet resource of the Ministry of Culture and sport of the Republic of Kazakhstan;

4) submission to Department of legal service of the Ministry of Culture and sport of the Republic of Kazakhstan of data on execution of the actions provided by this Item within two working days after execution.

3. To impose control of execution of this joint order on the supervising vice-Minister for Culture and Sports of the Republic of Kazakhstan.

4. This joint order becomes effective after ten calendar days after day of its first official publication.

Minister for Culture and Sports of the Republic of Kazakhstan

___________ A. Mukhamediula

Minister of national economy of the Republic of Kazakhstan

____________ T. Suleymenov

It is approved

Chairman of Committee on legal statistics and special accounting of the Prosecutor General's Office of the Republic of Kazakhstan

"___" ___________ 2017

 

____________ B. Musin

 

Appendix 1

to the Joint Order of the Minister for Culture and Sports of the Republic of Kazakhstan and the Minister of national economy of the Republic of Kazakhstan of June 9, 2017 No. 172, on August 14, 2017 No. 301

Criteria for evaluation of risk degree behind compliance with law of the Republic of Kazakhstan about National Archive Fund and archives

Chapter 1. General provisions

1. These Criteria for evaluation of risk degree behind compliance with law of the Republic of Kazakhstan about National Archive Fund and archives (further - Criteria) are developed according to the Entrepreneurial code of the Republic of Kazakhstan of October 29, 2015 (further - the Code), by the Law of the Republic of Kazakhstan of December 22, 1998 "About National Archive Fund and archives", Rules of forming by the state bodies of system of risks assessment and form of checking sheets approved by the order of the acting minister of national economy of the Republic of Kazakhstan of July 31, 2018 No. 3 (it is registered in the Register of state registration of regulatory legal acts No. 17371) (further - Rules) are intended for reference of subjects of control to risk degrees and selection of subjects of control when carrying out preventive control with visit of subject (object) of control (further - preventive control).

2. In these Criteria the following concepts are used:

1) risk - probability of damnification as a result of activities of the subject of control to legitimate interests of physical persons and legal entities, valuable interests of the state taking into account severity of its effects;

2) subjects of control - legal entities in whose activities documents of National Archive Fund are formed (further - NAF) and other archive documents;

3) system of risks assessment - complex of the events held by control facility for the purpose of purpose of preventive control;

4) objective criteria for evaluation of risk degree (further - objective criteria) - the criteria for evaluation of risk degree used for selection of subjects (objects) of control depending on risk degree in certain field of activity and which are not depending directly on separate subject (object) of control;

5) subjective criteria for evaluation of risk degree (further - subjective criteria) - the criteria for evaluation of risk degree used for selection of subjects (objects) of control depending on results of activities of specific subject (object) of control.

3. Criteria for evaluation of risk degree for preventive are created by kontroly by means of objective and subjective criteria.

Chapter 2. Objective criteria

4. Reference of subjects of control to risk degree (high, low) is performed depending on probability of damnification to legitimate interests of physical persons and legal entities, valuable interests of the state as a result of the activities of subjects of control connected with ensuring safety of documents NAF which can lead to destruction (loss), spoil, forgery of NAF and other archive documents.

5. By objective criteria treat high risk:

1) the National archive of the Republic of Kazakhstan, the central Public Records Offices, the Public Records Offices of areas, cities of republican value and the capital performing document storage of NAF;

2) the special Public Records Offices performing document storage of NAF;

3) state bodies, local executive bodies and the state legal entities in whose activities documents NAF and other archive documents are created;

4) subordinated legal entities of state bodies and which local executive bodies in activities are created documents NAF and other archive documents.

6. By objective criteria, non-state legal entities in whose activities the documents NAF which did not income Item 5 of Criteria are created treat the subjects of control which are not carried to high risk.

7. Subjective criteria for the purpose of carrying out preventive control with visit of the subject of control are applied to the subjects of control carried by objective criteria to high risk.

Chapter 3. Subjective criteria

8. Subjective criteria are developed based on requirements of the legislation of the Republic of Kazakhstan in the field of compliance with law about the National Archive Fund and archives (further - requirements) listed in checking sheets which are subdivided into three degrees: rough, considerable, insignificant are also given in appendix to these Criteria.

9. Gross violation - violation of requirements which entailed or can entail:

illegal destruction (loss), spoil, forgery of NAF and other archive documents;

failure in submission of the archive documents collected in accordance with the established procedure affecting the rights, freedoms and legitimate interests of physical person or legal entity, or provision to physical person or legal entity of incomplete or obviously false information.

Considerable violation - violation of requirements, namely:

on the organization of document flow; on accounting, storage of seals, stamps, forms; on acceptance, storage, accounting and use of documents NAF and other archive documents.

Insignificant violation - violation of requirements, regarding procedure for document creation and control of their execution; document transfer adherences to deadlines on storage; registrations of cases for transfer on storage; procedure for use of archive documents.

10. Determination of subjective criteria is performed using the following stages:

1) information collection about violation of requirements;

2) information analysis and risks assessment.

11. For risk degree assessment by subjective criteria the following sources of information are used:

1) results of the previous checks of subjects of control. At the same time, severity of violations (rough, considerable, insignificant) is established in case of non-compliance with the requirements reflected in checking sheets;

2) availability of the confirmed claims and addresses to subjects of control which arrived from physical persons and legal entities about violation of requirements;

3) analysis results of official Internet resources of state bodies, public institutions, mass media.

12. Subjective criteria according to the importance and public danger are distributed on 3 severity of violation: rough, considerable and insignificant, provided by Criteria.

13. For reference of subject (object) of control to risk degree, the following procedure of payments of exponent of risk is applied.

In case of identification of one gross violation, to the subject of control the risk exponent 100, is equated and concerning it preventive control is carried out.

If gross violations are not revealed, for measure definition of risk degree the total indicator on violations of considerable and insignificant degree is calculated.

In case of measure definition of considerable violations the coefficient of 0,7 is applied and this indicator is calculated by the following formula:

SRZ = (SP2 x 100/SP1) x 0,7,

where:

SRZ - indicator of considerable violations;

SP1 - the required number of considerable violations;

SP2 - the number of the revealed considerable violations;

In case of measure definition of insignificant violations the coefficient of 0,3 is applied and this indicator is calculated by the following formula:

SRN = (SP2 x 100/SP1) x 0,3,

where:

SRN - indicator of insignificant violations;

SP1 - the required number of insignificant violations;

SP2 - the number of the revealed insignificant violations;

The general exponent of risk (SP) is calculated on scale from 0 to 100 and is determined by summing of indicators of considerable and insignificant violations by the following formula:

SP = SRZ + SRN,

where:

SP - general exponent of risk;

SRZ - indicator of considerable violations;

SRN - indicator of insignificant violations.

Provisions of this Item do not extend to the state bodies specified in paragraph 3 of Chapter 3 of Rules.

14. After carrying out the analysis of all possible risks, subjects of control are distributed on two risk degrees (high and not carried to high risk).

15. On risk exponents the subject (object) of control belongs:

1) to high risk - in case of exponent of risk from 61 to 100 inclusive and concerning it preventive control is carried out;

2) not carried to high risk - in case of exponent of risk from 0 to 60 inclusive and concerning it preventive control is not carried out.

Chapter 4. Final provisions

16. Multiplicity of carrying out preventive control with visit of the subject of control cannot be more often than once a year.

17. Preventive control with visit of the subject of control is carried out based on semi-annual lists of preventive control with visit of the subject of the control created according to Item 3 of article 141 of the Code.

18. Lists of preventive control with visit of subject (object) of control are constituted taking into account priority of the subject of control with the greatest exponent of risk by subjective criteria.

Appendix

to Criteria for evaluation of risk degree behind compliance with law of the Republic of Kazakhstan about National Archive Fund and archives

Criteria for evaluation of risk degree behind compliance with law of the Republic of Kazakhstan about National Archive Fund and archives

No. of payment order

Criteria

Extent of violation

Results of the previous checks (severity is established in case of non-compliance with following requirements)

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