ORDER OF THE GOVERNMENT OF THE REPUBLIC OF KAZAKHSTAN

of September 19, 2018 No. 575

About approval of Regulations of Admission, storages, accounting and use of documents of National Archive Fund and other archive documents by departmental and private archives

According to the subitem 3) of Item 1-1 of article 18 of the Law of the Republic of Kazakhstan "About National Archive Fund and archives" the Government of the Republic of Kazakhstan DECIDES:

1. Approve the enclosed Regulations of Admission, storages, accounting and use of documents of National Archive Fund and other archive documents by departmental and private archives.

2. This resolution becomes effective after ten calendar days after day of its first official publication.

Approved by the Order of the Government of the Republic of Kazakhstan of September 19, 2018 No. 575

Regulations of Admission, storages, accounting and use of documents of National Archive Fund and other archive documents by departmental and private archives

Chapter 1. General provisions

1. Regulations of Admission, storages, accounting and use of documents of National Archive Fund and other archive documents by departmental and private archives (further – Rules) are developed according to the laws of the Republic of Kazakhstan "About National Archive Fund and archives" and "About the electronic document and the electronic digital signature".

2. Rules determine procedure for acceptance, storage, accounting and use of documents of National Archive Fund (further – NAF) and other archive documents departmental and private archives (further – archive of the organization).

3. The basic concepts used in these rules:

1) the information letter – the document constituted on the form of the letter of the organization for request of the user or initiative of archive of the organization, containing information on the documents which are stored in archive on certain problem, subject;

2) the archive help – the document constituted on the form of the letter of the legal entity (further – the organizations), containing information necessary for physical persons and legal entities with indication of archive ciphers and numbers of sheets of storage units of those archive documents based on which it is constituted effectual in law (original);

3) the archive copy – the copy which is literally reproducing the text of the archive document, with indication of the archive cipher and numbers of sheets of storage unit, drawn up according to Item 295 of these rules;

4) thematic selection of copies of archive documents – the systematized set of copies of archive documents or their parts on certain subject prepared by archive of the organization for request of the user or initiative of archive of the organization;

5) streamlining of archive documents (further – streamlining) – complex of works on forming of archive documents in storage units (cases), to the description and registration of such storage units (cases) according to the legislation of the Republic of Kazakhstan on NAF and archives;

6) storage of archive documents (archive depository) – specially equipped storage (room) for storage of archive documents;

7) the thematic list of archive documents – the short or annotated list of headings of archive documents, storage units systematized on certain subject with indication of their dates and archive ciphers constituted at the request of the user or initiative of archive of the organization;

8) the archive pointer – the archive reference book representing alphabetic, the systematic or constituted on other sign list of names of the objects mentioned in archive documents with indication of their search data;

9) the archive statement – the document constituted on the form of the letter of the organization, which is literally reproducing part of the text of the archive document, relating to certain fact, event, person with indication of the archive cipher and numbers of sheets of storage unit;

10) the archive cipher – the designation applied on each storage unit for the purpose of ensuring its accounting and identification;

11) archiving – the separate archive document(s) on paper which is drawn up in separate cover, the folder;

12) especially important document – the archive document NAF which has inherent historical and cultural and scientific value, special importance for society and the state;

13) audiovisual documentation – the complex of the documents containing graphic and (or) sound information, created by means of technical means;

14) managerial documentation – complex of the documents used in case of realization of basic functions of management of the organization (the organization, planning, regulation, control);

15) departmental archive – the organization or structural division of the state legal entity performing collection, streamlining, temporary storage, accounting, use of archive documents and the state accounting of documents NAF;

16) explanatory notes (further – NSA) – set of descriptions of archive documents in the archive reference books intended for search of archive documents and the document information containing in them;

17) the NSA system – complex of the archive reference books interconnected and complemented, created on unified scientific and methodical basis about structure and contents of archive documents;

18) scientific and technical documentation – complex of the documents fixing process and results of scientific, scientific and technical, technological, project, construction and other activities;

19) private archive – the non-state legal entity or his structural division performing collection, acquisition, completing, streamlining, storage, accounting and use of the archive documents or archive documents of physical person which resulted from its activities, collection and acquisition;

20) stores organization of documents – the system of actions including rational placement of documents, control of their movement and physical condition, copying of documents for the purpose of creation of insurance fund and fund of use, recovery (restoration) initial or close to initial properties and external signs of the documents which underwent to damage or destruction;

21) examination of value of documents – research of documents based on criteria of their value for the purpose of establishment of storage durations of documents and their selection for inclusion in structure of NAF;

22) leave of the document (letter) – the copy of the outgoing document remaining in the organization author;

23) metadata – the structured data describing the context, content and structure of the electronic document intended for its identification and search and also management processes for all lifecycle of the document;

24) storage unit – accounting unit, representing physically isolated document or the set of documents having independent value;

25) accounting of documents in archive of the organization – establishment of quantity and structure of archive documents in accounting units and fixing of belonging of each accounting unit to certain complex and their total quantity in accounting documents;

26) the file – the identified object on the electronic medium supported by operating system in the environment of which creation of object is performed and (or) is provided access to it;

27) forming of cases – grouping of the performed documents in cases according to the nomenclature of cases and systematization of documents in case;

28) the inventory of cases of documents – the archive reference book intended for disclosure of structure and content of storage units, fixing of their systematization and accounting;

29) leaf witness of case – the document containing information on features of content and forming of certain case in archive of the organization including the number of the numbered pages of each case;

30) electronic archive – set of archive electronic documents;

31) the electronic archive document – the documentary information provided electronically and certified by the electronic digital signature (further – the EDS) which can be identified and is subject to storage owing to the importance of the specified information for society and the state;

32) information system of electronic archive (further the IC EA) – organizationally the arranged set of the information and communication technologies, service personnel and technical documentation realizing certain technological actions by means of information exchange and intended for the solution of specific functional objectives in the field of archiving and documentary providing;

33) the electronic medium – the material carrier intended for storage of information electronically, and also record or its reproduction by means of technical means;

34) the electronic document – the document in which information is provided in electronic and digital form and is certified by means of the EDS;

Information packet of electronic documents (put) 35) – the information object of certain structure transferred on network communications or telecommunications as a unit;

36) migration of the electronic document – process of transfer of electronic documents of one hardware-software circle or from one information medium on other environment or on other carrier when preserving their authenticity, integrity, reliability and usability;

37) converting of the electronic document – conversion of the initial electronic document by means of change of its format with preserving structure and content;

38) electronic registration control card (further – ERKK) – the electronic document with accounting data on the document on the established form fixing its details;

39) electronic case – independent storage unit of the electronic documents and their metadata logically integrated in the course of aggregation;

40) emulation – reproduction of work of one system as means another without loss of functionality and misstatements of results for the purpose of reproduction of electronic documents.

4. According to the tasks and functions assigned to the organization, and also structure of documentation formed in its activities are created:

1) archive of managerial documentation, including electronic documents;

2) archive of audiovisual documentation, including electronic documents;

3) archive of scientific and technical documentation, including electronic documents.

5. The national archive of the Republic of Kazakhstan, the central Public Records Offices, the Public Records Offices of areas, cities, areas and their branches (further – the Public Records Offices), Archive of the President of the Republic of Kazakhstan give to the organizations methodical help on implementation of these rules.

6. In the organization which staff list does not provide established posts of employees of archive the order (other administrative document) of the head of the organization designates person responsible for maintaining archive.

Chapter 2. The procedure for acceptance put, documents

Paragraph 1. The procedure for acceptance put, documents for storage

7. The archive of the organization accepts cases, documents of permanent, temporary storage duration and on staff, formed in the course of organization activity. By reorganization of the organization documents are transferred in the arranged type to legal successors.

8. Acceptance put, documents in archive of the organization is performed annually. In the organization having structural divisions, documents acceptance in archive of the organization is performed according to the schedule of documents acceptance approved by the head of the organization in archive of the organization.

Documents are transferred to archive of the organization on carriers on which they are created (paper of different types, including photographic paper, tracing-paper, film, magnetic tapes, electronic media).

9. In case of acceptance the employee of archive of the organization in the presence of person performing document transfer checks for storage of managerial documentation:

1) availability of cases permanent, long-term (over 10 years) storages and on staff according to the inventory of cases of structural division;

2) availability of cases temporary (up to 10 years inclusive) storages according to the nomenclature of cases;

3) numbering of sheets of cases with data on the inventory of cases of structural division;

Correctness of filling of the internal list of documents put 4) (in the presence);

5) availability of leaf witness of case;

6) compliance of details of cover to the corresponding entries in the inventory of cases of documents of structural division;

7) physical condition of documents.

10. In case of acceptance of audiovisual documentation the employee of archive of the organization in the presence of person performing document transfer checks for storage:

1) completeness of documents;

2) physical condition of documents;

3) completeness of structure of the enclosed text accompanying documentation.

Are part of the text accompanying documentation:

1) for film documents – summaries, editorial scripts, allowing certificates to the finished works, acts of technical condition, record of light and color passports;

2) for documentary photographs – summaries;

3) for phonodocuments and video documents – the acts of technical condition, texts of performances, directories of phonograph records, lists of speakers, reviews, Articles and other documents relating to the accepted phonodocuments and video documents.

11. In case of acceptance of scientific and technical documentation the employee of archive of the organization in the presence of person performing document transfer checks for storage:

1) completeness of documents (according to the sheet of specifications, the specification, content of volumes, albums, books and other documents in which all transferred documentation is listed);

2) availability of the established signatures and dates;

3) correctness of accomplishment of the main texts and cover pages;

4) physical condition of documents.

12. Acceptance of electronic documents in archive of the organization is performed by means of the information systems providing observance of requirements to storage of electronic documents.

13. Electronic documents are transferred to archive of the organization for information and telecommunication network from information system of the organization in information system of archive of the organization or on the isolated carriers of single record in that format in which they were created, sent or received, with ensuring simultaneous storage of the created electronic digital signatures under the relevant electronic documents. Electronic documents are transferred to archive of the organization together with their metadata.

14. In cases of change of the hardware-software circle and output from the use of computer formats, damage of the carrier, the archive of the organization carries out work on converting of electronic documents to new formats and/or migrations on new carriers.

Migration of documents needs to be performed before technologies and information mediums (such as diskettes, magnetic tapes, optical CDs become outdated - and DVD-DISKS) on which they depend. Depending on such factors as amount and requirements to availability, there can be preferable accomplishment of conversion or migration of documents at once as soon as the target (final) circle becomes known. If the value of documents and/or the related risks are considered rather small, then the organization can prefer to wait until any other impulsive cause (for example, software update, replacement of system, acquisition or merge to other organization) does not make conversion or migration justified.

15. In case of acceptance of electronic documents (cases) in archive of the organization check of reality is performed (at the time of check):

1) the EDS on the inventory of electronic documents of structural division of the organization using private key of the EDS which owner are the organization or the head of the structural unit of the organization;

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