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ORDER OF THE GOVERNMENT OF THE REPUBLIC OF KAZAKHSTAN

of September 20, 2018 No. 576

About approval of Rules of completing, storage, accounting and use of documents of National Archive Fund and other archive documents by the Public and special Public Records Offices

(as amended of the Order of the Government of the Republic of Kazakhstan of 29.03.2022 No. 174)

According to the subitem 2) 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 Rules of completing, storage, accounting and use of documents of National Archive Fund and other archive documents by the Public and special Public Records Offices.

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

Prime Minister of the Republic of Kazakhstan

B. Sagintayev

Approved by the Order of the Government of the Republic of Kazakhstan of September 20, 2018 No. 576

Rules of completing, storage, accounting and use of documents of National Archive Fund and other archive documents by the Public and special Public Records Offices

Chapter 1. General provisions

1. Rules of completing, storage, accounting and use of documents of National Archive Fund and other archive documents by the Public and special Public Records Offices (further – Rules) determine procedure for completing, storage, accounting and use of documents of National Archive Fund (further – NAF) and other archive documents the Public and special Public Records Offices (further – archives).

The procedure for activities of archives of state bodies of the Republic of Kazakhstan in addition to these rules is determined by regulatory legal acts of state bodies in which there are archives.

2. 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) archive collection – set of the documents combined on one or several signs formed in activities of fondoobrazovatel;

3) archive fund – set historically or the archive documents which are logically connected among themselves;

4) source of completing of archive – the physical person or legal entity, whose documents in accordance with the established procedure arrive on the state storage in archive;

5) the archive help – the document constituted on the form of the letter of the organization, 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);

6) 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 455 of these rules;

7) the archive document – the document saved or which is subject to preserving owing to its importance for society and the state, and equally having value for the owner;

8) 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;

9) depositary storage of archive documents – storage in archive of archive documents on the conditions determined by the agreement between the owner of documents and the relevant archive with preserving for the owner of the property right to archive documents;

10) accounting of archive documents (further – accounting) – 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;

11) the user of archive documents – the physical person or legal entity addressing archive documents for receipt of information for the purpose of its use;

12) 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;

13) 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;

14) 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;

15) the archive statement – the document constituted on the form of the letter of archive, 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;

16) the archive cipher – the designation consisting of the abbreviated name of archive (its official abbreviation), numbers of archive fund, the inventory of cases, documents, storage unit and applied on each storage unit for the purpose of ensuring its accounting and identification;

17) the database of archive – data set, organized according to the main indicators describing object of accounting (archive fund, archive collection, storage unit, accounting unit, group of storage units, accounting units) and also interrelations between their objects;

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

19) audiovisual documentation – the complex of documents containing the graphic and/or sound information created by means of technical means;

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

21) 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 on paper and (or) electronic carriers;

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

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

24) accounting unit – unit of measure of number of archive documents in archive;

25) fondoobrazovatel – physical person or legal entity in which activities documents NAF are formed;

26) state examination of value of documents (further – examination of value of documents) – research of documents based on criteria of their value for the purpose of establishment of storage durations of documents on paper and (or) electronic carriers and their selection for inclusion in structure of NAF;

27) the description of documents – the structured statement of information about structure, content, physics and technology condition, conditions of access and handbook data of archive documents providing their search and multidimensional use;

28) 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 documents;

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

30) the keyword – the term characterizing content of subject of the description in the generalized or compressed type (fund, storage unit or accounting unit, the document);

31) authorized body – the central executive body performing management in the field of archiving and documentary ensuring management;

32) the state accounting of documents NAF (further – the state accounting) – the system of accounting of documents NAF at the level of area, the city of republican value, the capital and the state in general including data on quantity and structure of archive funds, quantity of storage units;

33) the document NAF – the archive document which passed state examination of value of documents, delivered on the state accounting and subject to permanent storage;

34) 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;

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

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

37) 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;

38) electronic archive – set of archive electronic documents;

39) 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;

40) information system of electronic archive (further – the IC EA) – organizationally the arranged set of 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;

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

42) 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) 43) – the information object of certain structure transferred on network communications or telecommunications as a unit;

44) 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 with preserving their authenticity, integrity, reliability and usability;

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

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

Chapter 2. Procedure for completing of archives documents of National Archive Fund and other archive documents

3. Completing of archives documents NAF and other archive documents is performed by establishment of sources of its completing, reference of archive documents, archive funds and collections to structure of NAF, determination of structure of the archive documents which are subject to acceptance in archives, reception-transmission of archive documents in archives.

Paragraph 1. Procedure for creation of lists of sources of completing

4. Join in the list of sources of completing:

1) central state bodies and local state bodies;

2) the state legal entities who are temporarily storing documents NAF;

3) the non-state legal entities who are temporarily storing the documents NAF relating to state-owned property.

Non-state legal entities, and also physical persons join in the list of sources of completing based on the agreement.

5. Inclusion of the organizations specified in item 4 of these rules in the list of sources of completing is made based on the following criteria:

1) functional purpose of the organizations taking into account special role of the organization and its typicalness in management system;

2) completeness of information on organization activity in archive funds of other organizations.

Physical persons join in the list of sources of completing based on the following criteria:

1) household deposit in development of science, culture and other spheres of activity;

2) role of the physical person as the participant, the eyewitness of outstanding events in life of society and state;

3) family, friendly, creative relations, place of employment, post of physical person;

4) typicalness of archive documents for era;

5) structure and contents of documents of personal archive of physical person.

6. Lists of sources of completing are constituted by archive in the form approved by authorized body in the field of archiving and documentary ensuring management (further – authorized body). The Public Records Offices of areas, cities of republican value, the capital constitute summary lists of sources of completing of area (the city of republican value, the capital).

7. Lists of sources of completing are considered by expert survey board (further – EPK) archive, Archive of the President of the Republic of Kazakhstan or local executive body (further – MIO) and are sent for approval in the Central expert survey board (further – TsEPK) authorized body, after approval affirm authorized body. Within ten working days after approval by authorized body of the list of sources of completing by staff of archives the relevant data are entered in the IC EA.

The decision on inclusion of the organization in the list of sources of completing and exception of it is brought to the attention of management of the organization.

8. The procedure for creation and approval of the list of sources of completing of archive is determined by legal acts of state body in which it is created, approved with TsEPK.

9. Work on refining of lists of sources of completing is carried out on permanent basis. Changes and amendments are entered in the list of sources of completing according to the decision of EPK in cases:

1) creations, reorganization and/or liquidations of the legal entity;

2) agreement cancelation about cooperation of the non-state legal entity and physical person with archive;

3) decision makings of TsEPK or EPK of local executive body about transfer of the organization to the list of sources of completing of other archive;

4) the terminations of creation in organization activity of documents NAF.

Review and reapproval of lists of sources of completing are carried out at least once in five years.

10. The archive creates the list of potential sources of completing which non-state legal entities in whom documents NAF are formed treat, but agreements on their transfer on the state storage are not signed.

The list of potential sources of completing within ten working days after approval of the list of completing sources by authorized body, the staff of archives the relevant data are entered in the IC EA.

11. On each organization which is completing source the observation case which includes the documents characterizing its legal status, activities, the organization of documentary ensuring management and storage of archive documents is processed.

For accounting of work with completing sources the archive conducts accounting and help card-indexes and databases.

12. The archive renders to documentary services, departmental archives and commissions of experts of sources of its completing the methodical and practical help, including on paid basis, within its competence.

Paragraph 2. Procedure for conducting examination of value of documents

13. Inclusion of archive documents in structure of NAF is performed on the basis of examination of value of documents.

14. Expertize of value of documents is carried out on basis:

1) legislations of the Republic of Kazakhstan on NAF and archives;

2) standard or industry (departmental) lists of documents with indication of storage durations, the standard (approximate) nomenclature of cases and the nomenclature of cases of the organization for the corresponding period;

3) methodical documents of authorized body, Archive of the President of the Republic of Kazakhstan, MIO of areas, cities of republican value and capital and archives.

15. Expertize of value of documents in archive is carried out:

1) after terms of temporary storage of archive documents, including the documents on staff which arrived in archive from liquidated organizations;

2) in case of receipt of documents in the disorder type;

3) in the presence in archive fund of significant amount of doublet and invaluable documents;

4) in the presence in archive fund (archive funds) of the documents and cases which are not subject to storage;

5) in the course of conversion of inventories;

6) according to statements of physical persons and legal entities for reference of their documents to documents NAF;

7) for documents NAF – in case of export of documents abroad;

8) by a court decision;

9) when carrying out converting of electronic documents;

10) before carrying out migration of electronic documents.

16. Expertize of value of documents is carried out by archive with participation of the owner of archive documents according to Regulations of Admission, storages, accounting and use of documents of National Archive Fund and other archive documents by the departmental and private archives approved by the order of the Government of the Republic of Kazakhstan of September 19, 2018 No. 575.

17. When conducting examination of value of documents each storage unit on paper basis is browsed polistno, documentary photographs are browsed, phonodocuments are listened, the cinema and video documents are browsed and listened on the bench or on the screen, electronic documents are browsed pofaylovo according to the inventory of electronic cases.

18. As a result of examination of value of documents by archive inventories of cases, documents of permanent storage, the inventory of cases, documents long-term (over 10 years) storages, inventories of cases on staff and acts of selection to destruction of the documents which are not subject to storage in the forms approved by authorized body are constituted and approved with EPK of archive, Archive of the President of the Republic of Kazakhstan or MIO.

To electronic documents similar inventories of electronic cases and acts of their selection to destruction in the forms approved by authorized body are constituted and approved with EPK of archive, Archive of the President of the Republic of Kazakhstan or MIO.

19. As a result of examination of value of the documents which arrived on storage in the disorder type, the archive constitutes inventories of permanent storage, the inventory long-term (over 10 years) storages, inventories on staff and the act of selection to destruction of the documents which are not subject to storage without approval of completing sources.

20. After the term of temporary storage of electronic documents in archive expertize of value for the purpose of inclusion of electronic documents in inventories of electronic cases of permanent storage or in acts of selection to destruction of the electronic documents which are not subject to storage is carried out.

21. Electronic documents and cases with the expired storage durations are allowed to be destroyed only after approval of EPK of archive, Archive of the President of the Republic of Kazakhstan or MIO of the act of selection to destruction of the electronic documents which are not subject to storage.

22. In case of destruction of electronic documents from the archive depository all copies of electronic documents are withdrawn. The electronic media suitable for repeated operation, after erasing of information written on them are used for repeated data recording. The electronic media unsuitable to use are written off and destroyed according to requirements in the field of information and communication technologies and information security support.

The mark about their write-off is entered to accounting documents of archive, the IC EA.

23. In the presence in electronic documents of information, distribution and (or) provision of which is limited, the following methods of its destruction are applied:

impact on the surface of the electronic medium magnetic field (demagnetization);

mechanical destruction of the electronic medium together with information (crushing, melting, use of chemicals). For ensuring complete information security this method is preferable.

24. The inventory of permanent storage joins the documents which are part of NAF.

25. The act of selection to destruction of the documents which are not subject to storage constituted in case of the description of documents, conversion of inventories becomes effective after approval of inventories of permanent storage and inventories on staff according to Item 18 of these rules.

26. In case of selection to destruction of documents with the repeating information by the archive carries out their complex reconciliation with the documents left on permanent storage and/or with archive fund of higher body, and/or the subordinated organizations, and/or with archive funds of the homogeneous organizations which activities are connected with certain territory.

Copies of especially important documents and doublet copies of documents with visas, resolutions, dung and changes are not liable to destruction.

27. For work with documents of volume, complex and several homogeneous archive funds working plans of conducting examination of value of documents and approximate lists of documents, subjects and not subject to permanent storage are constituted. To document groups in lists of documents, subjects and not subject to permanent storage, explanations about structure and contents of the documents remaining on permanent storage and on the documents selected to destruction are given.

28. The documents postponed during the period till 1917 inclusive the personal records and documents of biographic nature completed in clerical work till 1956 inclusive are not liable to destruction.

Destruction of the documents postponed during the period from 1917 to 1956 is performed in coordination with authorized body.

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