ORDER OF THE MINISTER FOR CULTURE AND SPORTS OF THE REPUBLIC OF KAZAKHSTAN

of August 25, 2023 No. 235

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 subitem 247-3) of Item 15 of the Regulations on the Ministry of Culture and the sport of the Republic of Kazakhstan approved by the order of the Government of the Republic of Kazakhstan of September 23, 2014 No. 1003 of PRIKAZYVAYU:

1. Approve Regulations of Admission, storages, accounting and use of documents of National Archive Fund and other archive documents by departmental and private archives according to appendix to this order.

2. To provide to committee of archives, documentation and book case of the Ministry of Culture and sport of the Republic of Kazakhstan in the procedure established by the legislation:

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

2) within three working days after its enforcement placement of this order on Internet resource of the Ministry of Culture and sport of the Republic of Kazakhstan;

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

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

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

It is approved Ministry of information and social development of the Republic of Kazakhstan

It is approved Ministry of Agriculture of the Republic of Kazakhstan

It is approved Prosecutor General's Office of the Republic of Kazakhstan

It is approved Ministry of Public Education of the Republic of Kazakhstan

It is approved Ministry of Health of the Republic of Kazakhstan

It is approved Ministry of Labour and Social Protection of the population of the Republic of Kazakhstan

It is approved Supreme Court of the Republic of Kazakhstan

It is approved Ministry of the industry and infrastructure development of the Republic of Kazakhstan

It is approved Ministry of Finance of the Republic of Kazakhstan

It is approved Ministry of Defence of the Republic of Kazakhstan

It is approved Service of the state protection of the Republic of Kazakhstan

It is approved Administration of the President of the Republic of Kazakhstan

It is approved The highest auditor chamber

It is approved Ministry of Trade and integration of the Republic of Kazakhstan

It is approved Ministry of Foreign Affairs of the Republic of Kazakhstan

It is approved Ministry of Emergency Situations Republic of Kazakhstan

It is approved Committee of national economy of the Republic of Kazakhstan

It is approved Ministry of homeland security of the Republic of Kazakhstan

It is approved Ministry of digital development, innovations and aerospace industry of the Republic of Kazakhstan

It is approved Ministry of Internal Affairs of the Republic of Kazakhstan

It is approved Ministry of ecology, geology and natural resources of the Republic of Kazakhstan

It is approved Department of Energy of the Republic of Kazakhstan

It is approved Ministry of science and the higher education of the Republic of Kazakhstan

It is approved The agency of the Republic of Kazakhstan for public service

It is approved Agency on protection and development of the competition of the Republic of Kazakhstan

It is approved Agency on strategic planning and reforms of the Republic of Kazakhstan

It is approved Agency of the Republic of Kazakhstan on regulation and development of the financial market

It is approved Anti-corruption agency of the Republic of Kazakhstan

It is approved Archive of the President of the Republic of Kazakhstan

It is approved RGU "National Bank of the Republic of Kazakhstan"

It is approved Constitutional court of the Republic of Kazakhstan

It is approved Office of the Supreme Judicial Council of the Republic of Kazakhstan

It is approved Financial monitoring agency of the Republic of Kazakhstan

 

Appendix

to the Order of the Minister for Culture and Sports of the Republic of Kazakhstan of August 25, 2023 No. 235

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 field of activity of physical persons and legal entities connected with forming of National Archive Fund of the Republic of Kazakhstan, formation of archives, archive funds and collections, the organization of collection, completing, streamlining, storage, accounting and use of archive documents;

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) 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;

24) 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;

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

26) 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;

27) 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;

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

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 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 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 some 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;

2) the EDS on the internal inventory using private key of the EDS which owner are the organization or the employee of structural division of the organization who constituted the internal inventory.

Check of validity of the EDS is performed with use of the means of the EDS having the certificate of conformity issued in certification center of state bodies of the Republic of Kazakhstan.

In case of acceptance of electronic documents (cases) the employee of archive of the organization by means of the IC EA checks:

1) structure of metadata of electronic documents (cases);

2) compliance of structure of electronic documents (cases) transferred to storage, this to the corresponding inventory of electronic documents (cases) of structural division;

3) compliance of amount of the transferred electronic documents (cases) to the amount specified in the corresponding inventory of electronic documents (cases) of structural division;

4) possibility of reproduction of electronic documents (cases);

5) lack of malicious computer programs.

In case of acceptance of electronic documents (cases) on removable carriers physical and technical condition of removable carriers, information compliance on removable carriers to data on removable carriers and placement of electronic documents (cases) on removable carriers in metadata are checked.

In case of acceptance of electronic documents (cases) of permanent storage compliance of formats of files to format of permanent storage of PDF/A-1 is checked.

For electronic documents (cases) confirmation of authenticity and integrity of the electronic documents (cases) incoming them is performed by check of reality (at the time of check) means of the EDS.

Results of check of authenticity and integrity remain in metadata of electronic documents (cases) created by archive of the organization. Metadata contain the date of check and control characteristics confirmed in verification process.

16. Acceptance of electronic documents (cases) in archive of the organization is considered complete in case of positive results of the inspections which are carried out according to requirements of Items 13-15 of these rules. In the IC EA of the organization the act of migration and rewriting of electronic documents (cases) on form according to appendix 1 to these rules is created.

Paragraph 2. Procedure for conducting examination of value of documents and registration of its results

17. Expertize of value of documents in archive of the organization is carried out for the purpose of selection of the documents carried to structure of NAF, preparation them to transfer on permanent storage to the relevant Public Records Office, Archive of the President of the Republic of Kazakhstan, determination of storage durations of the documents which are not carried to structure of NAF, and selection to destruction of documents and cases with the expired storage durations.

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

1) the Law of the Republic of Kazakhstan "About National Archive Fund and archives";

2) standard or industry 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 in the field of archiving and documentary ensuring management (further – authorized body), local executive bodies of areas, the cities of republican value and the capital (further – MIO) and the Public Records Offices, Archive of the President of the Republic of Kazakhstan.

19. Expertize of value of documents is carried out by complex use of criteria of origin, content, external features of documents.

Treat criteria of origin of documents:

1) role and the place of the organization in system of public administration or specific industry (field of activity), the importance of the tasks and functions which are carried out by it, value of physical person in life of society;

2) time and place of formation of the document.

Treat criteria of contents of documents:

1) the importance of the event (the phenomenon, subject) reflected in the document;

2) value of information containing in the document, its repeating in other documents;

3) authenticity, type and kind of the document.

Treat criteria of external features of the document:

1) authenticity of the document;

2) legal reliability of the document (availability of the signature (electronic digital signature) of the EDS of the official and other details, according to the Law of the Republic of Kazakhstan "About the electronic document and the electronic digital signature");

3) form of fixation and transfer of contents of information;

4) features of the material carrier of the document;

5) features of physical condition of the document.

20. In case of examination of value of audiovisual documents the following specific criteria are in addition applied:

1) art advantages of audiovisual documents;

2) composition and subject integrity of audiovisual documents;

3) expressiveness and originality of audiovisual documents;

4) information medium originality, method of record and reproduction of information, technical condition of audiovisual documents.

21. When conducting examination of value of scientific and technical documentation the following specific criteria are in addition applied:

1) the importance of problem (technology) or object (the project, model, construction, technology) reflected in documents at the time of implementation for development of specific industries and economy of the state in general;

2) basic novelty, uniqueness, originality of the problem resolution, construction, technology, project;

3) compliance of scientific and technical documentation of staging of scientific research (staging of engineering developments).

22. When conducting examination of value of electronic documents (cases) the following specific criteria are in addition applied:

1) safety of metadata;

2) authenticity of electronic documents (cases);

3) lack of duplicative information in the documents accepted on archive storage.

23. For the organization of examination of value of documents and consideration of its results in the organization the commission of experts is created (further – EK).

In the state body having territorial authorities and/or the subordinated organizations, and also the organization having branches the central commission of experts is created (further – TsEK).

24. TsEK (EK) is advisory body and acts on the basis of the provision approved by the head of the organization.

25. Expertize of value of documents is carried out annually in planned procedure by employees of archive of the organization. Conducting examination of value of documents in the organization which is source of completing of the Public Records Office is performed under methodical management and with the advisory help of the relevant Public Records Office, Archive of the President of the Republic of Kazakhstan.

By reorganization (liquidation) of the organization unplanned expertize of value is carried out.

26. Solutions of TsEK (EK) are drawn up by the protocols approved by the head of the organization.

Solutions of TsEK (EK) of sources of completing of the Public Records Offices, Archive of the President of the Republic of Kazakhstan affirm the head of the organization after their approval of the relevant expert survey boards (further – EPK) formed by the republican Public Records Offices, Archive of the President of the Republic of Kazakhstan, MIO.

27. When conducting examination of value of documents are performed:

1) analysis of structure of documents of the organization;

2) selection and preparation of cases of permanent storage duration for transfer to the Public Records Office, Archive of the President of the Republic of Kazakhstan (for sources of completing of the Public Records Office, Archive of the President of the Republic of Kazakhstan);

3) verification of presence of authentic copies of documents and determination of structural divisions in which cases they are included;

4) refining of nature of the recurrence containing in them information in other documents, type, form and completeness of repeating.

Selection of documents with the repeating information and doublet documents to destruction is made only after their reconciliation with the documents selected on permanent storage.

28. The cases on papers with the mark "EPK" containing documents of permanent storage are subject to reorganization. The documents of permanent storage selected from their structure are created in separate cases or join homogeneous cases of permanent storage. The cases containing the remained documents of temporary storage are stored during fixed terms.

Reorganization of electronic documents (cases) is performed similar to cases on papers.

Electronic documents (cases) with the mark "EPK" containing documents of permanent storage are browsed pofaylovo, in the file – polistno.

29. Expertize of value of documents is carried out by sheet and (or) pofaylovy viewing of case documents (audiovisual documents are browsed on the bench or the screen, audiodocuments are listened, electronic documents (cases) are browsed).

30. During conducting examination check:

1) justification of inclusion in this case of documents;

2) legal force of documents (availability of details);

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