RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of June 14, 2001 No. 224

About approval of the Instruction for documentation, management of documentation and document storage by professional participants of the insurance market and the insurance agents performing business activity

List of amending documents

It is approved Management committee archives and documentation Ministry of Culture, information and public consent Republic of Kazakhstan of March 30, 2001 N3

For the purpose of implementation of the Law of the Republic of Kazakhstan "About insurance activity" the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve the enclosed Instruction for documentation, management of documentation and document storage by professional participants of the insurance market and the insurance agents performing business activity and to enact it and this resolution after fourteen days from the date of state registration in the Ministry of Justice of the Republic of Kazakhstan.

2. To department of banking and insurance supervision (Mekishev A. A.):

1) together with Legal department (Sharipov S. B.) to take measures to state registration in the Ministry of Justice of the Republic of Kazakhstan of this resolution;

2) in ten-day time from the date of state registration in the Ministry of Justice of the Republic of Kazakhstan to bring this resolution to the attention of the interested divisions of central office, territorial branches of National Bank of the Republic of Kazakhstan and the insurance (reinsurance) organizations.

3. To impose control of execution of this resolution on the Chairman of National Bank of the Republic of Kazakhstan Marchenko G. A.

 

 

Approved by the resolution of Board of National Bank of the Republic of Kazakhstan of June 14, 2001 No. 224

The instruction for documentation, management of documentation and document storage by professional participants of the insurance market and the insurance agents performing business activity

Chapter 1. General provisions

1. This Instruction is developed according to the Laws of the Republic of Kazakhstan "About National Archive Fund and archives", "About insurance activity", "About financial accounting and the financial reporting" and determines procedure for documentation, management of documentation and document storages in the insurance (reinsurance) organizations, insurance brokers and insurance agents - legal entities (further - the organization), actuaries and insurance agentakhfizichesky persons.

2. For the purpose of accomplishment of the requirements for ensuring the correct documentation, management of documentation established by the legislation and document storage the organization shall approve the internal Instruction on clerical work, in coordination with the relevant central Public republican Records Office or local authorized state body on management of archives and documentation (further - governing bodies and maintaining of archiving).

Employees of the organization shall be acquainted with its internal regulations of documentation, management of documentation and document storages.

3. The main requirements to documentation, management of documentation and document storage are determined by regulatory legal acts of authorized state body by management of archives and documentation of the Republic of Kazakhstan.

4. Work on the current control of documentation, management of documentation and document storage in the organization (branch and representation) is assigned to its office work service or to the specific official.

5. When changing the head of office work service or the official responsible for clerical work condition are transferred to the organizations, cases and documents to again nominated person under the relevant act.

6. For temporary document storage, the formed in organization activity (branch and representation), their accounting and use in the practical purposes the departmental (private) archive of the organization (branch and representation) is created.

7. The documents and cases formed in organization activity finished with clerical work are subject to temporary storage in departmental (private) archive of the organization (branch and representation) according to the terms established by this Instruction. After established by authorized state body on management of archives and documentation of the Republic of Kazakhstan of terms of temporary departmental (private) storage the documents carried to structure of National Archive Fund of the Republic of Kazakhstan are subject to transfer in the arranged type on permanent state storage in the relevant Public Records Office.

8. The procedure for documentation and management of documentation in the organization is performed according to requirements of Standard rules of documentation and management of documentation in the state organizations of the Republic of Kazakhstan approved by the order of the Chairman of the Management committee archives and documentation of the Ministry of Culture, information and the public consent of the Republic of Kazakhstan of April 29, 2003 No. 33.

9. The methodical, advisory and practical help in ensuring activities of office work and archive agencies of the organizations (their branches and representations) is performed according to bilateral agreements with relevant organs of management and maintaining of archiving.

Chapter 2. Documentation and management of documentation

10. Documentation of organization activity assumes strict accomplishment of the requirements to details and forms of documents, their correct creation and unification established by the legislation by it.

The structure of the documents which are formed in organization activity is determined taking into account features of its legal status, solvable tasks and functions.

11. For the correct distribution of documents in cases according to their classification, ensuring quick search of documents and accounting of cases the organization (branches and representations) constitute the individual nomenclature of cases (further - the nomenclature of cases) which is subject to obligatory approval of local state bodies on archives.

12. General questions of document flow in activities of legal entities are established by the legislation.

13. The procedure for processing (outgoing) documents arriving (entering) and sent, works with internal documents, registration and executions of documents is determined by the organization taking into account requirements of authorized state body for management of archives and documentation of the Republic of Kazakhstan.

14. Functioning of electronic document management system in the organization assumes need of adoption on this matter of the separate internal regulating document providing the following principles:

1) availability in the organization of sufficient level of program and technical means of computer data processing, automated control systems for electronic document forms and e-mail;

2) momentariness of registration of the electronic document;

3) recognition of reliability of the digital signature only in the presence in information system of the program technical means providing identification of this signature;

4) ensuring continuous technology of document flow from input of the document in system to the room it in case (transfers on storage).

15. From the moment of institution and before transfer to departmental (private) archive of the organization (branch and representation) documents are stored in the place of their forming in cases, or according to the procedure of centralized storage of cases in office work service of the organization.

16. Heads of branches and representations (structural divisions) and the staff of the organization responsible for documentation ensure safety of documents and cases. Cases are in studies or rooms, specially allotted for this purpose, are located in the cases and tables, elevator card-indexes ensuring complete safety of documents.

Electronic documents can be stored in servers which ensure their physical safety, authenticity of electronic information.

17. For the purpose of increase in efficiency of document retrieval of case shall be located according to the approved nomenclature of cases which is located in a visible place in the relevant structural division. On roots of covers of cases numbers of cases on the nomenclature of cases are specified. It is forbidden to store cases in desktops.

18. Issue of cases in temporary use to third parties is made with the permission of the head of the organization (branch and representation). On the issued case the card is started - the deputy put. The cases which are not finished with clerical work are forbidden to be issued to third parties.

19. Withdrawal of documents from cases of permanent storage (including according to instructions of special state bodies) is allowed in exceptional cases and is made with the permission of the head of the organization with obligatory leaving in the verified copy of the document and the act of withdrawal of the original.

20. Document storage in the personal computer perform in the form of files, by the principle one document - one file.

21. All storage durations accepted in paper clerical work are valid for electronic archives. The electronic documents carried to structure of National Archive Fund of the Republic of Kazakhstan, electronic documents on staff, electronic documents with the mark "EPK" which is put down in the nomenclature of cases are stored also on paper basis (electronic analogs in case of revenues to the state storage in relevant organ of management and maintaining of archiving are considered as insurance copies of documents on paper basis). Documents on paper basis shall be with necessary signs and seals.

22. Actions for ensuring operational document storage in structural divisions of the organization (branches and representations) are determined taking into account requirements of this Instruction.

Chapter 3. Nomenclature of cases and main requirements to forming of cases in the organization

23. The nomenclature of cases is the systematized list of specific headings of the cases planned to institution in certain calendar year in clerical work of the organization (branch and representation) according to the tasks and functions performed by it.

24. In case of development of the nomenclature of cases use:

1) the previous approved nomenclatures of cases;

2) the approved standard lists of documents with indication of storage durations;

3) the regulatory legal acts and methodical documents developed by authorized state body on management of archives and documentation of the Republic of Kazakhstan.

25. The nomenclature of cases does not join names of printing editions.

26. The heading of case consists of the elements located in the following sequence:

1) name of type of case (including correspondence, magazines) or kinds of documents (including orders, protocols);

2) name of the organization or relevant structural division (author of the document);

3) the name of the organization to which will be addressed or from which documents will be received;

4) summary of case documents;

5) date (period) to which case documents belong;

6) specifying on availability of copies of case documents.

27. The heading of case shall reflect the main contents and structure of case documents.

Headings can be specified in the course of forming and registration of cases.

28. In headings of the cases containing correspondence it is specified with whom and on what question it is conducted.

29. In headings of the cases containing planned or reporting documentation the period for which is specified plans (reports) are constituted.

30. The nomenclature of cases of the organization consists of the following Sections:

1) the supreme body of the organization - general shareholder meeting;

2) collegiate organs (except for executive body) board of directors and audit committee;

3) executive body - board (its structural divisions according to the approved staff list).

The nomenclature of cases of branches and representative offices of the organization is developed according to the approved staff list of branch and representation.

31. Headings of cases in the nomenclature of cases in each structural division of executive body, branch and representative office of the organization shall include the following:

1) regulatory legal acts of authorized state body on regulation and supervision of insurance activity;

2) instructions (orders, tasks) different state bodies and documents on their execution;

3) constituent and other registration documents of the organization (charters, regulations on structural divisions of the organization, registration forms), regulations of work of the organization (in the presence);

4) administrative documents of the organization (including resolutions, orders, orders);

5) instructions (production, standard, official);

6) planned documentation (perspective, medium-term, annual, quarter, monthly, plans, expense budgets, staff lists);

7) reporting documentation (summary, annual and with bigger frequency, quarter, monthly, operational);

8) documents on the main activities;

9) correspondence;

10) accounting and registration documents (including magazines, books, card-indexes, cards);

11) nomenclature of cases (organization, structural division of executive body, branch or representation).

32. For copies of the documents formed in organization activity (including orders, orders, instructions, protocols), the storage duration "To need minovaniye" is put down.

33. The mark "EPK" means that in this case formation of the documents carried to structure of National Archive Fund is possible and when conducting examination of value case shall be seen polistno regarding inclusion it in the inventory of cases of permanent storage.

34. The nomenclature of cases which is drawn up, approved in accordance with the established procedure, approved and approved shall consist from:

1) the title page with indication of the official name and departmental subordination of the organization, the name of the nomenclature of cases, date and the place of creation;

2) the list of names of the relevant structural divisions of the organization with indication of their numbers of indexes for the nomenclature of cases;

3) the list of the reduced words with their disaggregation (in strictly in alphabetical order);

4) main descriptive part of the nomenclature of cases;

5) final record to the nomenclature of cases.

35. Forming of cases is called the group of the performed documents in cases according to the nomenclature of cases.

In case documents which on the content correspond to case heading are located. At the same time it is forbidden to group draft and doublet copies of documents, and also the documents which are subject to return to cases.

36. The nomenclature of cases is constituted in the last quarter of prior year and after its approval (approval) in accordance with the established procedure with relevant organ of management and maintaining of archiving becomes effective since January 1. Action of the nomenclature of cases is determined by the five-year term during which it annually is reprinted and affirms taking into account changes in structure of documents. In case of changes in structure of the organization (branch and representation) the nomenclature of cases peresostavlyatsya again and is subject to approval and approval in accordance with the established procedure.

37. When forming cases it is necessary to observe the following main requirements:

1) documents of permanent and temporary storage needs to be grouped in separate cases;

To include 2) in case in one copy of each document;

3) each document placed in case shall be drawn up according to requirements of authorized state body for management of archives and documentation and to have necessary details;

4) to group in case documents of one calendar year (except for personal records and the passing cases);

5) case shall contain no more than 250 sheets, at thickness no more than 4 centimeters;

6) documents in case have according to the sequence of illumination of question (in chronological procedure, on the solved problems) or in the beginning cases place the initiative document, then - response and other documents lighting the solution of question.

38. Administrative documents are grouped in cases on types and chronology with the appendices carrying to them.

39. The provisions and instructions approved by administrative documents are appendices to them and are grouped together with the specified documents. If they are approved as the independent document, then group them in independent cases.

40. Orders on the main activities are grouped separately from orders in staff.

41. The approved plans, reports, limits, estimates and other documents are created separately from their projects.

42. Documents in personal records are arranged chronologically in process of their receipt.

43. Addresses of citizens and documents concerning work of the organization, the facts of corruption and to other important issues determined by the state are grouped in execution separately from addresses of citizens on personal and to the questions which are directly not relating to organization activity.

44. Correspondence is grouped, as a rule, for the period calendar year and systematized in the chronological sequence.

45. Documents on electronic media are grouped in cases according to the nomenclature of cases.

46. The cover of case shall contain the following details:

1) official name of the organization (branch and representation);

2) name of the settlement;

3) the name (heading) of case, its index according to the nomenclature of cases;

4) case storage duration;

5) the number of sheets in case (it is filled after the end of case with clerical work).

47. In necessary cases (in the cases containing confidential information, personal records, the design estimates) the internal list of documents invests in case.

48. By preparation of cases for transfer on storage to departmental (private) archive of the organization (branch and representation) or on the state storage expertize of value of documents is carried out.

Examination of value of documents is called process of determination of storage durations of documents and their selection on departmental (private) or state storage based on established by authorized state body on management of archives and documentation of the Republic of Kazakhstan of the principles and criteria.

49. During examination of value of case of permanent storage, carried to structure of National Archive Fund of the Republic of Kazakhstan, and on staff are subject to complete registration which provides:

1) filing or cover of case;

2) numbering of sheets of case;

3) creation of leaf witness of case;

4) creation, in necessary cases, the internal list of documents;

Registration of details of cover put 5).

50. Examination of value of documents is performed by specially certain employees of structural divisions of the organization (branches and representations) and the permanent commission of experts created by executive body of the organization (branches and representations) with inclusion, if necessary, in its list of employees of relevant organs of management and maintaining of archiving. The regulations on commission of experts of the organization (branch and representation) without fail are subject to approval of relevant organ of management and maintaining of archiving.

Meetings of commission of experts are recorded. Protocols are signed by the chairman and the secretary of the commission and affirm the head of executive body of the organization (branches and representations).

To obligatory consideration of commission of experts of the organization, the following questions belong:

1) about approval of drafts of the specific, standard and approximate nomenclature of cases;

2) about approval of inventories of cases of permanent storage and on staff;

3) about approval of acts of allocation to destruction of documents with the expired storage durations;

4) about condition of clerical work and archive storage in the organization (branches and representations);

5) about initiation in accordance with the established procedure offers on change (establishment) of storage durations of separate categories of the documents established (not provided) "By the list of the documents which are formed in activities of the insurance and reinsurance organizations (with indication of storage durations)", attached to this Instruction (further - the List);

6) about approval of schedules of transfer of cases to departmental (private) archive of the organization (branch and representation) or on the state storage.

51. Results of examination of value of documents are drawn up in type:

1) the inventory of cases of permanent storage approved by the head of executive body of the organization (the head of branch and representation) and relevant organ of management and maintaining of archiving;

2) the inventory of cases on staff approved by the head of executive body of the organization (branch and representation) and the management approved with relevant organ and maintaining of archiving;

3) the act of allocation to destruction of the documents which are not subject to storage, the executive body of the organization (branch or representation) approved by the head and the management considered by relevant organ and maintaining of archiving;

4) certificates of incompleteness of the documents carried to structure of the National Archive Fund of the Republic of Kazakhstan approved by the head of executive body of the organization (branch and representation) and represented to relevant organ of management and maintaining of archiving.

52. At the end of the cases of permanent storage and on staff certified by clerical work zaveritelny texts with indication of in digital and alphabetic expressions of number of the numbered sheets, signatures and disaggregations of the signature shall be hemmed on the single sheet.

53. Additional details (numbers of fund, the inventory, put) are put down after completion of examination of value.

54. Transfer of cases from structural divisions of executive body of the organization in departmental (private) archive of the organization (branch and representation) is made in two years on third.

Chapter 4. Temporary document storage in departmental (private) archive of the organization

55. The procedure for temporary document storage, carried to structure of National Archive Fund of the Republic of Kazakhstan and their insurance copies in departmental (private) archive of the organization (branch and representation), is established by authorized state body on management of archives and documentation of the Republic of Kazakhstan.

56. The departmental (private) archive of the organization (branch and representation) performs document storage on paper, electronic bases and on the film carriers carried to structure of National Archive Fund of the Republic of Kazakhstan, cases on staff and cases of temporary storage duration.

57. Electronic documents on external and internal magnetic carriers (including diskettes, magnetic tapes) are subject to storage in the packed and sealed type, with indication of the information about the persons responsible for reliability and quality transferred for accounting and storage of magnetic carriers.

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