of December 22, 2014 No. 146
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 2-4) of Item 2 of article 18 of the Law of the Republic of Kazakhstan of December 22, 1998 "About National Archive Fund and archives" PRIKAZYVAYU:
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. To provide to department of archiving and documentation 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 ten calendar days after state registration of this order of its direction on official publication in periodic printing editions and in information system of law of Ad_let.
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 the first official publication.
Minister
A. Mukhamediula
Approved by the Order of the Minister for Culture and Sports of the Republic of Kazakhstan of December 22, 2014 No. 146
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) determine procedure for acceptance, storage, accounting and use of documents of National Archive Fund and other archive documents by departmental and private archives.
2. In Rules the terms established by state standard of the Republic of Kazakhstan ST of RK 1037-2001 "Clerical work and archiving are used. Terms and determinations".
3. The departmental and private archive (further - archive of the organization) accepts documents of permanent, temporary storage duration, and also on staff, formed in the course of organization activity. Documents of the organizations of predecessors, and also documents of the abolished subordinated organizations are transferred to archive of the organization.
4. In case of acceptance of managerial documentation on storage the employee of archive of the organization, in the presence of person performing document transfer checks:
1) compliance of final entry in the inventory of the cases to the actual availability of the cases submitted according to this inventory;
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;
4) availability and correctness of filling of the internal list of documents of case;
5) availability of leaf witness of case;
6) compliance of details of cover with the corresponding entries in the inventory of cases;
7) physical condition of the submitted cases.
5. Audiovisual documentation arrives in archive of the organization in type:
1) the audiovisual documents finished with production formed in activities of this organization or its legal successors;
2) originals and copies of audiovisual documents on different information mediums, made in this organization or arrived from other organization.
In case of acceptance of audiovisual documentation on storage the employee of archive of the organization, in the presence of person performing document transfer checks:
1) completeness of documents;
2) physical safety 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 - acts of technical condition, texts of performances, directories of phonograph records, lists of speakers, programs of evenings, concerts, the reviews, Articles and other documents having direct value to the accepted documentary photographs and video documents.
6. The relevant structural divisions of the organization transfer scientific and technical documentation to storage after its development on problems, products, engineering procedures, capital construction projects, layouts, reconstruction, preservation, restoration or, in process of completion of their independent stages, stages or parts.
In case of acceptance of scientific and technical documentation on storage the employee of archive of the organization, in the presence of person performing document transfer checks:
1) completeness of documents (according to the sheet of specifications, the specification, content of volumes, albums, books and other documents, in
2) availability of the established signatures and dates;
3) correctness of accomplishment of the main texts and cover pages;
4) suitability of documents for storage, repeated removal from them of copies and microfilming (lack of breaks, subbondings, the wiped places, excesses).
Scientific and technical documentation is transferred to archive of the organization on those carriers on which it is developed (paper of different types, including photographic paper, tracing-paper).
7. In the course of acceptance of electronic documents it is carried out:
1) check of physical condition of the carriers intended for transfer to archive of the organization;
2) data recording of electronic documents on carriers;
3) record quality check;
4) description of electronic documents and electronic digital signature;
5) putting down of archive ciphers on units storages/accounting units (on cases) according to the inventory;
6) preparation of set of the accompanying documentation.
In the accompanying documentation of electronic documents the following information is reflected:
1) name of the document,
2) date of its creation,
3) characteristic of content (summary),
4) electronic format and algorithm of the electronic digital signature,
5) physical and logical structure (for databases, the websites and so forth),
6) document amount (for databases in addition - the number of records).
8. 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 National Archive Fund, preparation them to transfer on permanent storage to the relevant Public Records Office, determinations of storage durations of the documents which are not carried to structure of National Archive Fund and selection to destruction of documents and cases with the expired storage durations.
9. Expertize of value of documents is carried out on basis:
1) legislations of the Republic of Kazakhstan on National Archive Fund and archives;
2) standard, 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) the relevant normative and methodical documents of authorized body in the field of archiving, local executive bodies and the Public Records Offices.
10. Reference of documents to structure of National Archive Fund is performed by results of examination of value based on the following principles:
1) historicism;
2) complexity of assessment;
3) comprehensiveness of assessment.
In case of determination of value of documents all principles are equally applied
The principle of historicism requires to consider each document as product of certain historical era and to evaluate it from line item not only the present, but also the future.
Use of the principle of complexity of assessment allows to carry out expertize of value of documents not separately, and in total with other documents which historically resulted from organization activity.
According to the principle of comprehensiveness of assessment of information content the document is considered in different aspects (scientific and historical, political, economic, social, cultural and so on) for which studying it can potentially become source.
11. The specified principles when conducting examination of value in a complex are applied together with 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, purpose, authenticity, type and kind of the document.
Treat criteria of external features of the document:
1) legal reliability of the document (availability of the signature (electronic digital signature) of the official, seal of the organization and other details, stipulated by the legislation Republic of Kazakhstan);
2) form of fixation and transfer of contents of information;
3) features of the material carrier of the document;
4) features of physical condition of the document.
12. In addition in case of examination of audiovisual documents specific criteria are applied:
1) art advantages;
2) composition and subject integrity;
3) expressiveness and originality;
4) color scheme, method of record and reproduction of information.
13. When conducting examination of value of scientific and technical documentation the following criteria are in addition applied:
1) the importance of problem or the object reflected in documents;
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).
14. For the organization of examination of value of documents and consideration of its results in the state body having territorial authorities and/or the subordinated organizations in the non-state organization having branches in areas (the cities of republican value, the capital of the Republic of Kazakhstan) the central commission of experts (further - TsEK), in the separate organization - commission of experts is created (further - EK).
15. Results of examination of value of documents of the organizations sources of completing of the Public Records Offices, after their consideration of TsEK (EK) of the organizations, are subject to consideration by the relevant expert survey boards (further - EPK) formed by local executive bodies of areas, cities of republican value, the capital and also central state, national archives of the Republic of Kazakhstan, Archive of the President of the Republic of Kazakhstan, the special Public Records Offices of the Republic of Kazakhstan, (further - the republican Public Records Offices).
16. Expertize of value of documents is carried out annually in planned procedure by employees of archive of the organization with the methodical help of employees of the relevant Public Records Office.
By reorganization (liquidation) of the organization unplanned expertize of value is carried out.
17. Conducting examination of value of documents in archive of the organization is based on the analysis of structure of documents of the organization. At the same time it is specified as a part of what cases of structural divisions of the organization authentic copies of documents join.
18. When conducting examination of value of documents in archive of the organization also nature of recurrence of information containing in them in other documents, type, form and completeness of repeating is specified. 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.
19. Expertize of value is carried out by sheet viewing of case documents (film photovideo documents are browsed on the bench or on the screen, and phonodocuments are listened).
When viewing (listening) from cases the second and subsequent copies of documents, draft copies, not properly executed copies of documents are subject to withdrawal if their withdrawal was not carried out in structural divisions by preparation of documents for transfer to archive of the organization.
20. During conducting examination check:
1) justification of reference of documents to this case;
2) legal force of documents (availability of signatures, seal and other details);
3) availability and correctness of registration of details of covers of cases (details of covers are written with light-tight ink of black, violet, blue colors or black ink);
4) correctness of numbering of sheets of cases (sheets are numbered in gross procedure with use of black graphite pencil in the leaf upper right corner);
5) physical and chemical and technical condition of the document.
All revealed defects are eliminated by the employee of archive of the organization
21. By results of examination of value of documents and on the basis of inventories of cases of documents of structural divisions are constituted:
1) inventories of cases, documents of permanent storage of the organizations for form according to appendices 1-8 to these rules;
2) the inventory of cases on staff in form according to appendix 9 to these rules;
3) inventories of cases, documents temporary (over 10 years) storages in form according to appendix 10 to these rules;
4) the act of selection to destruction of the documents which are not subject to storage in form according to appendix 11 to these rules.
22. Independent sequence numbers are assigned to the inventory of cases, documents and the act of selection to destruction of the documents which are not subject to storage within each archive fund.
The inventory of cases, documents comes to the end on reaching quantity of the included headings 9999 (nine thousand nine hundred ninety nine).
Future sequence number is assigned to the subsequent inventory of cases.
The inventories of cases, documents constituted in connection with reorganization (liquidation) of the organization complete the corresponding summary inventory regardless of total quantity of the included headings of cases, documents.
23. In case of execution of the inventory headings of cases (volumes, parts of cases) are numbered in gross procedure.
24. Headings of in addition found cases are included in the corresponding schedule at warranty numbers according to the accepted systematization. In case of quantity over 10 cases are constituted the additional inventory with independent numbering of their headings.
After entering into the inventory of records about receipt or disposal of cases final final record in which also the bases of the made changes are specified is constituted.
25. The case including documents for row of years is included in the schedule by year of institution in clerical work, for the next years its heading, and in the column "Note" - the mark "Watch Case No." is specified.
26. The inventory of cases, documents of permanent storage claim the head of the organization and EPK of local executive body (republican Public Records Office) after approval of TsEK (EK) of the organization.
The inventory of cases on staff is approved by the head of the organization in coordination with TsEK (EK) of the organization and EPK of local executive body (republican Public Records Office).
The inventory of cases, documents temporary (over 10 years) storages is approved by the head of the organization in coordination with TsEK (EK) of the organization.
27. The act of selection to destruction of the documents which are not subject to storage is approved by the head of the organization in coordination with TsEK (EK) of the organization and EPK of local executive body (republican Public Records Office).
28. The organizations which are not sources of replenishment of National Archive Fund can not represent inventories of cases, documents of permanent storage, on staff and acts of selection to destruction of the documents which are not subject to storage for approval (approval) of EPK.
29. Headings of cases, documents are entered to the inventory of cases, documents of permanent storage:
1) the structural divisions of the organization carried to structure of National Archive Fund, postponed in activities;
2) created from the documents selected from the cases with temporary storage durations which had the mark "EPK" after reconciliation them with the nomenclature of cases of the organization for the same year and validations of forming and registration of cases. In necessary cases headings of cases are specified. Cases are exposed to lacing and reorganization in case of detection that case is created incorrectly;
3) the personal records of heads of the organizations of republican, regional levels, the organizations of the cities of republican value, the capital of the Republic of Kazakhstan completed by clerical work;
4) the personal records of political government employees completed by clerical work;
5) the personal records of the workers having the highest distinctions, honorary state and other titles, awards, academic degrees completed by clerical work.
30. Systematization of headings of storage units within archive fund for Sections (subsections) of the scheme of systematization is carried out taking into account the following signs:
1) structural (according to belonging of storage units to structural divisions);
2) chronological (on the periods or dates to which storage units belong;
3) functional, industry, thematic, subject voprosnogo (taking into account functions of the organization, subjects or questions which content of storage units concerns);
4) nominal (in office work form - to types and kinds of documents);
5) correspondent (on the organizations and persons with which as a result of correspondence storage units were formed);
6) geographical (according to certain territories, settlements and other geographical objects with which contents of documents, their authors, correspondents are connected);
7) author's (according to names of the organizations or surnames of persons who are authors of documents).
31. The combination of structural and chronological signs gives two versions of the scheme of systematization: chronological and structural and structural and chronological.
32. The chronological skeleton diagram of systematization is applied in relation to funds of operational entity (considering further replenishment of documents of these archive funds) and liquidated organizations with often changing structure.
In case of systematization according to this scheme of storage unit are grouped in archive fund for time of their creation (by years, the periods), and within each chronological group - in structural divisions of the organization;
33. The structural and chronological scheme of systematization is applied in relation to funds of the organizations which had stable structure which changes happened seldom, and also in case of systematization of storage units of liquidated organizations.
In case of systematization according to this scheme of storage unit are grouped in structural divisions of the organization, and within each structural group - in time of forming of storage units.
34. Chronological and functional or functional and chronological schemes of systematization are applied in relation to funds of the organizations with often changing structure or not having it.
In case of systematization of storage units on chronological functional circuit their grouping happens on chronological sign in the beginning, and then on functions (types, the directions) of organization activity.
Subgroups of cases are located taking into account the importance of functions of the organizations
(management, planning, financing, accounting and reporting, supply and sale, personnel and so on).
In case of systematization of storage units according to the functional and chronological scheme they are grouped in organization activity functions in the beginning, and then in chronological sign.
35. Chronological and thematic or thematic and chronological schemes of systematization of storage units are applied in relation to small archive funds on amount. In the first case headings of storage units are located at first on chronology, and in every year on separate subjects (questions) depending on their importance, in the second case of storage unit at first are grouped in subjects (questions), and then in each subject on chronology.
36. Chronological and nominal and nominal and chronological schemes are applied to systematization of headings of storage units of archive funds of the unstructured organizations. The chronological and nominal scheme assumes systematization on chronology, in every year by types of storage units, the nominal and chronological scheme - by types of storage units (orders, protocols, plans and others), in each type on chronology.
37. Documents on staff, scientific and technical documentation in archive funds of the research organizations, manuscripts in publishing houses, stories of diseases in the medical organizations, acts of checks in funds of regulatory authorities are selected in special groups and systematized separately from managerial documentation.
38. Film documents and video documents are systematized:
1) by types - the movies, special releases, newsreels separate film and teleplots;
2) by years of release of movies, special releases, newsreels; to production numbers separate film and teleplots;
3) to accounting units (sets);
4) chromaticity (color, black-and-white);
5) to film format (8 millimeters (further - mm), 16 mm, 35 mm, 70 mm and others).
39. Documentary photographs are systematized by types:
1) negatives of different chromaticity (color or black-and-white) and the sizes which are designated by digits 2 - 8 (digit 2 corresponds to negative the size 2, of centimeters (further - cm) x 3,5 see, 3 - 6 cm x 6 cm, 4 - 6 cm x 9 cm, 5 - 9 cm x 12 cm, 6 - 10 cm x 15 cm, 7 - 13 cm x 18 cm, 8 - 18 cm x 24 cm).
In case of systematization of small amounts of negatives of the sizes 6-8 their consolidation in one group is allowed;
2) slides (slides) of different chromaticity;
3) positives, photoprints;
4) photo albums;
5) filmstrips;
6) electronic documents (documentary photographs on digital or other modern carriers) which are designated by letter "E".
40. Phonodocuments are systematized by types of record of sound information - phonographical, gramophone, optical, magnetic, laser. On phonodocuments of certain type of record the separate inventory is constituted. In types phonodocuments are located on accounting units and sets.
41. The inventory of cases, documents of permanent storage has the cover page in form according to appendix 12 to these rules, content (table of contents), the preface, the list of the reduced words and final record.
Before the name of fund on the cover page the place for writing of the complete name of the Public Records Office in which cases (documents) of this organization will be constantly stored is left.
42. The inventory of cases, documents of permanent storage is constituted in 4 copies. After its approval three copies are transferred to the Public Records Office, one - remains in archive of the organization.
43. The inventory of cases on staff has the cover page and final record. On the cover page the official name of the Public Records Office is not put down.
To the inventory the table of contents, the preface, the list of the reduced words are constituted.
44. Headings are included in the schedule of cases on staff:
1) orders (orders) of the head of the organization for staff;
2) lists of workers;
3) cards on accounting of staff, personal records;
4) employee personal accounts;
5) lists of physical persons and payment orders on transfer of compulsory pension contributions, social fees, fees on compulsory medical insurance;
6) employment contracts;
7) unclaimed authentic personal papers of workers;
8) acts of labor accidents and other cases concerning realization of the rights and legitimate interests of citizens.
45. Systematization of headings in the inventory of cases on staff is determined chronological, structural (functional) and nominal by classification signs. Headings of cases are grouped by year of institution (completion) in clerical work, in every year - in structural divisions (activities) of the organization, in the last - in decreasing order of importance of cases.
46. Cards on accounting of staff and personal records of workers (in case of amount over 20 in year) are included in the independent schedule of cases. Their headings are grouped by year of completion of cases in clerical work, in year - in alphabetical order surnames of workers.
47. The inventory of cases on staff is constituted in 4 copies. After its approval one copy is transferred to the Public Records Office, three - remain in archive of the organization.
48. On the cover page of the inventory of cases, documents temporary (over 10 years) storages the official name of the Public Records Office is not put down.
49. To the inventory of cases, documents temporary (over 10 years) storages at the discretion of archive are constituted table of contents, the preface and the list of the reduced words.
50. Temporary (over 10 years) storages join in the inventory of cases, documents headings of the cases having long practical value for information support of organization activity.
51. Systematization of headings of cases, documents in the inventory of cases temporary (over 10 years) storages is determined chronological and structural or chronological and functional (chronological and nominal) and nominal and logical by classification signs.
52. The inventory of cases, documents temporary (over 10 years) storages is constituted in 4 copies. After its approval one copy is transferred to the Public Records Office, three - remain in archive of the organization.
53. The act of selection to destruction of the documents which are not subject to storage is constituted along with inventories of cases, documents.
54. The act joins headings of cases and documents with the expired storage durations for January 1 of year in which expertize of value of documents is carried out.
55. The act of selection to destruction of the documents which are not subject to storage is constituted in duplicate which after its approval are transferred to the Public Records Office and archive of the organization.
56. Documents with the expired storage durations are selected to destruction only after approval of inventories and the act of selection to destruction for the corresponding period.
57. Feature of conducting examination of value of main types of scientific and technical documentation is conducting this examination in two stages.
58. At the first stage according to project, design and technological documentation the elections of projects of products of industrial production and engineering procedures, subjects of the layout and capital construction, scientific and technical documentation on which is subject to transfer on permanent storage, are held.
Resulting effect of the first stage of examination is creation of the list of projects, problems, scientific and technical documentation on which is subject to transfer on the state storage, in form according to appendix 13 to these rules.
59. The list of projects, problems, scientific and technical documentation on which is subject to transfer on permanent storage (further - the list), is constituted by the employee of archive jointly with specialists of the organization for certain period of time, since the beginning of its activities.
The list is constituted at least once in five years.
60. Systematization of projects, the products included in the list is performed on chronological, thematic, tematiko-chronological sign.
61. The list is approved by the head of the organization and EPK of local executive body (republican Public Records Office) after approval of TsEK (EK) of the organization.
The protocol or minutes abstract of meeting of TsEK (EK) of the organization is attached to the list.
The list is constituted in duplicate, after approval of EPK of local executive body (the republican Public Records Office) one copy returns the organizations, and another - remains in the Public Records Office.
62. Examination of value of research and patent and licensed documentation is carried out in one step without creation of the list.
63. At the second stage the project, design and technological documents which are part of projects, the products included in the list are exposed to examination of value.
64. Inventories of cases are constituted separately on each type of scientific and technical documentation (project, design, technological, research, patent and licensed) and have independent number to which the digital index determining type of scientific and technical documentation is added.
Detection of the documents which do not have scientific historical value and lost practical value for the purpose of their selection to destruction is at the same time performed.
65. On construction engineering construction on permanent storage individual projects of buildings, constructions in which original architectural and planning, design and architectural and art features are reflected are selected.
From series of standard projects transfer the standard projects which are most often applied in practice taking into account progressive methods of construction designing to permanent storage.
Among projects bindings for construction of buildings and constructions on permanent storage the projects developed for zones of complex geological structure and the increased seismicity in which original solutions of engineering questions are applied arrive.
From pilot projects site plannings and buildings of experimental and demonstrative settlements, the rural inhabited places, projects of residential and public buildings are transferred to permanent storage.
66. In case of the choice of objects of industrial construction consider specifics of industrial designing which is individual, and also is characterized by the large volume of objects of reconstruction.
In case of the choice of individual projects on permanent storage select large objects and complexes, being leaders in national economy industries. In some cases the small objects having original space-planning decisions in which the latest domestic and foreign scientific and technical developments are considered are subject to selection new construction materials, new types of the equipment and progressive engineering procedures are applied.
67. From the project documentation on water management construction on permanent storage objects of large water storage basins, trunk channels, pumping points are selected.
68. From the project documentation on reconstruction of historical part of the cities and restoration of monuments of architecture and landscape gardening art on permanent storage arrive:
1) site plannings and buildings of the cities with historical and cultural monuments;
2) projects of the protected territories of monuments of history, architecture and natural landscape;
3) drafts of layouts of the central (historical) regions of the cities;
4) projects of restoration and recovery of architectural monuments and monuments of landscape gardening art.
69. The structure of the project documentation selected on permanent storage depends on practice of project development during the different chronological periods.
On permanent storage working documentation arrives.
70. In case of selection of design documentation the attention is paid to basic models, unique products, head models of serial production. From modifications those which represent new model are selected.
71. At stage "technical proposal" on permanent storage arrives the explanatory note and the sheet of the technical proposal, at stage "outline sketch" - the explanatory note and the sheet of the outline sketch.
Document transfer on permanent storage at these stages is allowed in case of development of particularly complex products.
72. At stage "engineering design" on permanent storage the following document types arrive:
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The document ceased to be valid since September 1, 2018 according to Item 1 of the Order of the deputy. The Minister for Culture and Sports of the Republic of Kazakhstan of July 27, 2018 No. 176