Unofficial translation
Footnote. Abolished by the Decree of the Government of the Republic of Kazakhstan dated 09/11/2023 No. 780 (effective after ten calendar days after the date of its first official publication)In accordance with subparagraph 3) of paragraph 1–1 of article 18 of the Law of the Republic of Kazakhstan “On National Archival Fund and archives” the Government of the Republic of Kazakhstan RESOLVES:
Footnote. The Preamble as amended by the Resolution of the Government of the Republic of Kazakhstan dated 29.03.2022 No. 173 (shall be enforced upon expiry of ten calendar days from the date of its first official publication).1. To approve the attached Rules for receiving, storing, recording and using documents of the National Archive Fund and other archival documents by departmental and private archives
2. This resolution shall come into effect ten calendar days after the day of its first official publication.
| Prime Minister of the Republic of Kazakhstan | B. Sagintayev |
| Approved by Resolution No.575 of the Government of the Republic of Kazakhstan dated September 19, 2018 |
Rules for receiving, storing, recording and using documents of the National Archival Fund and other archival documents by departmental and private archives
Footnote. The rules as amended by the Resolution of the Government of the Republic of Kazakhstan dated 29.03.2022 No. 173 (shall be enforced upon expiry of ten calendar days from the date of its first official publication).
Chapter 1. General provisions
1. The rules for receiving, storing, recording and using documents of the National Archival Fund and other archival documents by departmental and private archives (hereinafter referred to as the Rules) are developed in accordance with the Law of the Republic of Kazakhstan “On National Archival Fund and Archives” and “On electronic document and electronic digital signature”.
2. The rules shall determine the procedure for receiving, storing, recording and using documents of the National Archival Fund (hereinafter referred to as the NAF) and other archival documents by departmental and private archives (hereinafter referred to as the Archives of the organization).
3. Basic concepts used in these Rules:
1) information letter – a document compiled on the letterhead of the organization upon request of the user or on the initiative of the archives of the organization containing information about the documents stored in the archives on a specific issue or topic;
2) archival reference – a document drawn up on the letterhead of a legal entity (hereinafter referred to as the Organization) containing information necessary for individuals and legal entities indicating the archives codes and sheet numbers of the storage units of those archival documents on the basis of which it was compiled, having a legal effect (as original);
3) archival copy – a copy that literally reproduces the text of the archival document, with an indication of the archives code and the sheet numbers of the storage unit, drawn up in accordance with Paragraph 295 of these Rules;
4) thematic collection of copies of archival documents – a systematic set of copies of archival documents or parts thereof on a specific topic, prepared by the archives of the organization at the request of the user or the initiative of the archives of the organization;
5) ordering of archival documents (hereinafter referred to as the ordering) – complex of works on the formation of archival documents in storage units (cases), description and recording of such storage units (cases) in accordance with the legislation of the Republic of Kazakhstan on NAF and archives;
6) archival documents storage (archival repository) – a specially equipped storage (room) for storing archival documents;
7) thematic list of archival documents – systematized short or annotated list of headers of archival documents, storage units on a specific topic, with an indication of their dates and archival codes, compiled at the request of the user or initiative of the archives of the organization;
8) archival index – archival reference book, an alphabetical, systematic or compiled on a different basis list of items mentioned in archival documents, with an indication of their search data;
9) archival extract – a document drawn up on the letterhead of an organization literally reproducing a part of the text of an archival document relating to a specific fact, event, person, indicating the archives code and the sheet numbers of the storage unit;
10) archives code – a designation applied to each storage unit in order to ensure its recording and identification;
11) archival file – a separate archival document(s) on paper, compiled in a separate cover, folder;
12) high valuable document – the archival document of the NAF, which has lasting historical, cultural and scientific value, of particular importance to society and the state;
13) audiovisual documentation – a set of documents containing graphic and (or) sound information created using technical means;
14) management documentation – a set of documents used in the implementation of the main management functions of the organization (organization, planning, regulation, control);
15) departmental archives – an institution or structural subdivision of a state legal entity that collects, organizes, temporarily stores, records, uses archival documents and state record keeping of NAF documents;
16) finding aid (hereinafter referred to as the FA) – a set of descriptions of archival documents in archival reference books designed to search for archival documents and the documentary information contained in them;
17) FA system – a set of interrelated and complementary, created on a single scientific and methodological basis, archival directories on the composition and content of archival documents;
18) scientific and technical documentation – a set of documents fixing the process and results of scientific, scientific and technical, production and technical, design, construction and other activities;
19) private archives – a non–state legal entity or its structural subdivision, performing collection, purchase, acquisition, ordering, storage, accounting and use of archival documents or archival documents of an individual resulting from its activities, collection and purchase;
20) document storage organization – system of measures, including rational placement of documents, control over their flow and physical condition, copying documents in order to create an insurance fund and a fund of use, restoration (renewal) of the original or close to the original properties and external features of the documents that have been damaged or destroyed;
21) examination of the value of documents – study of documents based on the criteria of their value with the purpose of establishing the retention period of documents and their selection for inclusion in the NAF;
22) document (letter) issue – a copy of the outgoing document remaining in the case of the author organization;
23) metadata - structured data that describes the context, content and structure of an electronic document, intended for its identification and retrieval, as well as management processes throughout the entire life cycle of the document;
24) storage unit – recording unit, which is a physically isolated document or a set of documents that has independent significance;
25) recording of documents in archives of the organizations – determining the number and composition of archival documents in recording units and fixing the ownership of each recording unit to a specific complex and their total number in recording documents;
26) file - an identified object on an electronic mediaupported by the operating system in whose environment the object is created and (or) access to it is provided;
27) compilation of cases – grouping of executed documents into cases in accordance with the nomenclature of cases and systematization of documents within the case;
28) an inventory of document cases – an archival reference book intended for disclosure the composition and content of storage units, securing their systematization and recording;
29) case inventory sheet – a document containing information about the features of the content and formation of a particular case in the organization's archives, including the number of numbered pages of each case;
30) electronic archives – a set of archived electronic documents;
31) electronic archival document– documented information presented in electronic form and certified by an electronic digital signature (hereinafter referred to as EDS), which can be identified and is subject to storage due to the significance of this information for society and the state;
32) Electronic Archives Information System (hereinafter referred to as EAIS) – an organizationally structrured set of information and communication technologies, service personnel and technical documentation that implement certain technological actions through information interaction and are designed to solve specific functional tasks in the field of archiving and documentation support;
33) electronic medium – a material mediumdesigned for storing information in electronic form, as well as recording or reproducing it using technical means;
34) electronic document – a document in which the information is presented in digital form and certified by EDS;
35) information package of electronic documents (cases) – information object of a certain structure, transmitted over network communications or telecommunications as a whole;
36) migration of electronic document – the process of transferring electronic documents from one software and hardware environment or from one information mediumto another environment or to another mediumwhile maintaining their authenticity, integrity, reliability and ease of use;
37) conversion of electronic document – transformation of the original electronic document by changing its format while maintaining the structure and content;
38) electronic recording control card (hereinafter referred to as the ERCC) – electronic document with recording data on the document in the prescribed form, fixing its details;
39) electronic case – independent unit of storing electronic documents and their metadata, logically united in the process of aggregation;
40) emulation – reproduction of the operation of one system by means of another without loss of functionality and distortion of results in order to reproduce electronic documents.
4. In accordance with the tasks and functions entrusted to the organization, as well as the composition of the documentation formed in its activities, the following are formed:
1) archives of management documents, including electronic documents;
2) archives of audiovisual documentation, including electronic documents;
3) archives of scientific and technical documentation, including electronic documents.
5. The National Archives of the Republic of Kazakhstan, central state archives, state archives of regions, cities, districts and their branches (hereinafter referred to as the State archives), the Archive of the President of the Republic of Kazakhstan provide organizations with methodological assistance on the implementation of these Rules.
6. In an organization which personnel list does not provide for personnel positions of archives workers, the person responsible for maintaining the archives is designated by the order (other regulatory document) of the head of the organization.
Chapter 2. The procedure for acceptance of cases, documents Paragraph 1. The procedure for acceptance of cases, documents for storage
7. Archives of the organization accepts cases, documents of a permanent, temporary storage period and on personnel, formed in the course of the organization activities. When an organization is reorganized, documents are transferred in an orderly manner to successors.
8. Acceptance of cases, documents in the archives of the organization shall be carried out annually. In an organization that has structural subdivisions, documents are accepted to the archives of the organization in accordance with the schedule for the acceptance of documents to the archives of the organizations approved by the head of the organization.
Documents are transferred to the archives of the organization on the media on which they are created (paper of various types, including photographic paper, tracing paper, film, magnetic tapes, electronic media).
9. When accepting for storage of management documents on paper, an employee of the archives of the organization in the presence of the person transferring the documents shall check:
1) the availability of cases of permanent, long-term (over 10 years) storage and on personnel in accordance with the inventory of the cases of the structural unit;
2) the availability of cases of temporary (up to 10 years inclusive) storage on the nomenclature of cases;
3) the numbering of cases sheets with data on the inventory of cases of the structural unit;
4) correctness of filling in the internal inventory of case documents (if available);
5) the availability of the case inventory sheet;
6) the correspondence of the details of the cover to the corresponding entries in inventory of cases, documents of the structural subdivision;
7) physical condition of the documents.
10. When accepting audiovisual documents for storage, an employee of the archives of the organization in the presence of the person transferring the documents shall check:
1) completeness of documents;
2) physical condition of the documents;
3) completeness of the accompanying text support documentation.
The text support documentation includes:
1) for film documents - annotations, editorial script, permits for completed works, acts of technical condition, recording of light and color passports;
2) for photographic documents - annotations;
3) for phonodocuments and video documents - acts of technical condition, texts of speeches, catalogs of records, lists of speakers, reviews, articles and other documents referred to receiving phonodocuments and video documents.
11. When accepting scientific and technical documentation for storage, an employee of the archives of the organization in the presence of the person transferring the documents shall check:
1) completeness of documents (in accordance with the specification sheet, specification, content of volumes, albums, books and other documents that list all the transmitted documentation);
2) the availability of established signatures and dates;
3) the correctness of the basic inscriptions and title pages;
4) physical condition of the documents.
12. Acceptance of electronic documents in the archives of the organization shall be carried out through information systems that ensure compliance with the requirements for the storage of electronic documents.
13. Electronic documents are transferred to the archives of the organization via the information and telecommunications network from the organization’s information system to the information system of archives of the organization or on separate write-once media in the format they were formed in, sent or received, ensuring the simultaneous storage of the generated digital signatures under the corresponding electronic documents. Electronic documents are transferred to the archives of the organization together with their metadata.
14. In cases of changes in the software and hardware environment and the withdrawal of computer formats, damage to the media, the archives of the organization shall work on conversion of electronic documents into new formats and / or migration to new media.
Migration of documents should be carried out before the technologies and media (such as floppy disks, magnetic tapes, optical CDs and DVDs) on which they depend, become obsolete. Depending on factors such as volume and accessibility requirements, it may be preferable to convert or migrate documents as soon as the target (end) environment is known. If the value of the documents and/or the risks associated with them are considered to be sufficiently low, then the organization may choose to wait until some other trigger event (for example, software upgrade, system replacement, acquisition or merger with another organization) makes the conversion or migration justified.
15. When accepting electronic documents (cases) to the archives of the organization, the validity shall be checked (at the time of verification) as follows:
1) EDS on the inventory of electronic documents of the structural subdivision of the organization using the private key EDS, owned by the organization or the head of the structural subdivision of the organization;
2) EDS on an internal inventory using the EDS private key owned by the organization or employee of the organization's structural unit that compiled the internal inventory.
Validation of EDS shall be carried out using the EDS tool, which has a certificate of conformity issued by the certification center of state bodies of the Republic of Kazakhstan.
When accepting electronic documents (cases), an employee of the archives of the organization through EAIS shall check:
1) composition of metadata of the electronic documents (cases);
2) compliance of the composition of electronic documents (cases) transferred for storage with the data of the corresponding inventory of electronic documents (cases) of the structural unit;
3) correspondence of the volume of transferred electronic documents (cases) with the volume specified in the relevant inventory of electronic documents (cases) of the structural unit;
4) ability to reproduce electronic documents (cases);
5) absence of harmful computer programs.
When accepting electronic documents (cases) on removable media, the physical and technical condition of removable media, the correspondence of information on removable media with data on removable media and the placement of electronic documents (cases) on removable media in metadata shall be checked.
When accepting electronic documents (cases) of permanent storage, the correspondence of formats of files with the format of permanent storage PDF/A-1 shall be checked.
For electronic documents (cases), confirmation of the authenticity and integrity of the electronic documents (cases) included in them shall be carried out by checking the validity (at the time of verification) of the EDS tools.
The results of authentication and integrity are stored in the metadata of electronic documents (cases) generated by the archives of the organization. The metadata contains the date of verification and the control characteristics confirmed during the verification process..
16. Acceptance of electronic documents (cases) to the archives of the organization shall be considered completed with the positive results of the checks carried out in accordance with the requirements of Paragraph s 13-15 of these Rules. In the EAIS of the organization, an act shall be formed on the migration and rewriting of electronic documents (cases) according to the form approved by the authorized body in the field of archiving and documentary support of management (hereinafter referred to as the authorized body).
Paragraph 2. Procedure for check of documents value and compilation of its results
17. The examination of the value of documents in the archives of an organization shall be carried out in order to select documents referred to the NAF composition, prepare them for transfer to permanent storage in the appropriate state archives, the Archive of the President of the Republic of Kazakhstan, determine the storage periods for documents not referred to the NAF composition, and allocation to the destruction of documents and cases with expired storage period.
18. The examination of the value of the documents shall be carried out on the basis of:
1) legislation of the Republic of Kazakhstan on NAF and archives;
2) model or sector lists of documents indicating the storage period, model (approximate) nomenclature of cases and the nomenclature of cases of the organization for the corresponding period;
3) methodological documents of the authorized body in the field of archival and documentation support of management (hereinafter referred to as the Authorized body), local executive bodies of regions, cities of republican significance and the capital (hereinafter referred to as the LEB) and state archives, the Archive of the President of the Republic of Kazakhstan.
19. The examination of the value of documents shall be carried out by the complex application of the criteria of origin, content, external features of documents.
The criteria for the origin of documents include:
1) the role and place of the organization in the system of state management or a particular sector (field of activity), the importance of its tasks and functions, the importance of an individual in society life;
2) time and place of formation of the document.
The criteria for the content of documents include:
1) Significance of the event (phenomenon, object), reflected in the document;
2) the value of the information contained in the document, its repetition in other documents;
3) authenticity, the type and kind of document.
The criteria for the external features of the document include:
1) document authenticity;
2) legal accuracy of the document (the availability of a signature (electronic digital signature) of an official and other details that are mandatory under the legislation of the Republic of Kazakhstan);
3) form of recording and transfer of information content;
4) features of the material medium of the document;
5) features of the physical condition of the document.
20. When checking the value of audiovisual documents, the following specific criteria are additionally applied:
1) ) art worth of audiovisual documents;
2) composition and plot integrity of audiovisual documents;
3) expressiveness and originality of audiovisual documents;
4) originality of the information medium, method of recording and reproducing information, technical condition of audiovisual documents.
21. During the examination of the value of scientific and technical documentation, the following specific criteria are additionally applied:
1) significance of the problem (technology) or object (project, model, structure, technology) reflected in the documents at the time of implementation for the development of specific sectors and the economy of the state as a whole;
2) principal originality, uniqueness, originality of the solution of the problem, construction, technology, project;
3) the compliance of scientific and technical documentation with the stages of scientific research (the stages of technical development).
22. When conducting the examination of the value of electronic documents (cases), the following specific criteria are additionally applied:
1) metadata integrity;
2) authenticity of electronic documents (cases);
3) absence of duplicate information in documents accepted for archival storage.
23. An expert commission (hereinafter referred to as the EC) is created to organize an examination of the value of documents and consideration of its results.
A central expert commission (hereinafter referred to as the CEC) is being created in a state body that has territorial bodies and / or subordinate organizations, as well as organizations with branches.
24. CEC (EC) is a consultative body and acts on the basis of a regulation approved by the head of the organization.
25. Examination of the value of documents shall be carried out annually in a planned manner by employees of the archives of the organization. The examination of the value of documents in the organization, which is the source for the replenishment of the state archives, shall be carried out under the carried out under the methodological guidance and with the consulting assistance of the relevant state archives, the Archive of the President of the Republic of Kazakhstan.
In case of reorganization (liquidation) of the organization, an unscheduled examination of the value shall be carried out.
26. CEC (EC) decisions are documented by protocols approved by the head of the organization.
The decisions of the CEC (EC) of the sources for the acquisition of state archives, the Archive of the President of the Republic of Kazakhstan are approved by the head of the organization after they are agreed with the relevant expert-checking commissions hereinafter referred to as the EEC), formed by the state archives, Archive of the President of the Republic of Kazakhstan, LEB.
27. During the examination of the value of the documents the following are carried out:
1) analysis of composition of the organization documents;
2) selection and preparation of cases of permanent storage for transfer to the state archives, Archive of the President of the Republic of Kazakhstan (for sources of acquisition of the state archives, Archive of the President of the Republic of Kazakhstan);
3) the availability of original copies of documents and the determination of structural units in which cases they are included;
4) clarification of the repetition nature of the information contained in them in other documents, the type, form and completeness of repetition.
Selection of documents with repetitive information and doublet documents for destruction is made only after checking them with documents selected for permanent storage.
28. Cases with “EEC” mark, containing documents of permanent storage are subject to re-formation. Documents of permanent storage, selected from their composition, are formed into separate cases or are joined to homogeneous permanent storage cases. Cases containing the remaining documents of temporary storage are stored for a set period of time.
Re-formation of electronic documents (cases) shall be carried out similarly to cases on paper.
Electronic documents (cases) marked "EEC", containing documents of permanent storage, are viewed file by file, in a file - by sheet.
29. Examination of the value of documents shall be carried out by sheet-by-sheet and (or) file-by-file viewing of case documents (audiovisual documents are viewed on the editing table or screen, audio documents are listened, electronic documents (cases) are viewed).
30. During the check, the following are checked:
1) justification of including the documents in this case;
2) legal validity of documents (availability of details);
3) availability and correctness of formation details of covers of cases;
4) correctness of case sheets numbering;
5) physical-chemical and technical condition of the document.
During the viewing (listening), second and subsequent copies of documents, drafts, and unregistered copies of documents are withdrawn from cases, if their removal was not carried out in the structural units when preparing documents for transfer to the archives of the organization.
Identified deficiencies are eliminated by the employee of the archives of the organization. Where necessary, case titles are updated, cases are unbound and reformed, renumeration of sheets in a case shall be carried out.
31. Based on the results of the examination of the value of documents and on the basis of the inventories of the cases of documents of structural divisions, the following are compiled:
1) inventory of cases of documents of permanent storage according to the form approved by the authorized body;
2) inventory of electronic documents (cases) of permanent storage according to the form approved by the authorized body;
3) inventory of cases on personnel, according to the form approved by the authorized body;
4) inventory of electronic documents (cases) on personnel according to the form approved by the authorized body;
5) inventory of cases of documents of temporary (more than 10 years) storage according to the form approved by the authorized body;
6) inventory of electronic documents (cases) of temporary (more than 10 years) storage according to the form approved by the authorized body;
7) act on the allocation to the destruction of documents that are not subject to storage, according to the form approved by the authorized body;
8) act on the allocation to the destruction of electronic documents (cases), that are not subject to storage, according to the form approved by the authorized body.
32. During the examination of the value of the project, design and technological documentation, a list of projects for industrial production and technological processes, facilities for planning and capital construction, scientific and technical documentation on which is to be transferred for state storage (hereinafter referred to as the List) is compiled, according to the form approved by the authorized body.
33. The list is compiled at least once every five years.
34. The systematization of items on the list shall be carried out on a chronological, thematic or thematic and chronological basis.
35. The list is approved by the head of the organization and the EEC of the state archives, the Archive of the President of the Republic of Kazakhstan or the LEB after the approval of the CEC (EC) of the organization.
The list is compiled in two copies. After its approval, one copy is sent to the appropriate state archives, the Archive of the President of the Republic of Kazakhstan, the second remains in the organization.
36. On the basis on the list, further examination of the value and compilation of inventories of cases, documents of project, design and technological documentation of electronic documents (cases) shall be carried out.
The list is not compiled for research and patent and licensing documentation.
37. Inventories of document cases, electronic documents (cases) are compiled separately for each type of scientific and technical documentation: project, design, technological, research, patent and licensing and have a separate number with a digital index defining the type of scientific and technical documentation.
38. During examination of the value of audiovisual documents, the completeness and degree of preservation of a set of an audiovisual document, the availability and quality of accompanying text documentation, the possibility of scientific and practical use, duplication, absorption and variance of an audiovisual document are taken into account..
39. During the check of value, the audiovisual documents with damages are revealed.
Upon detection of defects, especially of a chemical and biological nature (yellowing, molding, peeling of the emulsion), all audiovisual documents of a given production year that are stored under the same conditions are monitored.
Audio-visual documents with defects are subject to restoration and preventive treatment.
40. Audiovisual documents, deposited in the period up to 1922 inclusive, are not allocated for destruction. The destruction of audiovisual documents, deposited in the period from 1922 to 1945 inclusive, shall be carried out with the permission of the authorized body.
Paragraph 3. The procedure of compilation the inventories of cases, documents
41. The inventory of document cases, including electronic documents (cases) of permanent, temporary storage, on personnel and acts on the allocation for destruction of documents that are not subject to storage, within each archival fund, are assigned independent serial numbers.
The inventory of document cases is completed upon reaching the number of included titles of 9999 (nine thousand nine hundred ninety-nine).
The subsequent inventory of document cases, including electronic documents (cases) are assigned the next serial number.
When an organization is reorganized or liquidated, the inventory of document cases, including electronic documents (cases), is completed regardless of the total number of included titles of cases, documents.
42. The annual section of the inventory of document cases is compiled and approved annually.
43. When making an inventory of document cases, an inventory of electronic documents (cases), the titles of cases (volumes, parts of cases) are numbered in gross order.
44. The titles of additionally discovered cases are entered into the corresponding inventory of document cases, including electronic documents (cases) under letter numbers in accordance with the accepted systematization. If there are more than 10 cases in one year, an additional inventory of document cases, including electronic documents (cases), is compiled with independent numbering of their titles.
After the inventory of electronic documents (cases) of records on the receipt or disposal of cases is entered into the inventory of documents, a complete final record is drawn up, which also indicates the grounds for the changes made.
45. The case, which includes documents for several years, is entered in the inventory of document cases by year of opening in record keeping, for the following years, its title is indicated, and in the column “Note” - the note “See Case No”.
46. The inventory of document cases of permanent storage after coordination with the CEC (EC) of the organization is coordinated by the EEC of the state archives, the Archive of the President of the Republic of Kazakhstan or LEB, approved by the head of the organization.
The inventory of cases on personnel is coordinated by the CEC (EC) of the organization, after coordination with the CEC (EC) it is coordinated with the EEC of the state archives, the Archive of the President of the Republic of Kazakhstan or LEB and approved by the head of the organization.
The inventory of document cases of temporary (over 10 years) storage is approved by the head of the organization after agreement with the CEC (EC) of the organization.
47. Organizations that are not sources of acquisition of the state archives, the Archive of the President of the Republic of Kazakhstan, do not submit for approval (coordination) with the EEC, an inventory of document cases of permanent storage, on personnel and acts on the allocation to the destruction of documents that are not subject to storage.
48. The inventory of document cases, including electronic documents (cases) of permanent storage, shall include the titles of:
1) ) the cases, documents of permanent storage, including those referred to the composition of the NAF;
2) the cases formed from documents marked “EEC”, separated from cases with temporary storage periods, after checking them with the nomenclature of the organization's cases for the same year and checking the correctness of the formation and execution of cases (the titles are clarified where necessary);
3) completed by record keeping of personal cases of the heads of organizations of republican, regional, cities of republican significance, the capital significance;
4) completed by the record keeping of the personal cases of political public servants;
5) completed by record keeping of personal files of workers with higher honorable distinctions, honorary state and other titles, awards, academic degrees.
49. The storage units (cases) of the archival fund are systematized within the archival fund according to the systematization scheme.
Cases on paper are subject to splitting and re-forming when it is discovered that the case is formed incorrectly.
50. Systematization of titles in the inventory of document cases, including electronic documents (cases) of permanent storage, is determined by the following features:
1) structural (in accordance with the storage units belonging to structural units);
2) chronological (by periods or dates, which include storage units);
3) functional, sectoral, thematic, subject-matter (taking into account the functions of the organization, the topics or issues that concern the content of storage units);
4) nominal (according to the record keeping form - kinds and types of documents);
5) correspondent (for organizations and persons, as a result of correspondence with that, units of storage were formed);
6) geographical (in accordance with certain territories, populated areas and other geographical objects, which the content of the documents, their authors, correspondents are referred to);
7) author's (by the names of organizations or the names of persons who are the authors of documents).
51. Documents on personnel, scientific and technical documentation in archival collections of research organizations, manuscripts in publishing houses, medical records in medical organizations, acts of inspections in archival funds of control bodies are divided into special groups and systematized separately from management documentation.
52. Film documents and video documents are systematized:
1) by types (films, special issues, newsreels, separate cinematic and TV spots);
2) by years of release of films, special issues, newsreels; production numbers of separate cinematic and TV spots;
3) by units of recording (sets);
4) by chromaticity (colored, black and white);
5) by a format of a film (8 millimeters (hereinafter referred to as mm), 16 mm, 35 mm, 70 mm and others).
53. Photo documents are systematized by types:
1) negatives of various chromaticity (colored or black and white) and sizes, which are designated by numbers 2–8 (figure 2 corresponds to negative of size of 2.5 centimeters (hereinafter referred to as cm) x 3.5 cm, 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 systematization of small volumes of negatives of sizes 6–8, it is allowed to combine them into one group.
2) slides (transparencies) of different chromaticity;
3) positives, photographic prints;
4) photo albums;
5) filmstrips;
6) electronic documents (photographic documents on digital or other modern media), which are denoted by the “E” letter.
54. Phonodocuments are systematized according to the types of recording of audio information: phonographic, gramophone, optical, magnetic, laser. For recordings of a certain type of recording, a separate inventory is compiled. Within the types, phonodocuments are arranged in units of recording and sets.
55. The inventory of document cases, including electronic documents (cases) of permanent storage and on personnel, has a title page according to the form approved by the authorized body, content (table of contents), preface, list of abbreviated words, and summary entry. The official title of the state archives, the Archive of the President of the Republic of Kazakhstan is not affixed to the title page of the inventory of cases on personnel.
56. The inventory of document cases of permanent storage, including electronic documents (cases) is compiled in 4 copies on paper. After its approval, two copies are transferred to the state archives, the Archive of the President of the Republic of Kazakhstan, two - remain in the archives of the organization.
57. The inventory of document cases on personnel, including electronic documents (cases), is compiled in 4 copies on paper. After its approval, two copies are transferred to the state archives, two -remain in the archives of the organization.
58. The inventory of document cases of long-term (over 10 years) storage, including electronic documents (cases), is compiled in 4 copies on paper. After its approval, two copies are transferred to the state archives, the Archive of the President of the Republic of Kazakhstan, two - remain in the archives of the organization.
59. The inventories of electronic cases of all types of documents are transferred to the state archives, the Archive of the President of the Republic of Kazakhstan through EAIS or in its absence - through electronic media.
60. The systematization of titles in the inventory of cases, including electronic cases, on personnel is determined by chronological, structural (functional) and nominal classification features. Titles of cases are grouped by starting (completion) year in record keeping, within each year - by structural units (activities direction) of the organization, inside the latter - in decreasing order of importance of cases.
61. Cards for personnel records and personal cases of employees (with a volume of more than 20 cases per year) are recorded in an independent inventory of cases. Their titles are grouped by year of completion of cases in record keeping, within a year - in alphabetical order of the names of employees.
62. The table of contents, preface and the list of abbreviated words are compiled to the inventory of document cases, including electronic documents (cases) of long-term (over 10 years) storage.
63. The systematization of the titles of cases, documents, electronic documents (cases) in the inventory of cases of long-term (over 10 years) storage is determined by chronologically-structural or chronologically-functional (chronologically-nominal) and nominal-logical classification features.
Paragraph 4. Procedure for compilation the act of allocation to the destruction of the
documents that are not subject to storage
64. The act of allocation to the destruction of documents that are not subject to storage, is compiled simultaneously with the inventories of cases, documents.
65. The act includes the titles of cases and documents with expired storage periods on January 1 of the year when the examination of the value of documents shall be carried out.
66. The act of the allocation to the destruction of documents and cases that are not subject to storage, is compiled according to the form approved by the authorized body.
The act specifies the titles of individual cases or group titles of homogeneous cases.
67. The act on the allocation to destruction of the documents that are not subject to storage, is approved by the head of the organization after agreement with the CEC (EC) of the organization and the EEC of the state archives, the Archive of the President of the Republic of Kazakhstan or the LEB.
68. An act on the allocation for the destruction of documents that are not subject to storage is compiled in two copies, one of them is transferred to the state archives, the Archive of the President of the Republic of Kazakhstan, the other - to the archives of the organization.
69. Documents with expired storage periods are allocated for destruction only after the approval of the inventory and the act of allocation for destruction for the relevant period.
Chapter 3. Storage of documents of the archives of the organization Paragraph 1. Procedure for organization of documents safety
70. To ensure safety of documents, electronic documents (cases) in the archives of an organization, the following are implemented:
1) a set of measures for the creation and development of the material and technical base for storing documents (building and storage facilities (premises), document storage facilities, equipment, safety and security storage facilities, climate control facilities, copying and restoring tools for damaged documents);
2) a set of measures to create and comply with the regulatory conditions for the storage of documents (temperature and humidity, light, sanitary and hygienic, security storage modes);
3) preventive measures (ensuring the physical and chemical preservation of documents, regulating the issuance of documents from archives, checking the availability and condition of documents, identifying especially valuable documents, creating an insurance fund and using fund).
71. For electronic documents (cases), the possibility to reproduce information contained therein must be ensured throughout the entire period of storage.
In case of obsolescence of formats or software for reproduction of electronic documents (cases), their long-term preservation and integrity are ensured by emulation or conversion processes.
72. The creation of a software and hardware environment is ensured during emulation in order to reproduce documents in electronic form as accurately as possible.
When converting electronic documents (cases) from one file format to another, the authenticity of the content of the created file and the reference copy of the electronic document (case) is verified.
During emulation and conversion, the identifier and name of the electronic document (file) are saved before emulation or conversion.
Information about emulation or conversion must be saved and protected from changes.
73. Information about emulation or conversion shall contain:
volume, format, control characteristic, date and time of creation of the storage object created during the conversion process;
information about the software tool that implements the processes of emulation or conversion;
information about the employee of the archives of the organization (position title, initials, surname) who applied the emulation or performed the conversion.
In the case of conversion, the reference copy of the electronic document (case) is stored in the form and composition in which it originally entered the archives of the organization.
All storage objects created during conversion, as well as documenting emulation or conversion processes, are included in the same accounting unit as the reference copy of the electronic document (file), or form an independent accounting unit.
Appropriate changes shall be made to recording documents.
74. The system of measures for organizing the storage of documents ensures the preservation of documents and the control of their physical condition when documents arrive in the archives of the organization, when they are stored and transferred for permanent storage to the appropriate state archives, Archive of the President of the Republic of Kazakhstan.
75. Organizing the storage of electronic documents (cases) shall include:
guaranteed storage of electronic documents (cases) within the established storage periods;
ensuring the availability and physical safety of all storage facilities;
ensuring the integrity of all storage objects;
providing conditions for the reproduction of electronic documents (cases) in the long term;
control over the movement of electronic documents (cases) (overwriting on a new electronic media, etc.).
76. the storage of electronic documents in the archives shall be carried out:
1) on physically separate media - in two copies, one of which is the main one, the other is the working one. At the same time, the main and working copies are stored in different archives (rooms), under the temperature and humidity conditions recommended by the media manufacturers;
2) in the information system of the electronic archives - on the archives's own equipment or in data processing centers of state bodies.
Mandatory conditions for storing electronic documents on physically separate media shall be:
1) the use of media, intended for long-term (over 10 years) storage of information;
2) availability of hardware and software tools that allow them to be reproduced, migrated and converted, as well as to control the physical and technical condition;
3) migration to new media and conversion to modern formats;
4) organization of control over their authenticity, integrity, reliability, suitability for use.
Regulatory conditions for the storage of electronic documents in the information system of the electronic archives shall be ensured by:
1) its compliance with the requirements of the legislation of the Republic of Kazakhstan in the field of creation, development, commissioning of state information systems and storage of information in them;
2) compliance with the requirements of information security and information protection during its operation;
3) backup migration of electronic documents, including when using cloud technologies, and their conversion into modern formats.
77. The conditions of storage of electronic documents (cases) must ensure:
compliance with the temperature and humidity conditions;
sanitary-hygienic, fire-prevention and security storage modes;
the use of special storage facilities (server equipment, metal cabinets, boxes, cases and other).
The main parameters that determine the reliability of the storage conditions for electronic documents shall be:
pollution of the environment;
temperature storage conditions;
relative humidity of the environment;
exposure to electromagnetic fields;
providing the engineering infrastructure of the data center with the necessary conditions for its operation;
monitoring the life of electronic media.
78. The placement of the archives of organization in the adapted premises in the administrative building is subject to compliance with the requirements of fire resistance, structural strength, sanitary and hygienic standards, the availability of heating and ventilation systems.
79. The premises for the archives of the organization shall consist of:
1) archival repository for storing documents;
2) room for researchers operating (reading room);
3) operating rooms of archives workers;
4) rooms for server and communication equipment.
Archival repositories are located in isolated rooms.
Unauthorized persons are allowed into archives only with the permission of the head of the organization and in the presence of an employee of the archives of the organization.
80. Archival repositories are located away from laboratory, industrial and storage facilities associated with the storage or use of chemical substances or food products.
Archival repositories are equipped with basic fire extinguishing equipment. In the systems and fire extinguishing facilities of the archives, organizations use neutral, substances that are safe for documents.
В The use of fire, heating devices is not allowed in archival repositories. Placement of gas, water, sewer and other main pipelines in them is not allowed.
Use for an archives of a premise without windows is allowed in the availability of natural or artificial ventilation, which rate of air exchange is 2–3 per hour.
81. The external doors of the organization archives premises are upholstered in metal and have strong locking bars. During working hours archival repositories are locked. Beyond working hours, all archives premises are sealed or stamped. The stamp (seal) together with the keys shall be deposited with the duty officer of the organization, security staff, or place specified by the internal regulations.
Removal of cases, documents from the archives outside the building shall be carried out only with special permits in the manner prescribed by the head of the organization.
82. The archival repositories shall be equipped with a security alarm. On the windows, the location of which allows access from the outside, metal bars shall be installed.
83. In archival repositories, hidden electrical wiring shall be installed, sealed electrical outlets shall be used. General and floor switches are placed outside the archives.
Paragraph 2. Procedure for placement and storage of cases
84. Documents in the archives of the organization are stored in archival repositories and placed in order to ensure their time efficient search in accordance with the recording documents, including electronic documents (cases). The order of placement cases, including electronic documents (cases) in the archives is determined by the plan (scheme) of their placement.
85. Archival repositories are equipped with basic (stationary or mobile metal storage shelves) and additional (metal cabinets, safes) storage facilities. It is allowed to use wooden storage shelves provided that they are treated with flame retardants.
Storage shelves made of non-ferromagnetic material are used for storing phono- and video documents.
86. Storage shelves are installed perpendicular to the walls with window openings, in premises without windows - taking into account the characteristics of the premises and equipment. It is not allowed to place storage facilities close to the outer walls of the building and heat sources.
The placement of the storage facilities shall be carried out in accordance with the following distance norms:
1) between the rows of storage shelves (main aisle) - 120 cm;
2) between the storage shelves (aisle) - 75 cm;
3) between the outer wall of the building and the storage shelve parallel to the outer wall - 75 cm;
4) between the wall and the end of the storage shelve or cabinet (safe) - 45 cm;
5) between the floor and the bottom shelf of the storage shelve or cabinet (safe) - at least 15 cm, in the basement floors - at least 30 cm.
87. Cases with management documentation on paper media are placed in cardboard archives boxes, folders or bundles.
Scientific and technical documentation, depending on the equipment and formats of the drawings, is stored in expanded, folded or other form.
Electronic media are placed in fireproof cabinets, boxes, cases, cells, and electronic documents - on special devices.
88. Film documents have protective film leader. The length of the initial film leader is 3 meters, the length of the final film leader is 1.5–2 meters. Encryption is applied to the initial and final film leader. Film documents tightly wrapped into a roll on the cores with the photographic layer to the outside, without protruding turns on the ends of the roll. Direction of wrapping - from end to beginning.
Phonodocuments on a magnetic tape are formed with film leader of different colors depending on the playback speed of the recording. Encryption is applied to the initial film leader from the non-working side. The document is wrapped onto the core with the working layer outside (with the height of the protruding turns in the roll, not exceeding 0.05 mm.). The direction of the wrapping of the phonodocument corresponds to the rotation of the wrapped roll counterclockwise when playing on tape recorders.
Each storage unit of an audiovisual document is packaged in a primary, and then in a secondary packaging. The primary packaging has direct contact with the document and protects it from dust and wet, and the secondary packaging protects the document and the primary packaging from mechanical damage, light and other environmental influences.
Packages are made from chemically inert, chlorine-free, nitrogen-free materials that prevent the appearance of bio-damage, and non-damaging documents or sticking to them.
89. Film documents are packaged in a thin paper wrapper or multi-layered bag made of polyethylene, polyethylene terephthalate and a metal box. Package size shall match roll size.
Photo documents on a film, photographic paper, glass photographic plates are packed into envelopes made of black light-proof acid-free paper.
Phonodocuments on magnetic tape are packaged in a bag of plastic film and factory box or placed in a plastic case (container) with cutouts for labels.
Audio-visual documents on disk carriers are placed in the original packaging and then placed in a boxed container.
Video phonograms are stored in a special original packaging made of durable polymeric material.
90. Placing documents on the floor, window sills, and staircase landings or in unassembled piles is not allowed.
91. Archival repositories, storage shelves, cabinets (safes) and their shelves are numbered in Arabic figures. Storage shelves and cabinets (safes) are numbered independently from left to right from the entrance to the archives, their shelves are from top to down.
92. The place of storage of cases, documents in archives is indicated in the shelving topographic indices.
For each storage shelves, a card of the shelving topographic index is compiled in a form approved by the authorized body. The shelving topographic index cards are systematized in accordance with the numbering of the storage shelves within each individual archives repository.
All changes in the placement of documents shall be timely reflected in shelving topographic indices.
93. When storing electronic documents (cases), the archives of the organization is provided by the following main technical equipment:
1) sheetfed scanners for reliable information entry;
2) servers capable of parallel query processing;
3) high-performance (100 Mbit / s and more) computer network oriented to multi-stream input and processing of text, graphic and audiovisual documents;
4) equipment that provides high-performance and ultra-reliable access to system search data;
5) equipment for transferring data to compact or magneto-optical disks;
6) equipment of magnetic tape backup copying;
7) automated workplaces oriented to the processing of textual and graphical information;
8) uninterruptible power supply;
9) printers and modems of the latest modifications:
10) equipment providing access to the unified transport environment of state bodies (for state bodies, their subordinate organizations and local self-government bodies, as well as other subjects of informatization defined by the authorized body in the field of informatization).
94. The basic (system) software of the archives of electronic documents includes:
1) operating network environment and database management system focused on processing large amounts of data;
2) data display and processing facilities;
3) means of protection against unauthorized access and anti-virus tools.
95. Special software tools for the functioning of the archives of electronic documents of the organization include:
1) means of effective support of control systems for the constant search for documents on electronic media;
2) unified means of text recognition in the state and Russian languages;
3) means of providing a single technology for entering information into the database;
4) means of time efficient search of information and operational data analysis;
5) means for developing and optimizing user requests;
6) software and hardware protection against unauthorized access to information archives of electronic documents of the organization.
Paragraph 3. Procedure for providing the document storage mode
96. In the archival repositories all kinds of work with documents conducted under limited lighting levels. Documents are placed in primary protective means of storage (archives boxes, folders, special cases, packages, boxes).
97. In natural light, diffusers, luminous flux regulators, protective filters, curtains, blinds or painted glass shall be installed on the windows.
For artificial lighting, incandescent bulbs in closed ceiling with a smooth surface shall be used. Fluorescent lamps shall be used in the condition of the cut-off ultraviolet part of the radiation spectrum.
98. The following temperature and humidity conditions are provided in the archival repositories:
1) for documents on physical media – temperature +17 – +19°С, relative air humidity 50-55 %;
2) for documents on black and white film data carriers – temperature +15°С, relative air humidity 40-55 %;
3) for documents on color film data carriers – temperature +2 – +5°С, relative air humidity 40-55 %;
4) for documents on magnetic tape and disk carriers – temperature from +8 – to +18°С, relative air humidity – 45-65 %;
5) for documents on electronic media – temperature +15 – +20°С, relative air humidity 50-65 %.
In order to provide the optimal temperature and humidity conditions for storing documents on electronic media, electronic documents (cases) in the storage, it is necessary to ensure compliance with the following requirements:
for magnetic tape and disk media, the ambient temperature should be from +8 to +18 ° C, relative air humidity should be maintained in the range from 45 to 65%;
for optical discs, the temperature should not exceed +25 °C, relative air humidity should be 20-50%;
for server equipment, the ambient temperature should be from +18 to +24 °С, relative air humidity should be 30-50%.
The rate of change in air humidity should not exceed 6% per hour.
Atmospheric pressure should be between 84 and 107 kPa.
99. In archival repositories with unregulated climate, appropriate measures shall be taken to optimize climatic conditions based on rational heating of the building of the organization, ventilation and humidification (drying) of air in archives.
100. The temperature and humidity conditions in the archival repositories are monitored by regularly measuring the parameters of temperature and relative air humidity based on the indication of the corresponding monitoring and metering instruments. In air-conditioned premises, the parameters are measured twice a week, in premises with unregulated climate - three times a week.
The temperature and humidity conditions for storing documents on electronic media, electronic documents (cases) in the storage area shall be monitored by regularly measuring the temperature and determining relative air humidity at one and the same time:
in air-conditioned premises - at least once a week;
in storage areas with unregulated climate - twice a week;
in violation of the storage mode – once a day.
Monitoring and metering instruments (thermometers, psychrometers, hygrometers) are placed in the main aisle on the storage shelves, away from heating and ventilation systems. Monitoring and metering instruments indication are recorded in the recording log of monitoring and metering instruments according to the form, approved by the authorized body.
Sharp fluctuations in temperature and humidity in archives shall not be allowed.
101. Air circulation is provided in archival repositories, which eliminates the formation of uncontrolled zones, dangerous in sanitary-biological terms (the appearance of mold, insects, rodents, dust).
The windows that opened during the warm season, as well as ventilation openings in the walls, ceilings, floors of archives and external openings of ventilation systems are equipped with grids with a diameter of cells not more than 0,5 mm.
In the archival repositories, staying in top clothes, wet and dirty shoes, storage and use of food products shall not be allowed.
102. At least once a year dust elimination of storage shelves, cabinets, and primary storage means of documents shall be carried out. In this case, the floors, skirting boards, window sills, basement parts of storage shelves shall be treated with two percent aqueous solution of formalin. At least twice a week a wet cleaning shall be carried out in the archival repositories.
103. Twice a year (before and after the end of the heating season), documents (selectively) of archival repositories shall be subjected to a check for the timely detection of insects and mold fungi.
When biological pests are detected, urgent measures are taken for disinfection and disinsection the premises by the sanitary-epidemiological service.
104. Documents of permanent storage with identified physical defects of the base (loss of parts of the document, tears, emulsion layer splitting, cracks, scratches) or text are recorded in the journal (recording card) of the physical state of the documents. This journal (this recording card) records the types of special processing required for the restoration of documents (restoration, disinfection, microfilming, photo restoration, copying, conversion in electronic format), and specifies certain measures to improve the physical condition of documents.
105. . The cases which documents are affected by mold and insects are subject to immediate transfer to processing (disinfection, disinsection).
Paragraph 4. Procedure for issuing cases, documents from archival repositories
106. Cases, documents are issued from archives:
1) for use by employees of the organization;
2) ) for use by individuals in the reading room;
3) for temporary use by other organizations;
4) for special processing of documents in order to improve their physical condition.
107. Cases, documents are issued for temporary use from archives for a period of not more than:
1) one month for use by employees of the organization;
2) one month for use documents in the reading room;
3) three months for temporary use by other organizations and exhibiting documents.
108. Extension of the terms for issuing cases, documents for temporary use shall be allowed in special cases with the written permission of the head of the organization for written confirmation of the user about the safety of documents.
109. For scientific and technical documents to be transferred for permanent storage, a fund of use on electronic and other media is created. Their originals from archival repositories are not issued.
110. Cases, including on electronic media, are issued to the law enforcement agencies, court bodies and prosecutors’ offices in the manner determined by the legislation of the Republic of Kazakhstan.
111. The issuance of cases, documents from archival repositories is compiled by the following documents:
1) orders for the issuance of cases in the reading room and to employees of the organization according to the form approved by the authorized body;
2) acts on the issuance of cases, documents for temporary use according to the form approved by the authorized body, compiled on the common letterhead of the organization;
3) orders for work on copying and restoration of documents.
Archival documents (cases) can be ordered through EAIS using a login and password, including for researchers.
112. The issuance of cases, documents, including electronic ones, from the archival repository is registered in the books of issuance of documents or in EAIS according to the form approved by the authorized body.
113. The completed orders of the researchers are kept in the personal files of the researchers, all others - until the check on the availability and condition of cases.
114. The issuance of cases, documents for temporary use to other organizations is drawn up with an act that is compiled in two copies, one of which remains in the archives of the organization, the other is issued to the recipient. The act is signed by the head of the organization transmitting the case and the head of the recipient organization. After the cases are returned, a corresponding note is made in two copies of the act - one copy remains in the recipient organization, the other is stored in the case of the fund in the archives of the organization that issued the documents.
115. The sending of documents for copying, restoration, binding is compiled by order. The order is made in the archives of the organization in the form of the act of issuing documents for temporary use by another organization.
116. Before issuing cases, documents from the archival repository are checked for compliance with the code and the title of the case on the cover of the code and the title of the case in the summary inventory. Before issuing and returning cases to the archives, the numbering of the sheets and the condition of the documents of each issued case are checked.
Each case issued from the archival repository has a usage sheet according to the form approved by the authorized body.
117. When issuing from the storage of documents on electronic media, the integrity of all storage objects that compose the issued document is checked.
118. When issuing case (documents) from the archival repository, a card is inserted in their place - a substitute of storage unit according to the form approved by the authorized body. When the case (document) is returned to the archives, the substitute card shall be withdrawn.
119. The condition of documents returned to the archives of organization after use is checked in the presence of the person returning them.
At detection of a shortage of documents or individual sheets in them, as well as damage to cases, the employee of the archives of the organization informs the management of this in order to bring the guilty person to responsibility in the manner determined by the legislation of the Republic of Kazakhstan.
Paragraph 5. Procedure of checking the availability and condition of archival
cases, documents
120. Checking the availability and condition of archival cases, documents is conducted in a planned order once in 5 years, of electronic documents (cases) – one in 3 years.
121. Unscheduled checks on the availability and condition of cases, documents are held:
1) before and after transferring cases, documents to another archives;
2) before transferring them for storage in the state archives, Archive of the President of the Republic of Kazakhstan;
3) after emergencies that caused the relocation (evacuation) of cases or access to archival repositories of unauthorized persons;
4) when changing the head of the archives of the organization (the person, responsible for the archives);
5) at reorganization (liquidation) of the organization.
122. During the check of the availability and condition of documents the following shall be carried out:
1) establishing the actual availability of documents stored in the archives of the organization;
2) identification and elimination of deficiencies in recording documents;
3) identification of missing documents and the organization of their search;
4) identification and recording of documents requiring restoration, conservation and preventive processing.
123. Before starting work on the check of the availability and condition of documentation, documents from previous checks are checked.
During the check of the availability and condition of documents, the correctness of the numbering of cases in each inventory of cases, documents, the correspondence of the numbering of cases to the final records in the case records, documents and recording documents are checked.
Reconciliation of descriptive articles of the inventory of cases, documents with the content of details on the covers of cases (codes, name of the founder and its structural divisions, reference indices of cases, case headers, dates of cases, number of sheets).
Cases with especially valuable documents, unbundled cases are checked by sheet. The results of the check are recorded in case inventory sheets.
124. One-time checks of the availability and condition of electronic media are carried out:
after transferring the electronic media of the archives to another storage;
after emergency situations;
when changing the head of the archives (the person responsible for state accounting and archival repository).
125. When checking audiovisual documentation, a descriptive article is verified with an inscription on the label of film, phono, and video documents. In case of discrepancy of information, the descriptive article is verified with the inscriptions on the film leader of the document.
126. The check of the availability of drawings shall be carried out by sheets, the name of the details of the specification or internal inventory is checked with the name of each sheet of the drawing included in the project (development).
127. During the check of the availability and condition of documents it is necessary to:
1) keep the order of the documents on the storage shelves and in the primary storage means;
2) put the wrong placed files and documents found during the inspection in their place;
3) withdraw cases which titles are not included in the sections of the relevant inventory of cases, documents;
4) withdraw and isolate cases and documents contaminated with mold or other biological pests;
5) identify documents with physical defects.
128. Notes or entries in the inventory of cases, documents and other recording documents shall not be made during the check.
129. Cases on paper issued to employees of the organization in the reading room and temporary use by other organizations are checked in accordance with books and acts of issuing cases and are considered available.
130. During the check, a checklist is compiled of the availability and condition of cases, documents in the archival fund according to the form approved by the authorized body. Check sheets are numbered in numerical order within each archival fund and signed by the performer.
After the end of the check of the archival fund, check sheets are included in the case of the given archival fund.
In the case of detection during the check of the availability and condition of cases, of the deficiencies not covered by the check sheet columns, additional columns are added into the sheet. If, as a result of the check, no deficiencies are found, the check sheet is not included in the case of archival fund.
131. On the basis of the check sheet (sheets), an act of check of availability and condition of archival documents is drawn up according to the form approved by the authorized body.
132. At the end of the check of availability and condition of archival documents, at the end of the inventory of cases, documents (recording books and descriptions), the entry “Checked”, date, position and signature of the person performing the check shall be entered.
In case of detection in the final record of the inventory of cases, documents (recording books and description) of unrecorded lettered and omitted sequence numbers, withdrawn in accordance with the established order of storage units, the final record shall be recompiled.
133. For all missing storage units, in the course of checking the availability and condition of archival documents, accounting cards for undetected archival documents are compiled according to the form approved by the authorized body.
Maintaining a card file of undetected archival documents shall be carried out centrally.
134. If the check of the availability and condition of cases revealed a shortage of cases, documents electronic documents (cases), then their search shall be organized.
When searching for undetected cases, documents the following shall be carried out:
1) studying of inventories on which cases, documents from structural units were transferred to archives of organization;
2) organizing the search for cases, documents, electronic documents (cases), undetected during the check, in the relevant structural units of the organization in the activities of which they were formed;
3) study of recording documents on the issuance of cases, documents from the archival repository;
4) study in the case of the archival fund of acts on the allocation of documents and cases for destruction;
5) checking the cases of nearby archival funds.
The search is conducted within a year after the detection of shortage of documents (cases), electronic documents (cases).
135. The cases, electronic documents (cases) found as a result of the search are returned to the places, and a note on the detection is made on the appropriate recording card of undetected cases with the date and signature of the head of the archives of organization (the person responsible for the archives of organization).
136. Cases, including the electronic ones, the reason for the absence of which is documented, are excluded from inventories, including the from the inventory of electronic cases. The dates and numbers of the acts, which confirm the absence of the case, shall be indicated in the relevant cards, and references of the search shall be drawn up. After reviewing the results of the search at a meeting of the CEC (EC) and the approval of its decision by the head of the organization, the undetected documents are removed from the record.
137. The check of the availability and condition of cases shall be considered completed after the changes identified by the examination have been made in the recording documents of the archival fund being checked and the submission of relevant information on permanent storage cases to the state archives, Archive of the President of the Republic of Kazakhstan for making changes to the approved inventories of cases, documents of permanent storage.
Paragraph 6. Procedure for determining the belonging of documents to the fund and the formation (closure) of the archival fund
138. Documents, including electronic ones, deposited in the archives of the organization, shall comprise the archival fund of the organization.
139 Types of archival fund are:
1) archival fund of the organization, consisting of documents, including electronic ones, formed in the course of its activities;
2) archival fund formed from document, including electronic ones, of two or more organizations that have historically and / or logically determined relations among themselves (homogeneity and continuity of activities, subordination, unity of the object and time of activity, location and other).
140. The determination of the fund ownership of documents, including electronic ones, of the organization is to assign them to a specific archival fund.
141. In determining the fund ownership of documents of the organization, the following is taken into account:
1) incoming documents relate to the archival fund of the organization that received them (the fund ownership of these documents is determined by such details as the addressee, a mark on the receiving of the document in the organization, resolution, a mark on the execution of the document and its direction to the case, the text of the document);
2) issues of the outgoing documents refer to the archival fund of the organization that is their author (their fund is determined by such details as the signature, the text of the document, as well as and record management notes on the issues of documents);
3) internal documents refer to the archival fund of the organization that is their author (their belonging to the fund is determined by such details as the official name of the organization, signature, text of the document, resolution).
142. Cases, including electronic ones, that were conducted sequentially in two organizations are included in the archival fund of the organization in which they were completed by record management.
143. the unified archival fund consists of the documents of:
1) organization before and after its reorganization (transformation), if it did not entail a fundamental change in its activities;
2) organizations that changed state ownership to non-state, but in the authorized capital of which there is a predominant share of state ownership;
3) organizations that temporarily ceased their activities and restored with the same tasks and functions;
4) organizations and advisory bodies established under it;
5) organization and its liquidation (tender) commission.
144. Documents of subsidiary organizations constitute separate archival funds from documents of their main organizations.
145. Documents of public associations (trade union, sports and others) existing at the organization from the moment of recording of this public association in accordance with the legislation of the Republic of Kazakhstan on public associations, when they are deposited in the archives of the organization, form an independent archival fund or join the archival fund of the organization, forming the joint archival fund.
146. The joint archival fund is formed from archival documents, electronic archival documents:
1) organizations that are homogeneous in purpose and functions operating in a particular area;
2) the governing body and its subordinate organizations operating in a particular territory;
3) organizations united by the object of activity;
4) organizations and public organizations (trade union, scientific, technical and other), which members are employees of this organization;
5) successively replacing each other organizations, if the functions of predecessors were fully or partially transferred and are transferred to their successors, and the formation of which took place as a continuous process leading to the creation of an associated set of documents that could not be separated.
The names of the organizations which documents are included in the joint archival fund are given in the recording documents.
The creation of a joint archival fund shall be carried out subject to the indivisibility of the documents of the funds included in its composition.
147. Each archival fund received by the departmental archives is assigned a name and number. The name of the archival fund corresponds to the official name of the founder, indicating its organizational and legal form, subordination, all renames in chronological order, and location.
148. The name of the archival fund indicates its chronological boundaries.
149. Renaming or changing the administrative boundaries of the LEB do not constitute grounds for creating new archival funds from the archival documents of the relevant LEB and other organizations located in the area.
150. During the reorganization of the organization, new archival funds are created in cases of:
1) changes in the subject of the organization activity;
2) changes in the form of ownership of the organization.
Documents, electronic documents of a liquidated organization constitute a separate archival fund.
151. The following are not grounds for creating a new archival fund:
1) renaming or changing the administrative – territorial boundaries of the activities or functions of the organization;
2) separation of one or several new organizations from the organization with transfer of separate functions of the first organization to them;
3) change of the founder (s) of the organization, without changing the form of ownership of the property of this organization;
4) reorganization (merger, accession, division, separation, transformation) of the organization;
5) transition of an organization from republican to communal ownership and vice versa.
152. The chronological boundaries of the archival fund are:
1) established on the basis of legal acts, the official dates of their formation (registration) and liquidation - for the archival fund of the organization (if there are several legal acts, the date of the establishment of the organization is the date of the earliest of them);
2) dates of formation (registration) of the earliest and liquidation of the most recent activities of organizations which documents were included in the composition of joint archival fund - for the joint archival fund.
Paragraph 7. Procedure for organizing documents within the archival fund
153. Within the archival fund, the recording and classification unit is the storage unit.
154. The storage unit of archival documents on a paper basis is a case.
155. The storage units for audiovisual documents are:
1) for film documents - physically separate roll of film;
2) for photographic documents - physically detached frame (negative, double-negative, positive, slide (phototopographic transparency)), filmstrip roll, photographic print, photo album, disk media and physically detached frames of panoramic shooting;
3) for phonodocuments - a physically isolated tape roll, disk media and a physically isolated audio cassette;
4) for video documents - physically isolated video cassette, physically isolated disk media.
Recording units for audiovisual documents are:
1) for film documents – a part of a storage unit, one or more storage units related to film production or shooting of a specific event;
2) for photographic documents – a part of a storage unit, one or several storage units displaying one event, united by semantic content;
3) for phonodocuments - one or several storage units with sound recording of a specific event, one or several literature and artistic works united by author, performing, thematic and other features;
4) for video documents - a part of a storage unit, one or several storage units with a record of a certain event, one or several literature and artistic works united by author, performing, thematic and other features.
156. Physically separated media (hard disk, compact disk and other modern media) with accompanying documentation is taken as the storage unit of an electronic document.
157. A storage unit or a set of storage units with a file or several files that constitute a single software – information object (text, hypertext, multimedia object, database, data bank, knowledge base), as well as accompanying documentation are taken as a unit of recording for electronic documents.
158. Storage units in the joint archival fund are located according to the importance of the creators, the chronology of their creation, the alphabet of the names. Within each archival fund included in the joint archival fund, various systematization schemes are applied, the choice of which is determined by the nature of the activities of particular organizations, the composition and volumes of their documents.
159. Scientific and technical documentation is located within the archival fund by type (design, engineering, technological, research, patent documentation).
160. Project documentation is arranged by subject-specific, chronological or geographical classification criteria.
Project documentation is divided into the following groups:
1) on housing and civil construction;
2) on industrial construction;
3) on agricultural construction;
4) on energy and water management construction;
5) n transport construction.
Division of groups into subgroups shall be allowed.
Documents of design stages are arranged in a sequence of projecting.
Model projects are systematized by series numbers.
161. The design documentation is located by type of development, chronology or number of specific developments, inside the development - by assembly according to specification.
The design documentation for the modified product is located after the documentation for the base product.
Documents on testing of products are arranged in chronology, and within a year - according to the purpose of the equipment, registration numbers.
162. Technological documentation is systematized according to the technological process.
163. Research documentation is arranged on a chronological basis, within a year by numbers of themes, inventory numbers, numbers assigned during state registration, research topics, alphabetical names of their names or the names of authors – developers (responsible performers), and structural feature.
Reports made by orders of other organizations shall be systematized separately.
164. Patent – license documentation is arranged by types of:
1) industrial property objects (inventions, utility models, industrial designs, plant varieties, trademarks, service marks);
2) protection document (patents, certificates).
Within each type - by the numbers of patents or certificates, the numbers of applications for which decisions were made to issue a security document, and the numbers of applications for which decisions were made to refuse to issue a protection document.
Storage units within the recording unit shall be arranged in the order of production numbers indicated on the labels, and inside the set in the following sequence - originals, copies.
165. Film documents and video documents are systematized according to the following characteristics:
1) by types - films, special issues, newsreels, individual film- and television programs;
2) according to the year of release of films, special issues, newsreels, production numbers of individual film- and television programs;
3) by units of recording (sets);
4) by chromaticity (color, black and white);
5) according to the format of the film (8 mm, 16 mm, 35 mm, 70 mm and others).
Storage units are located in the elements of the set, and inside them - in the order of the numbers of parts of the film document.
The set of film documents consists of the original and copies relating to one film, special issue, newsreel, film - and television program.
For film documents and video documents of a certain type, a separate inventory is compiled.
166. Photo documents are systematized by types:
1) negatives of various chromaticity (color or black and white) and sizes, which are designated by numbers 2–8 (figure 2 corresponds to a negative size of 2.5 cm. x 3.5 cm., 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).
When systematization of small volumes of negatives of sizes 6–8, they can be combined into one group;
2) slides (phototopographic transparency) of different color;
3) positives, photo prints;
4) photo albums;
5) filmstrips;
6) electronic documents (photographic documents on digital or other modern media), which are denoted by the “E” letter.
A separate inventory is made for photographic documents of a certain type.
167. Phonodocuments are systematized by the types of sound information recordings - phonographic, gramophone, optical, magnetic, laser. For phonodocuments of a certain type of recording, a separate inventory is compiled. Within the types of phonodocuments are arranged in units of recording and sets.
Storage units within the recording unit are arranged in the order of production numbers indicated on the labels, and inside the set, in the following sequence - originals, copies.
The phonodocument set consists of the original and copies relating to a specific recording unit.
Paragraph 8. Procedure for the transfer of NAF documents for permanent storage to the state archives
168. The transfer of NAF documents, including electronic ones, in an orderly manner shall be made at the expense of own funds of legal entities that transfer archives.
169. The following terms shall be set for the departmental storage of documents, including electronic ones, related to the composition of the NAF:
1) documents of the Administration of the President of the Republic of Kazakhstan, the office of the Senate of the Parliament of the Republic of Kazakhstan, the
Office of the Mazhilis of the Parliament of the Republic of Kazakhstan, the Office of the Prime Minister of the Republic of Kazakhstan, the Constitutional Council of the Republic of Kazakhstan, the Central Election Commission of the Republic of Kazakhstan, the Supreme Court of the Republic of Kazakhstan, the General Prosecutor's Office of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan ministries of the Republic of Kazakhstan, agencies of the Republic of Kazakhstan, committees of ministries of the Republic of faces Kazakhstan - 15 years;
2) documents of territorial bodies of the ministries of the Republic of Kazakhstan, agencies of the Republic of Kazakhstan, committees of ministries of the Republic of Kazakhstan - 10 years;
3) documents of organizations which controlling stake is owned by the state, other state-owned legal entities of the republican level - 10 years;
4) documents of local government bodies of a region (the city of republican significance, the capital) - 10 years;
5) documents of state organizations of regional (city of republican significance, capital) levels - 10 years;
6) documents of local state authorities of the city (district) - 5 years;
7) documents of state legal entities of city and district level - 5 years;
8) civil status registers, household books, house books, notary act records, court cases and documents - 75 years;
9) research, technological and patent-licensing documentation - 10 years;
10) experimental design documentation - 15 years;
11) project documentation for capital construction - 20 years;
12) cartographic documentation - 25 years;
13) geodetic documentation - 25 years;
14) telemetry documentation - 5 years;
15) audio-visual documentation - 3 years;
16) electronic documents - 5 years.
Footnote. Paragraph 169 as amended by the Resolution of the Government of the Republic of Kazakhstan dated 09.02.2023 №. 103 (shall be enforced upon expiry of ten calendar days from the date of its first official publication).170. The storage periods of NAF documents in private archives of organizations are indicated in contracts concluded in accordance with paragraph 4 of Article 11 of the Law of the Republic of Kazakhstan "On the National Archival Fund and Archives" by their owners with state archives, Archive of the President of the Republic of Kazakhstan, Library of the First President Republic of Kazakhstan – Elbasy or LEB of regions, cities of republican significance and the capital.
171. The transfer of NAF documents for permanent storage to the state archives shall be carried out on the basis of an inventory of cases, documents of permanent storage in accordance with the schedule approved by the head of the organization in coordination with the state archives, the Archive of the President of the Republic of Kazakhstan.
172. The transfer of electronic documents (cases) for permanent storage shall be drawn up with an act of transfer and acceptance of electronic cases for permanent storage according to the form, approved by the authorized body.
173. The transfer shall be documented by an act of transfer and acceptance, where the numbers of the missing cases, documents are additionally included, the reasons for their absence are included in the certificate attached to the act indicating the search measures.
174. For the missing cases, documents, the search for which did not give results, an act of loss is compiled, approved by the head of the organization.
175. Lost originals of management, scientific and technical and audiovisual documents are replaced by their certified copies.
176. If there are discrepancies between the number of storage units by the total record in the inventory and their availability, a new total record is compiled in the inventory, which indicates the actual number of transferred units and the numbers of the missing storage units.
177. In preparing cases of permanent storage marked “FAU” (For administrative use) for transfer to the appropriate state archives, the Archive of the President of the Republic of Kazakhstan, the decision on removing the “FAU” mark shall be made in accordance with the legislation of the Republic of Kazakhstan.
178. Electronic documents and information resources shall be transferred to the state storage with a cover letter, which indicates the number and name of the inventory, the documents included in the set of accompanying documentation, the type of media.
179. When transferring electronic documents and information resources to the state archives, the Archive of the President of the Republic of Kazakhstan the following shall be checked:
1) completeness of the transferred documents;
2) completeness and correctness of compiling the accompanying documentation;
3) physical and technical condition of the media;
4) presence of viruses and other malicious computer programs;
5) reproducibility of control characteristics by software of the state archives, the Archive of the President of the Republic of Kazakhstan.
180. In case of incompatibility of software tools, applied for elaboration and verification of control characteristics in the transferring organization and the state archives, the Archive of the President of the Republic of Kazakhstan, the employees of the state archives, the Archive of the President of the Republic of Kazakhstan in the presence of a representative of the organization shall re-develop control characteristics with their software tools. These control characteristics are indicated in the act of acceptance and transfer of electronic documents.
In case of improper preparation of accompanying documentation, media with electronic documents and accompanying documentation shall be returned to the organization for revision.
Chapter 4. Recording of archival documents Paragraph 1. Procedure for recording the documents of the archives of organizations
181. All documents stored in the archives shall be subject to recording, including untreated and non-core documents for these archives.
182. Record of electronic media of the archives of organization, placed in each storage, shall be maintained separately, in accordance with the terms for storage of electronic documents recorded on them.
Accounting information may be created using EAIS based on the data entered therein.
183. Record of archival documents, including electronic, shall be carried out through assigning numbers, which are a part of the archival code, to the storage units.
The archival code consists of the numbers of the archival fund assigned by the state archives, the Archive of the President of the Republic of Kazakhstan after the first receipt of documents for permanent storage in the state archives, the Archive of the President of the Republic of Kazakhstan of the inventory of documents, storage units.
184. The main units of recording documents, regardless of the type of media, method and technology of information consolidation are:
1) archival fund, archives collection;
2) storage unit.
185. Recording documents, except for inventories of cases, documents, are intended for official use and are not issued to users.
All recording documents on paper are stored in the archives in safes or metal cabinets.
186. The grounds for each entry in the main recording documents are the receiving of cases, documents in the archives of the organization, their departure from the archives of the organization in connection with the transfer to the archives of another organization or the state archives, Archive of the President of the Republic of Kazakhstan, allocation to destruction of documents which are not subject to storage, non-discovery of documents which search ways are exhausted, irreparable damaged.
187. The main recording documents are:
1) the book of recording of receiving and disposal of documents in the form approved by the authorized body;
2) inventories of document cases, inventories of electronic documents (cases) in the form approved by the authorized body.
Inventories of document cases, inventories of electronic documents (cases) are the primary recording document for the record of cases of permanent, long-term (over 10 years) storage and on personnel.
At disposal of all cases of any complete inventory, its number is not assigned to other inventories. In the column "Note", the item "Disposed" is put against each disposed storage unit.
Single-entry recording shall be carried out by assigning to each storage unit an independent number.
The total recording of cases, documents, including electronic ones, in the inventories shall be achieved by drawing up a final record to the inventories. The total record indicates the number of storage units (in numbers and in parentheses - in words), the first and last storage unit numbers according to the inventory of cases, documents, available number gaps, storage units with lettered numbers, outgoing storage units.
Completed inventories of document cases, consisting of annual sections, have a common summary record for the entire inventory as a whole.
Each change in the volume of cases, documents in the inventory of cases, including electronic ones, documents associated with the disposal, receiving, consolidation or disbandment of cases is reflected in the final record to the inventory.
Inventories of cases, documents of structural units of the organization, including electronic ones, shall be subject to storage in the archives case until the transfer of cases for the years to permanent storage in the state archives, the Archive of the President of the Republic of Kazakhstan or allocation for destruction;
3) a case inventory sheet according to the form approved by the authorized body;
4) a passport of the archives of the organization according to the form approved by the authorized body;
5) a case of archival fund.
The archives of the organization shall have the right to keep additional recording documents: a book for recording the movement of archival funds (inventories, cases), a book for recording personnel cases, a book for recording documents transferred to other archives, a book for recording cases allocated for destruction.
Additional recording documents are kept on paper and / or electronic media.
188. The book of recording for the receiving and disposal of documents, including electronic ones, is intended to account for all current and final (as of January 1 of each year) changes on the composition and volume of archival funds and cases, to compile a passport of the archives of organization.
Each receiving or disposal shall get an independent sequence number.
If the receiving consists of documents from several archival funds, then the data for each archival fund (the name of the archival fund, its number, if available) shall be recorded from a new line for the same sequence number.
Every year in the book of recording for the receiving and disposal of documents, the number of incoming and outgoing documents for the year is summarized.
189. Record of all electronic media of the archives of the organization received in the storage shall be kept in the book of accounting for electronic media in accordance with the form approved by the authorized body.
A label is affixed to the hard case of the electronic media in accordance with the form approved by the authorized bod.
An electronic media card of the archives of the organization for each electronic media registered in the storage is started in accordance with the form approved by the authorized body.
190. The case of the archival fund is conducted on each archival fund. It includes the following documents:
1) historical reference;
2) a systematization scheme of the archival fund;
3) checklists;
4) case inventories, inventories of electronic documents of the organization’s structural units (prior to the transfer of cases for these years to permanent storage in the state archives, the Archive of the President of the Republic of Kazakhstan or allocation for destruction);
5) acts of transfer of cases, documents for permanent storage in the relevant state archives;
6) acts on the allocation for the destruction of documents that are not subject to storage;
7) record cards for undetected archival documents, including electronic documents (cases);
8) acts on conducting checks of the availability and condition of cases, electronic documents (cases) and other documents fixing changes in the composition and volume of the archival fund are included in the case of archives only with a note on the introduction of changes in all recording documents of the archives of the organization.
The acts are numbered within the archival fund by type of acts in a gross order.
All documents in the archives case shall be arranged in chronological order of their compilation. An internal inventory is drawn up on the documents of the case of the archival fund, the sheets of the case are numbered, the case inventory sheet is issued to the fund case in a form approved by the authorized body. As the archival fund is replenished, the case inventory sheet and the internal inventory are rescheduled.
Each case of the archival fund is assigned with a number of the corresponding archival fund.
191. The archives of organization passport shall be compiled annually and once every three years is transferred to the appropriate state archives, the Archive of the President of the Republic of Kazakhstan, for further input to the Central Fund catalog, the maintaining of which is determined by the Law of the Republic of Kazakhstan “On the National Archival Fund”, including according to the ISEA.
192. Each storage unit of scientific and technical documentation is registered and recorded in the main registration documents, inventory books and registration cards of scientific and technical documentation in forms approved by the authorized body.
193. Inventory books are filled on the basis of the data of the main inscription of the drawings, title pages.
194. On the originals and duplicates of the project, design, technological documentation on paper, consisting of several sheets, the inventory number is affixed on each sheet.
195. Inventory books are maintained separately for each type of scientific and technical documentation (design, engineering, technological, research, patent licensing).
196. Registration of originals of project documentation is made on separate independent parts as the project arrives.
Separate inventory books are maintained on:
1) originals of project documentation;
2) copies of project documents of other organizations;
3) model projects.
Registration of copies of project documentation is made on the bound volumes in the accounting cards.
197. For design and technological documentation, inventory books of records of originals and drawings received from other organizations are kept separately for products of primary and auxiliary production.
Accepted originals of the design and technological documentation are recorded by sheet on assemblies.
Copies of design and technological documents received from other organizations are recorded in a separate inventory book and accounting cards, which are compiled for each folder, album or individual document.
198. Separate inventory books are kept for the accounting of the research documentation according to the form approved by the authorized body.
199. Patent documentation is registered in the logs of registration of applications for the grant of a patent for an invention according to the form approved by the authorized body.
200. Information about each unit of storage of electronic documents is entered into an accounting database or registration card according to the form approved by the authorized body.
Electronic documents are recorded as part of the archival fund according to inventories of electronic documents of permanent storage or storage units. Information volume of documents on electronic data carriers is indicated in megabytes (hereinafter referred to as the Mb).
201. The receipt of electronic documents for temporary storage in the electronic archives of the organization is taken into account in the general book of receipt and disposal of documents.
202. A change in the number of storage units and / or information volume of electronic documents that occurred as a result of rewriting to new media or migration (converting) is recorded in the act of rewriting and migration in the form approved by the authorized body in the new final record to the inventory of electronic documents.
203 In the passport of the archives of an organization storing electronic documents, specific information resources are taken into account that have no analogues on paper.
204. For electronic documents, an auxiliary accounting document is a register of migration and rewriting of electronic documents according to the form approved by the authorized body.
Paragraph 2. Procedure of recording and database maintenance
205. The list of details of recording databases is compiled in accordance with the main indicators describing the object of recording - the archival fund, storage unit, recording unit, group of storage units, recording units included in the corresponding inventory of document cases.
206. Recording databases operate in conjunction with other information databases available in the archives of organization, and meet the requirement for compatibility with the corresponding recording databases of state archives, the Archive of the President of the Republic of Kazakhstan.
In the recording databases the details of the traditional basic recording documents are used.
207. Recording databases are filled on the basis of recording documents.
Chapter 5. The use of archival documents Paragraph 1. Procedure for description of archival documents for the finding aid
208. The archives of the organization shall provide the user with the FA (reference and search tools) for archival documents.
209. The FA archives system includes basic archival reference books (an inventory of cases, documents, a guide, a systematic catalog), and additional archival reference books (index, review). The expediency of maintaining additional archival directories is established by the archives of the organization.
210. The FA system implements the continuity of the recording and inquiry apparatus created in record keeping and the archives of organizations, its combination with the FA system of the state archives, the Archive of the President of the Republic of Kazakhstan.
The continuity of the FA system of the archives of organizations is based on the unity of the requirements and principles of its construction.
211. Description of archival documents, electronic archival documents (creating information for archival reference books) shall be carried out at three levels:
1) archival fund;
2) storage unit;
3) archival document.
212. The basis of the archival reference book is a descriptive article containing the following information:
1) identifying information (name and reference data of the archival fund, storage units);
2) the composition and content of the information;
3) the conditions of access and conditions of use of information;
4) the history of the archival fund.
213. If necessary, the descriptive article includes additional information on the whereabouts of the originals, the availability of archival documents of the organization as part of other archival funds and their places of storage, bibliography and others.
214. A descriptive article of the archival reference book at the level of the archival fund includes:
1) historical background to the archival fund;
2) reference data about the archival fund (archival code (fund number), volume of the archival fund in storage units by types of documentation, final dates for archival documents for each type of documentation, list of available internal scientific and reference apparatus);
3) historical background to the archival fund;
4) annotation on the composition and content of archival documents;
5) information on access conditions;
6) bibliography.
215. A descriptive article of the archival reference book at the unit of storage level includes:
1) the sequence number of the storage unit;
2) previous registration number;
3) the title of the storage unit;
4) reference data on the storage unit;
5) an indication of authenticity or number of copies;
6) an indication of the type of media or method of reproduction;
7) information on access conditions, language and external features of archival documents of the storage unit.
The title of the storage unit of management documentation, the storage unit of archival documents of personal origin, including electronic ones, includes the name of the type of archival documents, the author (s) of the archival document (s), addressee (s) or correspondent (s) to whom the documents, question or subject are sent or received, the names of the event, fact, location, surname and initials of the person to which the content of the specified documents, the dates of the events relate.
In the absence of the necessary information, explanatory information is included in the title - “the author is not defined”, “without a date”, “not earlier of the year.…”.
The title of the storage unit of the project or design documentation includes the object code, project name, stage, part, volume number, author, year of completion of the development.
The title of the film- video- document storage unit includes the authorial title of the film, special issue, newsreel or event name reflected in the movie or television program, production date and / or shooting date, surname and initials of the director and / or cameraman, document language.
The title of the storage unit of a phonodocument includes the name and genre of the phonodocument, the name, place and date of the reflected event. In the absence of the name of the phonodocument, the main content of the television or radio program, speeches, conversations and other shall be indicated. The title of the recording unit of a phonodocument containing a recording of a work of literature and art includes the title of the work and its genre, the first line of the text, which is enclosed in quotation marks, if the phonodocument is an authorless and not previously published work, the names and initials of the authors and / or performers as the work itself, and its adaptations, transcriptions, translations, the language of the phonodocument.
The title of a photodocument storage unit includes the description of the image or the name of a photo album, slide, negative, the author's surname and initials, the place and date of shooting.
Reference data on the storage unit include the elements of the archives code (archival fund number, inventory number, documents, storage unit number), data on the volume of the storage unit, and the final date dates of the archival documents, electronic archival documents.
Information on access conditions, language and external features of archival documents of the storage unit includes information on the availability of archival documents, electronic archival documents, access to which is restricted by the legislation of the Republic of Kazakhstan or the founder, as well as information on the availability of originals of particularly valuable documents, including documents related to the objects of national heritage of the Republic of Kazakhstan and those in poor physical condition, availability of the use fund, language and external features of the archival document.
A descriptive article is supplemented with the name of the archival fund and its structural part (inventory of cases, documents), annotation of individual archival documents or their groups of the given storage unit.
216. The descriptive article of the archival reference book at the level of the archival document includes:
1) the title of the archival document, electronic archival document;
2) reference data on the archival document, electronic archival document;
3) an indication of authenticity / number of copies;
4) the type of media (or playback method);
5) information on access conditions, language and external features of an archival document, electronic archival document.
The title of the archival document, electronic archival document includes the name of the type of archival document, author, addressee or correspondent to whom sent or received the document, question or object, event, fact, person, place name, to which the content of said document belongs, date of event. In the absence of the necessary information, explanatory information is included in the title: “the author is not identified”, “without a date”. If necessary, the title is supplemented by an annotation which reveals the contents that is not reflected in the title of the given document.
Reference data on an archival document, electronic archival document consists of elements of the archives code (fund number, inventory number, document number, storage unit number, and sheets number), volume (number of sheets) of the archival document, the date of its creation.
Information on access conditions, language and external features of an archival document, including an electronic archival document, includes information on restriction of the access to an archival document by the legislation of the Republic of Kazakhstan or the creator, the status of a particularly valuable document, a document referred to the objects of national heritage of the Republic of Kazakhstan and / or in poor physical condition, language and external features of the archival document.
217. The type of storage unit (case, correspondence, documents, register, album, journal, book, etc.) or documents (minutes, reports, orders, reports, acts of remembrance, articles, novel, notebooks) characterizing the composition of the storage unit are indicated at the beginning of the title.
Titles of judicial, investigative, private, personal, arbitration and other cases containing documents related to the sequence of records management on one issue begin with the “case” word.
Titles of storage units containing documents not related to the sequence of records management on a single issue, attachment documents to the main document (order, instruction, protocol) or documents of an archival fund of personal origin that are heterogeneous in type begin with the “documents” word. At the end of such a title in brackets the types of these documents are indicated.
In the title of the storage unit, which includes correspondence, the official names of correspondents and the question (subject) of correspondence are indicated. In case of correspondence with homogeneous correspondents, the title specifies the general specific naming of correspondents.
The statement of the question (subject) reflecting the content of the documents is the main part of the title and is given after specifying the type of case, author, correspondent (addressee) of the documents.
218. When drawing up the title of storage units with organizational and administrative documentation of the same type, the name of the documents in the plural is indicated in the title with their short numbers.
219. The author of the documents involved in the case is indicated in the title after designating the type of a case or a type of documents. If the author of the documents is an organization in which activities they are deposited, in the title of the case the name of the organization is either omitted or its common species name is given (committee, court, commission).
220. The dates to which the events described in the documents relate are entered in the title if the exact date reflects the historical links between events and facts and is necessary for understanding of the specific content of the documents.
221. If the case consists of one document, then the title indicates the type of document, wherefrom it proceeds, to whom it is addressed, its date and summary.
222. В In storage units consisting of plans and reports, the title indicates the year (period) for which the plan was drawn up or for which the report was drawn up.
The titles of storage units containing statistical reports are compiled with the indication of the numbers of the statistical reporting forms.
223. If the case consists of several volumes (parts), a general title is given to all volumes (parts), and then (if necessary) the content of each volume (part) is clarified separately, the word “last” is added to the last volume (part.
224. Especially valuable documents, documents annexed to the main document, documents of predecessor organizations, documents containing information on personnel that have reference value, documents which presence in this case cannot be determined by its title shall be annotated.
225. The annotation shall be drawn up after the title starting with a new line.
When annotating printed materials, the type of document is indicated, its name or the initial words of the document (in the absence of the name), the output data.
In the annotations of drawing and other graphic materials the material, type, format of the document and the method of its execution are indicated, for maps - the scale.
The names of persons, names of organizations, geographical names and information mentioned in documents and of significant importance are indicated (listed) at the end of the annotation, under the heading "mentioned".
226. The numbers of the sheets of the annotated documents, the degree of detail of the information ("brief information", "detailed message") are given the end of the annotation.
In case of significant amount of annotated documents, the annotation shall be drawn up on a separate sheet and inserted between the cover and the first sheet of the document.
Paragraph 2. Procedure for the dating of documents in the description
227. Description of legal acts, creative documentation, documents relating to the rights and legitimate interests of citizens, financial documents, cases on one issue, as well as documents for which dating is important (reports, leaflets, transcripts, letters), the date (day, month, year), shall be completed in the word and digit way.
228. The starting date of the case, including electronic one, is the date of the drawing up (registration) of the earliest document, the final date is the date of drawing up (registration) of the latest document.
Dates of legal acts are indicated according to the time of their signing (approval). If the documents are not dated, the dates are indicated at the time of publication or enactment.
For programs, plans, cost estimates, staff schedules, reports, final dates are not affixed.
If in the case the application documents are dated before the first document of the case, then their dates are indicated from a new line - “there are documents for a year...”.
The final dates for registration books and journals are the dates of the first and last entries.
The final dates for the case consisting of the copy documents made or received by the creator much later than the creation of their originals, shall be the dates of making the copies (the dates of the originals are indicated in the title).
If the case is started in one organization and completed in another, three dates shall be indicated: the date the case was instituted in the proceedings of the first organization, the date of its receipt in the second organization and the date of its completion in the records management of the last organization (the first two dates are designated as fractions).
Paragraph 3. Procedure for drawing up an inventory of document cases
229. The inventory of document cases, including electronic ones, consists of descriptive articles of storage units or units of account, a summary record, a case inventory sheet and a reference aid to the inventory.
230. The descriptive article of the inventory includes:
1) the sequence number of the storage unit;
2) reference index or production number;
3) the title of the storage unit;
4) final dates of documents;
5) the number of sheets in the storage unit;
6) an indication to the number of copies of documents;
7) documents reproduction method.
If necessary, the descriptive article shall be supplemented by the annotation of individual documents of the storage unit.
231. The reference aid of an inventory of case documents shall include:
1) the title page according to the form approved by the authorized body;
2) content (table of contents);
3) preface;
4) list of abbreviations;
5) indices.
Paragraph 4. Procedure for compiling historical information
232. The archives of organization shall compile a historical reference to the archival fund containing information on the history of the creator and archival fund, a brief description of the composition and content of its documents and the FA system.
Historical reference to the archival fund is formed on the basis of information on the history of the creator and the history of the archival fund.
Information on the history of the creator includes the date of its formation, departmental affiliation, structure and functions, the names of the predecessor and successor organization, the date of registration or re-registration in cases of renaming, reorganization, and liquidation. Information about the creator of the archival fund of personal origin includes his brief biographical data (last name, first name and patronymic (if available), pseudonym (if available), maiden name (if available), dates of life, profession, and data on official and social activities). For the archival fund of the family, the kind of similar information is given about each of the relatives. For the joint archival fund, a general historical reference is compiled.
Information on the history of the archival fund includes the date of its receipt in the archives, the volume and final dates of archival documents, the degree of their preservation, features of formation, description and systematization, information about changes in the composition and volume of the archival fund and their grounds, the availability of archival documents from other organizations or individuals (fund inclusions), the composition of the FA to the archival fund. For an archives collection, information about the time, conditions, reasons for its creation, principles of formation, the location of the collection before it is received in the archives, and the compiler is indicated.
The historical reverence to the fund is supplemented with a change in the volume of the archival fund, as well as in cases of reorganization, changes in the structure, functions of the creator.
233. The history of the archival fund contains an annotation, bibliography, information on the conditions for access and use of documents.
Annotation about the composition and content of archival documents of the archival fund includes a brief generalized description of these documents by types and themes, reflecting the activities of the creator, with an indication of the chronology of topics and designation of their geographical (administrative-territorial) boundaries. Information on the conditions of access to archival documents of the archival fund, including electronic ones, includes information on the availability of archival documents, access to which is restricted by the legislation of the Republic of Kazakhstan or the creator of the collection, as well as originals of particularly valuable documents, including documents related to the objects of the national heritage of the Republic of Kazakhstan that are in unsatisfactory physical condition, availability of fund of use.
The bibliography to the archival fund includes a list of reference books on this fund and documentary publications made on its basis.
234. The characteristics of the archival fund in terms of the composition and content of the documents contain information on the availability of documents that go beyond the chronological framework of the fund, the FA to the archival fund, and the types of information media.
235. The historical reference on paper shall be signed by the executor and the head of the archives of the organization, on electronic media - shall be certified by the EDS of the head of the archives of the organization.
The historical reference is printed in four copies. Two copies are transferred to the state archives, the Archive of the President of the Republic of Kazakhstan during the first transfer of documents from the archival fund, two are stored in the fund file in the archives of the organization.
236. The historical reference is supplemented when replenishing the archival fund or in case of reorganization of the organization and is submitted to the state archives, the Archive of the President of the Republic of Kazakhstan along with each completed inventory of documents, and is also entered into EAIS.
Paragraph 5. Procedure for compiling catalogs and card files
237. A catalog is an inter-fund archival reference book in which information on the content of documents is grouped by subject (topics, sectors), arranged in accordance with the document classification scheme adopted for this catalog.
An aggregate of different catalogs makes up a catalog system.
238. Works on the preparation, creation and maintenance of catalogs are called cataloging documents.
Cataloging can be carried out as an independent type of work (thematic development), as well as in the process of other types of work related to the description and identification of documents (co-current cataloging).
At cataloging a differentiated approach is used, which consists of:
1) determining the order of choice of archival funds, their structural parts;
2) the selection of cases, documents and information from them;
3) the application of appropriate methods for describing documentary information.
239. Cataloging includes the following types of work:
1) drawing up a classification scheme;
2) identification and selection of documents;
3) description on index cards;
4) systematization of cards;
5) maintenance of catalogs.
240. The choice of the classification scheme is determined by the composition of the documents of the archives of the organization and the objectives of their use.
The classification scheme of documentary information is a written or graphical document containing a list of classification divisions of the catalog, arranged in a certain sequence, and intended to distribute information from documents on the specified divisions.
241. Depending on the design scheme, catalogs are divided into systematic, thematic, subject, and their varieties (nominal, geographic, object).
242. The documentary information in the systematic catalog is classified by the branches of knowledge and practical activity of the organization, and is arranged in a logical sequence.
In the nominal catalog, document information is classified alphabetically by the names of the persons mentioned in the documents or their authors. Further systematization shall be carried out in chronological or logical sequence.
243. The catalog description includes:
1) name of the archives of the organization;
2) index;
3) heading, subheading;
4) date of the event, place of the event;
5) content;
6) number of the archival fund, name of the archival fund;
7) numbers of the inventories of document cases, storage units, sheets;
8) language of the document;
9) method of reproduction of the document.
A system of references is used to link between sections of a catalog or sections of a catalog with other archival reference books.
244. Maintaining a catalog consists of the following types of work:
1) scientific and methodological support of work;
2) card indexing;
3) systematization of cards by indices and headings;
4) drawing up the reference apparatus to the catalog;
5) improvement of the catalog.
Scientific and methodological support includes the development of methodological manuals for cataloging individual archival collections (or their group), working schemes for the classification of catalogs, their refinement and addition.
Card indexing shall be carried out by selecting or compiling an index according to the classification scheme and assigning it to the corresponding information of the catalog card. In the nominal catalog, the cards are not indexed and are arranged alphabetically.
245. Catalog systems are replenished with thematic and subject-specific card indices, personnel card indices for documents of the most informative and frequently used archival funds.
246. Cards of the personnel card indices contain surname, name, patronymic of the employee, links to the numbers of the archival fund, the annual section of the summary inventory of cases, to the numbers of cases, sheets with information about him. Cards are systematized in alphabetical order of surnames, and within surnames - in alphabetical order of names and patronymics (if any).
247. The archives of the organization storing the audiovisual documentation creates the following types of card indices:
1) nominal card indices containing information about the authors (director, screenwriter and cameraman) of a film document, a chronological file containing information about the date of release of a film document, an alphabetical file containing information about the names of film documents in alphabetical order;
2) nominal card indices containing information about persons, information about which is available in photo documents, and an object file containing information about objects, events, information about which is available in photo documents;
3) nominal card indices containing information about the author and performer of an artistic, musical or documentary work recorded on a phono document, a genre card index containing information about an artistic, musical or documentary work recorded on a phono document;
4) alphabetic card indices, containing in alphabetical order information about the names of video documents, a chronological card index containing information about the date of release of the video document.
248. The archives of an organization that stores scientific and technical documentation creates the following types of catalogs:
1) the object catalog for capital construction and construction objects;
2) nominal catalog in alphabetical order of surnames of the authors of projects, developments, products, research topics;
3) geographical catalog for design objects at their location;
4) alphabetical catalog by names of scientific and technical developments in alphabetical order.
249. Audiovisual documentation is accompanied by indices to the titles of storage units and (or) documents.
250. The descriptive entry of the index consists of a subject concept (headings) and search data. The search data of the index to the storage units of one inventory of documents cases includes the serial numbers of the storage units. The search data of the index to the storage units of several archival funds of one archives of the organization are supplemented by the numbers of inventories of cases, documents, archival funds.
251. The thematic index includes concepts that represent historical facts and phenomena. Titles of headings and subheadings are given in the nominative case.
252. The subject index includes terms in alphabetical order.
The general subject index includes heterogeneous concepts.
A special subject index includes homogeneous concepts (types of documents, surnames of authors, names of organizations, their structural subdivisions, and names of industries).
The name index is compiled in alphabetical order and includes surnames, names, patronymics (variances, pseudonyms, nicknames, nicknames) and biographical information.
The geographical index is compiled in alphabetical order and includes the names of states, administrative-territorial units, seas, rivers and other geographical objects.
Generalizing concepts or administrative-territorial names are entered in the index without explanation.
253. The chronological index consists of headings that include dates of historical events, phenomena and facts, or dates of documents arranged in chronological order.
254. Links are given to pages or sections of the reference book, catalog in search indices to archival reference books.
255. In the archives of the organization, an overview of the archival fund and a thematic overview are compiled.
The review includes systematic information on the composition and content of individual sets of documents.
256. The review of the archival fund includes systematized information on the composition and content of documents of aт individual archival fund.
257. The thematic review includes systematized information on the composition and content of a part of documents of one or a group of archival funds on a specific topic.
258. The review consists of a set of annotations of individual groups of storage units, documents, and a reference device.
The content of a group of storage units, documents, indicates the main types of documents, their authors, chronological framework, authenticity, search data shall be set out in the annotation.
In the review of the archival fund, the search data consists of numbers of case records, documents, storage units, sheets of storage units. In the inter-fund thematic review, search data is supplemented by the numbers of funds.
The FA of the review includes the title page, table of contents (table of contents), preface, list of abbreviations, indices. A list of archival funds, information about which is contained in the review, and a bibliography on the topic are compiled for the thematic review.
The preface to the review contains information on the history of the creator and the history of the archival fund, the structure of the review, the composition of the FA.
259. Reviews are compiled by structural, sectoral (functional), subject-specific, geographical, chronological and other features.
260. The edit list of a film and video document reveals the content and establishes the systematization of individual plans (editing frames).
The edit list of a film and video document is a by-frame description of the finished work of cinematography (film, special issue, newsreel, TV program). The edit list is formed in the process of creating a film and included in the archives of the organization with the text accompanying documentation for the film document or the video- phonogram.
The edit list of the film-video document is compiled in the archives of the organization in case of its absence and consists of titles, descriptive articles and a final record.
261. The main titles indicate:
1) the name of the archives;
2) the number of the edit list and the name of the film document with indication of its characteristics (sound recording, coloring, number of parts);
3) the name of the studio, the date of the film document production, the authors of the film (directors, cameramen, scriptwriters).
262. The edit list is compiled according to the positive of the film document when viewing it on the sound editing table with its simultaneous plan-by-plan description.
In the edit list of a film and video document, the information shall be specified in the following sequence:
1) the number of the plan in sequence;
2) plan definition (general, medium or large);
3) the plan footage (with an accuracy of one-tenth frame);
4) a summary of the image of the film document plan.
At the end of the edit list, the position, surname of the compiler of the edit list and the date of compilation are indicated.
Paragraph 6. Procedure for compiling and automated finding aid of the archives of organization
263. An automated FA archives is a complex of electronic catalogs (document description databases) designed to efficiently search for archived documents and information.
264. Automated FA of management documentation is based on the information search system created in the current workflow of the organization (electronic registration and control filing cabinets and electronic nomenclature of cases).
265. The field of the registration and control card “case number on the nomenclature” is a connecting search requisite in the transition from searching information at the document level to searching at the case level.
If there is an electronic nomenclature of cases in an automated mode, documents are written off to the case and documents are extracted from the case.
The main search details of the nomenclature of cases are the index of the case, the title of the case (volumes, parts), the number of cases (volumes, parts), the storage period and item (sub-item) according to the list.
266. On the basis of the electronic nomenclature of cases in an automated mode, the formation of inventories of cases on the storage of documents (permanent, long-term (over 10 years), temporary (up to 10 years inclusive) storage) shall be carried out.
267. The electronic inventory of cases contains the following details of the description of information at the case level:
1) the sequence number of the record (case number);
2) the index of the case;
3) the title of the case;
4) an indication of authenticity (number of copies);
5) final dates of documents;
6) the number of sheets in the case;
7) annotation of documents.
268. Based on electronic registration and control cards, a single electronic catalog is created containing a description at the document or case level.
269. In the absence of an automated document registration system in an organization, a database of descriptions at the level of a management, audiovisual and scientific-technical document (electronic catalog) is created.
The main details of the descriptions in the electronic catalog are:
1) index, heading, subheading;
2) the date of the event, the place of the event;
3) content;
4) the name of the archival fund, the number of the archival fund;
5) the number of the inventory of cases, documents;
6) case, document, sheet numbers.
The name of the archival fund, the number of the archival fund, the number of the inventory of cases, documents, the case number, the sheet number contain the recording characteristics and are transformed from the recording automated system.
270. The FA functions are performed using information search procedures, the presentation of search results for screen viewing or in the form of files and printouts, the formation of catalog texts. Keywords that characterize the object of description are entered into the system during the description process or after its completion. Keywords give the user the ability to quickly search for information at the level of the archival fund, case description, case, document.
Searching for information in full-text databases, including full texts of materials (archival documents, journal articles, legislative acts), provides for the user to refer to the titles of sections of the document with the transition, if necessary, to the corresponding text.
The user is provided with a prompt opportunity to obtain a copy of the full text of the document.
Search for information on full-text documents can be carried out by descriptors that are selected from the printed versions of the thesaurus, classification indices or words from the text of the document.
271. Documents that are subject to transfer for permanent storage are transferred to the archives along with an automated FA.
The presence of the details in the structure of the database of the automated FA and the presentation of information on these details in electronic format ensure the compatibility of the database of the archives of organization and the automated FA of the state archives.
Paragraph 7. Procedure for execution of user requests
272. By categories of access, archival documents, including electronic ones, are divided into open and restricted access.
273. The archives of organization shall provide the user with access to open archived documents, as well as FA to them.
All archival documents including electronic ones, are open, access to which is not restricted by the legislation of the Republic of Kazakhstan, as well as in accordance with the order of the posessor or owner of archival documents that are in private ownership.
274. the archival documents of restricted access, electronic archival documents include:
1) archival documents, electronic archival documents containing information related to official information of limited distribution;
2) archival documents, electronic archival documents containing personal data;
3) archival documents, electronic archival documents, the possessors or owners of which have established restrictions on access to them and their use.
Archival documents of restricted access, electronic archival documents also include documents that are in an unsatisfactory physical condition.
User access to these documents, as well as their use, shall be carried out in exceptional cases with the written permission of the head of the organization.
275. The archives of the organization may not restrict or determine the terms for the user to use information obtained by him as a result of an independent search or provided to him in the manner of rendering services by the archives to the organization, except as provided for by the legislation of the Republic of Kazakhstan or stipulated in the agreement of the archives with the user for information services.
276. The main forms of use of documents of the archives of the organization are:
1) informing users at their request, as well as on their own initiative, about the presence in the archives of the organization of certain documents and their content;
2) issuance of documents for work in the reading room of the archives of the organization;
3) the use of documents in the mass media;
4) preparation of informational events (exhibitions, conferences, presentations);
5) issuance of documents for temporary use.
277. The forms of using documents on electronic media, electronic documents in the archives of the organization are:
information provision of users in accordance with their requests, as well as on their own initiative;
provision of electronic documents via a local network, telecommunication channels to employees of the organization in whose structure the archives operates;
provision of documents on electronic media, electronic documents for work in the reading room of the archives of the organization (specially equipped workplace) for employees of state bodies, courts, interested organizations, citizens.
278. The main documents of the archives in the work on the information support of users are:
1) archival reference;
2) archival copy;
3) archival extract;
4) an information letter;
5) thematic list of archival documents;
6) thematic selection of copies of archival documents;
7) thematic review of archival documents.
279. Requests submitted to archives are divided into:
1) requests for information on a specific issue, topic, event, fact (thematic requests);
2) requests for the submission of information necessary for establishing kinship, kinship of two or more persons, family history, gender (genealogical requests);
3) requests of a social and legal nature (requests for confirmation of work experience and salary, age, family composition, education, rewarding, transfer of pension contributions and social contributions, assignment of academic degrees and titles, accidents, being on treatment, evacuation, repression, rehabilitation, service in military units and formations, living in areas of environmental disaster, being imprisonment, acts of civil status).
280. In the request of an individual, his surname, first name, patronymic (if it is indicated in the identity document), individual identification number (if any), postal address of an individual or name, postal address, business identification number of a legal entity (if any) available), date of submission of the request. The request contains an indication of the topic, question, chronology of the requested information. A request in paper form shall be signed by an individual or a representative of a legal entity. In electronic form it shall be certified by EDS.
281. A request that is not related to the composition of the documents stored in the archives of organization, within 3 calendar days from the date of its registration, shall be sent to the state archives, the Archive of the President of the Republic of Kazakhstan or the organization where the necessary archival documents are stored, notifying the user thereof.
282. Upon receipt of an application (request) of a user to the archives via e-mail or information systems indicating surname, name, patronymic (if any), e-mail address and (or) postal address of the applicant and information that needs to be confirmed, an electronic notification of acceptance of the application (request) for consideration or a reasoned refusal to consider shall be sent to his e-mail. The application (request) accepted for consideration shall be executed in the prescribed manner.
283. A request of a social and legal nature shall be executed by the archives free of charge in accordance with the Administrative Procedural and Process-Related Code of the Republic of Kazakhstan and is issued to users in the form of an archival certificate, an archival copy and an archival extract.
284. When executing a repeated request of a social and legal nature or compiling, at the request of the user, an archival certificate similar to the previously issued one, the archives of the organization shall check the compliance of the information included in this certificate with those that are available in archival documents, and, if additional information is found, includes them in reissued archival certificate.
285. The archival reference and archival extract are compiled on a common form with the designation of the name of the document “Archival reference”, “Archival extract”.
286. The text in the archival reference according to the form approved by the authorized body shall be given in chronological order of events, indicating the types of archival documents and their dates. In archival reference quoting archival documents shall be allowed.
287. the archival reference, information is reproduced in accordance with the text of archival documents. Differences, discrepancies and inaccurate names, lack of name, patronymic, initials or the presence of one of them are specified in the text of the certificate in brackets (“As in the document”, “As in the text of the original”).
288. The notes to the archival reference specify the features of the text of the original document (illegible writing, corrected by the author, not readable due to damage) (“As in the original text”, “In the text it is illegible”).
The text of the archival reference does not allow changes, corrections, comments, conclusions of the performer on the content of archival documents, on the basis of which the archival reference is compiled.
289. At the end of the archival reference, archival codes and sheet numbers of storage units of archival documents, printed publications used to compile the archival reference are given. In the text of an archival reference, it shall be allowed to put archival codes and sheet numbers of storage units of archival documents immediately after the presentation of each fact or event.
290. In an archival reference in paper form, the volume of which exceeds one sheet, the sheets shall be stitched, numbered and sealed with the seal of the organization.
291. The archival reference in paper form shall be signed by the management of the organization, the performer and shall be certified by the seal of the organization. In electronic form it shall be signed by EDS of the head of the organization. In case of incompleteness of the information provided in it, a cover letter shall be drawn up with an indication of the reasons.
Copies of archival documents or extracts from them confirming the information given in the archival reference are attached to the archival reference.
292. If there are no documents in the archives of the organization necessary to fulfill the request, a response shall be drawn up on the letterhead of the organization about the reasons for the absence of archival documents on the subject of the request.
293. In the case of documented facts of loss of archival documents containing the requested information, the archives of the organization shall issue a reference on this issue, if necessary, certified by the seal of the organization.
294. In the archival extract, the name of the archival document, its number and date are reproduced in full. Extracts from the texts of archival documents contain comprehensive data on request. Extract is made only from the document, which contains several separate, unrelated issues.
The beginning and end of each extract, as well as gaps in the text of an archival document, including an electronic one, of individual words, shall be indicated by dots.
In the notes to the text of the archival extract appropriate reservations are made about the parts of the text of the original, illegibly written, corrected by the author, not readable due to damage to the text. Separate words and expressions of the original, causing doubts in their accuracy, are stipulated by the words - “As in the text of the original”, “As in the document”.
The authenticity of the archival extracts issued upon request in paper form shall be certified by the signature of the head of the organization and the seal of the organization, in electronic form - by EDS of the head of the organization.
295. Archival copies made through the use of printing means of a personal computer are made out on the general letterhead of the organization with the designation of the name of the document “Archival Copy”. In the making of xero-photocopies of the document or a common form of the organization is not used.
After the text of the archives copy or archives statement, the archives code of the document and the number of sheets of the storage unit of the archival document are indicated. If a copy or extract occupies more than one sheet, the archives code shall be indicated on the back of each sheet. All sheets of an archival copy or archives statement on paper shall be sealed, numbered and certified at the site of the bond by the archives of the organization.
In electronic form, the archives copy shall be signed by the EDS of the head of the organization.
296. Archival reference, archival extract, archival copy and answers to inquiries shall be sent by regular or registered mail.
297. An archival certificate, an archival extract and an archival copy in the case of a personal application of a citizen or his authorized representative to the archives of an organization shall be issued to him against receipt upon presentation of a passport or other certifying document to an authorized person - upon presentation of a power of attorney drawn up in the prescribed manner. The recipient of the archival certificate and archival extract signs on their copies or on the back of the cover letter to them, indicating the date of their receipt.
298. It shall be allowed to withdraw from archival files and issue to the owners or their relatives authentic personal documents on civil status, education, work books and other documents not received by the owner in due time.
Genuine personal documents shall be issued with the permission of the head of the organization to applicants upon presentation of an identity document, their relatives or authorized persons - a notarized power of attorney. Original personal documents shall be sent to the applicant by registered mail.
299. A copy of the withdrawn document shall be inserted in the file in place of the seized document. Seizure of archival documents, as well as their replacement with copies, are reflected in the certification sheets of cases, inventories of cases, documents.
300. The return of archival documents shall be formalized by an act on the withdrawal of these documents from the files. The act and other documents on the basis of which the return of archival documents was made, and the receipt of the person who received them in their hands, are included in the file of the archival fund.
Paragraph 8. Procedure for issuing cases, documents in the reading room and temporary use
301. In order to create conditions for the work of users in the archives of the organization, a reading room is created (viewing room, computer room, room for listening to audio documents), equipped with appropriate technical means for working with microcopies, electronic, audiovisual and scientific and technical documents.
The work schedule of the reading room shall be established by the head of the organization.
In the absence of a specially allocated reading room in the archives of the organization, the work of users with documents, including electronic ones, shall be carried out in the working rooms of the archive of the organization or the document management service under the control of an employee of the archive of the organization.
302. Users shall be admitted to the reading room on the basis of a personal application. Users conducting scientific work in accordance with the plan of scientific organizations or performing official tasks shall submit a letter to the organization that sent them. Employees of the organization shall be allowed to the reading room upon presentation of an official ID. Archival documents shall be issued to employees of the organization in the working premises for use for official purposes.
In a personal statement or letter, the surname, name, patronymic of the user, position, scientific title, academic degree, topic and chronological framework of the study shall be indicated.
Permission to work in the reading room shall be given by the head of the organization for the period required by the user, but not more than 1 year from the date of issue.
303. The archives of the organization provides users with open documents for use in the reading room, which have been recorded and undergone scientific and technical processing, with reference books and other search tools. Unaccounted and unprocessed documents shall not be issued to users for work in the reading room.
304. Access and provision of case inventories, electronic documents to employees of the organization and for work in the reading room of the archive (specially equipped workplace) to employees of state bodies, courts, interested organizations, citizens shall be carried out through a local network, telecommunication channels, EAIS.
For remote access to case inventories and electronic documents (cases), the head of the archive issues permission in EAIS to the user based on his authorization and application to EAIS.
305. When working with electronic media, touching the working surfaces of electronic media with hands shall not be allowed. When cleaning and manually handling electronic media, it shall be allowed to handle the edges or the protective case only while wearing gloves.
When processing optical discs, it is necessary that gloves, wiping material, wipes are resistant to the effects of the cleaning agents used. The most suitable glove material is cotton. It is also allowed to use unplasticized polyethylene, fluorine-containing polymers and latex. The composition of the material of gloves should not include dyes.
306. When issuing documents on electronic media from the repository, the integrity of all storage objects that make up the document being issued shall be checked.
307. Refusal or delay in the issuance of documents (cases), including electronic ones, shall be carried out in cases:
1) their poor physical condition;
2) restrictions on use established by the legislation of the Republic of Kazakhstan or the fund originator;
3) the use of documents by employees of the archive of the organization to perform official tasks;
4) issuance of documents for temporary use or to another user in the reading room.
The refusal of the archives of the organization to provide documents, including electronic ones, shall be issued in writing, indicating the reasons for the refusal.
308. At the request of users, taking into account the technical capabilities of the archive of the organization, copies of archival documents (photocopies, microcopies, photo prints, film copies, video copies, copies of audio documents, as well as copies on electronic media) shall be made.
Archival documents that are in unsatisfactory physical condition shall not be copied.
Copying of archival documents of restricted access (secret and containing confidential information) shall be carried out in accordance with the established procedure.
309. The procedure for fulfilling orders for copying, including the volume of copying of archival documents, unpublished inventories of cases, documents, other archival reference and search tools and databases, the cost of making copies and the procedure for paying for their production shall be determined by the management of the organization.
310. The archives shall indicate the archival code and sheet numbers of the storage unit of the archival document on a copy of an archival document made by order of the user.
Recording of orders for copying shall be kept in paper or electronic form.
311. Cases, documents from the repository shall be issued to the reading room on the basis of a completed order form for the issuance of documents and are taken into account in the book for issuing cases from the repository.
312. Each case, document, issued from the archive repository to the reading room, shall have a case use sheet.
313. Cases, documents shall be issued for temporary use to structural divisions of the organization for a period not exceeding 20 days. The issuance of cases, documents for temporary use to other organizations at their written request shall be drawn up according to the act of issuing cases, documents for temporary use. The act shall be drawn up in two copies, one of which is transferred to the recipient, and the other remains in the archive of the organization. The act shall be signed by the heads of the organization transferring the documents and the recipient organization, sealed with the seals of the organizations. Issuance of cases, documents for temporary use to other organizations shall be carried out for a period of not more than three months.
314. When issuing cases, documents for temporary use, each case shall be entered in the book for issuing cases from the repository, and a separate substitute card for each case shall be placed in the place of the issued case. Substitute cards shall be stored in the organization's archive until needed. The status of the returned cases shall be checked in the presence of the person returning the case.
315. Each case, document, issued for temporary use from the archive repository to the reading room, shall have a case use sheet.
Paragraph 9. The procedure for using documents in the mass media
316. The archives of the organization shall organize the use of documents in the preparation of information events, exhibitions, in the media, as well as their publication.
317. Jointly with the mass media, the archives of the organization shall determines the subject, scope and timing of the preparation of documents, the subject and timing are approved by the head of the organization. Copies of articles and other forms of printing prepared for the mass media, remaining in the archive of the organization, shall indicate the search data of the documents used, as well as the date and place of their publication.
Paragraph 10. The procedure for the destruction of electronic case of a temporary storage period and the transfer of electronic documents, electronic case for permanent storage to the state archives
318. Upon the expiration of the period of temporary storage of documents on electronic media, electronic documents in the archives of the organization, an examination of the value shall be carried out in order to include them in summary inventories (annual sections of summary inventories) of electronic cases of permanent storage or in acts of allocation for destruction of electronic documents (cases), not subject to storage.
319. Documents on electronic media, electronic documents (cases) shall be included in the act on the allocation for destruction of documents on electronic media, electronic documents (cases), if the established period for their storage has expired by January 1 of the year in which the act is drawn up. An act on the allocation for destruction of documents on electronic media, electronic documents (cases) that are not subject to storage shall be drawn up according to the form approved by the authorized body, considered at a meeting of the EC organization, agreed with the EEC of the authorized body, the Archive of the President of the Republic of Kazakhstan, LEB or of the state archives and then approved by the head of the organization simultaneously with summary inventories (annual sections of summary inventories) of electronic cases of permanent, temporary (over 10 years) storage, including on personnel.
320. An act drawn up in an organization that is a source of acquisition of the state archives shall be approved by the head of the organization after agreement with the relevant state archives or an authorized body of summary inventories (annual sections of summary inventories) of electronic cases of permanent storage, coordination of summary inventories (annual sections of summary inventories) of electronic cases on personnel and an act on the allocation for destruction of documents in electronic form with the mark "EEC".
321. An act drawn up in an organization that is not a source of acquisition of the state archives shall be approved by the head of the organization after the approval of the EC of the parent organization (if any) of the summary inventories (annual sections of the summary inventories) of electronic cases of permanent storage and the coordination of the summary inventories (annual sections of the consolidated inventories) of electronic cases on personnel and an act on the allocation for destruction of documents on electronic media, electronic documents (cases) marked "EEC".
322. Documents on electronic media, electronic documents (cases) with expired storage periods shall be allowed to be destroyed only after the head of the organization approves the act on the allocation for destruction of documents on electronic media, electronic documents (cases) that are not subject to storage.
323. When documents on electronic media, electronic documents (cases) are destroyed, all copies of them shall be removed from the archive of the organization. Electronic documents (cases) shall be subject to destruction. Electronic media suitable for reuse, after erasing the information recorded on them, can be used to re-record information. Electronic media unsuitable for use shall be decommissioned and destroyed in accordance with the established procedure. In the accounting documents of the archive of the organization, a note shall be made about their disposal.
324. If there is information in electronic documents, the distribution and (or) provision of which is limited, the following methods of its destruction shall be applied:
exposure to the surface of an electronic carrier by a magnetic field (demagnetization);
mechanical destruction of electronic media together with information (grinding, melting, use of chemicals). To ensure complete information security, this method is preferred.
325. The composition of metadata for an electronic document, which is an archive copy of an information resource, shall additionally include:
name of the information resource; type of information resource;
deadlines for the operation of the information resource;
data on registration of an information resource in the State Register of Information Resources;
the Internet address of the information resource (for an information resource located on the global computer network Internet);
information about the owner of the information resource;
information about the owner of the information resource.
326. The transfer of electronic documents as part of electronic files to the state archives shall be carried out by an employee of the organization responsible for the departmental archives, and is provided by means of electronic document management and EAIS.
Electronic documents (cases) shall be transferred to the state archives along with their metadata.
The transfer of electronic files of permanent storage shall be carried out according to the descriptions of electronic files of permanent storage of the organization, and in case of liquidation of the organization of temporary (over 10 years) storage - according to the descriptions of electronic files of temporary (over 10 years) storage, compiled according to the form approved by the authorized body, in accordance with the schedule for receiving electronic cases in the state archive.
The inventory of the electronic cases of the organization shall be approved by affixing the EDS using the key of the head of the organization.
327. The transfer of electronic documents (cases) for state storage shall be carried out through telecommunication channels in accordance with the regulations for information interaction between the information systems of the archive of the organization and the state archives, if any.
Electronic documents (cases) shall be transferred for the state storage in the PDF / A-1 storage format.
328. The electronic case shall include metadata for each electronic document.
329. Electronic files in preparation for transfer from the organization to the state archives shall be formed in such a way that the metadata of each electronic document (except for the first one) contains the control characteristics of the previous electronic document and its metadata (unidirectional linked list). This procedure shall be fixed in the legal act of the organization.
330. The transfer and reception of electronic cases shall be carried out via telecommunication channels or on electronic media as part of an information package, the format of which is determined by the regulations for information interaction between the electronic document management system and the information system of the archive of the organization and the state archives.
The inventories of electronic cases of permanent and temporary (over 10 years) storage additionally shall indicate:
information about the employee of the organization transferring electronic cases to the state archive (position title, initials, surname);
information about the employee of the state archive accepting electronic files in the archive of the organization (position title, initials, surname).
331. The information package contains the following metadata at the electronic case level:
serial number of the electronic file in the inventory of the organization's electronic cases;
e-business index;
title of the electronic case;
outside dates for electronic documents of the electronic case;
the number of electronic documents of the electronic case;
volume of electronic documents of the electronic case;
language(s) of electronic documents of the electronic case.
The integrity of the metadata at the level of the electronic case shall be confirmed by the indication in the information package of their control characteristics.
332. The information package contains the following metadata at the level of an electronic document of temporary (over 10 years) and of permanent storage:
the name of the type of electronic document (order, letter, estimate, etc.);
class of the electronic document (indication that the electronic document belongs to one of the unified documentation systems);
title of the electronic document;
date of the electronic document;
the right to access electronic documents (access is allowed to everyone; access is established by the founder);
date of removal of access restrictions (if any);
registration index of the electronic document;
a note on the presence of a registration and control card;
annotation on the electronic document (if any);
the language of the electronic document;
data on the author of the electronic document (name of the position of the performer, name of the organization that prepared the electronic document);
information about the structure of the electronic document;
information about the files of the electronic document (names, volume, control characteristics);
information about the algorithm for generating control characteristics (hash algorithm - a cryptographic algorithm for calculating the value of a hash function) (designation of the algorithm, reference to a technical regulatory legal act).
The integrity of metadata at the level of an electronic document shall be confirmed by a control characteristic common to the entire document, indicated in the internal inventory.
333. If necessary, for description at the level of an electronic document, additional metadata shall be used that characterize the features of the creation and reproduction of electronic documents:
links to other documents that form a common management context;
information about the information technology (version of the software product) with which the electronic document was created;
information about the hardware and software required to reproduce the electronic document;
information about the protection of an electronic document.
334. When transferring electronic cases on electronic media, the metadata shall include the data on electronic media (type, type of electronic media) and placement of electronic documents (cases) on these electronic media.
335. For electronic documents, metadata shall additionally include information about EDS tools, determined by the regulation of information interaction between the electronic document management system and EAIS.