On approval of the Rules for receiving, storing, recording and using documents of the National Archive Fund and other archival documents by departmental and private archives Unofficial translation Resolution of the Government of the Republic of Kazakhstan dated September 19, 2018 No. 575

On approval of the Rules for receiving, storing, recording and using documents of the National Archive Fund and other archival documents by departmental and private archives

Unofficial translation

Resolution of the Government of the Republic of Kazakhstan dated September 19, 2018 No. 575

Unofficial translation

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” dated December 22, 1998, the Government of the Republic of Kazakhstan RESOLVES:

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
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

The Rules for receiving, storing, recording and using documents of the National Archive Fund
and other archival documents by departmental and private archives
Chapter 1. General provisions

The Rules for receiving, storing, recording and using documents of the National Archive 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” dated December 22, 1998 and the Law of the Republic of Kazakhstan “On electronic document and electronic digital signature” dated January 7, 2003.
The rules determine the order of 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 Archive of the organization).
The basic concepts used in these Rules:

1) 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 archive cipher 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);

2) archival copy – a copy that literally reproduces the text of the archival document, with an indication of the archive cipher and the sheet numbers of the storage unit, drawn up in accordance with paragraph 284 of these Rules;

3) archival documents storage (archival repository) – a specially equipped storage (room) for storing archive documents;

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 archive of the organization at the request of the user or the initiative of the archive 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) 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 ciphers, compiled at the request of the user or initiative of the archive of the organization;

7) archival recording – 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;

8) 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 archive cipher and the sheet numbers of the storage unit;

9) information letter – a document compiled on the letterhead of the organization upon request of the user or on the initiative of the archive of the organization containing information about the documents stored in the archive on a specific issue or topic;

10) archive cipher – a designation applied to each storage unit in order to ensure its recording and identification;

11) 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;

12) audiovisual documentation – a set of documents containing graphic and (or) sound information created using technical means;

13) management documentation – a set of documents used in the implementation of the main management functions of the organization (organization, planning, regulation, control);

14) departmental archive – an institution or structural subdivision of a state legal entity that collects, organizes, temporarily stores, records, uses archival documents and public records of NAF documents;

15) 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;

16) 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;

17) 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;

18) private archive – an institution or a structural unit of the non–state legal entity, performing collection, replenishment, regulation, storage, recording and use of archive documents or archive documents of an individual resulting from its activities, collection and replenishment;

19) document (letter) issue – a copy of the outgoing document remaining in the case of the author organization;

20) 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;

21) 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 damaged or destroyed documents;

22) storage unit – recording unit, which is a physically isolated document or a set of documents that has independent significance;

23) recording of documents in archive 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;

24) case – separate archive document(s), arranged in a separate cover, folder;

25) case inventory sheet– a document containing information on the attributes of the content and formation of a specific case in archive of the organization, including the number of pages of each case;

26) compilation of cases – grouping of executed documents into cases in accordance with the nomenclature of cases and systematization of documents within the case;

27) an inventory of cases, documents – an archival reference book intended for disclosure the composition and content of storage units, securing their systematization and recording;

28) electronic archive – a set of archived electronic documents;

29) electronic document – a document in which the information is presented in digital form and certified by electronic digital signature;

30) 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.

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) archive of management documents, including electronic documents;

2) archive of audiovisual documentation, including electronic documents;

3) archive of scientific and technical documentation, including electronic documents.

The National Archive 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.
In an organization which staff list does not provide for staff positions of archive workers, the person responsible for maintaining the archive is designated by the order (other regulatory document) of the head of the organization.

Chapter 2. The order of receiving the cases, documents
Paragraph 1. The order of receiving the cases, documents for storage

Archive 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.
Receiving of cases, documents in the archive of the organization is carried out annually. In an organization that has structural unit, documents are accepted to the archive of the organization in accordance with the schedule for receiving the documents to the archive of the organizations approved by the head of the organization.

Documents are transferred to the archive 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).

When receiving for storage of management documents on paper, an employee of the archive 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 unit;

7) the physical condition of the documents.

When receiving audiovisual documents for storage, an employee of the archive of the organization in the presence of the person transferring the documents shall check:

1) completeness of documents;

2) the 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.

When receiving scientific and technical documentation for storage, an employee of the archive 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) the physical condition of the documents.

Receiving of electronic documents in the archive of the organization is carried out through information systems that ensure compliance with the requirements for the storage of electronic documents.
Electronic documents are transferred to the archive of the organization via the information and telecommunications network from the organization’s information system to the information system of archive 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.
In cases of changes in the software and hardware environment and the withdrawal of computer formats, damage to the media, the archive of the organization shall work on conversion of electronic documents into new formats and / or migration to new media.
When receiving electronic documents, an employee of the archive of the organization through the information system of archive of the organization shall check:

1) availability and integrity of electronic documents of permanent, long-term (over 10 years) storage and on personnel in accordance with the inventory of cases, documents of the structural unit;

2) availability and integrity of electronic documents of temporary (up to 10 years inclusive) storage in the nomenclature of cases;

3) the physical condition of media allocated for transfer to the archive of the organization;

4) integrity of electronic document and authenticity of digital signature;

5) correctness of filling and completeness of the recording control card information to the electronic document.

When receiving electronic documents in the information system of the archive of the organization, an act of migration and rewriting of electronic documents is formed in a form approved by the authorized body in the field of archiving and documentation management (hereinafter referred to as the Authorized body).

Paragraph 2. The order of the examination of documents value and compilation of its results

The examination of the value of documents in the archive of an organization is carried out in order to select documents referred to the NAF composition, prepare them for transfer to permanent storage in the appropriate state archive, 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.
The examination of the value of the documents is 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 examination of the value of documents is 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;

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 laws of the Republic of Kazakhstan);

3) form of recording and transfer of information content;

4) features of the material carrier of the document;

5) features of the physical condition of the document.

When examining 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 carrier, method of recording and reproducing information, technical condition of audiovisual documents.

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).

When conducting an examination of the value of electronic documents, the following specific criteria are additionally applied:

1) metadata integrity;

2) authenticity of electronic documents;

3) absence of duplicate information in documents accepted for archival storage.

An expert commission (hereinafter referred to as the EC) is created to organize an examination of the value of documents and consideration 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.

CEC (EC) is a consultative body and acts on the basis of a regulation approved by the head of the organization.
Examination of the value of documents is carried out annually in a planned manner by employees of the archive of the organization. The examination of the value of documents in the organization, which is the source for the replenishment of the state archive, is carried out under the carried out under the methodological guidance and with the consulting assistance of the relevant state archive, the Archive of the President of the Republic of Kazakhstan.

In case of reorganization (liquidation) of the organization, an unscheduled examination of the value is carried out.

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 replenishment 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-examining commissions hereinafter referred to as the EEC), formed by the state archives, Archive of the President of the Republic of Kazakhstan, LEB.

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 archive, Archive of the President of the Republic of Kazakhstan (for sources of replenishment of the state archive, 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.

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.
Examination of the value of documents is carried out by sheet-by-sheet viewing of case documents (audiovisual documents are viewed on the editing table or screen, audio documents are listened).
During the examination, 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) physico-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 archive of the organization.

Identified deficiencies are eliminated by the employee of the archive of the organization. Where necessary, case headings are updated, cases are unbound and reformed.

Electronic copies of documents not signed with a digital signature are compiled into a separate inventory. In case of a positive result of their checking with a paper document, an employee of the archive of organization certifies an electronic copy of the archive document with its own digital signature.

In the absence of a paper original or a negative checking result, an act is drawn up on the destruction of the electronic copy (ies) of the document (s), approved by the head of the organization in coordination with the CEC (EC) of the organization and the EEC of the state archive, Archive of the President of the Republic of Kazakhstan or LEB.

According to the results of the examination of the value of documents and on the basis of inventory of cases, documents of structural units, the following are compiled:

1) inventory of cases, documents of permanent storage in the form approved by the authorized body;

2) inventory of cases on personnel in the form approved by the authorized body;

3) inventory of cases, documents of temporary (over 10 years) storage in the form approved by the authorized body;

4) act on the allocation to the destruction of documents that are not subject to storage, in the form approved by the authorized body;

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 in a form approved by the authorized body.
The list is compiled at least once every five years.
The systematization of items on the list is carried out on a chronological, thematic or thematic and chronological basis.
The list is approved by the head of the organization and the EEC of the state archive, 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 archive, the Archive of the President of the Republic of Kazakhstan, the second remains in the organization.

On the basis on the list, further examination of the value and compilation of inventories of cases, documents of project, design and technological documentation is carried out.

The list is not compiled for research and patent and licensing documentation.

Inventories of cases, documents 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.
During the examination of the value of audiovisual documents, the completeness and degree of preservation of a set of audiovisual documents, the availability and quality of text accompanying documentation, the possibility of scientific and practical use, duplicity, absorptiveness and variance of an audiovisual document are considered.
During the examination 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.

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, is carried out with the permission of the authorized body.

Paragraph 3. The order of compilation the inventories of cases, documents

The inventories of cases, documents of permanent, temporary storage, on personnel and acts of allocation to the destruction of documents that are not subject to storage, within each archive fund are assigned independent serial numbers.

Inventory of cases, documents is completed upon reaching the number of included headings of 9999 (nine thousand nine hundred ninety nine).

The subsequent inventory of cases, documents is assigned a sequential number.

In case of reorganization or liquidation of an organization, an inventory of cases, documents is completed regardless of the total number of included cases, documents.

The annual section of the inventory of cases, documents is compiled and approved annually.
When making an inventory of cases, documents, titles of cases (volumes, parts of cases) are numbered in gross order.
Headings of additionally detected cases are entered in the appropriate inventory of cases, documents under lettered numbers in accordance with the accepted systematization. When the number of cases is more than 10, an additional inventory of cases, documents with self-numbered titles is compiled.

After making records in inventory of the cases, documents on the receiving or disposal of cases, a complete final record is made, which also indicates the grounds for the changes made.

The case, which includes documents for several years, is entered in the inventory of cases, documents by year of opening in record keeping, for the following years, its heading is indicated, and in the column “Note” - the note “See Case No”.
The inventory of cases, documents of permanent storage after coordination with the CEC (EC) is approved by the head of the organization and the EEC of the state archive, the Archive of the President of the Republic of Kazakhstan or the LEB.

The inventory of cases on personnel is coordinated with CEC (EC) of the organization, the EEC of the state archive, the Archive of the President of the Republic of Kazakhstan or the LEB and approved by the head of the organization.

The inventory of cases, documents of temporary (over 10 years) storage is approved by the head of the organization after agreement with the CEC (EC) of the organization.

Organizations that are not sources of replenishment of the state archive, the Archive of the President of the Republic of Kazakhstan, do not submit for approval (coordination) with the EEC, an inventory of cases, documents of permanent storage, on personnel and acts on the allocation to the destruction of documents that are not subject to storage.
The inventory of cases, documents of permanent storage shall include the headings 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;

where necessary, the case headings are specified;

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.

The storage units (cases) of the archival fund are systematized within the archival fund according to the systematization scheme.

Cases are subjects to unbinding and reorganization upon detection that the case was formed incorrectly.

The scheme of systematization of the storage units (cases) of the archive fund is the ground for the internal organization of the archive fund and is fixed by an inventory (inventories) of the archive fund cases.

The systematization of headings in the inventory of cases, documents 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 (by record keeping form - kinds and types of documents);

5) correspondent (by organizations and persons, as a result of correspondence with that, storage units 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 (by the names of organizations or the names of persons - authors of documents).

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.
Film documents and video documents are systematized:

1) by type (films, special issues, newsreels, separate cinematic and TV spots);

2) by year 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).

Photo documents are systematized by type:

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, they can be combined 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

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.
Electronic documents are systematized according to the types of information carriers (magnetic tapes, laser and hard disks, compact disks, floppy discs), inside the types - according to the information presentation formats, and further - according to the nature of the recorded information.
The inventory of cases, documents of permanent storage and on personnel has a title page in the form approved by the authorized body, the content (table of contents), the preface, the list of abbreviated words and the final record. The official title of the state archive, the Archive of the President of the Republic of Kazakhstan is not affixed to the title page of the inventory of cases on personnel.
The inventory of cases, documents of permanent storage is compiled in 4 copies. After its approval, three copies are transferred to the state archive, the Archive of the President of the Republic of Kazakhstan, and one remains in the archive of the organization.
Inventory of cases on personnel is compiled in 4 copies. After its approval, one copy is transferred to the state archive, three - remain in the archive of the organization.
The inventory of cases, documents of long-term (over 10 years) storage is compiled in 4 copies. After its approval, one copy is transferred to the state archives, the Archive of the President of the Republic of Kazakhstan, three - remain in the archive of the organization.
The systematization of headings in the inventory of personnel cases is determined by chronological, structural (functional) and nominal classification features. Headings 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.
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 headings are grouped by year of completion of cases in record keeping, within a year - in alphabetical order of the names of employees.
To the inventory of cases, documents of long-term (over 10 years) storage, table of contents, preface and a list of abbreviated words are compiled.
The systematization of the titles of cases, documents 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. The order of compilation the act of allocation to the destruction of the
documents that are not subject to storage

The act of allocation to the destruction of documents that are not subject to storage, is compiled simultaneously with the inventories of cases, documents.
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 is carried out.
The act of the allocation to the destruction of documents and cases that are not subject to storage, is compiled in a form approved by the authorized body.

The act specifies the titles of individual cases or group titles of homogeneous cases.

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 archive, the Archive of the President of the Republic of Kazakhstan or the LEB.
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 archive, the Archive of the President of the Republic of Kazakhstan, the other - to the archive of the organization.
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 archive of the organization Paragraph 1. The order of the organization of documents safety

To ensure the safety of the documents in the archive 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).

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 archive of the organization, when they are stored and transferred for permanent storage to the appropriate state archive, Archive of the President of the Republic of Kazakhstan.
The placement of the archive 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.
The premises for the archive of the organization shall consist of:

1) archival repository for storing documents;

2) rooms for researchers operating (reading room);

3) operating rooms of archive 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 archive of the organization.

Archival repositories are located away from laboratory, industrial and storage facilities associated with the storage or use of chemicals or food.

Archival repositories are equipped with basic fire extinguishing equipment. In the systems and fire extinguishing facilities of the archive, organizations use neutral, substances that are safe for documents.

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 archive 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.

The external doors of the organization archive premises are upholstered in metal and have strong locking bars. During working hours archival repositories are locked. Beyond working hours, all archive 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 is carried out only with special permits in the manner prescribed by the head of the organization.

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.
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. The order of placement and storage of the cases

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. The order of cases in the archive is determined by the plan (scheme) of their placement.
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.

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 is 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.

Cases with management documentation on paper media are placed in cardboard archive 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.

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.

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.

Placing documents on the floor, window sills, and staircase landings or in unassembled piles is not allowed.
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 archive, their shelves are from top to down.
The place of storage of cases, documents in archives is indicated in the shelving topographic indexes.

For each storage shelves, a card of the 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 archive.

All changes in the placement of documents are timely reflected in shelving topographic indexes.

When storing electronic documents, the archive 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 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).

The basic (system) software of the archive 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) protection against unauthorized access and anti-virus tools.

Special software tools for the functioning of the archive 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 archive of electronic documents of the organization.

Paragraph 3. The order of providing the conditions of documents storage

In the archival repositories all kinds of work with documents conducted under limited lighting levels. Documents are placed in primary protective means of storage (archive boxes, folders, special cases, packages).
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.

The following temperature and humidity conditions are provided in the archives:

1) for documents on paper data carriers - 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 - up to + 18 ° С, relative humidity of air - 45–65%;

5) for documents on electronic media - temperature +15 - + 20 ° С, relative air humidity 50–65%.

In the archival repositories with unregulated climate, appropriate measures are taken to optimize the climatic conditions on the basis of rational heating of the building of the organization, airing and humidification (dehumidification) of the air in the archives.
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.

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, which form of is determined by the organization.

Sharp fluctuations in temperature and humidity in archives are not allowed.

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 is not allowed.

At least once a year dust elimination of storage shelves, cabinets, and primary storage means of documents is carried out. In this case, the floors, skirting boards, window sills, basement parts of storage shelves are treated with two percent aqueous solution of formalin. At least twice a week a wet cleaning is carried out in the archival repositories.
Twice a year (before and after the end of the heating season), documents (selectively) of archival repositories are subjected to an examination for the timely detection of insects and mold fungi.

When biological pests are detected, urgent measures are taken for disinfection and desinsection the premises by the sanitary-epidemiological service.

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 specific measures to improve the physical condition of documents.
The cases which documents are affected by mold and insects are subject to immediate transfer to processing (disinfection, disinsection).

Paragraph 4. The order of issuing cases, documents from archives

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.

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.

Extension of the terms for issuing cases, documents for temporary use is 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.
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 archives are not issued.
For law enforcement agencies, court bodies and prosecutors offices cases are issued in the manner determined by the legislation of the Republic of Kazakhstan.
The issuance of cases, documents from archives is compiled by the following documents:

1) orders for the issuance of cases in the reading room and to employees of the organization in the form approved by the authorized body;

2) acts on the issuance of cases, documents for temporary use in the form approved by the authorized body, issued on the general form of the organization;

3) orders for work on copying and restoration of documents.

The issuance of cases, documents from the archives is registered in the books of issuance of documents in the form approved by the authorized body.
The completed orders of the researchers are kept in the personal files of the researchers, all others - until the examination on the availability and condition of cases.
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 archive 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 archive of the organization that issued the documents.
The sending of documents for copying, restoration, binding is compiled by order. The order is made in the archive of the organization in the form of the act of issuing documents for temporary use by another organization.
Before issuing cases, documents from the archives are checked for compliance with the cipher and the title of the case on the cover of the cipher 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 archive has a usage sheet in the form approved by the authorized body.

When issuing case (documents) from the archives, a card is inserted in their place - a substitute of storage unit in a form approved by the authorized body. When the case (document) is returned to the archives, the substitute card shall be withdrawn.
The condition of documents returned to the archive of organization after use is examined 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 archive 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. The order of examination the availability and condition of archival
cases, documents

Examination of the availability and condition of archival cases, documents is conducted in a planned order once in 5 years.
Unscheduled examinations on the availability and condition of cases, documents are held:

1) before and after transfer cases, documents to another archive;

2) before transferring them for storage in the state archive, Archive of the President of the Republic of Kazakhstan;

3) after emergencies that caused the relocation (evacuation) of cases or access to archives of unauthorized persons;

4) when changing the head of the archive of the organization (the person responsible for the archive);

5) at reorganization (liquidation) of the organization.

During examination of the availability and condition of documents the following is 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.

Before starting work on examination the availability and condition of documentation, documents from previous checks are examined.

During the examination 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 examined.

Reconciliation of descriptive articles of the inventory of cases, documents with the content of details on the covers of cases (ciphers, name of the founder and its structural divisions, office indexes of cases, case headers, dates of cases, number of sheets).

Cases with especially valuable documents, unbundled cases are examined by sheet. The results of the examination are recorded in case inventories.

When examining audiovisual documentation, a descriptive article is verified with an inscription on the label of film, phono, and video documents. At discrepancy of information the descriptive article is verified with the inscriptions on the film leader of the document.
Examination of the availability of drawings is carried out by sheets, the name of the details of the specification or internal inventory is examined with the name of each sheet of the drawing included in the project (development).
During the examination 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.

Notes or entries in the inventory of cases, documents and other recording documents shall not be made during the examination.
Cases issued to employees of the organization in the reading room and for the temporary use by other organizations are examined according the books and acts of issuing cases and are considered available.
During the examination, a checklist is compiled of the availability and condition of cases, documents in the archival fund in the form approved by the authorized body. Examination sheets are numbered in numerical order within each archival fund and signed by the examiner.

After the end of the examination of the archive fund, examination sheets are included in the case of the given archive fund.

In the case of detection during the examination of the availability and condition of cases, of the deficiencies not covered by the examination sheet columns, additional columns are added into the sheet. If, as a result of the examination, no deficiencies are found, the examination sheet is not included in the case of archive fund.

On the basis of the examination sheet (sheets), an act of examination of availability and condition of archival documents is drawn up in a form approved by the authorized body.
At the end of the examination 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 examination 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 rescheduled.

For all storage units missing during the examination of availability and condition of archival documents, recording cards for undetected archival documents shall be issued in the form approved by the authorized body.

Maintaining a card file of undetected archival documents is centrally carried out.

If the examination of the availability and condition of cases revealed a shortage of cases, documents, 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 archive of organization;

2) organization of the search for undetected during the examination of cases, documents in the relevant structural units of the organization in which they were formed;

2) study of recording documents on the issuance of cases, documents from the archive;

3) study in the case of the archive fund of acts on the allocation of documents and cases for destruction;

4) examination of cases of nearby archival funds.

The search is conducted within a year after the detection of shortage of cases, documents.

The 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 archive of organization (the person responsible for the archive of organization).
Cases, the reason for the absence of which is documented, are excluded from inventories. The respective cards contain the dates and numbers of the acts, which confirm the absence of the case, and draw up certificates of the search. 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.
The examination of the availability and condition of cases is 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 archive, Archive of the President of the Republic of Kazakhstan for making changes to the approved inventories of cases, documents of permanent storage.

Paragraph 6. The order of determining the belonging of documents to the fund and the
formation (closure) of the archival fund

Documents deposited in the archive of the organization, compose the archive fund of the organization.
Types of archival fund are:

1) archival fund of the organization, consisting of documents formed in the course of its activities;

2) joint archival fund formed from documents 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).

The determination of the fund ownership of documents of the organization is to assign them to a specific archival fund.
In determining the fund ownership of documents of the organization, the following is taken into account:

1) incoming documents relate to the archive 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, the text of the document);

2) issues of the outgoing documents refer to the archive 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 office work notes on the issues of documents);

3) internal documents refer to the archive fund of the organization that is their author (their fund is determined by such details as the official name of the organization, signature, text of the document, resolution).

Cases that were conducted sequentially in two organizations are included in the archive fund of the organization in which they were completed by office work.
Unified archival fund compile documents:

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 (competitive) commission.

Documents of subsidiary organizations constitute separate archival funds from documents of their main organizations.
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 archive of the organization, form an independent archive fund or join the archive fund of the organization, forming joint archive fund.
The joint archive fund is formed from 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 subsequent 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 archive fund are given in the recording documents.

The creation of a joint archival fund is subject to the indivisibility of the documents of the funds included in its composition.

Each archival fund received by the departmental archive 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.
The name of the archival fund indicates its chronological boundaries.
Renaming or changing the administrative boundaries of the local authorities do not constitute grounds for creating new archival funds from the archive documents of the relevant local authorities and other organizations located in the area.
During the reorganization of the organization, new archive 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 of a liquidated organization constitute a separate archive fund.

The following are not grounds for creating a new archive fund:

1) renaming or changing the administrative – territorial boundaries of the organization’s activities or functions;

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.

The chronological boundaries of the archive fund are:

1) established on the basis of legal acts, the official dates of their formation (recording) 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 (recording) of the earliest and liquidation of the most recent activities of organizations which documents were included in the composition of joint archive fund - for the joint archive fund.

Paragraph 7. The order of organization of documents within the archival fund

Within the archive fund, the recording and classification unit is the storage unit.
The storage unit of archive documents on a paper basis is a case.
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 - part of the storage unit, one or more storage units related to film production or shooting of a specific event;

2) for photographic documents - 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 literary 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 literary and artistic works united by author, performing, thematic and other features.

Physically separated media (hard disk, compact disk and other modern media) with accompanying documentation is taken as the storage unit of an electronic document.
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.
Storage units in the joint archival fund are located according to the importance of the founders, the chronology of their creation, the alphabet of the names. Within each archival fund included in the joint archive 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.
Scientific and technical documentation is located within the archival fund by type (design, engineering, technological, research, patent documentation).
Project documentation is arranged by subject-specific, chronological or geographical classification criteria.

Project documentation is divided into the following groups:

1) housing and civil construction;

2) industrial construction;

3) agricultural construction;

4) on energy and water construction;

5) on transport construction.

It is allowed division of groups into subgroups.

Documents of design stages are arranged in a sequence of design.

Model projects are systematized by series numbers.

The design documentation is located by type of development, chronology or number of specific development, inside development - by node 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, recording numbers.

Technological documentation is systematized according to the technological process.
Research documentation is arranged on a chronological basis, within a year by the order numbers, inventory numbers, numbers assigned during state recording, research topics, alphabetical names of their names or the names of authors – developers (responsible performers), and structural characteristic.

Reports made by orders of other organizations are systematized separately.

Patent – license documentation is arranged by type:

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 security document.

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.

Film documents and video documents are systematized according to the following characteristics:

1) by type - 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 TV 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.

Photo documents are systematized by type:

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.

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 kit in the following sequence - originals, copies.

The phonodocument set consists of the original and copies relating to a specific recording unit.

Paragraph 8. The order of transfer NAF documents for permanent storage
to the state archive

The transfer of NAF documents in an orderly manner is made at the expense of own funds of legal entities that transfer archives.
The following terms are set for the departmental storage of documents on traditional and electronic media 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 the 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 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) surveying documentation - 25 years;

14) telemetry documentation - 5 years;

15) audio-visual documentation - 3 years;

16) electronic documents - 5 years.

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" dated December 22, 1998, 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.
The transfer of NAF documents for permanent storage to the state archive is 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 archive, the Archive of the President of the Republic of Kazakhstan.
The transfer is documented by an acceptance report 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.
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.
Lost originals of management, scientific and technical documents are replaced by their certified copies, audiovisual -by copies.
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.
In preparing cases of permanent storage marked “FAU” (For administrative use) for transfer to the appropriate state archive, the Archive of the President of the Republic of Kazakhstan, the decision on removing the “FAU” mark is taken in the manner established by the Rules for classifying the data as official information of limited distribution and working with it, approved by resolution No. 1196 of the Government of the Republic of Kazakhstan dated December 31, 2015.
Electronic documents and information resources are 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.
When transferring electronic documents and information resources to the state archive, the Archive of the President of the Republic of Kazakhstan the following is examined:

1) completeness of the transmitted documents;

2) completeness and correctness of the compiling documentation;

3) the physical and technical condition of the media;

4) the presence of viruses and other malicious computer programs;

5) reproducibility of control characteristics by software of the state archive, the Archive of the President of the Republic of Kazakhstan.

In the case of incompatibility of software used to develop and verify control characteristics in the transmitting organization and the state archive, Archive of the President of the Republic of Kazakhstan, employees of the state archive, Archive of the President of the Republic of Kazakhstan in the presence of a representative of the organization re-develop the control characteristics with their software. These control characteristics are specified in the act of reception and transmission of electronic documents.

In case of improper preparation of accompanying documentation, media with electronic documents and accompanying documentation are returned to the organization for revision.

Chapter 4. Recording of archival documents Paragraph 1. The order of recording documents of the archive of organizations

All documents stored in the archive are subject to recording, including untreated and non-core documents for this archive.
Recording for archival documents is done by assigning storage units numbers that are part of the archive cipher.

The archive code consists of the archive fund numbers assigned by the state archives, the Archives of the President of the Republic of Kazakhstan after the compilation of first receiving of documents for permanent storage in the state archives, the Archives of the President of the Republic of Kazakhstan, the inventory, documents, and storage units.

The main units of recording documents, regardless of the type of media, method and technology of information consolidation are:

1) archive fund, archive collection;

2) storage unit.

Recording documents, except for inventories of cases, documents, are intended for official use and are not issued to users.

All recording documents are stored in the archive in safes or metal cabinets.

The grounds for each entry in the main recording documents are the receiving of cases, documents in the archive of the organization, their departure from the archive of the organization in connection with the transfer to the archive of another organization or the state archive, 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.
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) an inventory of cases, documents, in the form approved by the authorized body.

Inventories of cases, documents are the primary recording document for recording 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 is carried out by assigning to each storage unit an independent number.

The total recording of cases, documents in the inventories is 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 cases, documents, 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, 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 organizational units of the organization are subject to storage in the archive case until the transfer of cases for the years to permanent storage in the state archive, the Archive of the President of the Republic of Kazakhstan or allocation for destruction.

3) a case inventory sheet of the case in the form approved by the authorized body;

4) a passport of the archive of the organization in the form approved by the authorized body;

5) a case of archival fund.

The archive of the organization has 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.

The book of recording for the receiving and disposal of documents 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 archive of organization.

Each receiving or disposal gets an independent sequence number.

If the receiving consists of documents from several archival funds, then the data for each archive fund (the name of the archive fund, its number, if available) are 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.

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 archive fund;

3) checklists;

4) an inventory of the cases of the organization’s structural units (prior to the transfer of cases for these years to permanent storage in the state archive, 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 archive;

6) acts on the allocation for the destruction of documents that are not subject to storage;

7) record cards for undetected archive documents;

8) acts on conducting inspections of the availability and condition of cases and other documents fixing changes in the composition and volume of the archive fund are included in the case of archive only with a note on the introduction of changes in all recording documents of the archive of the organization.

The acts are numbered within the archival fund by type of acts in a gross order.

All documents in the archive file are arranged in chronological order of their compilation. An internal inventory is drawn up on the documents of the file of the archival fund, the sheets of the file 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 file of the archival fund is assigned with a number of the corresponding archival fund.

The archive of organization passport is compiled annually and once every three years is transferred to the appropriate state archive, the Archive of the President of the Republic of Kazakhstan, for further input to the Central stock catalog, which is determined by the Law of the Republic of Kazakhstan on the National Archival Fund dated December 22, 1998.
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.
Inventory books are filled on the basis of the data of the main inscription of the drawings, title pages.
On the originals and duplicates of the project, design, technological documentation consisting of several sheets, the inventory number is affixed on each sheet.
Inventory books are maintained separately for each type of scientific and technical documentation (design, engineering, technological, research, patent licensing).
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.

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 nodes.

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.

For accounting research documentation separate inventory books are kept in the form approved by the authorized body.
Patent documentation is registered in the logs of registration of applications for the grant of a patent for an invention in the form approved by the authorized body.
Information on each unit of storage of electronic documents is entered into the accounting database or record card in 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).

The receipt of electronic documents for temporary storage in an electronic archive of the organization is taken into account in the general book of receipt and disposal of documents.
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.
In the passport of the archive of an organization storing electronic documents, specific information resources are taken into account that have no analogues on paper.
For electronic documents, a sub-account is the register of migration and rewrites of electronic documents.

Paragraph 2. The order of recording and database maintenance

The list of details of recording databases is compiled in accordance with the main indicators describing the object of recording - the archive fund, storage unit, recording unit, group of storage units, recording units included in the corresponding inventory of cases and documents.
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 Archives of the President of the Republic of Kazakhstan.

In the recording databases the details of the traditional basic recording documents are used.

Recording databases are filled on the basis of recording documents.

Chapter 5. Using of archival documents
Paragraph 1. The order of the description of archival documents for the finding aid

The archive of the organization provides the user with the FA (reference and search tools) for archival documents.
The FA archive 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 archive of the organization.
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 Archives of the President of the Republic of Kazakhstan.

The continuity of the FA system of the archive of organizations is based on the unity of the requirements and principles of its construction.

Description of archival documents (creating information for archival reference books) is carried out at three levels:

1) archive fund;

2) storage unit;

3) archive document.

The basis of the archival reference book is a descriptive article containing the following information:

1) identifying information (name and reference data of the archive fund, storage units);

2) on the composition and content of the information;

3) on the conditions of access and conditions of use of information;

4) on the history of the archive fund.

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.
A descriptive article of the archival reference book at the level of the archival fund includes:

1) the name of the archive fund;

2) reference data about the archive fund (archive code (fund number), volume of the archive fund in storage units by types of documentation, deadlines of archive documents for each type of documentation, list of the available intra-fund finding aid);

3) historical background to the archive fund;

4) annotation on the composition and content of archival documents;

5) information on access conditions;

6) bibliography.

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 copy number;

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 heading of the storage unit of management documentation, the storage unit of archival documents of personal origin 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 relates, the date of the events.

In the absence of the necessary information, explanatory information is included in the heading - “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.

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 heading of the storage unit of the 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 processing, transcriptions, translations, the language of the phonodocument.

The title of the photodocument storage unit includes the description of the image or the name of the 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 archive cipher (archive fund number, inventory number, documents, storage unit number), data on the volume of the storage unit, and the deadline dates of the archive documents.

Information on access conditions, language and external features of archival documents of the storage unit includes information on the availability of 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.

The descriptive article of the archival reference book at the level of the archival document includes:

1) the title of the archival document;

2) reference data on the archive document;

3) an indication of authenticity / copy number;

4) the type of media (or playback method);

5) information on access conditions, language and external features of the archival document.

The title of the 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 heading: “the author is not identified”, “without a date”. If necessary, the title is supplemented by an annotation, which reveals the contents of this document, which are not reflected in the title.

Reference data on an archive document consists of elements of the archive cipher (fund number, inventory number, document number, storage unit number, and sheets number), volume (number of sheets) of the archive document, the date of creation.

Information on access conditions, language and external features of an archival document includes information on restricting access to an archive document by the legislation of the Republic of Kazakhstan or the founder of information, 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.

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.

Headings 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.

Headings 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 heading of the storage unit, which includes correspondence, the official names of correspondents and the question (subject) of correspondence are indicated. In the case of correspondence with homogeneous correspondents, the title specifies the general specific naming of correspondents.

The presentation 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.

When drawing up the heading of storage units with organizational and administrative documentation of the same type, the name of the documents in the plural is indicated in the heading with their short numbers.
After designating the type of case or type of documents in the title indicates the author of the documents involved in the case. If the author of the documents is the 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).
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.
If the case consists of one document, then the title indicates the type of document, from whom it proceeds, to whom it is addressed, its date and summary.
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 headings of storage units containing statistical reports are compiled with the indication of the numbers of the statistical reporting forms.

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).
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 are annotated.
Annotation issued with a red line after the title.

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 issue 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 - scale.

At the end of the annotation under the "mentions" heading, the names of individuals, names of organizations, geographical names and information that are mentioned in the documents and are of significant importance are indicated (listed).

At the end of the annotation, the numbers of sheets of annotated documents, the degree of detail ("brief information", "detailed message") are indicated.

With significant amounts of annotated documents, the annotation is drawn up on a separate sheet and is inserted between the cover and the first sheet of the document.

Paragraph 2. The order of the dating of documents in the description

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) date (day, month, year), is made out in the word and number way.
The starting date of the case 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 enforcement.

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 shareholder much later than the creation of their originals, are 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 are 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. The order of drawing up an inventory of cases, documents

The list of cases, documents consists of descriptive articles of storage units or units of account, a summary record, a case inventory sheet and a reference device to the inventory.
The descriptive article of the inventory includes:

1) the sequence number of the storage unit;

2) office 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 of the copies of documents;

7) the way of playback the documents.

If necessary, the descriptive article is supplemented by the annotation of individual documents of the storage unit.

The reference device of inventory of cases, documents include:

1) the title page in the form approved by the authorized body;

2) content (table of contents);

3) the preface;

4) a list of abbreviations;

5) indexes.

Paragraph 4. The procedure for compiling historical information

The archive of organization compiles a historical reference to the archive fund containing information on the history of the founder and archive fund, a brief description of the composition and content of its documents and the FA system.

Historical background to the archive fund is formed on the basis of information on the history of the founder and the history of the archive fund.

Information on the history of the founder 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 founder 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 archive, 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 archive 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 archive collection, information about the time, conditions, reasons for its creation, principles of formation, the location of the collection before it is received in the archive, 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 founder.

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 founder, 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 includes information on the availability of archival documents, access to which is restricted by the legislation of the Republic of Kazakhstan or the founder 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.

The characteristics of the archive 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 archive fund, and the types of information carriers.
A certificate is signed by the executive and the archive manager of the organization.

Historical information is printed in four copies. Three copies are transferred to the state archive, the Archive of the President of the Republic of Kazakhstan at the first transfer of documents from the archival fund, one is stored in the case of the fund in the archive of the organization.

Historical information is supplemented when replenishing the archival fund or in case of reorganization of the organization. Historical reference is submitted to the state archive, the Archive of the President of the Republic of Kazakhstan, together with each complete inventory of cases and documents.

Paragraph 5. The order of compiling catalogs and card files

The catalog is an inter-fund archival reference book in which information on the content of documents is grouped by subject (topics, sector), arranged in accordance with the document classification scheme adopted for the catalog.

The set of different catalogs draws up a catalog system.

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.

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) catalog maintenance.

The choice of the classification scheme is determined by the composition of the documents of the archive 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.

Depending on the design scheme, catalogs are divided into systematic, thematic, subject, and their varieties (nominal, geographic, object).
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 is carried out in chronological or logical sequence.

The catalog description includes:

1) the name of the archive of the organization;

2) an index;

3) category, subcategory;

4) the date of the event, the place of the event;

5) content;

6) the number of the archive fund, the name of the archive fund;

7) numbers of the register of the file, documents, storage unit, sheets;

8) document language;

9) the 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.

Maintaining a catalog consists of the following types of work:

1) scientific and methodological support of work;

2) indexing cards;

3) systematization of cards by indexes and categories;

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 is 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.

Catalog systems are replenished with thematic and subject-specific card files, personnel card files for documents of the most informative and frequently used archive funds.
The personnel cards contain the surname, name, patronymic of the employee, links to the numbers of the archive fund, the annual section of the summary list of cases, the numbers of cases, and sheets with information about them. Cards are systematized in alphabetical order of surnames, and within the surnames - alphabetically names and patronymic names (if available).
The archive of the organization storing the audiovisual documentation creates the following types of card files:

1) a name card file containing information about the authors (director, screenwriter and cameraman) of the film document, a chronological card file containing information about the date of the film document issue, an alphabetical card file containing alphabetically information about the names of film documents;

2) a nominal card file containing information about persons, information about whom is available in photo documents, and an object card file containing information about objects, events, information about which is available in photo document;

3) a name card file containing information about the author and performer of an artistic, musical, or documentary work recorded on a phonodocument, a genre file card containing information on an artistic, musical, or documentary work recorded on a phonodocument;

4) an alphabetical card file containing information in alphabetical order about the names of video documents, a chronological card file containing information about the date of issue of the video document.

The archive 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) a nominal catalog in alphabetical order of the names of the authors of projects, developments, products, research topics;

3) the geographical catalog of the design objects at their location;

4) Alphabetical catalog for the names of scientific and technical developments in alphabetical order.

To the audiovisual documentation, indexes are drawn up to the headings of the storage units and (or) documents.
The descriptive article of the index consists of a subject concept (heading) and search data. Search index data to the storage units of a list of cases, documents include the sequence number of storage units. The search data of the index to the storage units of several archival funds of one archive of the organization are supplemented with numbers of case inventories, documents, and archival funds.
The thematic index includes concepts that are historical facts and phenomena. Titles of headings and subheadings in it are given in the nominative case.
The subject index includes concepts arranged in alphabetical order.

The general subject index includes heterogeneous concepts.

A special subject index includes homogeneous concepts (types of documents, names of authors, names of organizations, their structural subdivisions, and names of industries).

The index is written in alphabetical order and includes surnames, first names, patronymic names (different interpretations, pseudonyms, nicknames, agnomination) and biographical references.

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 into the index without explanation.

The chronological index consists of the headings, including dates of historical events, phenomena and facts or dates of documents arranged in chronological order.
In search indexes to archival catalogs references are given to pages or sections of the reference book, catalog.
Archive of the organization compiles a review of the archival fund and a thematic review.

The review includes systematic information on the composition and content of individual sets of documents.

The review of the archival fund includes systematized information on the composition and content of documents of a single archival fund.
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.
The review consists of a set of annotations of individual groups of storage units, documents, and a reference device.

The annotation describes the content of a group of storage units, documents, specifies the main types of documents, their authors, chronological framework, authenticity, search data.

In the review of the archive 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 review includes the title page, content (table of contents), the preface, the list of abbreviated words, indexes. For a thematic review, a list of archival collections, information about which is contained in the review, and a bibliography on the subject are compiled.

The preface to the review presents information on the history of the foundation of the educator and the history of the archival fund, the structure of the review, the composition of the FA.

Reviews are compiled by structural, sectoral (functional), subject-specific, geographical, chronological and other features.
The mounting sheet of a film and video document reveals the content and establishes the systematization of individual plans (editing frames).

The mounting sheet of a film and video document is a by-frame description of the finished work of cinematography (film, special issue, newsreel, TV program). The mounting sheet is formed in the process of creating a film and included in the archive of the organization with the text accompanying documentation for the film document or the video- phonogram.

The mounting sheet of the film-video document is compiled in the archive of the organization in case of its absence and consists of headings, descriptive articles and a final record.

The main headings indicate:

1) the name of the archive;

2) the number of the mounting sheet 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).

The compilation of the editing sheet is made on the basis of the positive of the document when viewing it on the sound-editing table with its simultaneous description.

In the mounting film and video document sheet, the information is indicated in the following sequence:

1) the number of the plan in order;

2) plan definition (general, medium or large);

3) the footage plan (with an accuracy of one-tenth frame);

4) a summary of the image of the film document plan.

At the end of the mounting sheet, the position, the name of the originator of the mounting sheet and the date of preparation are indicated.

Paragraph 6. The order of compiling an automated finding aid of archive
of the organization

An automated FA archive is a complex of electronic catalogs (document description databases) designed to efficiently search for archived documents and information.
Automated FA of management documentation is based on the information retrieval system created in the current workflow of the organization (electronic registration and control filing cabinets and electronic nomenclature of cases).
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.

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) is carried out.
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 (copy);

5) final dates of documents;

6) the number of sheets in the case;

7) annotation of documents.

Based on electronic registration and control cards, a single electronic catalog is created containing a description at the document or case level.
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, category, subcategory;

2) the date of the event, the place of the event;

3) content;

4) the name of the archive fund, the number of the archive fund;

5) the number of the inventory of cases, documents;

6) case, document, sheet numbers.

The name of the archive fund, the number of the archive 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.

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, and the formation of reference texts.

Keywords describing the description object are entered into the system during the description or after its completion. Keywords give the user the ability to quickly find information at the level of the archive fund, an inventory of a case, file, and document.

The search for information on full-text databases, including full texts of materials (archival documents, journal articles, legislative acts), involves the user to refer to sections of the document with the transition, if necessary, to the corresponding text.

The user is given the 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 indexes or words from the text of the document.

Documents that are subject to transfer for permanent storage are transferred to the archive 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 archive of organization and the automated FA of the state archive.

Paragraph 7. The order of execution of user requests

By categories of access, archival documents are divided into open and limited access.
The archive of organization gives the user access to open archived documents, as well as FA to them.

All archival documents are open, access to which is not limited by the legislation of the Republic of Kazakhstan, as well as in accordance with the order of the owner or the possessor of archival documents that are in private ownership.

Archival documents of limited access include:

1) archival documents containing information related to proprietary information of limited distribution;

2) archival documents containing personal data;

3) archival documents, the owners or possessor of which have established restrictions on access to them and their use.

Archival documents of limited access also include documents that are in poor physical condition.

User access to these documents, as well as their use are carried out in exceptional cases with the written permission of the head of the organization.

The archive of organization cannot restrict or define to the user the conditions for using information obtained by them as a result of a self-search or provided to them in the organization’s services provided by the archive, except as required by the legislation of the Republic of Kazakhstan or specified in the archive agreement with the user for information services.
The main forms of use of documents of the archive of the organization are:

1) informing users at their requests, as well as on their own initiative, about the availability of certain documents and their content in the archive of organization;

2) issuance of documents for work in the reading room of the archive of the organization;

3) the use of documents in the media;

4) preparation of informational events (exhibitions, conferences, presentations);

5) issuance of documents for temporary use.

The main documents of the archive 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.

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, treatment, evacuation, repression, rehabilitation, service in military units and formations, living in areas of environmental disaster, being imprisonment, acts of civil status).

In the request shall be indicated, for an individual - their last name, first name, and patronymic (optional), individual identification number, postal address; for a legal entity - its name, postal address, business identification number. The request contains an indication of the topic, question, chronology of the information requested. The request is signed by an individual or a representative of a legal entity.
A request that is not related to the composition of the documents stored in the archive of organization, within 3 calendar days from the date of its registration, is sent to the state archive, the Archive of the President of the Republic of Kazakhstan or the organization where the necessary archive documents are stored, notifying the user thereof.
When an internet application (request) arrives at the archive with the indication of the e-mail address and (or) postal address of a user, they are sent a notification about the acceptance of the application (request) for consideration or a reasoned refusal to consider. The appeal (request) accepted for consideration is printed out and further work with it is carried out in the prescribed manner.
A request of a social and legal nature is executed free of charge by the archive within the terms established by the Law of the Republic of Kazakhstan “On order of consideration of references of individuals and legal entities” dated January 12, 2007 and is issued to users in the form of an archival reference, archive copy and archival extract.
When executing a repeated request of a social-legal nature or compiling, at the request of the user, an archived certificate similar to the one previously issued, the archive of organization checks the correspondence of the information included in this certificate to those contained in the archival documents, and if additional information is found, in the reissued archival reference.
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”.
The text in the archival reference in the form approved by the authorized body is given in a chronological sequence of events indicating the types of archival documents and their dates. In the archival reference it is allowed quoting archival documents.
In 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”).
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, own conclusions of the performer's on the content of archival documents, on the basis of which the archival reference is compiled.

At the end of the archival reference, the archive ciphers and sheet numbers of the archival documents storage units are given, as well as printed publications used to compile the archival reference. In the text of the archival reference, the insertion of archival ciphers and sheet numbers of units of storage of archival documents is allowed immediately after stating every fact or event.
In the archival reference, the volume of which exceeds one sheet, sheets are stitched, numbered and sealed by the organization.
The archival reference is signed by the management of organization, by the performer and is certified by the seal of the organization. In case of incompleteness of the information provided in it, a covering letter is 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.

If the archive of organization does not contain the documents necessary for the execution of the request, an answer is compiled on the letter of the organization about the reasons for the absence of archival documents on the subject of the request.
In the case of documented facts of loss of archival documents containing the requested information, the archive of the organization issues a reference on this issue, if necessary, certified by the seal of the organization.
In the archive statement the name of the archive 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 archive document of individual words, are indicated by dots.

In the notes to the text of the archival excerpt 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 archive statements issued upon requests is certified by the signature of the head of the organization and the seal of the organization.

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 archive copy or archive statement, the archive code of the document and the number of sheets of the storage unit of the archive document are indicated. If a copy or extract occupies more than one sheet, the archive code is indicated on the back of each sheet. All sheets of an archival copy or archive statement are sealed, numbered and certified at the site of the bond by the archive of the organization.

Archival information, archival extract, archival copy and replies to requests are sent by mail in simple letters.
Archival information, archival extract and archival copy, in the case of appeal of a citizen or his authorized representative personal appeal to the archive of organization, are issued to him against receipt, upon presentation of a passport or other certifying document to a trusted person upon presentation of a power of attorney drawn up in the established manner. The recipient of the archival reference and archive extract puts their signature on their copies or the back of the cover letter to them, indicating the date of their receipt.
It is allowed to withdraw and issue to the owners or their relatives, the personal documents on civil status, education, work books and other documents that were not received by them at the time.

Original personal documents are issued with the permission of the head of the organization to applicants upon presentation of an identity document, their relatives or proxy holders- a notarized power of attorney. Original personal documents are sent to the applicant in a valuable letter.

A copy of the withdrawn document shall be attached to the place of the withdrawn document. Withdrawals of archival documents, as well as their replacement with copies are reflected in the cases inventory sheet, case descriptions, documents.
The return of archival documents is drawn up by an act of withdrawal from the files of the specified documents. The act and other documents on the basis of which the archival documents were returned, and the receipt of the person who received them, are included in the archive file.

Paragraph 8. The order of issuing cases, documents in the reading room and temporary use

In order to create conditions for users in the archive of organization, a reading room is created (a viewing room, a computer room, a room for listening to audio documents), equipped with appropriate technical means for working with microcopies, electronic, audiovisual and scientific and technical documents.

The working schedule of the reading room is set by the head of the organization.

In the absence of a specially designated reading room in the archive of organization, users work with documents in the working rooms of the archive of organization or the documentation support department under the control of the archive of organization employee.

Users are allowed to enter the reading room on the basis of a personal statement, users conducting research in accordance with the plan of scientific organizations or performing official tasks, submit a letter to the organization that sent them, employees of the organization are allowed to enter the reading room upon presentation of a certificate of employment. To employees of the organization, archive documents are issued in the working premises for use for official purposes.

In a personal statement or letter, the surname, name, patronymic of the user, position, academic title, academic degree, subject and chronological framework of the study are indicated.

Permission to work in the reading room is given by the head of the organization for the necessary period for user, but no more than 1 year from the date of registration.

The archive of organization provides users with open documents, recorded and scientifically-technical processed, with reference books and other search tools for use in the reading room. Unaccounted and unprocessed documents are not issued to users for work in the reading room.
Refusal or delay in the issuance of cases, documents are carried out in the following cases:

1) their poor physical condition;

2) restrictions on use established by the legislation of the Republic of Kazakhstan or the founder;

3) use of documents by employees of the archive of organization for the performance of official tasks;

4) issuance of documents for temporary use or to another user in the reading room.

The refusal of the archive of the organization in the provision of documents is issued in writing, indicating the reasons for refusal.

By order of users, taking into account the technical possibilities of the archive of the organization, copies of archival documents (photocopies, microcopies, photographic prints, film copies, video copies, copies of sound documents, as well as copies on electronic media) are made.

Archive documents that are in poor physical condition are not copied.

Copying of archived documents of restricted access (secret and containing confidential information) is performed in the prescribed manner.

The order of execution of orders for copying, including the volume of copying archival documents, unpublished inventories of cases, documents, other archival reference and search tools and databases, the cost of making copies and the order of payment for their production are determined by management of the organization.
The archive indicates the archive cipher and sheet numbers of the storage unit of the archival document on the copies of the archival document made by the user's order.

Recording of orders for copying is carried out in paper or electronic form.

In the reading room, cases, documents from the repository are issued on the basis of the completed order form for issuing documents and are recorded in the book of issuing cases from the repository.
Each case, document issued from the archives in the reading room, has a case use sheet.
Cases, documents are issued for the temporary use by structural units of the organization for a period not exceeding 20 days. The issuance of cases, documents for temporary use to other organizations upon their written request is drawn up according to the act of issuing cases, documents for temporary use. The act is made in two copies, one of which is transferred to the recipient, and the other remains in the archive of the organization. The act is signed by the heads of the organization transmitting the documents and the recipient organization, and is sealed by the organizations. Issuance of cases, documents for temporary use to other organizations is carried out for a period not exceeding three months.
When issuing cases, documents for temporary use, each case is recorded in the book of issuing cases from the repository, and a separate deputy card is placed in place of the issued case. Deputy cards are stored in the archive of the organization until they are needed. The status of returned cases is checked in the presence of the person returning the case.
Each case, document issued from the archive for temporary use has a case use sheet.

Paragraph 9. The procedure for using documents in the media

The archive of organization organizes the use of documents in the preparation of informational events, exhibitions, in the mass media, as well as their publication.
Together with the mass media, the archive of organization determines the topic, volume and final dates for the preparation of documents, topic and final dates are approved by the head of the organization. Copies of articles and other forms of print prepared for the media remaining in the archive of the organization indicate the search data of the documents used, as well as the date and place of their publication.

Дата публикации

18 июня 2020