Approved
by the Decree of the Government of the Republic of Kazakhstan
dated December 21, 2011
№ 1570
Standard rules
for documentation and document management
in governmental and non-governmental organizations
1.General provisions
The model Rules for documentation and document management in in governmental and non-governmental organizations (hereinafter - the model rules) were developed in accordance with article 18 of the Law of the Republic of Kazakhstan dated December 22, 1998 "On the national archival fund and archives".
The Model Rules establish the procedure for organizing documentation of management activities and the procedure for organizing work with unclassified documents on paper, document management in state and non–state organizations (hereinafter - the organizations) and apply to organizational and administrative documentation.
The composition of documents used in management activities is determined by the competence and functions of the organization, the procedure for resolving issues (in the order of sole management or in a collegial manner), the scope and nature of relations with other organizations.
Based on the standard rules, organizations - sources of replenishment of the national archival fund located in the territory of the region, cities of republican significance and the capital develop and approve, in coordination with the local executive bodies of the regions, cities of republican significance and the capital, rules for documentation and documentation management.
Organizations that replenish the national archival fund, the central state archives of the Republic of Kazakhstan, the national archive of the Republic of Kazakhstan, and the archive of the President of the Republic of Kazakhstan develop and approve similar rules in agreement with them.
The organization, maintenance and improvement of the documentation management system based on a unified technical policy and the use of modern technical means in working with documents, methodological guidance and control over compliance with the established procedure for working with documents in the organization are performed by the structural unit responsible for the documentation support for management (hereinafter - the DSM service).
In an organization where the staffing table does not provide for a structural unit that performs the functions of document management, these responsibilities are assigned to the responsible official.
When changing the head of the DSM service, documents and files, as well as registration and control forms (hereinafter -the RCF), are transferred to them to the newly appointed head or responsible official according to the act of acceptance and transfer.
These model rules do not apply to the procedure for working with official information containing state secrets, with official information marked "DSP" and information of limited distribution.
Procedure for documentation
Rules of preparation and registration of documents
Preparation of regulatory and legal acts of state organizations is carried out in accordance with the legislation of the Republic of Kazakhstan.
Documents are drawn up in the official language, Russian is officially used along with Kazakh, and in cases stipulated by the Law of the Republic of Kazakhstan dated July 11, 1997 "On languages in the Republic of Kazakhstan", other languages are used.
The administrative document in the official language and the authentic administrative document being created in Russian or another language are each printed on separate forms (separate sheets) and are issued using the same banking details.
When creating and formatting a document on paper, the details are used, arranged in a certain sequence in accordance with the layout scheme of the document details in accordance with Annex 1 to these Standard Rules.
Small and medium-sized businesses can draw up documents on standard A4 (210x297mm) and A5 (148x210mm) paper sheets. When drawing up documents on sheets of paper, it is indicated:
1) the official name of the organization that issued the document;
2) the name of the type of document, except for letters;
3) the date of the document;
4) registration number of the document;
5) the name of the position of the person who signed the document, the signature and the transcript of the signature;
6) an impression of the seal.
Forms of documents are made on standard A4 or A5 paper sheets. Each sheet of the document, drawn up both on and without a letterhead, must have margins of at least:
20 mm - left;
10 mm - right;
10 mm - upper;
10 mm is the lower one.
When double-sided printing or copying, the reverse side of the document sheet has, respectively, the following margin sizes of at least:
10 mm - left;
20 mm - right;
10 mm - upper;
10 mm is the lower one.
The following forms of documents are used in the organization:
1) the letter form of the organization, according to Appendix 2 to these Standard Rules;
2) a form of a specific type of organization document, according to Appendix 3 to these Standard Rules:
3) the general form of the organization, according to Annex 4 to these standard rules.
The general form is used in cases where the printing of forms of a specific type of document is impractical.
Forms of documents are produced by printing, using the means of operational printing or reproduced by computer directly during the preparation of the document.
Forms of documents of state organizations with a color image of the State Emblem of the Republic of Kazakhstan are produced by printing enterprises licensed for the relevant type of activity on orders of state organizations and are subject to accounting, for which its number and, if necessary, a series are printed in the lower left corner of each copy of the document form or numbered.
The forms of documents must be used strictly for their intended purpose and cannot be transferred to other organizations or other persons without the appropriate permission from the management of the organization.
Small and medium-sized businesses may use a stamp with the reproduction of the organization's name instead of letterheads by affixing its imprint on sheets of paper in the upper-left corner.
Internal documents, with the exception of administrative documents, may be drawn up on A4 or A5 paper sheets, indicating the name of the document type and presenting the text in one language in accordance with Annex 5 to these standard rules.
When drawing up a document developed by two or more government organizations (joint order, joint decision, joint letter), a letterhead with the image of the State Emblem of the Republic of Kazakhstan is not used.
When drawing up a joint document developed by two or more equal organizations, the official names of the organizations are arranged at the same level in alphabetical order of the names of the organizations.
When drawing up a joint document developed by two or more organizations, the official names are arranged in accordance with the descending hierarchy of organizations.
The joint document must be certified with the seals of the organizations.
Requirements for registration of document details
20. The image of the State Emblem of the Republic of Kazakhstan is placed on the letterhead of the organization's document in accordance with the requirements established by the legislative acts of the Republic of Kazakhstan on state symbols of the Republic of Kazakhstan.
The emblem, logo or trademark (service mark) is reproduced on the letterhead in accordance with the constituent documents of the organization.
The emblem, logo or trademark (service mark) is not placed on the letterhead with the image of the State Emblem of the Republic of Kazakhstan.
The official name of the organization includes the name in accordance with the constituent documents, indicating the organizational and legal form.
The abbreviated name of the organization is given when it is fixed in the constituent documents, and is placed in parentheses below the full name.
The name of the structural unit is indicated if it is the author of the document and is located below the name of the organization.
The reference information about the organization shall include: postal address, telephone numbers, fax numbers, e-mail address and other information at the discretion of the organization.
The name of the type of document issued by the organization is regulated by the regulatory legal acts of the Republic of Kazakhstan.
The date of the document is the date of its signing (administrative documents, letters, certificates, etc.) or the event recorded in the document (protocol, act, etc.). For the document to be approved (regulations, regulations, rules, and others) – the date of approval.
The date of the document is affixed by the official signing or approving the document. When preparing a draft document, only the month and year designation is printed.
If several organizations are the authors of the document, the document date will be the latest date of signing (approval).
Service marks on the document related to its passage and execution (familiarization) within the organization must be dated and signed.
The date of the document is written in Arabic numerals in the sequence: day of the month, month, year. The day of the month and the month are written in two pairs of Arabic numerals separated by a dot; the year is written in four Arabic numerals.
The verbal-numeric method of writing the date is used in administrative documents, documents containing financial information defining the legitimate rights and interests of citizens, with reference to regulatory legal acts and is issued as follows: "April 05, 1995".
The registration number of the document consists of the serial number of the document in the registration and control form. The remaining details (the index of the case according to the nomenclature of the organization, its own correspondent number) are provided at the discretion of the organization.
The reference to the number and date of the incoming document indicates the registration number and the date of the document to which the response is given.
The place of compilation or publication of the document is indicated on all types of documents, except for the letter. It is allowed not to indicate on internal documents, with the exception of administrative documents, the place of compilation or publication of the document.
The access restriction label is placed in the upper right corner of the first sheet indicating the copy number.
Documents are addressed to organizations, their structural divisions, officials or individuals.
When addressing a document to an organization or its structural unit, their names are written in lowercase letters, bold in the nominative case, and the position of the person to whom the document is addressed is in the dative case.
When addressing a document to the head of an organization, its name is included in the name of the addressee's position.
When addressing a document to an individual, the postal address is indicated. When communicating within an organization, it is allowed to indicate only the last name and initials of an official in the dative case.
If the document is addressed to homogeneous organizations, their addressees are indicated generically.
The document should not contain more than four addressees. The word "Copy" is not indicated before the second, third, or fourth addressees. If there are more recipients, a list (registry) is compiled mailing of the document.
If the document is sent to non-permanent recipients, the postal address, which is issued by the contractor, is included in the "Addressee" details. The elements of the postal address are indicated in sequence, in accordance with the rules for the provision of postal services approved by the Government of the Republic of Kazakhstan.
The approval mark of the document is located in the upper-right corner of the first sheet of the document.
When approving a document by a specific official, the approval stamp consists of the following elements: the words "Approve" (written in lowercase letters, without quotation marks), the name of the position, signature, initial of the name, surname and date of approval.
When approving a document by two or more persons of equal positions, the approval marks are arranged in alphabetical order of the names of the organizations.
When approving a document by resolution, decision, order, protocol, the stamp of approval consists of the word "Approved (a, o, s)", the type of administrative document in the creative case, its date and number.
The resolution is located at the top of the first sheet of the document in a place free of text. The resolution includes the name of the executor(s), the content of the assignment(s), the deadline for execution, the signature, and the date.
On documents that do not require instructions on execution and have standard deadlines, the resolution indicates the executor, the signature of the author of the resolution, and the date. In cases where an assignment is given to two or more persons, the main executor is the person indicated in the assignment first, unless otherwise specified in the resolution itself.
The main executor and the co-executor may give instructions in the form of a resolution to persons directly subordinate to them. In this case, the resolution is drawn up on a document.
The first heads of organizations and their deputies may draw up a resolution on a separate form (chip) with an indication under the signature of the person who imposed the resolution, the incoming registration number, the date of receipt and a note on the details of the document to which the resolution relates (author, outgoing number and date of the document), as well as other details provided for in this paragraph. Instructions in the form of resolutions sent to other organizations are registered by the DSM service.
The title to the text of the document should be written in bold from the border of the left margin of the document, without hyphenation and should not contain more than 35 characters in each line. In a document that does not require state registration with the judicial authorities, if the title is more than 5 lines long, the title may be placed in the middle of the document. Do not put a period at the end of the title.
The title of the text should be concise and accurately convey the content of the document. It should be consistent with the name of the type of document and answer the questions: "about what?" ("about whom?"), "what?" ("who?").
There is no heading for a document text of less than 10 lines, as well as for a document made on A5 letterhead.
The mark on control over the execution of the document is indicated by the words or stamps "Bakylau", "Control", "Bakylauga alyndy", "Taken under control", letters "B", "K" and is affixed in the upper left part of the first sheet of the document outside the text field.
The text of the document is drawn up in the form of a questionnaire, a diagram, a table, a coherent text or a combination of these forms.
The questionnaire form is used when presenting digital or verbal information about one object according to a specific set of characteristics.
When composing a text in the form of a questionnaire, the names of the features of the object being characterized should be expressed by a noun in the nominative case or by a phrase with a verb of the second person plural of the present or past tense (have, were, were). The characteristics expressed verbally must be consistent with the names of the signs.
The diagram form is used when presenting digital or verbal information. The diagram should not split or switch to another page.
The form of the table is used when presenting digital or verbal information about several objects according to a number of criteria.
Tables have two levels of text division: vertical – graphs and horizontal – rows. Columns and rows of the table must have headings expressed by the noun in the nominative case. The subheadings of graphs and lines must be consistent with the headings. If the table is printed on more than one page, the columns of the table should be numbered and only the numbers of these columns should be printed on the following pages.
A coherent text usually consists of two parts. The first part indicates the reasons, goals, and grounds for creating the document; the second (final) part contains decisions, conclusions, requests, and recommendations. In some cases, requests and suggestions are indicated in the first part, and justifications and arguments are given in the second part. The text may contain one final part (for example, orders – an administrative part without a statement, letters – a request without an explanation). In the text of a document prepared on the basis of or in pursuance of a previously published document, its details are indicated: the name of the document and the organization of the author, date, registration number, title to the text. If the text is significant in its scope, contains several decisions, conclusions, suggestions, requests, it can be divided into sections and paragraphs.
The points in the document are arranged according to their importance in a logical sequence, as well as taking into account the chronology of the stages of solving the issue. Paragraphs of significant documents that are similar in content can be combined into chapters. Several chapters that are similar in content can be combined into sections, and sections, in turn, can be combined into parts. Paragraphs may be allocated in large chapters, and subsections may be similarly allocated in large sections.
The paragraphs can be subdivided into sub-paragraphs. Paragraphs and sub-paragraphs may contain parts separated by paragraphs.
A paragraph is a part of the text that represents a semantic unity, indented in the first line and beginning with a lowercase letter, except for the first paragraph of the part, which begins with a capital letter.
Paragraphs end with a semicolon (except for the first and last paragraphs of the part). It is not allowed to mark paragraphs with hyphens or other signs in the text of documents.
Each subparagraph, paragraph, as well as paragraphs, chapters, subsections, sections and parts of documents are numbered in Arabic numerals.
In a document consisting of a single paragraph, paragraph numbering is not required.
The numbering of paragraphs, chapters, and sections is continuous.
The numbering of the sub-items is independent for each item.
The numbering of paragraphs in each chapter and the numbering of subsections in each section of the document is also independent, rather than end-to-end.
The numbers of the sub-items in the paragraphs are highlighted in parentheses: 1), 2), 3) and further.
The text of the document is printed on a typewriter in one and a half line intervals or using computer technology devices in the size of 14 Times New Roman font in one line interval. In some cases (the design of tables, appendices, artist notes, notes, and others), font sizes and line spacing may be different.
When making a document on two or more sheets, the second and subsequent sheets are numbered. The numbers are written in Arabic numerals in the middle of the upper margin of the sheet without punctuation marks.
The number of sheets, copies, and language of execution are indicated in the note on the availability of the application named in the text of the document. If there are applications that are not named in the text, their numbers, names, number of sheets, number of copies and language of execution are indicated, if the applications are reset, only the number of copies is indicated. If another document is attached to the document, which also has an attachment, then the note on the presence of the attachment is made as follows: "Attachment: Letter from the Ministry of Communications and Information of the Republic of Kazakhstan dated 15. 01. 2011. № 3-5/ 151 and an appendix to it, on only 7 sheets, in the official language." If the application is not sent to all the addresses indicated in the document, then the note on its availability indicates which recipient it is sent to. In the appendix to a regulatory legal act (order, regulation, rules, instructions, regulation, decision), the word "Appendix" is written on its first sheet in the upper-right corner, indicating its serial number (if there are more than one appendices), the name of the administrative document, its date and registration number.
Documents sent to higher authorities, representative, executive and judicial authorities are signed by the head of the organization or, on his instructions, by the first deputy. Documents sent to subordinate and other organizations to citizens are signed by the head of the organization, his deputies or heads of structural divisions in accordance with their competence. Documents remaining within the organization must be signed. The document signature includes:
1) the name of the position of the person who signed the document, the official name of the structural unit or organization (if the document is not issued on a letterhead);
2) a personal signature and a transcript of the signature (initial of the name and surname).
The document is signed with light-resistant ink. It is not allowed to sign the original document by affixing a facsimile.
When signing a document by two or more persons of equal positions, their signatures are arranged in alphabetical order of the official names of organizations or structural divisions.
When signing a document by several officials, their signatures are placed one below the other in accordance with the decreasing hierarchy of positions.
The document drawn up by the commission does not indicate the names of the positions of the persons who signed the document, but their duties as part of the commission.
The documents of the collegial bodies of the organization (collegiums, councils, and others) are signed by the chairman and the secretary (the chairman and the person who conducted the recording).
If there is no official whose signature is prepared on the draft document, then the document must be reissued to the person performing his duties. It is not allowed to sign documents with the preposition "for" or putting a slash before the name of the position.
The names of the positions of the persons signing the document and the transcription of signatures should be written in lowercase letters and bold. You don't need to specify job titles on internal documents.
Approval of the draft document is issued by a visa on the document (internal approval) or approval stamp (external approval or approval with advisory and public bodies of the organization).
The documents submitted for signature are approved by the executor (responsible executor), the head of the department where the draft document was prepared, other interested officials, if necessary, the heads of the financial and legal services of the organization, the deputy head of the organization according to the distribution of responsibilities.
Visas are affixed to copies of documents remaining in the organization, on the front side below the signature (draft plans, reports, letters, and others). Drafts of administrative documents are approved on the first copy. The approval of administrative documents on the back of the last sheet is allowed.
The visa includes the signature of the person making the visa, the date, if necessary, a transcript of the signature (the initial of the name, surname), the name of the position of the person making the visa. Comments, dissenting opinions and additions to the draft document are drawn up on a separate sheet, about which an appropriate note is made in the draft document. The comments are reported to the supervisor signing the document.
The external approval of the document is formalized by the approval stamp, which is located in the lower-left corner of the last sheet of the document. It consists of the word "Agreed", written in lowercase letters, without quotation marks, as well as the name of the position of the person with whom the document is being approved (including the name of the organization), a personal signature and its transcript, and the date of approval.
When approving a document by two or more persons of equal positions, the approval marks are arranged in alphabetical order of the official names of the organizations. When a document is approved by several officials, the approval marks are arranged in accordance with the decreasing hierarchy of positions.
If the agreement is carried out by letter, protocol or other document, then the approval stamp indicates the type of document in the genitive case, the name of the organization in the genitive case, the date and number of the document.
The external approval of a document with several organizations may be formalized by an approval sheet in accordance with Appendix 6 to these Standard Rules. In this case, a note is made on the document after the signature: "The approval sheet is attached.
The seal stamp certifies the authenticity of the official's signature on the document. The seal impression should be affixed in such a way that it captures part of the job title and signature.
To certify the compliance of the document with the original, a certification inscription "The copy is correct" (without quotation marks), the name of the position of the person who certified the copy, the personal signature and its transcript, the seal of the organization, and the date of certification are placed below the "Signature" details.
The mark on the performer of the document includes the abbreviated word "Spanish", the surname, initials of the name and patronymic of the performer of the document, his phone number, including the internal one, if available, the e-mail address and is located on the front or back of the last sheet of the document in the lower left corner. It is allowed to design the props in the size of 12 Times New Roman font.
A note on the execution of a document and its referral to the case includes a reference to the number and date of the document certifying execution (in the absence of such a document, brief information on execution), the word "To the case", the number of the case in which the document will be stored and the signature of the contractor.
A note on the execution of the document and its referral to the case is placed on the lower margin of the front side of the first sheet of the document.
The identifier of an electronic copy of a document is a mark (footer) containing the file name, operator code, date, and other search data affixed to the bottom margin of each sheet of the document.
A note about the receipt of the document by the organization is placed in the lower right corner of the front side of the first sheet of the document and contains the serial number of the incoming document and the date of receipt.
When making a document on two or more sheets, the second and subsequent sheets are numbered. The numbers are written in Arabic numerals in the middle of the upper margin of the sheet without punctuation marks.
The number of sheets, copies, and language of execution are indicated in the note on the availability of the application named in the text of the document. If there are applications that are not named in the text, their numbers, names, number of sheets, number of copies and language of execution are indicated, if the applications are reset, only the number of copies is indicated.
If another document is attached to the document, which also has an attachment, then the note on the presence of the attachment is made as follows: "Attachment: Letter from the Ministry of Communications and Information of the Republic of Kazakhstan dated 15. 01. 2011. № 3-5/ 151 and an appendix to it, on only 7 sheets, in the official language."
If the application is not sent to all the addresses indicated in the document, then the note on its availability indicates which recipient it is sent to.
In the appendix to a regulatory legal act (order, regulation, rules, instructions, regulation, decision), the word "Annex" is written on its first sheet in the upper-right corner, indicating its serial number (if there are more than one appendices), the name of the administrative document, its date and registration number.
Documents sent to higher authorities, representative, executive and judicial authorities are signed by the head of the organization or, on his instructions, by the first deputy.
Documents sent to subordinate and other organizations to citizens are signed by the head of the organization, his deputies or heads of structural divisions in accordance with their competence.
Documents remaining within the organization must be signed.
Features of order preparation and registration
Orders formalize decisions of a legal nature, as well as on operational, organizational, and personnel matters (admission, relocation, combination, transfer, dismissal; certification, advanced training, assignment of titles; name change; incentives, awards, and disciplinary penalties; remuneration, bonuses, and various payments; all types of employee vacations; profile duty main activity; business trips) and other issues of the organization's work in accordance with appendices 7-8 to these Standard Rules.
The details of the order are:
1) the image of the State Coat of Arms of the Republic of Kazakhstan or the emblem, logo, trademark (service mark);
2) the official name of the organization;
3) the name of the document type;
4) the date of the order;
5) registration number of the order;
6) the place where the order was issued;
7) the title to the text;
8) text;
9) signature;
10) a note on the approval of the order;
11) an impression of the seal.
Draft orders are prepared and submitted by divisions on the basis of instructions from the head of the organization, his deputy, or on their own initiative. Draft personnel orders are prepared by the personnel service on the basis of relevant documents (employment contracts, statements, memos, submissions, and others).
Draft orders and appendices to them are approved by the executor and the head of the department who submitted the draft, the heads of departments for whom the draft provides assignments and assignments, as well as the heads of the DOW and legal services, deputy heads of the organization in accordance with the distribution of responsibilities.
Objections to the draft order that arise during approval are set out in the certificate that is attached to the draft. If fundamental changes are made to the draft order during the approval process, it is finalized and re-approved.
Orders are issued in the official and Russian languages, which are equally valid.
Small and medium-sized businesses may use the state language or Russian, or another language of office management, when making orders.
Orders are numbered sequentially within the calendar year. Orders on the main activity and personnel are recorded separately in the relevant journals (databases). The letters "l/s" or "k" are hyphenated to the serial number of the personnel order.
Copies of the orders or their reproduced copies are stamped and sent to the addressees in accordance with the mailing list, which is compiled and signed by the contractor.
The text of the order, as a rule, consists of two parts: a statement (preamble) and an administrative one.
The stating part (the preamble) summarizes the goals and objectives, facts and events that served as the basis for issuing the order. If the order is issued on the basis of another document, the stating part indicates the name of this document in the genitive case, its author, date, number and title. When referring to a normative legal act registered with the judicial authorities, the number under which it is registered in the Register of State Registration of Normative Legal Acts is additionally indicated.
The preamble in draft orders ends with the word "I HEREBY ORDER", is written in capital letters, in bold, and it is not allowed to move it to another line.
The administrative part should contain a list of prescribed actions, indicating the executor of each action and the deadlines for execution. The administrative part can be divided into paragraphs, sub-paragraphs and paragraphs. Paragraphs and sub-paragraphs are numbered in Arabic numerals. Do not put a hyphen or other characters in front of paragraphs.
Actions of a homogeneous nature can be listed in one paragraph. Structural divisions or specific officials are indicated as performers. The last item of the administrative part may contain information about the unit or official responsible for overseeing the execution of the order.
Orders for employment, transfer, and termination of an employment contract may consist only of an administrative part.
Employees' familiarization with personnel orders is certified by the signature of employees affixed below the "document approval mark" or on the back of the order.
The details of the "note on the presence of an attachment to the document" after the text of the order are not independently drawn up.
Features of protocol preparation and registration
The protocol is drawn up on the basis of recordings made during the meeting (meeting) of the meeting, submitted abstracts and speeches, references, draft decisions and other materials in accordance with the structure of the protocol text in accordance with Annex 9 to these Model Rules.
A protocol drawn up within an organization and not extending beyond its borders may not be drawn up on a letterhead.
The protocol details are:
1) the official name of the organization and (or) the structural unit;
2) the name of the document type;
3) Date;
4) registration number of the protocol;
5) the place of publication of the protocol;
6) Approval stamp (in some cases);
7) the title to the text;
8) text;
9) signature.
In organizations, protocols can be issued in full or in short form.
The text of the full protocol, as a rule, consists of two parts: the introductory and the main.
In the introductory part, after the heading of the minutes, the following are indicated: the surnames and initials of the chairman (chairman) and the secretary of the meeting (meeting), the list of those present or a reference to the attached list of those present, if their number exceeds 10 people.
In the minutes of the meeting of the permanent collegial body, the members of the collegial body who were present are listed individually by last name in alphabetical order. After them, the names of the invited persons are recorded, indicating their position and the name of the organization.
The introductory part ends with the agenda (a list of issues to be considered), listed in order of importance, indicating the speaker for each agenda item. Each question is numbered with an Arabic numeral, and its name begins with the preposition "About", "About", which is printed from the paragraph. In some cases, the agenda may be attached to the protocol, and an entry is made in the protocol itself before the text.: "The agenda is attached."
The main part of the protocol consists of sections corresponding to the agenda items. The text of each section is based on the scheme: LISTENED - PERFORMED - DECIDED (DECIDED), which are written in capital letters, bold. The text of each section is divided into paragraphs beginning with the words LISTENED, PERFORMED, RULED (DECIDED), which are written in capital letters in bold.
The main content of the reports and speeches is placed in the text of the protocol or attached to it, in the latter case, the footnote "The text of the speech is attached" is made in the text. The adopted decision is printed in full, and the voting results are provided, if necessary.
The content of the dissenting opinion expressed during the discussion is recorded in the text of the protocol after the relevant resolution (decision).
The text of the summary protocol also consists of two parts. The agenda is not specified in the introductory part.
The main part of the summary protocol includes the issues under consideration and the decisions taken on them.
The name of the question is numbered and begins with the preposition "About", "About", is printed centered (the beginning and end of each line are equally removed from the boundaries of the location area) and is underlined with one line below the last line. The names of the officials who spoke during the discussion of this issue are indicated below the line. Then the decision made on the issue is indicated.
The title of the protocol includes an indication of the type of collegial activity and the name of the collegial body in the genitive case (staff meetings, council meetings, etc.).
The minutes are signed by the chairman of the meeting and the secretary. The date of the protocol is the date of the meeting. If it lasted for several days, then the start and end dates of the meeting are indicated through dashes.
The protocols are assigned sequential numbers within the office year separately for each group of protocols: minutes of meetings, board meetings, minutes of technical, scientific and expert councils, and others. The minutes of the joint meetings have composite numbers, including the serial numbers of the minutes of the organizations that participated in the meeting.
Copies of the protocols or decisions taken in the form of extracts from the protocols are sent to interested organizations and officials in accordance with the mailing list. The mailing list index is compiled and signed by the responsible executive of the department that prepared the review of the issue, and approved by the head of the structural department. Copies of the protocols and extracts from them are certified with the seal of the organization.
Features of act preparation and registration
The act is drawn up on the basis of a general form in accordance with the sample act in accordance with Annex 10 to these model rules. An act drawn up within an organization and not extending beyond its borders may not be issued on a letterhead.
The details of the act are:
1) the image of the State emblem of the Republic of Kazakhstan or the emblem, logo, trademark (service mark);
2) the official name of the organization;
3) the name of the document type;
4) Date;
5) registration number (index) of the act;
6) the place where the act was issued;
7) Approval stamp (in some cases);
8) the title to the text;
9) text;
10) signature.
The text of the act consists of two parts: an introduction and a statement.
The introduction indicates the basis for drawing up the act, lists the drafters and, if necessary, the persons present.
The stating part of the act states: the essence and nature of the work carried out, the established facts, and relevant data.
The report may contain conclusions, recommendations, and an indication of the activities to be performed. At the end of the text, information on the number of copies of the act and their location is placed before the signatures.
The act is signed by the chairman and members of the commission. The names of the commission members are indicated in alphabetical order. When making signatures, the positions of the signatories are not indicated.
In cases stipulated by the legislation of the Republic of Kazakhstan, the acts are approved.
Features of certificate preparation and registration
The certificate provides a description and confirmation of certain facts or events. Certificates sent outside the organization are drawn up on a common form in accordance with Annex 11 to the standard rules. The internal certificate can be issued on standard sheets of paper without using a letterhead.
The information details are:
1) the image of the State emblems of the Republic of Kazakhstan or the emblem, logo, trademark (service mark);
2) the official name of the organization;
3) the name of the document type;
4) Date;
5) registration number (index) of the reference;
6) place of publication;
7) addressee;
8) the title to the text;
9) text;
10) signature;
11) approval mark (if necessary);
12) an impression of the seal (if necessary);
13) a mark about the performer.
The help text can consist of several sections, contain tables, explanations, links, and have appendices.
The texts of certificates issued to citizens confirming their place of work, position, salary, and others should begin with the indication in the nominative case of the surname, first name, and patronymic of the person about whom information is provided in accordance with the sample certificate in accordance with annex 12 to the standard rules.
The organization to which the certificate is submitted is indicated at the end of the text or in the upper-right corner.
The following phrases should not be used in the text of such a certificate: "this certificate", "really lives (studies, works)".
If the certificate is signed by the contractor, then the "mark of the contractor" is not specified.
Features of letter preparation and registration
The content of the letters may include requests, notifications, agreements, claims (complaints), assignments, messages, reminders, responses, requests, feedback, suggestions (offers), comments, notices, invitations, confirmations, and others.
The organization's letters are prepared on letterhead, in accordance with Annex 13 to these standard rules.:
1) as answers about the fulfillment of orders from higher-level organizations;
2) how to respond to requests from various organizations and individuals;
3) as initiative letters;
4) as cover letters for various documents.
In addition to the details included in the form, when writing a letter, the following details are drawn up: the addressee, the title, the text, a note about the availability of attachments (if any), the signature, a note about the performer of the document.
Official letters signed by the heads of two or more organizations are drawn up on a sheet of A4 paper. At the same time, information about the names of the organizations that signed the letter is included in the name of the position in the "signature" field.
The approval marks of the letter are affixed to the copies remaining in the organizations. Copies of such letters must also be signed by the head of the organization.
The deadlines for the preparation of response letters are set by the head's resolution based on the available deadlines for the execution of orders, requests, or by the decision of the author of the resolution, as well as in accordance with the established regulations. The deadlines for preparing letters of initiative are determined by the heads of organizations or structural divisions.
The text of the letter, as a rule, has one or two semantic parts.
A one–part letter is a request without explanation, a reminder without a preamble, a message without a basis, and others.
If the text of the letter consists of two parts: a statement and a final one, the first part sets out the reason, reason or justification for writing the letter, and provides links to documents that are the basis for preparing the letter. The second part, beginning with a paragraph, contains conclusions, suggestions, requests, and solutions.
Reverse constructions of the text (conclusion – statement) are possible in rejection letters.
The following forms of presentation are used in letters:
1) from the first person plural ("we ask you to provide", "we send you");
2) in the first person singular ("please send", "I consider it necessary");
3) in the third person singular ("the Ministry does not object").
Procedure for document management
General requirements for organization of document management
Movement of documents in an organization from the moment they are created or received until the completion of execution, dispatch, formation of the case and transfer to the archive of the organization forms the document flow.
The volume of document flow is determined by the total number of incoming, outgoing, internal documents and their copies for a month, quarter, year.
The document is taken as the accounting unit for the number of documents, excluding copies created during printing and reproduction. The multiplied copies of the documents are counted separately.
The procedure for processing incoming documents
Documents submitted to the organization on paper are processed, pre-reviewed, registered, reviewed by the management and delivered to the performers.
Reception, initial processing of documents and preliminary review are carried out centrally by the DSM service.
The primary processing of incoming documents consists in verifying the correctness of delivery and the integrity of attachments, recording the fact that documents have been received by the organization and preparing them for transfer to their intended destination.
Envelopes with documents are opened by the DSM service, the correctness of delivery to its destination is checked, and the integrity of the packaging of documents is checked.
If an incompleteness or damage to the document is detected, then appropriate marks are placed on the lower field of its last sheet, as well as in the RCF, and an arbitrary form act is drawn up in triplicate. One copy is sent to the sender, the second remains in the DSM service, and the third is sent to the document executor. Envelopes are not destroyed in cases where they are the only way to determine the sender's address, the date of dispatch and receipt of the document, as well as upon receipt of personal documents.
Envelopes marked "Personally" are delivered to their intended destination without opening. Correspondence delivered by mistake is returned to the post office.
The received documents (registered and unregistered) are stamped with the registration stamp of the organization indicating the date of receipt.
The main purpose of the preliminary review of the received documents is to divide them into those that require mandatory review by the management of the organization and those that do not require it. Documents that do not require mandatory management review are sent directly to the structural divisions or responsible executors.
Preliminary consideration of documents is carried out based on an assessment of their content, authorship, complexity and novelty of the issues raised on the basis of the distribution of responsibilities established in the organization.
57.Documents received from the Administration of the President of the Republic of Kazakhstan, the Parliament of the Republic of Kazakhstan, the Office of the Prime Minister of the Republic of Kazakhstan, central and local government agencies, a higher-level organization, and appeals from individuals and legal entities are subject to mandatory review by management.
Appeals of individuals (proposals, statements, complaints, responses and requests) are taken into account centrally and registered in the RCF on the day they are received by the organization.
Written and oral appeals received by officials during a personal reception of persons are also subject to centralized registration, separate from general documents.
The registration number of an individual's appeal consists of the initial letter of the author's surname, the ordinal number in the RCF and the letter index "IE".
The registration number of a legal entity's application consists of the initial letter of the surname of the official who signed the application, the serial number in the RCF and the letter index "LE".
The registration number of an anonymous appeal consists of the letter index "ANM" and the serial number in the RCF.
Upon receipt of a repeated appeal during a calendar year, the registration number of the initial appeal is indicated with the indication "second", "third" and so on. and the RKF indicates the number of the first document. In the upper-right corner of the first sheet of the repeated appeal and in the RCF, the mark "Repeatedly" is affixed. The materials of consideration of previous appeals are attached to the repeated appeals.
A repeated appeal is considered to have been received from the same person on the same issue at least twice, in which the decision taken on the previous appeal is appealed, the delayed consideration of the previously sent appeal is reported if the established review period has expired since its receipt, but the applicant has not received a response, other shortcomings are indicated. made during the consideration and resolution of the previous appeal.
Appeals from the same person on the same issue, sent to different addressees and received for consideration by the same organization, are recorded under the registration number of the first appeal with the addition of an ordinal number separated by a slash (fraction).
During the preliminary examination of documents, they are sorted into registered and unregistered ones. The list of unregistered documents is developed on the basis of an approximate list of documents that are not subject to registration in the DOW service, in accordance with appendix 14 to these Standard Rules and approved by the head of the organization.
Unregistered documents are transferred to the relevant structural divisions of the organization.
After their registration in the registration and control form, the registered documents are submitted for consideration to the head of the organization, structural subdivision (official) on the day of their receipt.
If it is necessary to execute the received document without delay, the contractor may familiarize himself with its contents before reviewing the document by the organization's management.
The documents reviewed by the management of the organization are returned to the DSM service, where the contents of the resolutions are entered into the RCF, and the documents are handed over to the executors against signature.
The document, the execution of which is assigned to subordinate organizations, or several structural divisions, is transmitted to them simultaneously in copies with the appropriate mark in the RCF. The original is handed over to the executor indicated in the resolution first.
Incoming telegrams are accepted against receipt with the date and time of receipt, registered, and then submitted for management review and execution.
The text of the received telephone message is recorded (printed) by the recipient, registered and promptly transmitted to the supervisor to whom it is addressed.
When receiving a telephone message, it is necessary, in addition to the text, to provide the following details: sender, name of the type of document (telephone message), date, index, position, initials and surname of the person who signed the document. In addition, specify the positions and surnames of the persons who transmitted and accepted the telephone message, the hours and minutes of reception and transmission.
When resolving issues without drawing up additional documents, the contractor makes notes on the document and the RCF: on the date of receipt (if there is a time interval between receipt of the document and its delivery to the contractor), on the dates of interim execution (request for information, telephone conversations, etc.), on the date and results of the final execution.
All marks on the document are placed in places free of text.
The procedure for processing outgoing documents
The documents to be sent are sent fully completed. The DSM service, which accepts documents for sending, is obliged to check the correctness of their registration and the availability of applications specified in the main document. Incorrectly executed documents are returned to the performers.
Signed documents are registered and sent to the addressee(s) on the day of their signing (approval) or no later than the next working day, telegrams and telefaxes – immediately.
The originals of executed documents, including their electronic counterparts, are transferred to those structural divisions or subordinate organizations that were the main executors and form the relevant cases according to the nomenclature of cases. Copies of executed documents or their electronic versions are provided to the co-executors.
If a document sent to another organization must be returned, then in the upper-right corner of the first sheet of the document, in a text-free field, a stamp or a note is made about the return, the same note is made in the RCF (electronic registration control card).
The procedure for passing internal documents
Formalization must correspond to the passage of outgoing documents, at the stage of execution – incoming documents.
The transfer of internal documents between structural divisions is carried out by officials responsible for the documentation support of management in structural divisions. The documents are sent with the appropriate mark to the RCF.
The internal documents do not include documents that were postponed during the correspondence of the organization with its subordinate organizations and vice versa, as well as correspondence between executive bodies funded from the local budget and the relevant akimats.
If the subordinate organization is a co-executor of the order, the document can be drawn up without using a form, registered as an internal document and signed by the heads of structural divisions in accordance with their competence.
The originals of executed internal documents, including their electronic counterparts, are transferred to those structural divisions that were the main executors. Copies of executed documents or their electronic versions may be provided to the co-executors.
Reproduced copies of the administrative documents signed by the head and registered are necessarily sent to the structural divisions responsible for the issues under consideration.
The procedure for registration of documents
All documents that require accounting, execution, and use for informational and reference purposes are subject to registration.
Registration of documents is carried out centrally.
In organizations with a large volume of document management, decentralized registration of documents is allowed. In this case, documents submitted for consideration by the management of the organization, administrative documents of the organization, appeals from individuals and legal entities, and correspondence signed by the management are registered with the DSM service.
Documents received by the structural divisions of organizations, correspondence signed by the management of the structural division is registered in the relevant structural divisions.
Documents transmitted or received through communication channels are registered in the DSM service or in the structural divisions that receive (transmit) them.
Documents are registered with the organization once: incoming – on the day of receipt, outgoing and internal – on the day of signing (approval).
Documents that are incomplete or require a long period of execution are not subject to re-registration.
When transferring a document for execution (review) from one department to another, the date of transfer is affixed to the bottom of the last sheet of the document or on its reverse side and to the RCF, and the new registration number is usually not affixed to the document.
Registration of response documents is carried out in the RCF of initiative documents. The response document is assigned an ordinal number within the corresponding registration array.
The following RCFs are applied in the organization:
1) card-based according to Annex 15 to these Standard Rules;
2) journal according to Annex 16 to these Standard Rules;
3) in the automated information system, an electronic registration control card (hereinafter - the ERCC).
The following composition of information about the document subject to mandatory registration is established:
1) name of the organization (author or correspondent);
2) name of the document type;
3) date and registration number of the received document;
4) title to the text (summary of the document);
5) resolution (executor, content of the assignment, author, date);
6) deadline for the execution of the document;
7) signature of the contractor on receipt of the document;
8) a note on the execution of the document and its referral to the case.
Composition of mandatory information, depending on the nature of the document and the tasks of using the information, may be supplemented with other information (availability of appendices, number of sheets, document movement within the organization, postponement of deadlines, and others).
Information about documents obtained during their registration is sent to the information retrieval system, which includes card files and classification directories.
During card registration, the required number of registration and control cards (hereinafter - the RCC) is printed, which can form the following card files: by correspondents, types of documents, authors of documents, control, codification, appeals from individuals and legal entities, and others, depending on the tasks of information retrieval.
The effectiveness of the information retrieval system is achieved through the development of classification reference books (classifier of issues related to the organization's activities, classifier of types of documents, classifier of correspondents, nomenclature of cases, and others).
The fields of the database entry of the automated information retrieval system must fully meet the parameters of the subsequent operational search for documents and control over the execution of documents.
Control over the execution of documents
Document execution control includes setting up a document for control, regulating the progress of execution, removing the executed document from control, sending the executed document to the case, accounting, summarizing and analyzing the progress and results of document execution, informing management about the status of document execution in accordance with appendices 17 and 18 to these standard rules.
All registered documents requiring execution are subject to control, including documents from previous years that, for various reasons, were not executed and their execution was postponed to the current year. In these cases, the re-registration of documents is not carried out, and the newly established deadlines are indicated in the RCF.
Control over the execution of documents on the merits of the issue is entrusted to the heads of structural divisions or officials.
Control over the deadlines for the execution of documents and the deadlines for reviewing appeals from individuals and legal entities is carried out by the DSM service.
When organizing execution control, the RCC (ERCC) and registration logs are used. The control file is organized according to the terms of execution of documents, by performers, groups of documents.
With small volumes of controlled documents, control is carried out by making the necessary marks in the registration logs.
Filling in the relevant ERCC details in the automated information system automatically puts the document under control.
The document is removed from control by the head who put it under control, or on his instructions by the DSM service.
Accounting and storage of seals, stamps and letterheads
Accounting, use, storage and destruction of printed and blank products, seals, stamps subject to protection, and means of document protection are carried out by officials appointed by orders (orders) of the heads of organizations.
The procedure for the use of printed and blank products, seals, stamps subject to protection, and means of protecting documents in an organization is determined by the order (order) of its head.
The state organization has one seal with the image of the State Emblem of the Republic of Kazakhstan.
If necessary, the structural divisions of the state organization have seals (stamps) with the image of the State Emblem of the Republic of Kazakhstan and the same text content, the text part is supplemented with an ordinal number or symbol (symbols).
Accounting of printed and blank products, seals, stamps subject to protection, and means of protecting documents is carried out in registration accounting forms defined by these Rules.
Records of printed and blank products subject to protection, including those with the image of the State Emblem of the Republic of Kazakhstan, and issuance are kept in the journal of accounting and issuance of printed and blank products subject to protection in accordance with Annex 19 to these standard rules.
This journal is created for each type of printed and blank products subject to protection. Blank chips with the image of the State Emblem of the Republic of Kazakhstan are not subject to special accounting.
The completed forms subject to protection are issued against receipt in the relevant registration forms provided for by the departmental instructions of the organizations.
Copies of completed forms with the image of the State Emblem of the Republic of Kazakhstan intended for distribution shall be marked with the copy number and the seal of the organization.
Reproduction and copying by means of operational printing of blank forms subject to protection is not allowed.
Records of seals, stamps subject to protection, and special stamp ink with chemical additives having individual properties for the purpose of protection against forgery, as well as their issuance, are kept in the register of records and issuance of seals, stamps depicting the State Emblem of the Republic of Kazakhstan and special stamp ink in accordance with Appendix 20 to these Standard Rules.
Fountain pens filled with special inks with chemical additives having individual properties for the purpose of protection against forgery of signatures of officials are recorded and issued in the journal of accounting and issuance of fountain pens filled with special inks according to Annex 21 to these Standard Rules.
The titles of the registration logs are included in the nomenclature of the organization's affairs.
The journal sheets are numbered, stitched, and sealed.
The transfer to another official of unused printed and blank products, seals, stamps subject to protection, as well as means of protecting documents and registration forms to them, is formalized by an act of their acceptance and transfer of printed and blank products, seals, stamps subject to protection, means of protecting documents and registration forms to them in accordance with Annex 22 to these standard rules.
Printed and blank products, seals, stamps subject to protection, and document protection devices are stored in sealed safes or metal cabinets.
The destruction of damaged printed and blank products subject to protection is carried out with the preparation of an act on the allocation for destruction of damaged copies of printed and blank products subject to protection in accordance with annex 23 to these Standard Rules and the affixing of appropriate marks in the logs of accounting and issuance of printed and blank products subject to protection.
The destruction of seals and stamps subject to protection is carried out with the preparation of an act on the allocation for destruction of seals and stamps subject to protection in accordance with Annex 24 to these Standard Rules and the affixing of appropriate marks in the journal of accounting and issuance of seals, stamps with the image of the State Emblem of the Republic of Kazakhstan and special stamp ink.
The destruction of document protection equipment (including containers for special ink and stamp ink; damaged stamp pads filled with special stamp ink; fountain pens filled with special ink) is carried out with the preparation of an act on the allocation of document protection equipment in accordance with Annex 25 to these Standard Rules and marking in the relevant accounting journals and the issue.
In the event of reorganization or liquidation of an organization, the destruction of unused printed and blank products, seals, stamps subject to protection, as well as means of protecting documents, is carried out with the preparation of acts in accordance with appendices 24, 25, 26 to these Standard Rules, approved by the head of the organization or the chairman of the liquidation commission, and marks in the relevant accounting and issuance journals.
The destruction or further storage of journals and other registration forms is carried out in accordance with the legislation of the Republic of Kazakhstan in coordination with the central state body for archives and documentation management or the local executive body in the field of archival affairs and documentation of the region, the city of republican significance and the capital.
Verification of the availability of copies of printed and blank products, seals, stamps subject to protection, and means of protecting documents is carried out at least once a year by a commission established by order (order) of the head of the organization.
Marks on the results of inspections are placed in the accounting and issuance logs in accordance with annexes 19, 20, 21 to these standard rules.
In case of violations, the commission conducts an internal investigation, the results of which are formalized in an act and brought to the attention of the head of the organization for taking measures in accordance with the legislation of the Republic of Kazakhstan.
In case of loss of the seal (stamp) with the image of the State Emblem of the Republic of Kazakhstan, all necessary search measures are taken, in case of a negative search result, an arbitrary form act is drawn up, approved by the head of the organization.
The procedure for drawing up of the nomenclature of affairs.
Formation and storage of cases.
The nomenclature of affairs is intended for grouping executed documents into cases, systematizing and accounting for cases, determining their retention periods, and is the basis for compiling inventories of permanent and temporary (over 10 years) storage cases, as well as for accounting for temporary (up to 10 years inclusive) storage cases.
When drawing up of the nomenclature of affairs, they are guided by the constituent documents, regulations on structural divisions, job descriptions of employees, standard, sectoral (departmental) lists of documents with indication of retention periods, standard (approximate) nomenclatures of cases, structure (staffing table), plans and work reports, the types, composition and content of documents formed are studied. in the organization's activities.
The nomenclature of cases according to Annex 27 to these Model Rules is compiled (no later than December 10 of the current year) by the DSM service on the basis of the nomenclature of cases of structural divisions submitted by the relevant divisions.
The newly created division is obliged to develop the nomenclature of the division's cases within one month and submit it to the DSM service.
The nomenclature of the organization's affairs is signed by the head of the DSM service, coordinated with the expert commission of the organization (hereinafter - as the EC), with the expert verification commission of the state archive (local executive body) (hereinafter referred - the LEB), to which documents are transferred for permanent storage, and approved (no later than the end of the current year) by the head of the organization. The nomenclature of cases is coordinated with the state archival institution at least once every 5 years, if there have been no conceptual changes in the functions and structure of the organization.
Organizations that are not sources of replenishment of the National Archival Fund may not submit case nomenclatures for approval by the LEB.
The nomenclature of cases is printed in the required number of copies. One copy of the approved nomenclature is kept in the state archive, with which it was coordinated.
The nomenclature of cases is specified at the end of each year, approved by the head of the organization and put into effect on January 1 of the following record-keeping year.
The names of the sections of the nomenclature of cases are the names of the structural divisions, which are located in accordance with the approved structure of the organization (staffing table). The first section of the nomenclature includes case headings containing administrative documentation and documents of advisory bodies headed by management.
Documents of branches and representative offices can be entered as sections in the nomenclature of the organization's affairs.
An independent section of the nomenclature of cases may be the name of a public organization. This section is located after all the sections of the organization's business nomenclature.
For an organization with no structure, the nomenclature of cases is based on an industrial, sectoral or functional scheme. The names of the sections should correspond to the areas of activity of the organization.
For subordinate organizations with a homogeneous composition of documents, the DSM service of a higher authority (higher organization) develops standard (approximate) case nomenclatures. Such nomenclatures are subject to coordination with the central state body for archives and documentation management or local executive bodies of regions, cities of republican significance and the capital.
Registration of nomenclature of affairs
The nomenclature of affairs includes case headings that reflect all documented areas of the organization's work, including personal files, case inventories, registration and control forms, control and reference, thematic and other file cabinets.
Printed publications are not included in the list of cases.
In column 1 of the case nomenclature, the indexes of each case included in the nomenclature are indicated. The case index consists of the numerical designation of the structural unit and the ordinal number of the case title according to the nomenclature within the structural unit. The index elements are separated from each other by a hyphen.
In the case nomenclature, it is recommended to maintain the order of arrangement of homogeneous cases within different structural divisions; for transitional cases, the index is maintained.
Column 2 of the case nomenclature includes the titles of cases (volumes, parts).
Header Requirements:
1) the title of the case should clearly, in a generalized form, reflect the main content and composition of the case documents;
2) it is not allowed to use vague formulations in the title of the case ("miscellaneous materials", "general correspondence", "outgoing correspondence", "incoming documents"), as well as introductory words and complex phrases.;
3) the title of the case should consist of elements arranged in the following sequence:
the name of the type of case (correspondence, journal, etc.) or the type of documents (protocols, orders, etc.);
the name of the organization or structural unit (the author of the document); the name of the organization to which the documents will be addressed or from which the documents will be received (the addressee or correspondent of the document);
summary of the case documents; name of the locality (territory) to which the content of the case documents is related; date (period) to which the case documents relate;
4) in the headings of cases containing documents on the same issue, but not related to the sequence of execution, the term "documents" is used as the type of case, and at the end of the title, the main types of documents that should be grouped in the case (plans, lists, reports, etc.) are indicated in parentheses;
5) in the headings of the cases containing correspondence, it is indicated with whom and on what issue it is conducted. In the case of correspondence with homogeneous correspondents, their common specific name is indicated in the headings.;
6) in the headings of cases containing correspondence with more than three diverse correspondents, their names are not listed.;
7) when naming administrative-territorial units in the headings, the following is taken into account::
If the content of the case concerns several homogeneous administrative-territorial units, their specific names are not indicated in the title of the case, but their general specific name is indicated.;
If the content of the case concerns one administrative-territorial unit (locality), its (his) name is indicated in the title of the case.;
8) the headings of cases containing planning or accounting documentation indicate the period (quarter, year) for which the plans (reports) were drawn up;
9) the headings of judicial, investigative, personal, personal, arbitration and other cases containing documents related to the sequence of record-keeping on one issue begin with the word "case";
10) if the case consists of several volumes or parts, the general title of the case is compiled, and then, if necessary, the titles of each volume (part) are compiled, clarifying the content of the title of the case.
The headings of cases within the nomenclature sections are arranged according to the degree of importance of the documents that make up the cases and their interrelationship.
At the beginning, the headings of cases containing regulatory legal documentation are placed. At the same time, the headings of cases containing resolutions and orders of higher-level organizations are placed before the headings of cases with orders of the organization. Next are the headings of cases containing planning and accounting documents.
Drafts of administrative documents and other documents on their preparation, changes to plans, and grounds for orders are placed in the list of cases following the relevant basic documents.
The titles of cases filed on geographical and correspondent grounds are entered into the nomenclature of cases alphabetically by geographical names and correspondents.
Case headings can be clarified during the process of forming and processing cases. If new documented work areas arise during the year that are not covered by the case, they are additionally added to the nomenclature.
Column 3 is filled in after the end of the calendar year.
In column 4, the retention periods of the case are indicated with reference to the numbers of paragraphs (articles) of the standard or departmental (branch) list of documents indicating the retention periods, in their absence – to the standard (approximate) nomenclature of cases.
In column 5, the DSM service indicates the names of the list of documents, the standard (approximate) nomenclature of cases used in determining the retention periods of cases, and notes are made about transferring cases, especially valuable documents and cases, transferring cases to another structural subdivision or organization for their continuation, to the organization's archive, the availability of electronic copies of documents, the type and place of storage of their media.
At the end of the year, a summary record of the number of cases (volumes) is made at the end of the list of cases.
Information about the number of cases filed is reported to the organization's archive.
Formation of cases
Executed documents are formed by the executor into cases in accordance with the nomenclature of cases. The formation of cases outside the nomenclature of cases is not allowed.
Control over the formation of cases is carried out by the DSM service.
When forming cases, the following general requirements are observed:
1) only executed, correctly executed documents are placed in the cases in accordance with the headings of the cases according to the nomenclature.;
2) all documents related to the solution of a single issue are placed together.
Appendices to documents, regardless of the date of their approval or compilation, are attached to the documents to which they relate.
Annexes of over 180 sheets make up a separate volume, which is marked in the document.
3) versions of the document in the state, Russian and other languages are grouped together;
4) documents of the same calendar year are grouped into cases; the exceptions are: transitional cases; court cases; personal files that are formed during the entire period of this person's work in the organization; documents of elected bodies and their permanent commissions, deputy groups that are grouped during the period of their convocation; documents of educational institutions that are formed during the academic year year; documents of theaters describing stage activities during the theater season; medical histories and others.
5) documents of permanent and temporary storage periods are separately grouped into files;
6) telegrams, photocopies of faxograms, and telephone messages are placed in files on a general basis in accordance with the nomenclature of cases.;
7) documents to be returned, drafts and extra copies should not be placed in the file.;
8) the volume of the file should not exceed 180 sheets;
9) if there are several volumes (parts) in the case, the number (index) and the title of the case are affixed to each volume with the addition of the numbering of volumes (parts), the word "last" ("last") is added to the last volume (part).
The documents are arranged in accordance with the order of the issue resolution (chronological order of the issues to be resolved), or an initiative document is placed at the beginning of the case, followed by a document with the final resolution of the issue, followed by other documents covering the progress of the issue resolution.
All documents of a reporting and informational nature on the execution of acts and orders of higher-level organizations in which the organization was the main performer are filed in separate cases for their execution. In other cases, these documents are filed in the correspondence file for the current year.
Administrative documents are grouped into files by type and chronology with appendices related to them. Instructions, rules, regulations, and charters approved by administrative documents are appendices to them and are grouped together with these documents. If they are approved as an independent document, then they are grouped into separate cases.
Orders (orders) on the main activity, orders (orders) on personnel are formed into separate cases.
The protocols in the case file are arranged chronologically by number along with the documents attached to them.
Correspondence is grouped for the record-keeping year and systematized in chronological order, with the response document placed behind the request document. When resuming correspondence on a specific issue that began in the previous year, the documents are included in the current year's file, indicating the index of the previous year's case.
Documents in personal files are arranged in chronological order according to their receipt.
Personal payroll accounts are formed into separate files and arranged in them in alphabetical order of the last names of employees.
Employment contracts are formed as part of personal files or separately in alphabetical order of the surnames of employees.
Lists of individuals and documents confirming the transfer of mandatory pension contributions to accumulative pension funds are formed in one file.
Lists of individuals and documents confirming the transfer of social contributions are formed in one file.
Plans, reports, estimates, limits and staffing tables are formed in the relevant cases of the year for which or for which they were drawn up, regardless of the date of their compilation, approval or receipt.
Appeals of individuals and legal entities are formed into cases on issues, areas of activity of the organization or on administrative-territorial units. In case of small amounts of appeals, it is allowed to form cases by the names of the authors of the appeals in alphabetical order.
Registration of cases
The organization's affairs are subject to registration at their establishment and at the end of the year. Filing a case is the preparation of a case for storage. The registration of the case includes a set of works on the description of the case on the cover, pamphlet, numbering of sheets and drawing up a certification inscription. The registration of cases is carried out by the person responsible for the record keeping of the structural unit, with the methodological assistance and under the supervision of the DSM service.
Depending on the retention period, full or partial registration of cases is carried out. Cases of permanent, temporary (over 10 years) storage and personnel are subject to full registration. The full registration of the case provides for: registration of the details of the case cover; numbering of the sheets in the case; drawing up a certificate sheet in accordance with appendix 28 to these Standard Rules; drawing up, if necessary, an internal inventory of the case documents in accordance with appendix 29 to these Standard Rules; filing or binding the case; making necessary clarifications to the details of the case cover.
The following details are indicated on the cover of the case of permanent, temporary (over 10 years) storage and personnel:
1) the name of the organization; the name of the structural unit;
2) the name of the locality in which the organization is stationed; the case number (index);
3) the title of the case; the date of the case (volumes, parts); the number of sheets in the case; the shelf life of the case;
4) the archive cipher of the case.
The details affixed to the cover of the case are drawn up as follows:
1) the name of the organization in accordance with the founding documents is indicated in full, in the nominative case, indicating the officially accepted abbreviated name, which is indicated in parentheses after the full name.;
2) the name of the structural subdivision - the name of the structural subdivision is recorded in accordance with the approved structure; the case number is indicated by the numeric designation (index) of the case according to the nomenclature of the organization;
3) the title of the case is transferred from the nomenclature of cases; the date of the case is indicated by the year(s) of the establishment and completion of the case in the office. The date of cases containing administrative documentation, as well as for cases consisting of several volumes (parts), are the end dates of the case documents, i.e. the dates (date, month, year) of registration (compilation) of the earliest and latest documents included in the case. The date of the attachment to the case, formed into a separate volume, is the date of registration of the main document, the attachment to which is placed in this volume. In this case, the date and year are indicated by Arabic numerals, the name of the month is written in full words.
In order to ensure the safety and secure the order of the documents included in the file, all its sheets, including resolutions drawn up on a separate sheet (chips), except for the certifier's sheet and the internal inventory, are numbered. The sheets are numbered with a black, soft, graphite pencil, the numbers are placed in the upper right corner of the sheet.
The order of numbering of the case sheets:
1) a sheet larger than A4, filed at one edge, is numbered as one sheet in the upper right corner.;
2) documents with their own sheet numbering, including printed publications, may be numbered in the general order or keep their own numbering if it corresponds to the order of the sheets in the file.
3) sheets of cases consisting of several volumes or parts are numbered separately for each volume or part.;
4) photographs, drawings, diagrams and other illustrative and specific documents representing an independent sheet in the case are numbered on the reverse side in the upper left corner.;
5) envelopes with attachments filed in the case are numbered: first the envelope, and then the next number for each attachment in the envelope;
6) the appendices to the case, received in the binding, are issued as an independent volume and numbered separately.;
7) if a large number of errors are found in the numbering of the case sheets, they are renumbered. When renumbering the sheets, the old numbers are crossed out and a new sheet number is placed next to it, at the end of the case, a new certifying sheet is drawn up, while the old certifying sheet is crossed out, but remains in the file.;
8) if there are individual errors in the numbering of the sheets, the use of letter numbers of the sheets is allowed.
After the numbering of the sheets is completed, a certification inscription is drawn up, which is signed by its compiler, indicating the decryption of the signature, position and date of compilation.
All subsequent changes in the composition and condition of the case (damages, seizure of documents) are noted in the certification sheet with a reference to the relevant act.
The number of sheets in the file is affixed to the cover of the case in accordance with the final inscription.
The details of the "retention period of the case" are transferred to the cover of the case from the corresponding nomenclature of cases after checking it with the retention period specified in the lists of documents, indicating the retention periods.
On permanent storage cases it is written: "Store permanently."
The archive code of the case (consisting of the fund number, inventory number and inventory number) on the covers of permanent storage cases is affixed to the archive only after these cases are included in the sections of the consolidated inventories approved by the EPC (before that it is affixed in pencil).
At the end of the year, clarifications are made to the inscriptions on the covers of permanent and temporary (over 10 years) storage cases: if the title of the cases on the cover does not match the content of the filed documents, changes and additions are made to the title of the case.
To account for documents of certain categories of permanent and temporary storage periods (over 10 years), which are accounted for by the specifics of this documentation (especially valuable, personal files, and others), an internal inventory of case documents is compiled in accordance with appendix 29 to these Standard Rules.
The internal inventory of the case documents is also compiled for permanent and temporary (over 10 years) storage cases, if they are formed according to the types of documents, the titles of which do not disclose the specific content of the documents.
The documents that make up the case are filed with at least four punctures in a cardboard hardcover or bound, taking into account the possible free reading of the text of all documents. The first and last punctures are made at a distance of one centimeter from the upper (lower) border of the sheet. When preparing files for filing (binding), metal fasteners (pins, paper clips, and others) are removed from documents.
Files of temporary (up to 10 years inclusive) storage may be stored in folders, no re-systematization of documents in the file, no numbering of the sheets of the file, no certification inscriptions.
Rapid storage of documents
After completion of the paperwork, the documents are stored in the files at the place of their formation for one year before being transferred to the organization's archive.
The DSM service and the heads of the structural divisions of the organization ensure the safety of documents and files. Files are stored in cabinets and safes in workrooms or rooms specially designated for this purpose.
Cases are arranged in accordance with the approved nomenclature of the organization's cases, and their indexes are indicated on the backs of the covers.
The transfer of files for temporary use to other organizations is carried out on the basis of a written request and only with the permission of the head of the organization. Cases are issued to other divisions of the organization with the permission of the head of the structural division, and within the structural division - against receipt.
A substitute case card is created for the issued case. It indicates the structural unit, the index of the case, the date of its issuance, to whom the case was issued, the date of its return, and provides columns for receipts for receiving and accepting the case.
Documents are withdrawn from files in accordance with the legislation of the Republic of Kazakhstan, and copies of documents and an act (protocol) on the withdrawal of originals are enclosed in the file.
Transfer of cases to an organization's archive
The transfer of cases from structural divisions to the organization's archive is carried out according to case inventories compiled based on the results of an examination of the value of documents and cases completed in the office. Documents of temporary (up to 10 years inclusive) storage are transferred to the archive of the organization according to the nomenclature of cases.
Inventories are drawn up separately for permanent, temporary (over 10 years) storage cases and for personnel in accordance with Annex 30 to these Standard Rules.
The columns of the case inventory are filled in in exact accordance with the information that is displayed on the case covers. When entering consecutive cases with the same headings in the inventory, the full title of the first case is written, all other similar cases are indicated by the word "the same", while other information about them is entered in the inventory in full. On the new inventory sheet, the heading of the homogeneous cases is reproduced in full.
Each case (volume, part of the case) is entered in the inventory under an independent serial number.
The "Note" column of the inventory is used to make notes on the specifics of the physical condition of the case, on the transfer of the case to another structural unit (another organization).
The inventory of cases is drawn up in two copies, one of which is transferred together with the cases to the archive of the organization, and the second remains as a control in the structural unit.
The correctness of the formation and preparation of cases for transfer to the organization's archive is checked by the DSM service. The existing violations are eliminated by the structural unit of the organization.
Each file is received by an employee responsible for the organization's archive in the presence of an employee of the structural unit. At the same time, on both copies of the inventory against each case included in it, a note is made about the existence of the case. At the end of each copy of the inventory, the number of cases actually accepted, the date of acceptance and transfer of cases, as well as the signatures of the employee responsible for the archive and the person who transferred the cases are indicated in numbers and in words.
Along with the files, registration files for documents and (or) software and databases containing information on registration and execution of the transferred documents are transferred to the archive. The title of each card file or database is included in the inventory.
In the liquidation or reorganization of a structural subdivision, the person responsible for record keeping of this structural subdivision, during the liquidation period, forms all available documents into files, files cases and transfers them to the organization's archive, regardless of the retention period.
The transfer of cases is carried out according to case inventories and case nomenclature.