THE RESOLUTION OF BOARD OF THE AGENCY OF THE REPUBLIC OF KAZAKHSTAN ON REGULATION AND SUPERVISION OF THE FINANCIAL MARKET AND THE FINANCIAL ORGANIZATIONS

of December 27, 2010 No. 182

About approval of Storage precautions of documents by professional participants of the insurance market and the insurance agents performing business activity

For the purpose of realization of Item 2 of article 77 of the Law of the Republic of Kazakhstan of December 18, 2000 "About insurance activity" the Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations (further - the Agency) DECIDES:

1. Approve Storage precautions of documents as professional participants of the insurance market and the insurance agents performing business activity according to appendix 1 to this resolution.

2. Recognize invalid regulatory legal acts of the Republic of Kazakhstan according to appendix 2 to this resolution.

3. This resolution becomes effective after fourteen calendar days from the date of state registration in the Ministry of Justice of the Republic of Kazakhstan.

4. To department of supervision of subjects of the insurance market and other financial organizations (Karakulov D. Sh.):

1) together with Legal department (Sarsenov N. V.) to take measures to state registration in the Ministry of Justice of the Republic of Kazakhstan of this resolution;

2) in ten-day time from the date of state registration in the Ministry of Justice of the Republic of Kazakhstan to bring this resolution to the attention of the interested divisions of the Agency, Associations of legal entities "Association of financiers of Kazakhstan" "National economic chamber of Kazakhstan "the Union of Atameken.

5. To service of the Chairman of the Agency (Kenzhe A. A.) take measures for publication of this resolution in mass media of the Republic of Kazakhstan.

6. To impose control of execution of this resolution on the vice-chairman of the Agency Aldambergen A. U.

"IS APPROVED" Committee of information and archives of the Ministry of Communications and information of the Republic of Kazakhstan March "24", 2011 (signature, date, official stamp)

Chairman Bersebayev B. T.

Appendix 1

to the resolution of Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations of December 27, 2010 No. 182

Storage precautions of documents professional participants of the insurance market and the insurance agents performing business activity

Chapter 1. General provisions

1. These rules are developed according to the Laws of the Republic of Kazakhstan of December 22, 1998 "About National Archive Fund and archives", of December 18, 2000 "About insurance activity", of February 28, 2007 "About financial accounting and the financial reporting" and determine the list of the documents which are subject to obligatory storage, procedure and terms of their storage by professional participants of the insurance market, the insurance agents performing business activity (further - the organizations).

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

Employees of the organization examine its internal regulations of documentation, management of documentation and document storages.

3. General requirements to documentation of management activity and the organization of work with documents of unclassified nature on papers, to functioning of services of documentary ensuring management of the organizations, are established by the Standard rules of documentation and management of documentation in the state and non-state organizations approved by the order of the deputy. The Minister of Culture and Information of the Republic of Kazakhstan of September 25, 2009 No. 128 (registered in the Register of state registration of regulatory legal acts at No. 5834) (further - Standard Rules).

4. The organization, maintaining and enhancement of system of documentary ensuring management on the basis of single technical policy and use of modern technical means in work with documents, methodical management and control of observance of established procedure works with documents in the organization are carried out by structural division to which functions on documentary ensuring the management operating according to Approximate regulations on documentary service of the organization approved by the head of the organization according to appendix 1 of Standard Rules are assigned.

5. In the organization in which according to the staff list the structural division performing functions on documentary ensuring management is not provided these obligations are assigned to the responsible official.

6. When changing the head of the structural unit performing functions on documentary ensuring management or the responsible official (further - service of preschool educational institution) documents and cases, and also registration accounting forms to them are transferred to again designated to the head or responsible official under the delivery-acceptance certificate.

7. The list of the documents which are formed during activities of professional participants of the insurance market and insurance agents (further - the List) is constituted according to appendices 1, of 2, 3 and 4 to these rules.

The list is the main document determining storage durations of all complex of the documents including containing the confidential information which is formed in organization activity, its branches and representations and also the actuary and insurance agent.

The list serves as the main benefit in case of creation of the nomenclature of cases and conducting examination of values of documents and cases.

In the List specific headings of cases are not given, and categories and document types are only listed. The organization independently constitutes the nomenclature of cases. For creation of headings of cases of the List the corresponding names of documents and the formulation of questions which are supplemented with other necessary elements undertake: instructions of the author, correspondent, date, storage durations and numbers of Articles.

The list is constructed on subject voprosnomu to the principle and consists of the Sections corresponding to the main questions of organization activity, the actuary and insurance agent.

The term entered into the List "to need minovaniye" belongs, generally to organizational and administrative documentation and means that documentation has limited practical value.

Chapter 2. Nomenclature of cases and main requirements to forming of cases in the organization

8. The nomenclature of cases is intended for group of the performed documents in cases, systematization and accounting of cases, determination of terms of their storage and is basis for creation of inventories of cases permanent and temporary (over 10 years) storages, and also for accounting of cases temporary (up to 10 years inclusive) storages.

9. In case of creation of the nomenclature of cases are guided by constituent documents, regulations on structural divisions, job descriptions of workers, standard, industry (departmental) lists of documents with indication of storage durations, standard (approximate) nomenclatures of cases, structure (staff list), plans and reports for work, types, structure and contents of the documents which are formed in organization activity are studied.

10. The nomenclature of cases is constituted by service of preschool educational institution on the basis of nomenclatures of structural divisions.

11. The nomenclature of cases of structural division is constituted (no later than November 15 of the current year) the employee of the division responsible for clerical work, is approved with service of preschool educational institution, signed by the division manager and it is represented in service of preschool educational institution.

The newly created division develops the nomenclature of cases of division in a month and to provide it to service of preschool educational institution.

12. The nomenclature of cases of the organization is signed by the head of service of preschool educational institution.

13. The nomenclature of cases is printed in necessary number of copies. One copy of the approved nomenclature is stored in the Public Records Office with which it was approved.

14. The nomenclature of cases at the end of every year is specified, affirms the head of the organization and becomes effective since January 1 of the next calendar year.

15. Names of Sections of the nomenclature of cases are names of structural divisions which are located according to the approved structure of the organization (staff list).

16. Documents of divisions, branches and representations are introduced as independent Sections in the nomenclature of cases of the organization.

17. Branches of the organization develop own nomenclatures of cases.

18. The nomenclature of cases joins the headings of cases reflecting everything the documented sites of work of the organization, including personal records, inventories of cases, registration accounting forms, control and help, thematic and other card-indexes.

Printing editions do not join in the nomenclature of cases.

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

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

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

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

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

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

1) regulatory legal acts of authorized body on regulation and supervision of the financial market and the financial organizations;

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

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

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

5) instructions (production, standard, official);

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

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

8) documents on the main activities;

9) correspondence;

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

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

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

22. In column 1 of the nomenclature of cases indexes of each case included in the nomenclature are put down. The index of case consists of digital designation of structural division and sequence number of heading of case on the nomenclature within structural division. Elements of index separate from each other hyphen.

In the nomenclature of cases it is recommended to keep identical indexes for homogeneous cases in limits of different structural divisions. For the passing cases the index remains.

23. Column 2 of the nomenclature of cases joins headings of cases (volumes, parts).

Requirements to heading:

1) the heading of case shall accurately, to reflect the main contents and structure of case documents in aggregated form;

2) the use in heading of case of inconcrete formulations ("different materials", "general correspondence", "outgoing correspondence", "incoming documents"), and also parenthesises and difficult turnovers is not allowed;

3) the heading of case shall consist of the elements located in the following sequence:

name of type of case (correspondence, magazine and others) or kinds of documents (protocols, orders and others);

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

the name of the organization to which will be addressed or from which documents (the addressee or the correspondent of the document) will be received;

summary of case documents;

the name of the area (territory) with which contents of case documents are connected;

date (period) to which case documents belong.

4) in headings of the cases containing documents on one question, but which are not connected by the sequence of execution as type of case the term "documents" is used, and at the end of heading in brackets the main kinds of documents which shall be grouped in case are specified (plans, lists, reports and others);

5) in headings of the cases containing correspondence it is specified with whom and on what question it is conducted. In case of conducting correspondence with homogeneous correspondents, in headings their general specific name is specified;

6) in headings of the cases containing correspondence with more than three diverse correspondents, their names are not listed;

7) in case of designation in headings of cases of administrative and territorial units the following is considered:

if content of case concerns several homogeneous administrative and territorial units, in heading of case their specific names are not specified, and their general specific name is specified;

if content of case concerns one administrative and territorial unit (settlement), her (his) name is specified in case heading;

8) in headings of the cases containing planned or reporting documentation the period (quarter, year) on (for) which is specified plans (reports) are constituted;

9) headings of the judicial, investigative, personal, personal, arbitration and another matters containing the documents connected by the sequence of clerical work on one question begin with the word "case";

10) if case consists of several volumes or parts, then the general heading of case is constituted, and then if necessary the headings of each volume (part) specifying content of heading of case are constituted.

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