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LEGAL ACTS OF THE REPUBLIC OF LATVIA
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Republic of Latvia

Cabinet
Regulation No. 748

Adopted 6 November 2012

Regulations Regarding Records and Archives Management

Issued pursuant to
Section 4, Paragraph seven and Section 8, Paragraph two
of the Law On Archives

1. General Provisions

1. This Regulation prescribes:

1.1. the procedures for public records and archives management in institutions;

1.2. the criteria for determining the time period for records retention;

1.3. the procedures for calculation of archival value of records;

1.4. the technical requirements for preservation of records in the archives of institutions.

2. The following terms are used in this Regulation:

2.1. unit of description - an archival record or an aggregate of records (file, series, record group), which is deemed as a whole and which is the basis for an individual description;

2.2. description level - the place of a unit of description in the hierarchical scheme of the record group;

2.3. record group - an aggregate of archival records created as a result of activities of an institution or a private individual - an archival classification and registration unit;

2.4. record sub-group - a systematisation unit of a record group - a sub-group of large-scale record group, the composition of which includes interrelated archival records and which conforms to the organisational structure of the institution. It is also possible to divide a record group in sub-groups according to geographical, chronological, functional or other common features of archival records;

2.5. records classification scheme - a list of the objects to be classified in hierarchical order. The basis for a section of classification shall be logically analytic division of records in groups according to common or different features (for example, functions of an institution, structure, type of records);

2.6. electronic records management system - an information system that ensures activities with records throughout their life cycle - from their creation until destruction or transfer to the archives. The basic functions thereof shall include maintaining records classification schemes and time periods for records retention, as well as preserving amendments, audit trails, record details, service notes and other metadata. If electronic records are captured in the system, it shall ensure control and access to them;

2.7. storage unit - a registration unit of archival records, which is a physically separated record or a group of records with an individual registration code. It may be, for example, a file, a photodocument, a film reel, a folder of electronic records;

2.8. provenance - an institution or a private individual, the records created (accumulated) as a result of activities of which are compiled in a record group;

2.9. hybrid file - a file containing records in different media, for example, electronic records and records created in paper form;

2.10. spreadsheet - a work form consisting of rows and columns. The points where rows and columns intersect are called cells. Labels, numerical values and formulas may be entered in cells. Spreadsheet applications are, for example, MS Excel, Lotus 123, Corel QuattroPro;

2.11. file - an aggregate of records arranged in a particular order or an individual record regarding any issue, activity, transaction or topic;

2.12. nomenclature of files - a list of files to be created in an institution, which has been systematised according to a records classification scheme, and of the time periods for retaining them;

2.13. series - a systematisation unit of a record group, an aggregate of uniform or related (for example, by form, type, creation, receipt, topic) records (files), which has resulted from carrying out the same function or activity and has been systematised as a whole;

2.14. registration code - an identifier of a storage unit, which is formed by the number of the record group with the number of the registration list and the number of the storage unit in the registration list;

2.15. registration list - a list of units (files) to be retained, which has been created according to the time period for records retention, the form of medium (for example, paper form, electronic form) and the time period in which the records will be transferred for permanent State retention. A registration list is a means for searching and registration, which reveals the content of the storage units, shows their systematisation and ensures the registration function of the storage units;

2.16. reference code - an identifier of a unit of description (group, sub-group, series, series sub-level), which is formed by the sequential numbers of the particular unit of description and all units of description of hierarchically higher levels.

3. The requirements of Regulation shall apply to all records regardless of the form of medium, except the case if special requirements in the field of record management are specified in other laws and regulations.

2. Organisation of Records and Archives Management in an Institution

4. An institution shall organise activities with records within the framework of the records management period, which usually coincides with a calendar year. The creation, receipt, registration and control of carrying out of records shall take place within the framework of the records management period.

5. If such functions, tasks and measures have been laid down for an institution, the implementation of which does not coincide with a calendar year (for example, the term of election and term of office, the season of activity, study year), the records management period shall be determined according to the first and final date laid down for the function, task or measure.

6. To ensure organisation of the records management, an institution shall create a records system using equipment and resources, which ensure recording of data on creation, receipt, registration, retention, use and destruction of records.

7. To create and maintain a records system, an institution shall:

7.1. identify the functions, tasks (processes), structure of the institution and the legal acts governing the operation thereof (for example, laws and regulations, international legal acts);

7.2. study the requirements stipulated in external and internal laws and regulations for a records system and records;

7.3. ensure continuous maintenance and improvement of the system.

8. An expert committee for the management of records and archives (hereinafter - expert committee) may be established for solving issues related to the management of records and archives in an institution.

9. The expert committee shall consist of not less than three persons from whom at least one is responsible for the management of records or archives of the institution.

10. The expert committee shall evaluate the records classification system of the institution, the time periods for records retention, the archival value of records, reference systems and record destruction acts. The work organisation of the expert committee shall be laid down by the rules of procedure of the expert committee.

11. An institution which has other institutions under subordination thereof may create a central expert committee for the management of records and archives for the carrying out of the tasks referred to in Paragraph 10 of this Regulation within the framework of a department.

12. If an institution does not establish an expert committee, the tasks of the expert committee shall be carried out by the persons referred to in Sub-paragraph 13.2 of this Regulation.

13. To ensure organisation of the management, internal supervision and control of records and archives of an institution, the head of the institution or his or her authorised person shall:

13.1. lay down the procedures for records and archives management in the institution;

13.2. appoint persons responsible for records and archives management and lay down their duties;

13.3. ensure transfer and acceptance of records at the disposal of an employee of the institution upon changes in the staff of the institution.

14. To ensure management of such records, for which restricted access is determined, the head of the institution or his or her authorised person shall:

14.1. lay down the procedures for arranging, describing, using and retaining such records;

14.2. make notes in the nomenclature of files in the corresponding levels of multilevel archival description, indicating the time period during which access to them is restricted.

3. Management of Records

3.1. Documentation and Creation of Files

15. An institution shall document its activities:

15.1. by carrying out the duties laid down in laws and regulations to create, receive and retain records to ensure legal proof, the grounds for decision-making, performing of analysis of activities, informing of the public or for other purposes;

15.2. by ensuring the rights laid down in laws and regulations to other institutions and private individuals to receive documents from the institution.

16. An institution shall group the created and received records (regardless of the form of their medium) in files within the framework of one records management period. If the file is related to an issue the solving of which is taking several years (for example, project records, records on study, work or service progress), the file shall be kept until the relevant issue is solved (the project is terminated, service, study or legal employment relationship is terminated).

17. Records which have the same time period for retention and which conform to the name of the file according to the content shall be inserted in the file.

18. For printed records a file shall be created and retained by separating records in folders, loose-leaf binders, ledgers, filing cabinets. The cover of the file shall bear an inscription, in which the name of the institution, the file index, the file name, the date and the time period for retention is indicated.

19. For electronic records a file shall be created by inserting records in electronic folders or the electronic records management system, adding metadata on the belonging of each record to the relevant file. The name of electronic folders and the metadata of records managed in the electronic records management system shall include a unique file identifier (for example, index, name abbreviation). The mutual link of initiative records and reply records with metadata shall be ensured for correspondence records.

20. If a hybrid file is created, a separate volume of the file shall be created for records in different media, ensuring their mutual link with metadata.

3.2. Electronic Records Management System

21. An institution may use an electronic records management system in the management of records.

22. The electronic records management system shall ensure the existence of records and file details, service notes and metadata throughout their time period for retention in the institution.

23. If electronic documents are captured in the electronic records management system, it shall ensure retention and use of electronic records and files throughout their time period for retention in the institution, preserving their integrity.

24. The electronic records management system shall ensure generation of audit trail, including at least the following metadata:

24.1. the time and the person who created new data, documents or files, as well as made changes therein;

24.2. the time of carrying out data saving, migration and deletion activity (transaction) in the system.

25. If the electronic records management system does not ensure the formation of audit trail, the head of the institution or his or her authorised person shall lay down the procedures for providing integrity of electronic records.

26. In migrating records and files to another electronic records management system, the institution shall conform to the following requirements:

26.1. preserve the details, service notes, metadata and audit trail appended to a record and recorded in the system;

26.2. use the file formats laid down in the laws and regulations on circulation of electronic records;

26.3. randomly check the conformity of record details, service notes and metadata before and after migration for at least five per cent of records;

26.4. carry out the process of records migration within the framework of not less than one file;

26.5. in changing file format of a record to another format in accordance with the requirements referred to in Sub-paragraphs 26.1 and 26.2 of this Regulation during migration process, the institution shall carry out one of the following activities:

26.5.1. repeatedly draw up a registration list of records, if any, in accordance with the requirements referred to in Paragraph 97 of this Regulation;

26.5.2. register the information referred to in Paragraph 97 of this Regulation in the electronic records management system, if it supports such functionality;

26.5.3. register the information referred to in Paragraph 97 of this Regulation in the records register referred to in Paragraphs 30 and 31 of this Regulation.

27. The head of the institution or his or her authorised person shall draw up the procedures for carrying out the activities referred to in Paragraph 26 of this Regulation, determining the responsible persons, technical means and other resources for carrying out migration process, if an extended time period for retention has been determined for records to be migrated.

28. Backing up of records and metadata for the electronic records management system of the institution shall be ensured in accordance with the procedures laid down by the head of the institution or his or her authorised person, if other requirements have not been laid down in laws and regulations.

29. In creating or improving the electronic records management system, the institution shall ensure the conformity thereof with the requirements of this Regulation and integration with the Unified State Archives Information System of the National Archives of Latvia.

30. Institutions, which use spreadsheet registers for recording records and in the register of which electronic records are not recorded, shall ensure at least information on details of records throughout their time period for retention in the institution.

31. Institutions, which use spreadsheet registers for recording records and in the register of which electronic records are recorded, shall:

31.1. conform to the requirements referred to in Paragraphs 25, Sub-paragraphs 26.1, 26.2 and 26.3 of this Regulation in relation to details of a record, as well as the requirements referred to in Sub-paragraphs 26.4 and 26.5 and Paragraphs 27 and 30 of this Regulation;

31.2. in addition include the following elements in the register:

31.2.1. a unique file name with file format extension;

31.2.2. after describing add a list number to each entry in the register, which contains information on electronic record, in accordance with Sub-paragraph 92.1 of this Regulation and the sequential number of the storage unit in the registration list in accordance with Sub-paragraph 93.2 of this Regulation.

3.3. Systematisation and Evaluation of Records

32. Documents shall be systematised according to the records classification scheme. Files shall be created according to the nomenclature of files (Annex 1).

33. For institutions or groups thereof which have a similar nature of activities and composition of records a ministry or another sectoral governing institution may draw up a model nomenclature of files which shall be co-ordinated with the National Archives of Latvia.

34. Files in the file nomenclature shall be systematised according to a hierarchical multi-level records classification scheme developed according to the functions or units of an institution:

34.1. first level: the function of the institution or the highest unit of the institution, or the person responsible for performing the relevant function;

34.2. second level: the tasks (processes) necessary for ensuring the performance of function or the lowest unit in the highest unit, or the person responsible for directions of activities thereof;

34.3. third level - the activities necessary for carrying out of tasks (processes).

35. At least the level of the records classification scheme referred to in Sub-paragraph 34.1 of this Regulation shall be used for systematisation of files.

36. Each designation of the level of the records classification scheme entered in the nomenclature of files and each file shall have a particular file index. The file index shall be formed by the designation assigned to the function or unit (digit or letter) and the sequential number of the file in the relevant function or unit.

Examples:

File index 1.6 where 1 - designation of the unit, 6 - sequential number of the file in the unit.

File index A.2.6 where A - designation of the function, 2 - designation of the process forming the function, 6 - sequential number of the file.

37. A file name in the nomenclature of files shall be created indicating the following information:

37.1. type of the record;

37.2. summary of the content of file records;

37.3. name or given name and surname of the addressee, correspondent or contracting party, if a file is created according to the name or given name and surname of the addressee, correspondent or contracting party.

Examples:

Orders regarding the staff.

Correspondence with the Ministry of Culture.

Correspondence in relation to funding matters.

Contracts with suppliers.

Contracts with the stock company "Latvenergo".

Description of the State civil service progress of Jānis Bērziņš.

38. If a hybrid file is created, a relevant remark shall be made thereon in the note column of the nomenclature of files.

39. If new files not included in the file nomenclature occur during a records management period, the file nomenclature shall be supplemented accordingly.

40. In drawing up a nomenclature of files, the time periods for retention and records of archival value shall be determined in conformity with the following criteria:

40.1. the time period for retention laid down in laws and regulations;

40.2. the time period for retention necessary for ensuring the functions of the institution;

40.3. the criteria for determining archival value laid down in Section 8, Paragraph one of the Law On Archives.

41. In determining the time period for retention of records and the records of archival value, institutions may use the model list of time periods for retention for standard records drawn up by the National Archives of Latvia and available to the public on the website of the National Archives of Latvia (http://www.arhivi.gov.lv).

42. The nomenclature of files shall be signed by the head of the institution or the person referred to in Sub-paragraph 13.2 of this Regulation. The nomenclature of files shall be introduced at the beginning of each records management period.

43. To co-ordinate the records classification scheme and the time periods for retention of records, the nomenclature of files shall be submitted to the National Archives of Latvia once every three years. If a model nomenclature of files has been drawn up for institutions or groups thereof, institutions shall lodge the nomenclature of files to the National Archives of Latvia for co-ordination once every five years.

44. The nomenclature of files shall be lodged to the National Archives of Latvia for co-ordination in paper form in two copies. The National Archives of Latvia shall return one copy to the institution after co-ordination. If the nomenclature of files is submitted for co-ordination in electronic form, the National Archives of Latvia shall perform co-ordination in electronic form.

45. The National Archives of Latvia shall:

45.1. inform the institution on changes or specifications to be made in the records classification scheme or the time periods for records retention;

45.2. co-ordinate the records classification scheme and the time periods for records retention included in the nomenclature of files within three months and determine records of archival value.

46. At the beginning of the subsequent records management period the institution shall list the files created and not created during the previous records management period and remark the files to be continued in the subsequent records management period.

47. If there are significant changes in the functions of the institution or the structure thereof, the institution shall inform the National Archives of Latvia thereof, and the National Archives of Latvia shall take a decision on necessity to perform repeat co-ordination of the records classification scheme or a part thereof and of the time periods for retention.

48. The institution shall retain the nomenclature of files for 10 years after describing the records of permanent retention listed therein and after describing such documents for which an extended time period for retention is laid down.

4. Management of the Archives of an Institution

4.1. Preparation of Records for Retention

49. An institution shall prepare records for retention within five years after the end of a records management period. If a longer time period is necessary, it shall be co-ordinated with the National Archives of Latvia.

50. Completed files (files that are not supplemented with new records) shall be prepared for retention. If a file is continued, it shall be prepared for retention after completion.

51. In preparing the completed files for retention:

51.1. they shall be grouped according to the time periods for retention: records of short-term retention, records of long-term retention, records of permanent retention;

51.2. the files of permanent retention and the files of long-term retention shall be arranged;

51.3. the files of permanent retention and the files of long-term retention shall be described.

4.2. Arranging of Printed Records

52. Files of printed records shall be arranged, performing the following consecutive activities:

52.1. records shall be systematised in a file;

52.2. pages shall be numbered;

52.3. a registration list of records in the file (Annex 2) shall be drawn up in accordance with Paragraph 65 of this Regulation;

52.4. an entry of certification (Annex 3) shall be drawn up;

52.5. records of a file shall be inserted in covers or folders, or sown in;

52.6. the cover of a file shall be drawn up.

53. Records in a file shall be systematised according to chronological, nominal (for example, orders, minutes), alphabetic (for example, records on work remuneration calculated for employees) principle or another principle.

54. Correspondence records on one matter, as well as submissions and records on examining a submission shall be systematised in one file. The initiative record shall be at first inserted in the file, and it shall be followed by a reply record.

55. In systematising records the conformity of the composition and content of records with the name and term of retention of the relevant file shall be verified.

56. Copies overlapping with the original of records, unfilled (blank) pages and copies of records, if the file contains the original of the relevant record, shall be removed from the file. Records shall be removed from plastic covers.

57. All metal and plastic clips, clasps and other binding elements shall be removed from documents.

58. In inserting a record bound together by eyelets or a string (for example, a contract), eyelets and string shall not be removed, if records may become damaged or lose their validity.

59. If thickness of a file exceeds 30 mm, volumes shall be created. Pages in each volume shall be numbered individually, and each volume shall be an individual storage unit.

60. Pages of records of a file shall be numbered with Arabic numerals, writing with a medium hard black lead pencil on the top right corner in the space that is text-free.

61. Charts, maps, sketches, plans, drawings and other illustrative materials, if they may be inserted in the file as independent pages, shall be numbered on the other side of the record on the top left corner. Their existence shall be attested in the entry of certification.

62. Photographs, booklets, fabric samples and other records of non-standard material shall be inserted in envelopes. The envelopes existing in a file and their content shall be numbered, first numbering the envelope and then the content thereof. If numbering of the content of an envelope is not possible (for example, fabrics), the number of objects inserted in the envelope shall be indicated on the envelope and in the entry of certification.

63. If the file is a typographic publication with its own page numbering, it shall not be renumbered and the existence thereof shall be indicated in the entry of certification.

64. The specific features of numbering of all pages shall be indicated in the entry of certification.

65. A registration list of records in a file shall be drawn up if:

65.1. frequently used records are present in the file;

65.2. records contain information on significant events, facts or persons;

65.3. records in the file are arranged according to topics, surnames, place names, property objects or other features;

65.4. such records are in the file, which differ from the other because of the specific systematisation thereof.

66. A white sheet of paper shall be inserted in covers and folders of a file in order to protect text in the first page of a record. If records are sown in, a fixing cardboard slat shall be inserted on top.

67. A page with the entry of certification shall be inserted at the end of a file.

68. A file shall be inserted in cardboard covers, in which a thin and solid cotton or flax string is worked in, or shall be inserted in folders with strings that may be fastened, or sown in covers made of white or unpainted neutral or acid-free cardboard, and which conform to the requirements referred to in Sub-paragraph 173.1 of this Regulation.

69. Files shall be sown in with a solid cotton or flax thread. A3 and A4 size pages shall be sown in with at least four sewing stitches, A5 size pages - with three sewing stitches.

70. The cover of a file shall be drawn up in accordance with Annex 4 to this Regulation.

71. Records of long-term retention may be retained in folders of records register used in records management, ensuring the conformity with the requirements referred to in Paragraphs 53, 54, 55, 56, 60, 61, 62, 63, 64, 65 and 67 of this Regulation. A page that has been drawn up as the cover of the file shall be inserted at the beginning of the file.

72. The head of the institution or the person referred to in Sub-paragraph 13.2 of this Regulation shall be informed in writing regarding damages to records established during the process of arranging the records and measures shall be taken to prevent further damages to records.

73. Hybrid files shall be prepared for storage, creating an individual storage unit for each form of medium.

4.3. Arranging of Electronic Records

74. Electronic records shall be arranged in folders, which are storage units. If the number of files of electronic records exceeds 500, sub-folders shall be created (in such case sub-folder shall be the storage unit). Electronic records, which are added to the database or information system and are not retained in file servers as files, shall be arranged concurrently with describing the records in accordance with the requirements referred to in Paragraph 97 of this Regulation.

75. An institution shall assign names to electronic folders, sub-folders and records, which are formed as unique identifiers according to the procedures laid down by the head of the institution or his or her authoriser person, if it is not laid down by external laws and regulations.

Examples:

1_6_rik_2001 where 1_6 - file index, rik - abbreviation of the name, 2001 - year.

234_2-03-256 where 234 - the group number, 2 - the sub-group number, 03 - the number in the registration list, 256 - the number of the storage unit.

76. The recommended restriction for the size of a file depending on the format shall be:

76.1. XLSX, XLS, ODS - up to 75 MB;

76.2. DOC, DOCX, ODT - up to 50 MB;

76.3. XML - up to 10 MB;

76.4. PDF or PDF/A - up to 15 MB;

76.5. EDOC - up to 25 MB;

76.6. JPEG - up to 5 MB for text documents and up to 10 MB for graphic documents;

76.7. TIFF - up to 15 MB for text documents and up to 50 MB for graphic documents.

4.4. Describing of Records

77. In describing records an institution shall create a multi-level archival description (Annex 5), which consists of hierarchically interrelated descriptions regarding each unit of description. The place of the unit of description in the hierarchical structure of the record group shall be the description level.

78. The following are units of description, which concurrently are also the description level:

78.1. record group and its sub-levels - archival sub-group;

78.3. series and its sub-levels - sub-series, sub-series of sub-series, etc.;

78.4. file;

78.5. record.

79. Multi-level archival description scheme (Annex 6) shall be the depiction of the hierarchical structure of a record group.

80. Records in a multi-level archival description scheme shall be systematised in sub-groups, series and their sub-levels in accordance with the records classification scheme, providing for individual series for records of long-term retention.

81. The institution shall co-ordinate a draft multi-level archival description scheme with the National Archives of Latvia prior to describing records.

82. The reference codes of units of description (identifiers of units of description) up to series or its sub-levels, if any, shall be indicated in the multi-level archival description scheme.

83. The reference code of a unit of description shall be formed by the particular unit of description and all unit of description numbers of hierarchically higher levels, separating the levels by dash or slash, but sub-levels with point.

Examples:

Reference code 543-6.2 where 543 - group number, 6 - series designation, 2 - sub-series designation.

Reference code 543.2-6.8.2 where 543 - group number, 2 - sub-group number, 6 - series designation, 8 - sub-series designation, 2 - sub-series designation of sub-series.

84. In creating a multi-level archival description, the following basic principles shall be complied with:

84.1. description shall begin with general facts and move to specific facts. Information regarding the whole record group as a whole shall be provided in the record group level. Information regarding parts of the record group shall be provided in the subordinate levels;

84.2. only information corresponding to the description level shall be provided, showing the context and content of the unit of description;

84.3. descriptions shall be linked, showing the place of the unit of description in hierarchy and link to other units of description;

84.4. information shall not be repeated in a lower level, if it has been mentioned in a higher level. Information that is common for all units of description shall be provided in a higher level.

85. Complete description of a unit of description shall contain the following elements:

85.1. the reference code of the unit of description;

85.2. the name of the unit of description;

85.3. the date of the unit of description or the date of an individual record (in the form from dd.mm.yyyy until dd.mm.yyyy);

85.4. the amount of the unit of description - the quantity (for example, the number of storage units, the number of pages, the number of megabytes, the number of files) or the size (for example, A4, 3 x 5 cm, 35 mm) of the unit of description, indicating the measurement units used;

85.5. the provenance or author of the unit of description - institution or private individual, as a result of activity of which records have been created, accumulated, saved;

85.6. the administrative history of the provenance;

85.7. the archival history of the unit of description;

85.8. the source where the unit of description was obtained;

85.9. the field of information and content of the unit of description;

85.10. information regarding evaluation of the unit of description, the determination of the time period for retention and destruction;

85.11. the internal structure of the unit of description - systematisation;

85.12. the conditions of access to the unit of description;

85.13. the provisions for reproducing the unit of description;

85.14. the language and spelling of the unit of description;

85.15. the information media of the unit of description;

85.16. the means for searching the unit of description;

85.17. the related units of description, if any (existence and location of originals and copies, existence and location of units of description similar by origin);

85.18. notes.

86. In describing records at the record group and record sub-group level, at least the following elements shall be mandatorily indicated in the description:

86.1. the reference code of the record group - the code of institution in the Unified State Archives Information System of the National Archives of Latvia and the number of the record group, if such has been assigned. The sequential number shall be indicated for the sub-group within the scope of the record group;

86.2. the name of the record group;

86.3. the date (in the form from dd.mm.yyyy until dd.mm.yyyy) or the period (in the form from dd.mm.yyyy until dd.mm.yyyy) of the record group, for which the describing of the follow-up of the record group is carried out;

86.4. the amount of the record group or its follow-up in the storage units;

86.5. the information media forms of records in the record group;

86.6. the administrative history of the record group - short information on the establishment, reorganisation or liquidation of institution, functional and structural changes with a reference to the justification records;

86.7. the information field and content of the record group - topic and types of records, entirety of the composition of records;

86.8. systematisation of the record group - the principles for creating a multi-level archival description scheme;

86.9. access conditions - information regarding the conditions, which influence the availability and use of records of the record group, if such exist (for example, access to information, copyright restrictions, physical properties of records, which may influence their use);

86.10. the language of records, if it differs from the official language;

86.11. means for searching (information on, for example, registration lists, manuals, registers, catalogues, databases developed).

87. At least the following elements shall be indicated regarding each series and its sub-level:

87.1. the reference code of the series;

87.2. the name of the series;

87.3. the time period for retention of series records (permanent/long-term);

87.4. conditions for access, if any.

88. If all mandatory elements regarding series or its sub-levels are indicated in a multi-level archival description scheme, a separate description of series or its sub-levels need not be created.

89. If series or its sub-levels have been created according to the structural principle, information on administrative history of the unit shall be appended to the description.

90. If records on a measure or activity have been systematised in series or its sublevel, information on the measure or activity shall be appended to the description.

91. Files shall be listed in registration lists (Annex 7). Registration lists shall be created according to the retention term of records, the form of medium (for example, paper form, electronic form) and the time period in which the records will be transferred for permanent State retention. If series or sub-series are large and all the records of one type systematised therein are in one form, a separate registration list may be created for it. If series are small, several series may be joined in one registration list.

92. The following information shall be indicated regarding each registration list:

92.1. the number of the registration list within the scope of the record group;

92.2. the time period for records retention;

92.3. the type and the form of information medium of records.

93. The following information shall be provided regarding each storage unit in the registration list:

93.1. the reference code of the series or its sub-level (i.e., units of description to which the storage unit is subordinate);

93.2. the sequential number of the storage unit in the registration list, continuing the numbering of the described storage units in the preceding periods;

93.3. the name of the storage unit;

93.4. the date of the storage unit (in the form from dd.mm.yyyy until dd.mm.yyyy);

93.5. the amount, indicating the measurement unit of the amount (for example, pages, megabytes, minutes);

93.6. for hybrid files - the related units of description in other registration lists;

93.7. notes. The following shall be indicated in notes:

93.7.1. the retention term, if it does not coincide with the retention term of records set for the registration list;

93.7.2. conditions for access, if any;

93.7.3. the language of records, if it differs from the official language.

94. Storage units in the registration list shall be systematised according to series and their sub-levels.

95. A summary entry shall be created at the end of each registration list, indicating the total number of storage units in the registration list and the specific features of numbering of storage units (for example, designation numbers, omitted numbers).

96. For electronic government records a registration list of records level shall be created, which shall be prepared and lodged by an institution to the National Archives of Latvia within three months after co-ordinating the multi-level archival description scheme and the relevant registration list of electronic records.

97. The following information shall be indicated in the registration list of records level for electronic records:

97.1. the number of the registration list;

97.2. the number of the storage unit in the registration list;

97.3. the number of the record in the storage unit;

97.4. the name of the file;

97.5. checksum algorithms - the name for an algorithm which is used in generating a row of unique symbols to ensure the examination of integrity;

97.6. checksums - a row of unique symbols which ensures the examination of integrity;

97.7. notes.

98. If institutions include the elements referred to in Paragraph 97 of this Regulation on the records register referred to in Paragraph 31 of this Regulation or in the electronic records management system and lists of records may be retrieved therefrom with the elements referred to in Paragraph 97 of this Regulation in electronic form (in XML, XSLX or ODS format), the conditions referred to in Paragraph 96 of this Regulation shall not be binding on institutions.

99. If an institution manages databases and information systems which contain records of permanent retention in electronic form, records shall be described after evaluation thereof in accordance with the procedures laid down in the laws and regulations on evaluation of information systems. The procedures for describing and the elements of description shall be co-ordinated with the National Archives of Latvia in a contract regarding transfer into permanent State retention.

100. In describing audiovisual and cinematographic records, photodocuments and phonodocuments, the elements of description shall be co-ordinated with the National Archives of Latvia.

101. In creating a multi-level archival description, an institution shall perform describing in one of three ways:

101.1. in the Unified State Archives Information System of the National Archives of Latvia by entering into a contract with the National Archives of Latvia;

101.2. in the information system of the institution which ensures describing of records in conformity with the following requirements:

101.2.1. retrieval of all the necessary information regarding each level of description and registration lists of storage units and electronic records level from the system is possible;

101.2.2. descriptions are retrieved in electronic form in XML format (the structure of the form shall be co-ordinated with the National Archives of Latvia) or using the spreadsheets referred to in Annexes 5, 6, 7 and 8 to this Regulation;

101.3. in spreadsheets (Annexes 5, 6, 7 and 8).

102. Describing may be performed for all records of the record group of an institution or for a separate unit of description - sub-group or series, if the multi-level archival description scheme has been co-ordinated.

103. The person who drew up the section of description and registration list shall be indicated in the multi-level archival description scheme for each section of description and each registration list (given name, surname, position. If describing is performed in accordance with a contract, the institution or private individual who performs describing shall be indicated). The head of the institution or the person referred to in Sub-paragraph 13.2 of this Regulation shall sign the multi-level archival description scheme and registration lists.

104. An institution shall submit a reference system (multi-level archival description scheme, multi-level archival description, registration lists) to the National Archives of Latvia for co-ordination. If describing is not performed in the Unified State Archives Information System of the National Archives of Latvia, the reference system shall be lodged to the National Archives of Latvia for co-ordination in spreadsheets or in XML format in electronic form or in two copies in paper form.

105. In co-ordinating a reference system (multi-level archival description scheme, multi-level archival description, registration lists), the National Archives of Latvia shall evaluate:

105.1. the succession, usefulness and transparency of the principles of description;

105.2. the possibilities to include the descriptions and the information included therein in the Unified State Archives Information System.

106. The National Archives of Latvia shall:

106.1. inform an institution on changes or specifications to be made in the reference system;

106.2. co-ordinate the reference system submitted by an institution within three months.

5. Procedures for Destroying Documents

107. A records destruction act (Annex 9) shall be drawn up for records (regardless of the form of information medium), the retention term of which has expired. The files and records of short-term retention shall not be included in the referred-to act, if describing of records of permanent retention and records of long-term retention has not been performed for the relevant records management period.

108. The names of records and files of the same type shall be entered only once in a records destruction act, indicating the date and total number thereof.

109. In examining a records destruction act, the expert committee or the person referred to in Sub-paragraph 13.2 of this Regulation shall:

109.1. examine whether the retention terms of the files selected for destruction are complied with;

109.2. compare the actual number of files to be destroyed with the number of files indicated in the act.

110. A records destruction act shall be prepared and sent to the National Archives of Latvia in paper form in two copies. The National Archives of Latvia shall return one copy of the referred-to act to the institution after co-ordination. If the referred-to act is sent in electronic form, the National Archives of Latvia shall co-ordinate it electronically.

111. The National Archives of Latvia shall:

111.1. inform an institution on changes or specifications to be made in acts;

111.2. co-ordinate records destruction acts within three months.

112. After receiving the co-ordination of the National Archives of Latvia the institution shall organise destruction of records. A notation in the records destruction act on destruction of records shall be made (or a notation shall be added to the records destruction act, if the referred-to act is in electronic form). The date when the record was destroyed or transferred for destruction, as well as the position, given name, surname and signature of the person responsible for destroying records or transfer for destruction shall be indicated in the notation. If the institution has entered into a contract on destruction of records, the date when the record was transferred for destruction and a reference to the contract (the date and number of the contract and the contracting party) shall be indicated.

6. Archives of an Institution and Registration of Records in the Archives

113. The arranged and described records shall be retained in the archives of an institution or in accredited private archives in accordance with the procedures laid down in laws and regulations.

114. The archives of an institution shall have the following functions:

114.1. to accept records;

114.2. to ensure registration of the records accepted in the archives of the institution;

114.3. to ensure access to and use of the records accepted in the archives of the institution (including to create a reference system, to prepare statements and derivatives of records);

114.4. to ensure retaining of the records accepted in the archives of the institution;

114.5. other functions laid down in internal laws and regulations.

115. Registration of records shall be performed to ensure information on the composition and number of records of the archives. The record group and the storage unit shall be basic registration units.

116. The main registration records in the archives of an institution shall be as follows:

116.1. a multi-level archival description and registration lists;

116.2. archival passport in which the institution or its territorial unit shall indicate information on its record groups and conditions of preserving records in accordance with the procedures laid down in the laws and regulations governing the field of State statistical information;

116.3. acts on stocktaking of records.

117. A file of record group, in which records are grouped in three groups, shall be created for the record group of an institution:

117.1. records on the composition and amount of the record group (for example, multi-level archival descriptions, registration lists, acts on missing records) shall be aggregated in the first part;

117.2. records on the management of the record groups of the institution (for example, acts on handing over and acceptance of records in permanent State retention, acts on stocktaking of records, archival passports) shall be aggregated in the second part;

117.3. records destruction acts shall be aggregated in the third part.

118. Records in each group of the file of the record group shall be grouped in a chronological order. The file of the group shall be retained until closing of the record group and shall be handed over to the National Archives of Latvia together with records of permanent retention.

7. Stocktaking of Records, Use of Records

119. In order to ensure control of records of permanent retention and records of long-term retention of an institution, to identify missing records and potential damages to records in due time, the institution shall regularly perform stocktaking. The referred-to stocktaking may be joined with other work, for example, removing of dust from records, preparation of records for scanning, check of readability.

120. Stocktaking of records shall be performed in the archives of an institution for completed and described files no less than once every eight years. If there are more than 50 000 storage units in the archives of the institution, stocktaking shall be performed no less than once every 12 years, and if there are more than 200 000 storage units in the archives of the institution, the frequency of stocktaking shall be co-ordinated with the National Archives of Latvia.

121. Additional stocktaking of records shall be performed:

121.1. for records which are prepared for the transfer to the National Archives of Latvia;

121.2. after moving of paper records to another room or migration of electronic records to another information system;

121.3. after fire, flooding or other emergency situations, as well as after unauthorised access by a person to archival repository;

121.4. when the head of the archives or the person responsible for the archives changes (if the archives of the institution contain large amount of records, random additional stocktaking may be performed);

121.5. if the institution is liquidated or reorganised:

121.5.1. if the institution is not a successor in rights and liabilities, it shall perform stocktaking of all records in storage prior to transfer of records to the National Archives of Latvia;

121.5.2. if a liquidator has been appointed for the institution or it has a successor in rights and liabilities, to which records from the archives of the institution are transferred, the committee shall perform stocktaking together with representatives of the institution to be liquidated or reorganised and the liquidator or representatives of the successor in rights and liabilities, drawing up a deed of delivery and acceptance.

122. Stocktaking of records shall be performed according to the following procedures:

122.1. records of previous stocktakings shall be examined, if such have been performed;

122.2. registration codes and names in registration lists shall be compared to registration codes and names on files. The conformity of file names and checksums with the information referred to in Annex 8 to this Regulation, if any, shall be checked for electronic records.

123. If there are no registration lists, stocktaking of records shall be performed taking the nomenclature of files of the relevant year or another record as the basis, the files created in which have been listed in accordance with Paragraph 46 of this Regulation.

124. Existence of files issued for use shall be performed taking the records of issuance as the basis (for example, register, logbook).

125. Physical condition of paper records shall be determined by visual means.

126. The readability of files shall be checked for electronic records - generation of file checksums according to the checksum algorithms defined in the registration list of electronic records, if any, and comparison of generated checksums with the checksums recorded in the registration list, if any, shall be performed.

127. All deficiencies identified shall be noted in the act on stocktaking of records (Annex 10). After the end of stocktaking changes shall be made in registration records, by drawing up relevant acts (for example, on technical errors in registration lists, files found). If a non-conformity with the reference system is established, copies of acts shall be lodged to the National Archives of Latvia.

128. In performing stocktaking of records, the order of files placed on shelves shall be ensured, the misplaced files found during stocktaking shall be returned to their place, removed and damaged files shall be placed separately if they cause threat to files in the proximity thereof, and measures for rectification of damages shall be taken after consulting the National Archives of Latvia.

129. If missing records are identified during stocktaking, an act on stocktaking of records shall be drawn up and their search shall be organised.

130. If missing records are identified in carrying out other work, an act on missing records (Annex 11) shall be drawn up and the search for records shall be organised.

131. In searching for missing records, the file of the record group shall be reviewed, the records of issuing files and audit trails shall be examined, search for missing files in units (with employees) shall be organised where these files were created, other record groups shall be checked if such are kept at the archives of the institution.

132. Files found while performing search shall be returned to their retention place. Electronic records found, which are stored in file servers, registers or databases on servers, shall be placed in a particular directory of the file server in accordance with the procedures laid down by the institution. Electronic records found in registers and databases shall be linked to the corresponding register or database entry.

133. The files not found as a result of search shall be listed in an act on records not found as a result of search (Annex 12), indicating the possible reasons of losing the relevant records, as well as other records which may partially compensate the information of the record lost.

134. After all possibilities for searching a record are used the results of searching for the record in the relevant record group shall be aggregated in an act on terminating the search for a record (Annex 13).

135. For damaged records damages shall be rectified after consulting with the National Archives of Latvia.

136. If during stocktaking of records ruination of records or irreversibly damaged records are detected, an act on ruination of records or irreversibly damaged records (Annex 14) shall be drawn up.

137. Irreversibly damaged records and records not found as a result of search, which have been included in the national documentary heritage, shall be excluded from the national documentary heritage in accordance with the procedures laid down in laws and regulations.

138. In issuing paper records and electronic records in external information media for use, the use of records shall be registered in accordance with the procedures laid down in the institution.

139. Only the original of the record or a derivative thereof, if it has been drawn up and certified in accordance with the procedures laid down in laws and regulations, shall be used for drawing up a statement.

140. The justification for the content included in the statement - a reference to the records used - shall be indicated at the end of the text of the statement. The reference code shall be indicated for the records described.

8. Technical Requirements for Record Preservation in the Archives of Institutions

8.1. Creation of Archival Repositories

141. To preserve records, an institution shall create an archival repository or enter into a contract with a relevant service provider on preservation of records.

142. An archival repository need not be created for:

142.1. records of long-term retention and records of permanent retention, if the total amount thereof does not exceed 1000 files;

142.2. records of short-term retention;

142.3. audiovisual, photodocuments and phonodocuments.

143. Records for which an archival repository has not been created shall be stored in locked cabinets or rooms, which are not accessible to the visitors of the institution.

144. In designing the administrative premises and providing for special rooms therein for the creation of archival repositories of the institution, the requirements referred to in Paragraphs 142, 145, 146, 147, 148 and 150 of this Regulation shall be taken into account.

145. Depending on the amount and composition of the records to be retained in the archives the institution shall create one or several archival repositories. Several archival repositories shall be created:

145.1. if the institution retains records in the archives on different information media, the optimal retention conditions of which differ by more than five degrees Celsius or five per cent of relative air humidity;

145.2. if the area necessary for the archival repository exceeds 200 m2;

145.3. if it is necessary to separate records of restricted access.

146. The rooms of an archival repository shall be separated from the rooms accessible to visitors. The rooms of the archival repository shall be ensured against unauthorised access of any kind, deliberate damaging and unauthorised acquisition of records. A security guard and fire safety alarm system of the institution shall be ensured in archival repositories.

147. Only such activities shall be performed in an archival repository, which are related to placing, moving, cardboard boxing (inserting records in ancillary means of retention, for example, boxes, folders) of records and stocktaking thereof. It is prohibited to join an archival repository and working premises.

148. In drawing up civil protection plans, fire safety instructions and similar documents, they shall include measures for the protection and evacuation of the archives of the institution, laying down priorities for saving specific groups of records.

149. Archival repositories shall be separated from premises of laboratories, production, warehouses and premises of other types, in which food products or chemical substances are kept, and they shall not have a joint ventilation system. If there are gas, heating, water or sewerage pipes in archival repositories, measures for the prevention of potential threat shall be taken.

150. In designing floor and intermediate floor coverings, the weight of archival records shall be taken into account. The structural engineering solution shall be developed taking into account the layout and anticipated load of archival repositories. The load strength of the covering depending on the type and height of shelves shall be no less than 800 kg/m2 for fixed shelves and 1200-2400 kg/m2 for compact (mobile) shelves. Antistatic and antiseptic coverings shall be used for floors in order for them to be easy to be cleaned.

8.2. Requirements for Micro-climate, Hygiene and Equipment of Archival Repositories

151. A micro-climate corresponding to the information medium shall be ensured in an archival repository, taking into account the requirements referred to in Annex 15 to this Regulation.

152. To ensure stable micro-climate, materials having thermal and hygroscopic capacity, which do not emanate harmful substances, do not collect dust and do not disintegrate during exploitation or fire, shall be used for internal furnishing.

153. For the purpose of additional safety and stable micro-climate, as well as to protect records from exposure to light, archival repositories shall be designed as having no windows and having natural or compulsory ventilation, ensuring air circulation. If it is not possible to design archival repositories without windows, measures shall be taken to protect records from light and to ensure ventilation.

154. To control temperature and relative air humidity, measuring devices (hygrometers or psychrometres and thermometres) shall be installed in an archival repository. Measuring devices shall be installed in the main aisle on shelves and in places where micro-climate may differ significantly (for example, at apertures for ventilation, near heating installations, at external walls).

155. Readings of measuring devices shall be regularly checked and if fluctuations in micro-climate and deviations from the norm by more than five degrees Celsius or five per cent of relative air humidity are established, measures for stabilisation of micro-climate shall be taken.

156. After the term of guarantee of a measuring device has expired the institution shall check the accuracy of measuring devices of archival repositories once a year, comparing their readings.

157. At least two-hour fire resistance shall be ensured for an archival repository.

158. Closed-type electrical wiring shall be used in archival repositories. Wiring of portable electrical devices (for example, vacuum cleaners, air dehumidifiers) shall have rubber insulation. Hermetical locking up of outlets shall be ensured in archival repositories.

159. If an archival repository has windows, measures shall be taken to prevent direct sunlight impact (for example, shutters, special coverings on windowpanes or dense curtains shall be installed). In order to protect records from exposure to light, they may also be retained in closed cabinets, closed-type shelves, parcels, boxes or containers, as well as by placing shelving transversely to windows.

160. Archival repositories shall be maintained in order, not allowing mould, insect and rodent invasion and dust collection.

161. To protect records from dust:

161.1. floors shall be regularly cleaned and washed, choosing such cleaning agents which cannot harm records. Sanitary coverings that are easy to wash shall be used for walls and floors;

161.2. dust shall be periodically removed from shelves, boxes and records.

162. In detecting mould, insects or rodents in a repository, safety measures shall be taken without delay in order to liquidate them. The infected records shall be isolated.

163. Such disinfection agents shall be used for disinfection, which do not discharge substances harmful to health. Prior to their use specialists of the National Archives of Latvia shall be consulted.

164. An archival repository shall be equipped with shelving (fixed or mobile), closed cabinets or strongboxes (hereinafter - storage facilities). Storage facilities shall be made of metal or another material harmless to records, which does not emanate harmful substances, does not collect dust and does not disintegrate during exploitation or fire discharging harmful substances (for example, peroxides, oxides).

165. The dimensions and structure of storage facilities shall be determined by the format of the records to be stored therein (for example, files, large-scale records, film cassettes, optical discs).

166. Storage facilities shall not have sharp corners or edges which might damage records upon coming into contact with them.

167. The optimum length of a shelf stack shall be 1 m, the load strength - 100 kg, the height - 2 m. The maximum length of a shelving row shall be 10 m.

168. Records on magnetic media may not be stored on ferromagnetic metal shelves.

169. To ensure air circulation, iron bars, perforated plates, special ventilation systems shall be used in closed cabinets instead of doors or they shall be periodically aired.

170. Air circulation shall be ensured in strongboxes. If the structure of the strongbox does not provide for it, the strongbox shall be periodically aired.

8.3. Retention of Records

171. Records of short-term retention shall be kept separately from records of permanent retention and records of long-term retention.

172. In order to place records on shelves and provide additional protection thereof from the environmental impact, different auxiliary means shall be used, for example, boxes, containers, envelopes, card holders, supports.

173. Auxiliary means shall be made of material not harmful to records. The most appropriate materials shall be as follows:

173.1. for boxes, envelopes and maps: paper and cardboard, which contains at least 87% α-cellulose, pH within the range from 7.5 to 9.5 and alkaline reserve at least 2%;

173.2. for containers and boxes intended for optical discs, films and microfilms: polyethylene, high-density polyethylene, polypropylene, white polyesther, black polyesther or colourless polyesther. Titanium oxide may be used as white pigment for containers and boxes, black coal - as black pigment;

173.3. for storage facilities: stainless metal, for example, anodised aluminium, stainless steel or steel that is well protected with anticorrosion covering (for example, with polishes, varnish, tinning or plastic). Covering shall not discharge harmful gases - peroxides or oxides.

174. Files shall be placed on shelves vertically or horizontally.

175. Large-scale records (larger than size A3), records inserted in soft-cardboard folders, files bound in or sown in soft covers shall be stored horizontally. Bindings in hard covers or records densely inserted in hard-cardboard folder shall be stored vertically on the lower edge.

176. Large-scale bindings (larger than size A3) shall be stored horizontally. In placing them one on top of the other, their weight shall be taken into account to prevent excessive pressure on the bottom binding and to ensure a possibility of easy removal and return thereof to place. If it is not possible to place large-scale bindings horizontally, they shall be stored vertically on the back of the binding.

177. Drawings shall be stored spread out on shelves with pullout drawers, maps shall be hung on special frames or spread out (as drawings). Records of very large scale which cannot be inserted in protective casing or stored spread out shall be stored in rolled up form on specially made stands.

178. Photo records and their negatives shall be stored vertically, placing each in an individual neutral paper envelope. In order to store photo records on glass base, cabinets with shelves divided into bays or special boxes containing no more than 30 negatives each shall be used. Photo albums shall be stored in the same way as large-scale volumes.

179. Films shall be stored in boxes horizontally in fir-tree type shelves. In case such shelves are absent film boxes shall be stored in open shelves horizontally in piles.

180. Videotapes and magnetic tapes in special cassettes shall be stored vertically in the original packaging or custom-made boxes.

181. Magnetic tapes, rolled on plastic reels, shall be stored in the original packaging or custom-made boxes. Tapes that are up to 6.25 mm wide shall be stored vertically, and tapes that are 16 mm and 35 mm wide - horizontally.

182. Vinyl records and their moulds shall be stored vertically. Vinyl records shall be inserted in an envelope made of neutral material (for example, polyethylene, paper). Their moulds shall be stored in a special box which does not allow moving of the mould therein and occurrence of mechanical damage.

183. Optical discs shall be stored in the original packaging vertically on shelves or horizontally in fir-tree type holders.

184. Original negatives of micro-films shall be stored in polypropylene, polyethylene or neutral cardboard boxes. Individual frames shall be stored in neutral paper envelopes. Micro-films shall be stored vertically on the side edge in boxes or horizontally on fir-tree type shelves. Microfiches and microfilm jackets shall be stored in envelopes vertically.

9. Closing Provisions

185. Institutions shall ensure the conformity with the requirements referred to in Sub-chapter 3.2 of this Regulation starting from 1 January 2016.

186. Institutions shall perform describing of records in the Unified State Archives Information System of the National Archives of Latvia in accordance with the requirements referred to in Sub-paragraphs 101.1 and 101.2 of this Regulation starting from 1 January 2014.

187. Institutions shall ensure the conformity with the requirements referred to in Paragraphs 96, 97 and 126 of this Regulation starting from 1 January 2016.

Prime Minister V. Dombrovskis

Minister for Culture Ž. Jaunzeme-Grende

 

Annex 1
Cabinet Regulation No. 748
6 November 2012

Sample Nomenclature of Files of an Institution

(Form of the institution)

Nomenclature of Files of Year ______

Index of the level and file of the classification scheme

Name of the classification level

Name of the file

Time period for retention

Notes*

         
         
         

____________________
(position)

__________________
(given name, surname)

___________________
(signature)**

Notation on co-ordination of the record

with the National Archives of Latvia

Notes.

1. * Notations, for example, on access restrictions, form, hybrid files, relation to information system, responsible person.

2. ** The details of the document "signature" shall not be completed if the electronic document has been drawn up in conformity with the laws and regulations on the drawing up of electronic documents.

Minister for Culture Ž. Jaunzeme-Grende

 

Annex 2
Cabinet Regulation No. 748
6 November 2012

Sample of the Registration list of Records in the File

No

Name of the record

Page numbers

Notes

       
       

____________________
(position)

__________________
(given name, surname)

___________________
(signature)**

___________________________
(date)

 

Minister for Culture Ž. Jaunzeme-Grende

 

Annex 3
Cabinet Regulation No. 748
6 November 2012

Sample of the Entry of Certification of the File

The file contains numbered pages,
 

(in figures and words)

 
including:
designation pages
 

(page numbers)

pages omitted in the numbering
 

(page numbers)

pages - the registration list of records in the file

(number)

 

Specific features of the physical condition and forming of the file

Page numbers

 

 

 

____________________
(position)

__________________
(given name, surname)

___________________
(signature)**

___________________________
(date)

 

Minister for Culture Ž. Jaunzeme-Grende

 

Annex 4
Cabinet Regulation No. 748
6 November 2012

Layout of the Cover of the File

__________________________________________________________________________

__________________________________________________________________________

__________________________________________________________________________
(full name of the institution)

__________________________________________________________________________

__________________________________________________________________________

__________________________________________________________________________

__________________________________________________________________________

__________________________________________________________________________
(name of the file)

_____________
(reference code)

____________________________
(date of the file)

File contains ______ pages
Time period for retention ____________

Group No. ______
Registration list No. _______
Storage unit No. _________

Minister for Culture Ž. Jaunzeme-Grende

 

Annex 5
Cabinet Regulation No. 748
6 November 2012

Sample Front Page of a Multi-level Archival Description and Sample Description of Group or Sub-group

(full name of the institution)

 

 

. of group  

(number of the record group)

 

(name of the record group)

 

archival description on
 

(date)

Description of the group or sub-group

No.

Element

Description

1. Reference code of the record group or sub-group  
2. Name  
3. Date from  
4. Date until  
5. Amount  
6. Forms of information media  
7. Administrative history of the provenance  
8. Field and content of information  
9. Systematisation  
10. Access conditions  
11. Language of records  
12. Search means  

____________________
(position)

__________________
(given name, surname)

___________________
(signature)**

Drawn up by: N. Surname (position)

Notation on co-ordination of the record

with the National Archives of Latvia

Note. * The details of the document "signature" shall not be completed if the electronic document has been drawn up in conformity with the laws and regulations on the drawing up of electronic documents.

Minister for Culture Ž. Jaunzeme-Grende

 

Annex 6
Cabinet Regulation No. 748
6 November 2012

Sample Multi-level Archival Description Scheme

Reference code

Name

Time period for retention of series/series sub-level

Access conditions of series/series sub-level

1. Name of the group - -
1.-1. Name of the series - -
1.-1.1. Name of the series sub-level (sub-series) permanently -
1.-1.2. Name of the series sub-level (sub-series) 75 years -
1.-2. Name of the series permanently restricted access until year 2015
1.1. Name of the sub-group - -
1.1.-1. Name of the series 75 years -
1.1.-2. Name of the series permanently -

Drawn up by: N. Surname (position)

Notation on co-ordination of the record

with the National Archives of Latvia

Minister for Culture Ž. Jaunzeme-Grende

 

Annex 7
Cabinet Regulation No. 748
6 November 2012

Sample Registration List

 

 

(number of the record group)

. of group

(name of the record group)

__________. registration list

Time period for records retention ______________________

Type of records and form of information medium ____________________

Reference code of series/series sub-level

Number of the storage unit

Name of the storage unit

Date of the storage unit

Amount

Measurement unit of amount

Registration code of the related unit of description (for hybrid cases)

Notes

from

until

                 
                 

 

This part of the registration list includes storage units from No. ______ up to No. _______, including:
 

(number in digits and words)

 

designation numbers _________, omitted numbers _________.

In total the registration list contains storage units.
 

(number in digits and words)

 

____________________
(position)

__________________
(given name, surname)

___________________
(signature*)

Drawn up by: N. Surname (position)

Notation on co-ordination of the record

with the National Archives of Latvia

Note. * The details of the document "signature" shall not be completed if the electronic document has been drawn up in conformity with the laws and regulations on the drawing up of electronic documents.

Minister for Culture Ž. Jaunzeme-Grende

 

Annex 8
Cabinet Regulation No. 748
6 November 2012

Sample Registration List of the Record Level of Electronic Records

. of group

(number of the record group)

 

(name of the record group)

 

 

. electronic records of the registration list

(number of the registration list)

 

registration list of the record level

Number of the storage unit

Number of the record in the storage unit

File name

Checksum algorithms

(separated by semi-colon or each written in a separate box)

Checksums

(separated by semi-colon or each written in a separate box)

Notes

 

This part of the registration list includes files.
 

(number in digits and words)

 

____________________
(position)

__________________
(given name, surname)

___________________
(signature*)

Drawn up by: N. Surname (position)

Notation on co-ordination of the record

with the National Archives of Latvia

Note. * The details of the document "signature" shall not be completed if the electronic document has been drawn up in conformity with the laws and regulations on the drawing up of electronic documents.

Minister for Culture Ž. Jaunzeme-Grende

 

Annex 9
Cabinet Regulation No. 748
6 November 2012

Sample of Record Destruction Act

(Form of the institution)

Record Destruction Act

 

No. __________

(date*)

   

 

In accordance with
 

(name of the list of time periods for records retention or nomenclature of files of year ______)

 

the following files have been selected for destruction
 

(name of the provenance)

 

because
 

(indicate the reason, for example, their time period for retention has expired, they have been transformed into electronic form)

 

No.

Date of the file

File index

Name of the file (or group)

Number of files

Time period for retention

Notes

             
             

 

Total number of files
 

(number in digits and words)

Records of permanent retention and records of long-term retention of year _____ have been described.

The time periods for retention of files listed in the act are complied with.

____________________
(position)

__________________
(given name, surname)

___________________
(signature*)

Notation on co-ordination of the record

with the National Archives of Latvia

Note. * The details of the document "date" and "signature" shall not be completed if the electronic document has been drawn up in conformity with the laws and regulations on the drawing up of electronic documents.

Notation on destruction of records:

 

(date)

 

(signature of the official responsible for on handing over of records for destruction or for destruction of records)

Minister for Culture Ž. Jaunzeme-Grende

 

Annex 10
Cabinet Regulation No. 748
6 November 2012

Sample Act on Stocktaking of Records

(Form of the institution)

Act

 

No. __________

(date*)

   

On stocktaking
of records

Justification of stocktaking
 

(indicate the reason of the stocktaking, for example, current check, handing over for State retention)

The following was established in stocktaking of records:

Number of the registration list

Storage units

Numbers of missing storage units

Storage units, for which the following is necessary

Irreversibly damaged storage units (numbers)

Storage units, issued for temporary use (numbers)

total number in the registration list

actual number

disinfection (numbers)

disinsectisation (numbers)

restoration (numbers)

                 
                 
In total                

The following was established in stocktaking of electronic records:

Number of the registration list

Number of records in the registration list

Actual number of records

Number of missing records

Unreadable records

Name of electronic records or information system, or register, or data base

Form(s) of the data carrier

Number of data carriers

Data amount (MB)

In total

____________________
(position)

__________________
(given name, surname)

___________________
(signature*)

Note. * The details of the document "date" and "signature" shall not be completed if the electronic document has been drawn up in conformity with the laws and regulations on the drawing up of electronic documents.

Minister for Culture Ž. Jaunzeme-Grende

 

Annex 11
Cabinet Regulation No. 748
6 November 2012

Sample Act on Missing Records

(Form of the institution)

Act

 

No. __________

(date*)

   

On missing records

In performing
 

(indicate the activity in performing which it was detected that records are missing)

it was detected that the following records are missing:

No.

Reference code of the storage unit or record

Name of the storage unit or record

Date

Reasons of missing

Notes

           
           

 

Missing

 

storage units (records).
 

(total number in digits and words)

 

____________________
(position)

__________________
(given name, surname)

___________________
(signature*)

Note. * The details of the document "date" and "signature" shall not be completed if the electronic document has been drawn up in conformity with the laws and regulations on the drawing up of electronic documents.

Minister for Culture Ž. Jaunzeme-Grende

 

Annex 12
Cabinet Regulation No. 748
6 November 2012

Sample Act on Records not Found as a Result of Search

(Form of the institution)

Act

 

No. __________

(date*)

   

On records not found
as a result of search

In performing
 

(indicate the measures taken and the time when they took place)

it was detected that the following records have not been found:

No.

Reference code of the storage unit or record

Name of the storage unit or record

Date

Number of pages

Potential reasons for missing

Notes

             
             

The referred-to records should be deleted from
 

(indicate registration records)

 

Missing

 

storage units (records).
 

(total number in digits and words)

 

 

The content of missing storage units (records) is partially found in the following storage units (records):

____________________
(position)

__________________
(given name, surname)

___________________
(signature*)

Note. * The details of the document "date" and "signature" shall not be completed if the electronic document has been drawn up in conformity with the laws and regulations on the drawing up of electronic documents.

Minister for Culture Ž. Jaunzeme-Grende

 

Annex 13
Cabinet Regulation No. 748
6 November 2012

Sample Act on Terminating Search for Records

(Form of the institution)

ACT

 

No. __________

(date*)

   

On terminating search
for records

During the time period from ___ ____________ 20___ until ___ ____________ 20___ stocktaking

(name of the record group)

of the record group was performed.

During stocktaking it was established that:

there are storage units in the group;
 

(number in digits and words)

 

 

storage units are missing.

(number in digits and words)

 

 

As a result of search

storage units were found.

 

(number in digits and words)

 

 

On ___ ____________ 20___ act No. _______ was drawn up on storage units not found, as a result of the search.
 

(number in digits and words)

 

 

It was established that there are storage units in the record group.
 

(number in digits and words)

 

 

______________________
(position)

________________________
(given name, surname)

_______________________
(signature*)

Note. * The details of the document "date" and "signature" shall not be completed if the electronic document has been drawn up in conformity with the laws and regulations on the drawing up of electronic documents.

Minister for Culture Ž. Jaunzeme-Grende

 

Annex 14
Cabinet Regulation No. 748
6 November 2012

Sample Act on Ruination of a Record or Irreversibly Damaged Records

(Form of the institution)

ACT

 

No. __________

(date*)

   

On ruination of a record or
irreversibly damaged records

In performing

,

 

(indicate the measures taken and the time when they took place)

the following storage units (records) which have been ruined or irreversibly damaged were detected:

No.

Reference code of the storage unit or record

Name of the storage unit or record

Date

Number of pages

Characterisation of damages

           
           

 

(total number in digits and words)

storage units (records) have been ruined or irreversibly damaged.

The content of ruined or irreversibly damaged storage units (records) is partially found in the following storage units (records):

______________________
(position)

________________________
(given name, surname)

_______________________
(signature*)

Note. * The details of the document "date" and "signature" shall not be completed if the electronic document has been drawn up in conformity with the laws and regulations on the drawing up of electronic documents.

Minister for Culture Ž. Jaunzeme-Grende

 

Annex 15
Cabinet Regulation No. 748
6 November 2012

Requirements in Relation to Micro-climate of Archival Repositories

No.

Information medium

Temperature (°C)

Humidity (%)

Lighting and other conditions

maximum

minimum

fluctuations in 24 hours

relative RH

ΔRH fluctuations in 24 hours

1. Paper

20

2

3

35-50

3

up to 50 lux
2. Photo records and cinematic records:            
2.1. black and white photographs on paper

18

2

1

30-50

3

store in a dark place, well-aired room, in folders protected from dust
2.2. colour photographs on paper

5

0

1

30-40

3

store in a dark place, well-aired room, in folders protected from dust
2.3. black and white photo film and movie film negatives:            
2.3.1. made of nitrocellulose

7

2

1

30-50

3

store in a dark place
2.3.2. made of cellulose acetate and polyester

21

16

1

30-50

3

store in a dark place
2.4. negatives and slides of colour photo films and movie films

3

-18

1

20-30

3

store in a dark place
2.5. black and white glass plate negatives, dagerotypes, ambrotypes, ferotypes

18

13

1

30-40

3

up to 50 lux
3. Magnetic media on polyester basis (audio, video)

20

16

2

35-45

5

store in a dark place
4. Other magnetic media (audio, video)

18

12

2

30-40

3

store in a dark place
5. Other media (audio, video)

23

-10

2

20-50

3

store in a dark place

Minister for Culture Ž. Jaunzeme-Grende

 


Translation © 2013 Valsts valodas centrs (State Language Centre)

 
Document information
Status:
In force
in force
Issuer: Cabinet of Ministers Type: regulation Document number: 748Adoption: 06.11.2012.Entry into force: 09.11.2012.Publication: Latvijas Vēstnesis, 177, 08.11.2012. OP number: 2012/177.6
Language:
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