On state control and surveillance in the Republic of Kazakhstan

On state control and surveillance in the Republic of Kazakhstan

Law of the Republic of Kazakhstan of 6, January, 2011 No.377-IV

"Kazakhstanskaya Pravda" of 15.01.2011, No. 13); "Yegemen Kazakhstan" 2011, No.

 Attention of users!
  For convenience of users the Republican Center for Legal Information (RCLI) provided CONTENT

 Note provided by the RCLI!
  For procedure of enactment of this Law of the RoK, see Article 31

  This Law regulates general legal basis of state control and surveillance in the Republic of Kazakhstan and aimed at the establishment of uniform principles of performance for control and surveillance activity, as well as protection of rules and legal interests of state bodies, legal entities and individuals regarding which state control and surveillance is performed.

Part 1. GENERAL PROVISIONS

   Article 1. Basic notions provided in this Law

  In this Law the following basic notions are used:
  1) Control and surveillance bodies – state bodies and their territorial subdivisions performing licensing and (or) issue of other consent documents, registration, as well as supervision and check with respect to conformity of bodies under check to the requirements stated by the legislation of the Republic of Kazakhstan in accordance with Article 5 of this Law in accordance with the legislation;
  2) Measures of dynamic response – Methods of influencing bodies under check established by the laws of the Republic of Kazakhstan for prevention of consequences injurious for public, applied during performance and according to the results of checking;
  3) State control (hereinafter referred to as - Control) – Activity of State body on checking and surveillance for bodies under check with respect to conformity of their activity to the requirements established by the legislation of the Republic of Kazakhstan during performance and according to the results of which right limitation measures can be applied without dynamic response;
  4) State surveillance (hereinafter referred to as - surveillance) – Activity of State body on checking and surveillance for observation of the requirements of legislation of the Republic of Kazakhstan by the bodies under check during performance and according to the results of which right limitation measures can be applied including dynamic response;
  5) Risk – Probability of infliction of harm to human life or health, environment, legal interests of legal entities and individuals, property interests of the State as a result of activity of the body under check taking into account the degree of its consequences;
  6) Risk assessment system – Complex of measures held by Control and surveillance body for the purpose of check planning;
  7) Bodies under check – Individuals, legal entities, including state bodies, branches and representations of legal entities, for the activity of which control and surveillance is performed.

   Article 2. Legislation of the Republic of Kazakhstan in the field of control and surveillance

  1. Legislation of the Republic of Kazakhstan in the field of control and surveillance is based on the Constitution of the Republic of Kazakhstan and consists of this Law and other normative legal acts of the Republic of Kazakhstan.
  2. If other rules are provided by International agreement ratified by the Republic of Kazakhstan, instead of the rules contained in this Law, so rules of International agreement shall be used.

   Article 3. Scope of this Law

  1. This Law regulates relations in the field of arrangement of performance of control and surveillance for the bodies under check regardless legal status, forms of property and types of activity, except cases provided by points 3, 4 of this Article and point 3 of Article 12 of the Law.
  2. This Law establishes:
  1) Procedure of checking performed by Control and surveillance bodies;
  2) Procedure of interaction of Control and surveillance bodies during checking performance;
  3) Rights and responsibilities and the bodies under check during control and surveillance performance, measures aimed at protection of their rights and legal interests;
  4) Rights and responsibilities of control and surveillance bodies and their authorities during checking performance.
  3. Action of this Law for the exception of Articles 4 and 8 of the Law, does not cover relations concerning:
  1) Control for observation of contract conditions for investments providing investment preferences;
  2) Control for observation of conditions of contracts for performance of exploration, extraction, joint exploration and extraction of subsurface resources or construction and (or) exploitation of underground facilities which have no relation to exploration and (or) extraction, or contracts for state geological study of subsurface resources by subsurface users;
  3) State control in the field of customs matters.
  4. Action of this Law except Article 8 of this Law does not cover relations in the following fields:
  1) Supreme supervision performed by Public prosecutions department;
  2) Control and surveillance during pre-trial procedure on criminal case;
  3) Justice;
  4) Investigative activities;
  5) Control for observation of legislation requirements of the Republic of Kazakhstan concerning secrets of state.
  5. Relations appearing during control and surveillance performance established in paragraphs 3 and 4 of this Article are regulated by laws of the Republic of Kazakhstan.

   Article 4. Principles and tasks of control and surveillance

  1. Control and surveillance are based on the following principles:
  1) legality;
  2) equal protection of the law and court;
  3) good faith assumption of individual and legal entity;
  4) publicity;
  5) planning and systematization of control and surveillance;
  6) Professionalism and competence of authorities of state bodies;
  7) Responsibility for non-fulfillment or improper fulfillment of obligations by the authorities of control and surveillance bodies and excess of powers by them;
  8) priority of law violation prevention in comparison with punishment;
  9) necessity and sufficiency;
  10) delimitation of control authorities between state bodies;
  11) encouragement of conscientious bodies under check, concentration of control and surveillance on violators;
  12) increasing of abilities of bodies under check and consumers for independent protection of their legal rights;
  13) accountability and transparency of state control and surveillance system;
  14) independence;
  15) objectiveness and impartiality;
  16) authenticity.
  2. The task of control and surveillance is provision of safety of products produced and sold by the body under check, safety of technological processes for human life and health, protection of their property, safety for the environment, national security of the Republic of Kazakhstan, including economical safety, prevention of deceptive practices, saving of natural and energy resources, increase of competitiveness of national products and protection of constitutional rights, liberties and legal interests of individuals and legal entities.
  3. It is forbidden for state bodies to accept normative legal acts under law on the issues оf checking procedure for private enterprise bodies, except normative legal acts provided in paragraph 3 of Article 13, paragraph 1 of Article 14, paragraph 1 of Article 15 of this Law.
  4. State bodies which develop projects of normative legal acts and regulate the issues of control and surveillance for the activity of private enterprise bodies shall agree them with the entrepreneurship authorities.
  5. Control and surveillance for private entrepreneurship shall be done in accordance with the legislation of the Republic of Kazakhstan in the fields of activity stated in the Annex to this Law.

   Article 5. Requirements for the activity of bodies under check

  Requirements for the activity of bodies under check shall be stated by normative legal acts, and in cases provided by laws of the Republic of Kazakhstan, these requirements shall be stated only by laws of the Republic of Kazakhstan, decrees of the President of the Republic of Kazakhstan and resolutions of the Republic of Kazakhstan.

   Article 6. Guarantees of private entrepreneurship bodies in performance of control and surveillance by law bodies

 Law bodies perform control and (or) surveillance measures in respect of private entrepreneurship bodies only within the frameworks of operational search activity, criminal prosecution, administrative proceedings and (or) implementation of regulative functions performed by law bodies and also other cases provided by laws of the Republic of Kazakhstan.

    Article 7. Control

  1. Control is divided into internal control and external control.
  2. Internal control is control which is performed by the state body regarding execution of decisions taken by the state body and requirements of legislation of the Republic of Kazakhstan by its structural and territorial subdivisions, jurisdictional state bodies and organizations.
  Procedure of internal control performance is defined by Article 8 of this Law.
  This paragraph does not cover internal control that is performed by authorized Government of the Republic of Kazakhstan by internal control body according to Budget code of the Republic of Kazakhstan.
  3. External control is control which is performed by control and surveillance body on check and supervision for the activity of bodies under check concerning conformity to the requirements stated in Article 5 of this Law.
  Procedure of external control performance is defined by Article 10 and part 2 of this law.
  According to the results of external control in case of finding of any violation of legislation of the Republic of Kazakhstan, State bodies within the frameworks of their competence are able to bring administrative or disciplinary proceedings or initiate corresponding complaints within the frameworks of their competence and (or) take other measures provided by laws of the Republic of Kazakhstan.

   Article 8. Internal control

  1. Internal control is divided into:
  1) Control for execution of legal acts (measures, execution of which is stipulated by legal acts). In this case all legal acts containing measures that are subject to execution shall be controlled;
  2) Control for execution of commissions of the President of the Republic of Kazakhstan, the Government of the Republic of Kazakhstan and managing officials of State body and correspondent official documents.
  2. Internal control is performed by means of:
  1) reclamation of necessary information;
  2) hearing and discussion of reports and reports on execution;
  3) inspection and other forms of documental checking;
  4) on-site checking;
  5) other methods which do not contradict to the legislation.
  3. internal control is performed due to the following parameters:
  1) correspondence of the activity of structural, territorial subdivisions, jurisdictional state bodies and organizations and authorities to the set tasks;
  2) timeliness and fullness of execution;
  3) observation of legislation requirements during execution.
  4. An official or corresponding structural subdivision of State body authorized for performance of control for execution of legal act in effect develops control measures, if necessary.
  Herewith the official or corresponding structural subdivision of State body authorized for control performance analyzes received information about execution for determination of:
  1) degree and quality of legal act execution;
  2) availability of deviations in execution of legal act, determination of their reasons and possible measures for elimination of these deviations;
  3) possibility of shifting off the control or extension of execution period;
  4) responsibilities of definite officials for non-execution or improper execution of legal act.
  Offers produced due to the results of information analysis shall be provided to the management of State body for taking of right decision. Executors of State body performing information analysis shall be informed about the taken decision.
  5. Shifting off the control and extension of measurement execution period provided by the legal act shall be done by the management of State body.
  6. Control service of Supreme state body or execution body shall send corresponding written notification to the executor in order established by regulation of State body before expiration of execution period stated in the legal act.
  Additional issues of organization and performance of internal control can be determined by State body or Supreme state body.

   Article 9. Surveillance

  1. Surveillance consists in application of right limitation measures of operational response without initiation of administrative proceedings by authorized state body.
  Right limitation measures of operational response are provided by laws of the Republic of Kazakhstan and shall be applied by State bodies in case if activity, good (work, service) of the body under check directly threatens constitutional rights, liberties and legal interests of individuals and legal entities, human life and health, environment and national security of the Republic of Kazakhstan.
  2. Surveillance is divided into:
  1) Supreme surveillance performing by procuracy on behalf of the State in accordance with the Constitution of the Republic of Kazakhstan, the Law of the Republic of Kazakhstan "On procuracy" and other legislation of the Republic of Kazakhstan;
  2) Surveillance performing by authorized state bodies in order and due to the conditions established by this Law and other laws of the Republic of Kazakhstan.

   Article 10. Forms of control and surveillance

  1. Control and surveillance for the activity of bodies under check shall be done in the form of:
  1) Checking, organization and performance order of which is determined by this Law;
  2) Other forms of control and surveillance bearing preventive character unless otherwise provided by the Tax code of the Republic of Kazakhstan, organization and performance order of which is determined by this Article and other Laws of the Republic of Kazakhstan.
  2. In performance of other forms of control and surveillance prior notification of the body under check and registration in the authorized body on legal statistics and special accounting is not required.
  According to the results of other forms of control and surveillance for private entrepreneurship bodies depending on their type final documents (reference, order, conclusion, etc.) can be prepared without initiation of proceedings about administrative violation in case of reveal of any violation, but with obligatory explanation of elimination procedure to the body under check.
  The second part of this paragraph does not cover other forms of control performed in accordance with the Tax code of the Republic of Kazakhstan.

   Article 11. Competence of control and surveillance bodies

  Control and surveillance bodies:
  1) Develop and implement state policy in the field of state control and surveillance in corresponding area;
  2) Make proposals on improvement of control and surveillance performance;
  3) Organize and carry out control and surveillance in accordance with laws of the Republic of Kazakhstan;
  4) Develop and approve normative legal acts in the field of control and surveillance within the frameworks of their competence;
  5) Organize and carry out monitoring of control and surveillance effectiveness;
  6) Perform mutual coordination of activity of control and surveillance bodies in the Republic of Kazakhstan;
  7) Perform other functions provided by this Law and other laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan.

Part 2. PROCEDURE OF ORGANIZATION AND CARRYING OUT OF CHECKINGS

   Article 12. General information about checking

  1. Checking of the body is one of the form of control and surveillance performed by control and surveillance bodies by means of one of the following actions:
  1) visiting of the body under check by the official of State body;
  2) inquiry of necessary information regarding the subject of checking, except the requesting of necessary information during carrying out of other forms of control and surveillance;
  3) calling of the body under check with the purpose of receiving of information about observation of requirements established by legislation of the Republic of Kazakhstan by him in accordance with Article 5 of this Law.
  2. The subject of checking is observation of requirements established by legislation of the Republic of Kazakhstan in accordance with Article 5 of this Law by the bodies under check.
  3. Action of this Part except paragraphs 2 and 3 of Article 26, Article 29 of this Law does not cover performance of control and surveillance connected with:
  1) crossing of State border of the Republic of Kazakhstan;
  2) performance of control and surveillance in the field of quarantine of plants, sanitary and quarantine control, veterinary control during crossing of custom border of customs union and (or) State border of the Republic of Kazakhstan;
  3) observation of requirements of traffic safety;
  4) transit of vehicles along the territory of the Republic of Kazakhstan in transport control stations concerning observation of transportation safety requirements;
  5) control and surveillance for observation of requirements on safety ship running by ship-owners and ship crew members in accordance with laws of the Republic of Kazakhstan on internal water transport and merchant shipping;
  6) observation of requirements on storage, bearing and usage of civilian weapons by individuals;
  7) performance of state control and surveillance on veterinary and quarantine of plants in markets, in organization, making production, preparation (slaughtering), storage, processing of products, animal and plant origin raw materials in single technological cycle;
  8) observation of requirements in the field of specially protected natural areas, protection of forest resources, use of forest resources, reproduction of forests and foresting in specially protected natural areas and on the territory of state forest resources, and also with the purpose of performance of control and surveillance for unauthorized taking out of subjects of flora and fauna;
  9) control and surveillance of measures in quarantine zones and adverse points regarding dangerous livestock diseases;
  10) observation of requirements on flight safety of aircrafts and aviation safety by individuals and legal entities;
  11) control in the field of legal weapon turnover, explosive and poisonous substances, drugs, psychotropic substances and precursors, civil pyrotechnic materials and products with their application within the frameworks of operational and preventive measures of internal affair bodies;
  12) control on the territory of the body performing production of definite types of excisable goods, by means of excisable posts, established in accordance with the Tax legislation of the Republic of Kazakhstan, and also carrying out of control accounting of ethyl alcohol and alcoholic products in organizations performing production of ethyl alcohol and alcoholic products, by means of determination of correspondence of the applicant to qualification requirements stated for the activity in the field of production and turnover of ethyl alcohol and alcoholic products;
  13) observation of requirements of financial legislation of the Republic of Kazakhstan and control and surveillance of financial market and financial organizations;
  14) observation of requirements of antimonopoly legislation of the Republic of Kazakhstan;
  15) observation of requirements of budget legislation of the Republic of Kazakhstan and other normative legal acts regulating the issues of state budget execution;
  16) observation of legislation of the Republic of Kazakhstan on regulation of trading activity.
  4. Relations appearing in carrying out of checking stated in point 3 of this Article shall be regulated in accordance with laws of the Republic of Kazakhstan.
  5. Features of procedure, terms of performance, extension, suspension of checking, registration of the act of assignment, results and completion of checking performed by Tax bodies, shall be determined by Tax code of the Republic of Kazakhstan.
   Footnote. Article 12 with alteration included by the Law of the RoK of 26.01.2011 (enacts in thirty days after the first official publication).

   Article 13. System of risk assessment

  1. Depending on the degree of risk State bodies refer bodies under check to the groups of high, average or insignificant risk and determine frequency of programmed checking performance but not oftener than:
  1) once in one year – in case of high degree of risk;
  2) once in three years – in case of average degree of risk;
  3) once in five years – in case of insignificant degree of risk.
  2. For checking of observation of requirements established by legislation of the Republic of Kazakhstan in accordance with Article 5 of this Law in the field of sanitary and epidemiological surveillance, veterinary, quarantine and protection of plants, seed breeding, grain and cotton market, architecture, urban construction and construction, frequency of scheduled checking performance shall not be oftener than:
  1) in the field of veterinary, quarantine and protection of plants, seed breeding, grain and cotton market:
  once in half-year – in case of high degree of risk;
  once in one year – in case of average degree of risk;
  once in three years – in case of insignificant degree of rick;
  2) in the field of sanitary and epidemiological surveillance:
  once in a month – in case of high degree of risk;
  once in a quarter – in case of average degree of risk;
  once in one year – in case of insignificant degree of risk;
  3) in the field of architecture, urban construction and construction:
  once in a quarter – in case of high degree of risk;
  once in half-year – in case of average degree of risk;
  once in one year – in case of insignificant degree of risk.
  Distribution of bodies under check according to the degrees of risks is performed taking into account the importance of the body from the point of view of heaviness of consequences, field statistics of violation of the requirements established by legislation of the Republic of Kazakhstan in accordance with Article 5 of this Law and also results of scheduled checking.
  3. State bodies develop and approve acts regarding the forms of obligatory department accounting, checking lists, criteria of risk degree assessment, annual plan of checking performance.
  4. Criteria of risk degree assessment in the field of private entrepreneurship is approved by joint order of control and surveillance bodies and authorized body on entrepreneurship and shall be published in official internet resources of State bodies.
 Criteria of risk degree assessment is a complex of qualitative and quantitative values connected with direct activity of the body under check, features of field development and factors influencing this development and allowing to refer the bodies under check to different degrees of risk.

   Article 14. Departmental accounting

  1. State bodies develop and approve acts regarding forms of obligatory departmental accounting.
  Forms of obligatory departmental accounting on the issues of checking of bodies shall be approved by joint order of the head of State body, authorized body of legal statistics and special accounting.
 Forms of obligatory departmental accounting on the issues of checking of bodies in the field of private entrepreneurship also shall be approved by the authorized body of entrepreneurship.
  2. Control and surveillance bodies on constant basis shall keep departmental accounting regarding number of checkings for bodies under check and revealed violations in accordance with checking lists and taken measures.
  Summary data of departmental accounting on the checking of bodies under check shall be published in official internet resources of State bodies.

   Article 15. Checking lists

  1. For uniform groups of control and surveillance bodies within the frameworks of their competence shall approve checking lists.
  Forms of checking lists shall be determined and approved by control and surveillance bodies and do not subject to publishing in mass media and official internet resources of State bodies.
  Forms of checking lists in the field of private entrepreneurship shall be approved by joint order of control and surveillance bodies and the authorized body of entrepreneurship and published in official internet resources of State bodies.
  2. Checking list includes full list of requirements to the activity of bodies under check stated by legislation of the Republic of Kazakhstan in accordance with Article 5 of this Law, non-observance of which results in threat to human life and health, environment, legal interests of individuals and legal entities and the State.
  Requirements to the bodies under check containing in checking lists are formed in accordance with the principles of minimal sufficiency.
  Requirements to the activity of the bodies under check which are not provided by legislation of the Republic of Kazakhstan in accordance with Article 5 of this Law or those which do not influence the decrease of degree of risk from the activity of the body under check shall not be included in checking lists and provided to the bodies under check during checking.

   Article 16. Types of checking

  1. Checkings of the bodies are divided as follows:
  1) scheduled;
  2) unscheduled.
  Scheduled checking is the checking set by control and surveillance body towards definite body under check on the basis of checking schedule approved by the authorized body in accordance with the system of risk assessment and taking into account established time intervals in comparison with previous checking with the purpose of prevention of threat for human life and health, environment, legal interests of individuals and legal entities and the State.
  Unscheduled checking is the checking set by control and surveillance body towards definite body under check with the purpose of elimination of direct threat to human life and health, environment, legal interests of individuals and legal entities and the State.
  2. Scheduled and unscheduled checking are performed in working time of the body under check established by the rules of internal labor order, unless otherwise provided by the second part of this paragraph.
  Unscheduled checking can be done in after working hours (night, holidays or days off) in case of necessity to eliminate violation immediately at the moment of their commitment.
  3. Scheduled and unscheduled checkings are divided into:
  1) complex checking;
  2) subject checking.
  In case of necessity of immediate performance of checking of the body by several control and surveillance bodies, each of these bodies shall execute act of checking assignment and register it in the authorized body of legal statistics and special accounting.
  In case of necessity of uniform performance of checking of several bodies under check in the same range of issues by one control and surveillance body this body shall register act about checking assignment for each body under check and also register it in the authorized body on legal statistics and special accountings except the checking on the following issues:
  1) registration in tax bodies;
  2) availability of cash registers;
  3) availability and authenticity of excise duty stamp and record control marks;
  4) availability of nonrepeat coupon;
  5) availability of license;
  6) permission for delivery of ethyl alcohol;
  7) patent;
  8) registration card stated in Article 574 of the Tax code of the Republic of Kazakhstan.
  Complex checking is the checking of the activity of the body under checking on the set of issues concerning observation of the requirements stated by legislation of the Republic of Kazakhstan in accordance with Article 5 of this Law.
  Subject checking is the checking of activity of the body under check on different issues of observation of the requirements stated by legislation of the Republic of Kazakhstan in accordance with Article 5 of this Law.
  4. Till the 10th of December of the year preceding the year of performance of scheduled checking, control and surveillance bodies send annual schedules of checking performance to the authorized body on legal statistics and special accounting for formation of annual composite plan of scheduled checking performance by General Procuracy of the Republic of Kazakhstan.
  5. Alterations of annual schedules of checking performance are not allowed.
  General Procuracy of the Republic of Kazakhstan places annual composite plan of scheduled checking performance in official internet resource of General Procuracy of the Republic of Kazakhstan before the 25th of December of current calendar year.
  6. Basis for scheduled checking of bodies under check is the schedule approved by control and surveillance body on the basis of the results of measures of risk assessment system.
  7. Basis for unscheduled checking of bodies under check is:
  1) control of order performance (decrees, submissions, notifications) concerning revealed violations as a result of checking and according to the results of other forms of control and surveillance;
  2) receiving of information and applications from individuals and legal entities, State bodies, deputies of the Parliament of the Republic of Kazakhstan and local representative bodies about causing or threat of causing of significant harm to human life and health, environment and legal interests of individuals and legal entities or the State;
  3) counter checking regarding the third parties with which the body under check had civil and law relations with the purpose of receiving of information necessary for checking performance;
  4) initiative application of the body under check concerning performance of checking of his activity;
  5) reorganization and change of the name of the body under check if scheduled checking has been planned for him;
  6) repeated checking connected with the application of the body under check on disagreement with the first checking;
  7) basis provided by the Code of criminal procedure of the Republic of Kazakhstan;
  8) applications of a taxpayer, information and issues determined by Article 627 of the Tax code of the Republic of Kazakhstan.
  8. Unscheduled checking is not performed in case of anonymous application.
  9. Unscheduled checking covers facts and circumstances which are the basis for performance of this unscheduled checking.
  10. In case of appearance or threat of appearance of spreading of epidemic, quarantine areas and very dangerous harmful organisms, contagious and parasitogenic diseases, intoxications, radiation accidents, unscheduled checking of bodies is performed without prior notification and registration of acts on checking assignment with its following application to the authorized body on statistics and special accounting during the following business day.
  11. In case of finding of any basis for performance of unscheduled checking on sites and for bodies situated at significant distance from the place where control and surveillance bodies and the authorized bodies on legal statistics and special accounting are situated, unscheduled checking is performed without prior notification and registration of act on checking assignment with its following application to the authorized body on statistics and special accounting during the following five business days.
  12. Listed basis for performance of scheduled and unscheduled checking are applied towards structural subdivisions of State bodies, legal entities, structural subdivisions of legal entities-non-residents, legal entities-non-residents, performing its activity without registration injustice agencies.
  13. It is forbidden to perform any other types of checking which are not stated by this Law except checking provided by the Tax code of the Republic of Kazakhstan.

   Article 17. Act on checking assignment

  1. Checking is performed on the basis of the act on checking assignment by State body.
  2. In the act on checking assignment the following information shall be given:
  1) number and date of act issue;
  2) name of State body;
  3) name, surname and patronymic (if any) and position of the person (persons) authorized for checking performance;
  4) information about specialists, consultants and experts involved in checking performance;
   Note provided by the RCLI!
  Till the 1st of January, 2012 in subparagraph 5) words "identification number" shall be deemed as "Taxpayer registration number" (see Article 31).
  5) name of the body under check or surname, name, patronymic (if any) of individual towards which the checking is assigned, his location, identification number, part of territory.
  In case of checking of a branch and (or) representation of legal entity in the act on checking assignment its name and location shall be stated;
  6) body of the assigned checking;
  7) terms of checking performance;
  8) legal basis for checking performance, including normative legal acts, obligatory requirements of which are subject to checking;
  9) checking period;
  10) rights and obligations of the body under check provided by Article 27 of this Law;
  11) signature of a person authorized to sign acts, and a stamp of State body.

   Article 18. Registration of the act on checking assignment

  1. The act on checking assignment except counter checking performed by Tax service bodies in accordance with Tax code of the Republic of Kazakhstan shall obligatory be registered by the authorized body on legal statistics and special accounting.
  Registration of the act on checking assignment bears accounting character and is used for formation and improvement of departmental systems of risk assessment.
  Availability of registration of the act on checking assignment is not the proof of legality of such checking.
  General information about the acts on counter checking assignment performed by Tax service bodies in view of private entrepreneurship bodies shall quarterly be transferred to the authorized body on legal statistics and special accounting.
  2. The act on checking assignment by control and surveillance body shall be registered by the authorized body on legal statistics and special accounting before starting of accounting by means of its provision to the territorial subdivision of the authorized body on legal statistics and special accounting according to the location of the body under check, in electronic format also.
  Procedure of registration of acts on checking assignment, suspension notifications, renewal, prolongation of checking terms, also on the change of the staff and provision of informative registration documents concerning checking and its results shall be defined by the authorized body on legal statistics and special accounting.
  3. In case when the necessity of checking is connected with the current social and economical situation, requiring immediate elimination of threat to public order, human health and national interests of the Republic of Kazakhstan (night, days off and holidays) due to the necessity of elimination of violations directly at the moment of their performance and carrying out of urgent actions for strengthening of proofs, registration of the acts on checking assignment shall be done in the authorized body on legal statistics and special accounting during the following business day of business day following the day of checking starting.

   Article 19. Procedure of checking performance

  1. Control and surveillance body shall inform the body under check in writing about starting of scheduled checking performance not less than thirty calendar days in advance before starting of the checking and also provide information concerning terms and subject of checking performance.
  In case of performance of unscheduled checking except cases provided by subparagraphs 2), 3), 4), 7), 8) of paragraph 7, paragraphs 9 and 10 of Article 16 of this Law, State body shall inform the body under check about starting of unscheduled checking not less than one day before starting of the checking and provide subject of checking performance.
  2. Officials of State bodies arrived for checking shall provide:
  1) The act on checking assignment with the mark about registration in the authorized body on legal statistics and special accounting;
  2) certificate of employment;
  3) if necessary, permission of competent body for visiting of sensitive facilities;
  4) medical permit issued in order established by the authorized body in the field if health protection, availability of which is necessary for visiting of sites;
  5) checking list in case of scheduled checking.
  Date of submission of the act on checking assignment to the body under check is the day of checking performance starting.
  3. In case of refusal to accept the act on checking assignment or impeding to access of the official of control and surveillance body who performs checking to the materials necessary for checking performance, a protocol shall be made. This protocol shall be signed by the official of control and surveillance body who performs checking and also by the authorized person of the body under check.
  The authorized person of the body under check has right to refuse from signing of this protocol after giving written explanation concerning the reason of such refusal. Refusal from receiving of the act on checking assignment is not the basis for checking cancellation.
  4. The checking can be done only by the official (officials) whose name is stated in the act on checking assignment. Herewith the staff of officials performing the checking can be changed due to decision of control and surveillance body, and the body under check and the body on legal statistics and special accounting shall be informed about it before starting of participation of bodies which are not stated in the act on checking assignment in the checking with the notification of the reason of their replacement.

   Article 20. Term of checking performance

  1. The term of checking performance is established taking into account the volume of work and also set tasks, and shall not exceed thirty business days except such cases as performance of tax inspection provided by Tax legislation of the Republic of Kazakhstan, and also checking performed in the field of sanitary and epidemiological control, veterinary, quarantine and protection of plants, seed breeding, grain and cotton market, for which the following terms are set taking into account field features:
  1) checking in the field of sanitary and epidemiological control – to fifteen business days and with prolongation to fifteen business days;
  2) in the field of veterinary, quarantine and protection of plants, seed breeding, grain and cotton market – no more than five business days and with prolongation to five business days.
  In case of necessity to perform special researches, testing, expertise, and also in connection with significant volume of the checking, the term of checking performance can be prolonged only once by the head of Control and surveillance body (or his deputy) for the term no more than thirty business days except such cases as performance of Tax inspection provided by Tax legislation of the Republic of Kazakhstan and cases provided by this paragraph.
  In case of prolongation of checking terms State body shall in obligatory order register additional act on prolongation of checking with registration in the authorized body on legal statistics and special accounting where number and registration date of the previous act on checking assignment shall be stated as well as the reason of prolongation.
  Checking can be suspended once for the period no more than one month.
  n case of necessity to receive information and documents from foreign countries having significant importance within the frameworks of the checking performed, performance of special researches, testing, expertise for the term more than thirty business days, checking performance term shall be suspended till their receiving or performance.
  Notification of the body under check about suspension or renewal of the checking is done one day prior to suspension or renewal of the checking with the notification of the body on legal statistics and special accounting.
 In case of suspension or renewal of the checking the act on suspension or renewal of the checking shall be provided.
  Calculation of terms of suspended checking performance continues from the day of its renewal.
  Repeated performance of checking of the body under check on which the checking has been suspended and not renewed in terms stated in this Article is not allowed.
  Features of the procedure and terms of performance, prolongation and suspension of the checking performed by Tax service bodies are separated by Tax code of the Republic of Kazakhstan.

   Article 21. Sampling procedure for expertise (analysis, testing)

  1. Sampling for performance of control and surveillance, including quantity of samples, shall be determined in accordance with the requirements of normative documents of the Republic of Kazakhstan for products and testing methods for products.
  2. Sampling shall be done by an official of control and surveillance body in presence of the head or representative of the body under check and the authorized person of the body under check and shall be certified by the act on sampling.
  Taken samples shall be completed, packed and sealed.
  3. The act on sampling shall be prepared in three copies. All copies of the act shall be signed by the official taking samples of products, and by the head or representative of the body under check.
  One copy of the act on sampling together with assignment and samples of products taken properly shall be sent to the organization authorized by legislation of the Republic of Kazakhstan for expertise (analysis, testing).
  The second copy of the act on sampling of products shall be kept by the body under check.
  The third copy of the act on sampling of products shall be kept by the official of control and surveillance body which has performed sampling.
  4. Conditions of storage and transportation of taken samples shall not change parameters due to which expertise (analysis, testing) of these samples will be done.
  The official of control and surveillance body who takes samples of products for expertise (analysis, testing) shall provide their safety and timeliness of delivery to the place of expertise (analysis, testing) performance.
  5. Expenses connected with the sampling of products shall be covered at the account of budget means.
  6. In case of confirmation of fact of violation of obligatory requirements established by legislation of the Republic of Kazakhstan in accordance with the Article 5 of this Law by the body under check according to the results of expertise, this body shall reimburse these expenses for expertise performance in order established by legislation of the Republic of Kazakhstan.
  7. The body under check on its initiative can carry out expertise (analysis, testing) of the sample left at its place in organization authorized in accordance with legislation of the Republic of Kazakhstan for expertise performance (analysis, testing).
  Dispute about difference of the results of expertise (analysis, testing) performed by control and surveillance body and the body under check shall be solved juridically.

   Article 22. The act on sampling of products

  In the act on sampling of products the following information shall be provided:
  1) place and date of preparation;
  2) number and date of the decision of the head of control and surveillance body on the basis of which sampling of products is performed;
  3) positions, surnames, names and patronymics of officials performing selection of samples of products;
  4) name and location of the body under check from which the samples of products are taken;
  5) position and surname, name, patronymic of the authorized person of the body under check;
  6) list and quantity of taken samples of products with the name of manufacturer, production date, series (number) of parcel, general cost of samples;
  7) type of packing and number of stamp.

   Article 23. Limitations in checking performance

  In performance of checking the officials of control and surveillance bodies have no right:
  1) to check fulfillment of requirements established by legislation of the Republic of Kazakhstan in accordance with Article 5 of this Law, if such requirements have no relation to the competence of State body on behalf of which these officials act;
  2) to require provision of documents, information, samples of products, samples of inspection of subjects of environment and industrial environment, if they are not subject to checking or do not refer to the subject of checking;
  3) to take samples of products, samples of inspection of subjects of environment and industrial environment for carrying out of their researches, testing, measurements without registration of protocols about selection of samples in accordance with the established form and (or) in quantity increasing norms established by state standards, rules of sampling and methods of their research, testing, measurement, technical regulations or other normative technical documents acting till the day of their coming into force, rules and methods of research, testing, measurements;
  4) to divulge and (or) spread information received as a result of checking performance which is commercial, tax or other secret protected by the law, except cases provided by laws of the Republic of Kazakhstan;
  5) to exceed terms established for checking performance;
  6) to perform certainly repeated checking of the body under check towards which the checking has been performed already on the same issue and for the same period except cases provided by subparagraphs 2), 4), 6), 7) and 8) of paragraph 7 of Article 16 of this Law;
  7) To carry out measures which are rather cost for the purpose of state control at the expense of the bodies under check.

   Article 24. Procedure of checking registration

  1. According to the results of checking the official of control and surveillance body shall prepare the act on checking results in two copies.
  The act on checking results includes the following information:
  1) date, time and place of act preparation;
  2) name of control and surveillance body;
  3) date and number of the act on checking assignment on the basis of which the checking has been done;
  4) surname, name, patronymic (if any) and position of the person (persons) performing the checking;
  5) name or surname, name, patronymic (if any) of the body under check, position of representative of individual or legal entity taking part in the checking;
  6) date, place and period of checking performance;
  7) information about the results of the checking including revealed violations and their character;
  8) information about familiarization or refusal in familiarization with the act of representative of the body under check, and also persons taking part in checking, their signature or refusal from signing;
  9) Signature of the official (officials) performing checking.
 Acts on selection of samples of products, inspection of subjects of environment, protocols (conclusions) of performed researches (testing) and expertise and other documents or their copies connected with the results of checking shall be attached to the act on checking results, if any.
  2. In case of availability of notes and (or) objections due to the results of checking the Head of legal entity of individual, or their representatives shall state them in writing.
  Notes and (or) objections shall be attached to the act on checking results, and correspondent mark about it shall be made.
  3. One copy of the act on checking results with copies of annexes except copies of documents available in original and kept by the body under check shall be given to the head of legal entity or individual or to their representatives for familiarization and taking measures on elimination of revealed violations and other actions.
  4. According to the violations revealed as a result of checking the body under check shall provide information about measures that will be taken regarding elimination of revealed violations in three days in case of absence of objections, with notification of terms which shall be agreed with the head of State body performing the checking.
  5. The bodies under check have right to keep book of visit and checking registration. The officials of control and surveillance bodies shall register performed actions in the book of visit and checking registration of the bodies under check with the notification of surnames, positions and data provided in the act.
  6. Taking out and seizure of original accounting and other documents is forbidden.
 Taking out and seizure of original documents shall be done in accordance with the norms of Code of criminal procedure of the Republic of Kazakhstan and also in cases provided by the Code of the Republic of Kazakhstan about administrative violations.
  7. In case of absence of violation of the requirements established by legislation of the Republic of Kazakhstan in accordance with Article 5 of this Law during performance of the checking, correspondent record shall be made in the act on checking results.
  8. The day of receiving of the act on checking results by the body under check is the day of ending of checking term, not later than the term of checking ending stated in the act on checking assignment.

   Article 25. Measures taken by the officials of control and surveillance bodies due to the facts of violations revealed during checking performance

  If the fact of violations of the requirements established by legislation of the Republic of Kazakhstan in accordance with Article 5 of this Law is revealed during checking performance, the official (officials) of control and surveillance bodies within powers provided by legislation of the Republic of Kazakhstan shall take measures provided by laws of the Republic of Kazakhstan regarding elimination of revealed violations, their prevention, prevention of possible causing of harm for human life, health and environment, legal interests of individuals and legal entities, and also measures on involvement of persons allowing such violation to responsibility established by laws of the Republic of Kazakhstan.
  In case of taking measures of prohibitive and restrictive character towards the body under check, control and surveillance body in cases and in order established by laws of the Republic of Kazakhstan shall inform prosecutor about it.

   Article 26. Rights and obligations of the officials of State bodies during control and surveillance performance

  1. Officials of State bodies during performance of control and surveillance for the bodies under check have right:
  1) of unobstructed access on the territory and in premises of the body under check in case of provision of documents given in paragraph 2 of Article 19 of this Law;
  2) to receive documents (information) in paper and electronic format or their copies for exposure to the act on checking results and also access to automated database (informational system) in accordance with the tasks and subject of the checking;
  3) to involve specialists, consultants and experts of State bodies and lower organizations.
  2. The officials of control and surveillance bodies performing the checking are forbidden to present requirements and claims which have no relation to the subject of the checking.
  3. The officials of control and surveillance bodies during control and surveillance performance shall:
  1) observe legislation of the Republic of Kazakhstan, rights and legal interests of the bodies under check;
  2) perform checking on the basis and in strict correspondence with the procedure established by this Law and (or) other laws of the Republic of Kazakhstan;
  3) not to prevent the established work order of the bodies under check during checking performance;
  4) timely and fully perform powers provided in accordance with laws of the Republic of Kazakhstan regarding prevention, revelation and suppression of violations of the requirements established by legislation of the Republic of Kazakhstan in accordance with Article 5 of this Law;
  5) not to prevent the body under check in participation in checking performance, giving explanations on the issues regarding the subject of the checking;
  6) provide necessary information regarding the subject of the checking during its performance to the body under check;
  7) provide the act on performed checking results to the body under check on the day of its completion or in order and in terms established by the Law of the Republic of Kazakhstan "On state regulation and surveillance of financial market and financial organizations";
  8) provide safety of received documents and information received as a result of checking performance.

   Article 27. Rights and obligations of the body under check during control and surveillance performance

  1. The bodies under check during control and surveillance have right:
  1) not to allow control and surveillance bodies arrived for performance of checking on the side to perform checking in case of:
  nonobservance of time intervals towards previous checking during assignment of the scheduled checking;
  exceeding or expiration of terms stated in the act on checking assignment, which do not correspond the terms established by this Law;
  assignment by State body of repeated checking of the body under check towards which the checking has been done before on the same issue and for the same period, except cases established by subparagraphs 2), 4), 6), 7) and 8) of paragraph 7 of Article 16 of this Law;
  assignment of unscheduled checking in accordance with subparagraph 1) of paragraph 7 of Article 16 of this Law, if previous checking has not revealed any violation;
  absence of information and documents provided by Articles 13, 14, 15 and subparagraph 1 of Article 18 of this Law;
  assignment of the checking for the period growing out of the time limit established in application or notification about committed or imminent crimes, in other applications regarding violation of rights and legal interests of individuals and legal entities and state, unless otherwise provided by Tax code o the Republic of Kazakhstan;
  assignment of checking performance to persons which do not have correspondent powers for this;
  statement of several bodies under check in one act on checking assignment, except cases established in paragraph 3 of Article 16 of this Law;
  prolongation of terms for checking beyond the term established by this Law;
  2) not to provide information if it does not refer to the subject of the checking and does not refer to the period stated in the act;
  3) appeal the act on checking assignment, the act on checking results and action (inaction) of officials of State bodies n order established by legislation of the Republic of Kazakhstan;
  4) not to perform prohibitions of State bodies or officials which are not based on law and limit the activity of the bodies under check;
  5) record the process of checking performance and separate actions of the official, performing by him within the frameworks of checking, with the help of means of audio and video technology without obstructing to the activity of the official;
  6) involve the third parties to the participation in the checking with the purpose of provision of their interests and rights and also performance of actions provided in subparagraph 5) of paragraph 1 of this Article by the third parties.
  2. The bodies under check during control and surveillance by State bodies shall:
  1) provide unobstructed access for the officials of control and surveillance bodies on the territory and to the premises of the body under check in observation of the requirements of paragraph 1 of Article 18 of this Law;
  2) with observation of the requirements on protection of commercial, tax or other secret, provide the officials of control and surveillance bodies documents (information) in paper and electronic format or their copies for exposure to the act on checking results, and also access to automаted database (informational systems) in accordance with tasks and subject of checking;
  3) indorse about receiving on the second copy of the act on checking assignment;
  4) indorse about receiving on the second copy of the act on performed checking results on the day of its completion;
  5) not to allow any changes and addendums to the checked documents during the period of checking performance, unless otherwise provided by this Law or other laws of the Republic of Kazakhstan;
  6) provide safety of persons arrived for checking performance on the site from harmful and dangerous industrial factors of influence in accordance with the norms established for this body.

   Article 28. Invalidity of checking performed with fragrant violation of the requirements of this Law

  1. The checking is deemed as invalid, if the checking performed by control and surveillance body has been done with fragrant violation of the requirements to organization and performance of the checking established by this Law.
  The act of accepted invalid checking cannot be the proof of violation by the bodies under check of the requirements established by legislation of the Republic of Kazakhstan in accordance with Article 5 of this Law.
  Voidance of the checking is the basis for cancellation of this checking by supreme state body.
  Examination of an application of the body under check about cancellation of the act in connection with invalidity of the checking by supreme state body is done in ten business days from the moment of submission of the application.
  Violation of the established term of examination of such application is solved in favor of the body under check.
  2. Fragrant violations of requirements of this Law include:
  1) absence of grounds for checking performance;
  2) Absence of the act on checking assignment;
  3) nonobservance of terms of notification about checking performance;
  4) violation of the requirements of Article 23 of this Law;
  5) violation of time interval towards previous checking during scheduled checking assignment;
  6) failure to submit the act on checking assignment to the body under check;
  7) assignment of checking by State bodies regarding the issues not included in their competence.

   Article 29. Procedure of appeal of action (inaction) of control and surveillance bodies and their officials

  1. In case of violation of rights and legal interests of the bodies under check during performance of control and surveillance, the body under check has right to appeal of action (inaction) of correspondent control and surveillance body and (or) official to supreme state body or to the court in order established by legislation of the Republic of Kazakhstan.
  2. Appeal of actions (inactions) of State bodies connected with commencement and investigation of criminal case by the body under check shall be done in order established by Criminal procedure legislation of the Republic of Kazakhstan.

Part 3. FINAL PROVISIONS

   Article 30. Responsibility for violation of legislation of the Republic of Kazakhstan in the field of control and surveillance

  Violation of legislation of the Republic of Kazakhstan in the field of control and surveillance entails responsibility established by laws of the Republic of Kazakhstan.

   Article 31. Procedure of putting of this Law into force

  1. This Law is coming into force after ten calendar days after its first official publishing.
  2. Till the 1st of January, 2012 in subparagraph 5) of paragraph 2 of Article 17 of this Law words "identification number" shall be deemed as “Taxpayer registration number”.