Article 51. Notification control and permissive control The Law on Permits and Notifications

Home / RLA / Article 51. Notification control and permissive control The Law on Permits and Notifications

1. Permissive control carried out for compliance with qualification or permissive requirements for permits issued, requirements for notifications sent, is carried out in the form of verification in accordance with the Business Code of the Republic of Kazakhstan and the Law of the Republic of Kazakhstan "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations, unless otherwise provided for in paragraph 1-1 of this Article."

If the laws of the Republic of Kazakhstan provide for the procedure for conducting permissive control carried out for compliance with qualification or permissive requirements for permits issued, requirements for notifications sent through an automated information system, then such control is carried out in accordance with such laws of the Republic of Kazakhstan.

1-1. Permissive control carried out for compliance with the qualification or licensing requirements for issued permits in the field of industrial safety is carried out in the form of verification in accordance with the Law of the Republic of Kazakhstan "On Civil Protection".

2. Permissive control is carried out in accordance with the procedure established by paragraphs 2-1 – 2-4 of this article.

In the field of financial sector activities and activities related to the concentration of financial resources, permissive control is carried out in accordance with the procedure established by the Law of the Republic of Kazakhstan "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations", as well as regulatory legal acts of the National Bank of the Republic of Kazakhstan.

2-1. If there is a need to visit the applicant in the regulatory legal acts of the Republic of Kazakhstan on the approval of qualification and licensing requirements, an opinion on the applicant's compliance or non-compliance with qualification or licensing requirements is drawn up based on the results of the visit.

The conclusion on the applicant's compliance or non-compliance with the qualification or licensing requirements shall specify:

1) date, time and place of the conclusion;

2) the name of the licensing authority;

3) last name, first name, patronymic (if it is indicated in the identity document) and the position of the person(s) who carried out the licensing control;

4) the name or surname, first name, patronymic (if it is indicated in the identity document) of the applicant, the position of the representative of an individual or legal entity who was present during the licensing control;

5) information about specialists, consultants and experts of government agencies and subordinate organizations involved in conducting licensing control;

6) information on the results of licensing control, including the identified inconsistencies with qualification or licensing requirements;

7) information on familiarization or refusal to familiarize with the conclusion of the applicant, the applicant's representative, as well as persons present during the implementation of licensing control, their signatures or refusal to sign;

8) the signature of the official(s) who carried out the licensing control.

The conclusion on the applicant's compliance or non–compliance with the qualification or licensing requirements shall be accompanied by acts on sampling (samples) of products, inspection of environmental facilities, protocols (conclusions) of studies (tests) and examinations, and other documents or copies thereof related to the results of licensing control, if any.

If there are comments and/or objections based on the results of the licensing control, the applicant or his representatives have the right to submit comments and/or objections in writing.

Comments and (or) objections are attached to the conclusion on the applicant's compliance or non-compliance with the qualification or licensing requirements, and an appropriate note is made in it.

The licensing authority must consider the comments and (or) objections of the subject of control to the conclusion that the applicant meets or does not meet the qualification or licensing requirements and provide a reasoned response within fifteen working days.

In case of refusal to accept a conclusion on the applicant's compliance or non-compliance with the qualification or licensing requirements, an act is drawn up, which is signed by the officials exercising licensing control and the applicant's supervisor or his authorized representative.

The applicant or his authorized representative has the right to refuse to sign the act by giving a written explanation of the reason for the refusal.

The conclusion on the applicant's compliance or non-compliance with the qualification or licensing requirements is drawn up in two copies.

The first copy of the conclusion on the applicant's compliance or non-compliance with the qualification or licensing requirements remains with the licensing authority, the second copy on paper against signature or in electronic form is transmitted to the applicant (the head of the legal entity or his authorized person, an individual).

The seizure and seizure of authentic accounting and other documents during the implementation of licensing control is prohibited.

If the applicant meets the qualification or licensing requirements, an opinion is drawn up on the applicant's compliance with the qualification or licensing requirements.

2-2. When carrying out permissive control, officials of the permissive body may not:

1) verify the fulfillment of requirements not established in the regulatory legal acts of the Republic of Kazakhstan on the approval of qualification and licensing requirements;

2) require the provision of documents, information, product samples, environmental and industrial inspection samples, if they are not objects of permissive control or do not relate to its subject matter;

3) to take samples of products, environmental inspection samples and industrial environment objects for their research, testing, measurements without registration of protocols on the selection of specified samples, samples in the prescribed form and (or) in quantities exceeding the norms established by national standards, rules for sampling, sampling and methods of their research, testing, measurements, technical regulations or other normative technical documents, rules and methods of research, testing, measurements in force before the date of their entry into force;

4) disclose and (or) disseminate information obtained as a result of licensing control and constituting a commercial, tax or other legally protected secret, except in cases provided for by the laws of the Republic of Kazakhstan;

5) make demands and make requests that are not related to the subject of licensing control.

2-3. Officials of licensing authorities, when exercising licensing control, have the right:

1) unhindered access to the territory and premises of the applicant;

2) receive documents (information) on paper and electronic media or copies thereof for attaching to the conclusion on the applicant's compliance or non-compliance with qualification or licensing requirements, as well as access to automated databases (information systems) in accordance with the subject of the applicant's licensing control in compliance with the requirements provided for by the legislation of the Republic of Kazakhstan on state secrets and other a secret protected by the law of the Republic of Kazakhstan;

3) to carry out audio, photo and video shooting;

4) use records of technical controls, monitoring and recording devices, photo and video equipment related to the subject of licensing control;

5) involve specialists, consultants and experts from government agencies and subordinate organizations.

Officials of licensing authorities, when exercising licensing control, are obliged to:

1) comply with the legislation of the Republic of Kazakhstan, the rights and legitimate interests of applicants;

2) not to interfere with the established work schedule of applicants during the period of permissive control;

3) not to prevent the applicant from being present during the permissive control, to provide explanations on issues related to the subject of permissive control;

4) provide the applicant with the necessary information related to the subject of licensing control;

5) to ensure the safety of documents and information obtained as a result of the implementation of licensing control.

2-4. Applicants or their authorized representatives, when exercising licensing control, have the right:

1) not to provide information if it does not relate to the subject of licensing control;

2) appeal the conclusion on the applicant's compliance or non-compliance with qualification or licensing requirements in accordance with the legislation of the Republic of Kazakhstan;

3) record the process of permissive control, as well as individual actions of the official of the permissive body carried out by him within the framework of permissive control, using audio and video equipment, without creating obstacles to the activities of the official;

4) involve third parties to participate in licensing control in order to represent their interests and rights.

Applicants or their authorized representatives, when exercising licensing control, are required to:

1) to ensure unhindered access of officials of licensing authorities to the territory and premises of the applicant;

2) in compliance with the requirements for the protection of commercial, tax or other legally protected secrets, submit to officials of licensing authorities documents (information) on paper and electronic media or copies thereof for attachment to the conclusion on the applicant's compliance or non-compliance with qualification or licensing requirements, as well as access to automated databases (information systems) in accordance with tasks and subject of permissive control;

3) make a note of receipt on the second copy of the conclusion on the applicant's compliance or non-compliance with the qualification or licensing requirements upon receipt;

4) to ensure the safety of persons who have arrived to carry out permissive control at the facility from harmful and dangerous industrial factors in accordance with the standards established for this facility.;

5) in case of receiving a notification about the upcoming licensing control, be at the location of the object of control and supervision at the appointed time and time.

3. Excluded by the Law of the Republic of Kazakhstan dated 04/06/2024 No. 71-VIII (effective sixty calendar days after the date of its first official publication).

4. Upon receipt of the notification, the state body independently verifies the applicant's compliance with the requirements established by the laws of the Republic of Kazakhstan, decrees of the President of the Republic of Kazakhstan, resolutions of the Government of the Republic of Kazakhstan or regulatory legal acts of the National Bank of the Republic of Kazakhstan, the authorized body for regulation, control and supervision of the financial market and financial organizations for carrying out activities, in accordance with the Entrepreneurial Code of the Republic of Kazakhstan and the Law Of the Republic of Kazakhstan "On State Regulation, control and supervision of the financial market and financial organizations".

President

Republic of Kazakhstan

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