LAW No. 377-IV OF 6th JANUARY 2011 OF THE REPUBLIC OF KAZAKHSTAN
CONCERNING STATE CONTROL AND SUPERVISION IN THE REPUBLIC OF KAZAKHSTAN
This Law shall regulate the general legal foundations of state control and supervision in the Republic of Kazakhstan and shall aim at the establishment of the unified principles for the performance of controlling and supervisory activity, as well as the protection of the rights and legitimate interests of state bodies, physical persons and legal entities with respect to whom the state control and supervision is carried out.
Chapter 1. GENERAL PROVISIONS
Article 1. Basic Concepts Used in this Law
The following basic concepts are used in this Law:
1. controlling and supervisory bodies mean state bodies and their territorial units which conduct, in accordance with the legislation, licensing and/or issue of other authorization documents, registration, as well as the observance and checking as to compliance of the activity of the inspected entities with the requirements, as established by the legislation of the Republic of Kazakhstan in accordance with Article 5 hereof;
2) measures of prompt response mean methods of impact on inspected entities, as provided for by the laws of the Republic of Kazakhstan, in order to prevent the occurrence of socially dangerous consequences, applied in the course of, and upon the results of, inspection;
3) state control (hereinafter – control) means the activity of a state body for the inspection and observance over the inspected entities as to compliance of their activity with the requirements, as established by the legislation of the Republic of Kazakhstan, in the course of its carrying out, and upon the results of which, the measures of rights restrictive nature may be applied, without using prompt response;
4) state supervision (hereinafter – supervision) means the activity of a state body for the inspection and observance over the inspected entities as to compliance of their activity with the requirements as established by the legislation of the Republic of Kazakhstan, in the course of its carrying out, and upon the results of which, the measures of rights restrictive nature, including those of prompt response, may be applied;
5) risk means a possibility of infliction of damage as a result of the activity of the inspected entity on life or health of man, the environment, the legitimate interests of physical persons and legal entities, property interests of the state subject to the severity of its consequences;
6) risk evaluation system means a set of measures carried out by a body of control and supervision for the purpose of inspections planning;
7) inspected entities mean physical persons, legal entities, including state bodies, branches and representations of legal entities, over which activity the control and supervision are carried out.
Article 2. Legislation of the Republic of Kazakhstan on Control and Supervision
1. The legislation of the Republic of Kazakhstan on control and supervision shall be based on the Constitution of the Republic of Kazakhstan and shall consist of this Law and other regulatory legal acts of the Republic of Kazakhstan.
2. If an international treaty ratified by the Republic of Kazakhstan establishes other rules than those contained in this Law, the rules of an international treaty shall apply.
Article 3. Sphere of Application of this Law
1. This Law shall regulate the relations in the area of the organization of performance of control and supervision over the inspected entities irrespective of the legal status, forms of ownership and types of activity, except for cases as provided for by paragraphs 3, 4 of this Article and paragraph 3 of Article of this Law.
2. This Law shall establish:
1) the procedure for the performance of inspections carried out by the bodies of control and supervision;
2) the procedure for cooperation of the bodies of control and supervision in the performance of inspections;
3) the rights and obligations of the inspected entities in the performance of control and supervision, measures for the protection of their rights and legitimate interests;
4) the rights and obligations of the bodies of control and supervision and their officials in the performance of inspections.
3. The effect of this Law, except for Articles 4 and 8 of this Law, shall not apply to the relations connected with:
1) control over the observance of the terms of investment contracts, which provide for investment preferences;
2) control over the implementation by a subsurface user of the terms of contracts for the performance of exploration, production, combined exploration and production of useful minerals or construction and/or operation of underground structures not associated with exploration and/or production, or for state geological study of subsurface;
3) state control in the sphere of customs business.
4. The effect of this Law, except for Article 8 of this Law shall not apply to the relations in the spheres of:
1) superior supervision performed by the prosecutor’s office;
2) control and supervision in the course of prejudicial criminal proceedings;
4) operational search activity;
5) control over the observance of the requirements of the legislation of the Republic of Kazakhstan on state secrets.
5. The relations arising in the course of implementation of control and supervision specified in paragraphs 3 and 4 of this Article, and also related to the compliance with the requirements of the financial legislation of the Republic of Kazakhstan, control and supervision of the financial market and financial organisations shall be established by the laws of the Republic of Kazakhstan that regulate relations in the said spheres.
Article 4. The Principles and Tasks of Control and Supervision
1. Control and supervision shall be based on the principles of:
2) equality of all persons before the law and court;
3) presumption of fairness of a physical person or legal entity;
5) planned and system nature of control and supervision;
6) professionalism and competence of officials of state bodies;
7) responsibility for non-performance or improper performance by officials of controlling and supervisory bodies of their obligations and exceeding by them of their authorities;
8) priority of prevention of a violation of law over punishment;
10) delineation of controlling powers between state bodies;
11) encouragement of conscientious inspected entities, concentration of control and supervision on violators;
12) increase of capacity of the inspected entities and consumers to individual protection of their own legal rights;
13) answerability and transparency of the system of state control and supervision;