THE ORDER OF THE STATE COMMITTEE OF UKRAINE CONCERNING REGULATORY POLICY AND THE ENTREPRENEURSHIP, THE MINISTRY OF FINANCE OF UKRAINE

of October 14, 2003 No. 112/583

About approval of the Procedure for control of observance of Licensed conditions of implementation of economic activity on production of forms of securities, documents of the strict reporting

According to article 8 of the Law of Ukraine "About licensing of certain types of economic activity", the Presidential decree of Ukraine of 25.05.2000 N 721/2000 "Questions of the State committee of Ukraine concerning regulatory policy and entrepreneurship" and the resolution of the Cabinet of Ministers of Ukraine of 14.11.2000 of N1698 "About Approval of the List of Bodies of Licensing" we ORDER:

1. Approve the Procedure for control of observance of Licensed conditions of implementation of economic activity on production of forms of securities, documents of the strict reporting which is applied.

2. To inspection department and authorization system of the State committee of Ukraine concerning regulatory policy and entrepreneurship (Apatenko O. P.) and to Management on control of production of securities (Gosznak), to Department of jurisdictional enterprises of the Ministry of Finance of Ukraine (V.P.'s Music) in the entered procedure to provide provision of this order on state registration in the Ministry of Justice of Ukraine.

3. To management of interaction with the public and mass media of the Ministry of Finance of Ukraine (Maysner A. V.) provide the publication of this order in mass media

4. To impose control over the implementation of this order on the vice-chairman Gospredprinimatelstva of Ukraine Tretyakov S. I. and Deputy Minister of Finance of Ukraine Makatsariya S. M.

 

Chairman of the State committee Ukraine concerning regulatory politicians and entrepreneurships

I. Bogoslovskaya

First vice-Prime Minister of Ukraine, Minister of Finance of Ukraine

N. Ya. Azarov

No. 112/583 is approved by the Order of the State committee of Ukraine concerning regulatory policy and entrepreneurship, the Ministry of Finance of Ukraine of October 14, 2003

Procedure for control of observance of Licensed conditions of implementation of economic activity on production of forms of securities, documents of the strict reporting

1. General provisions

1.1. Procedure for control of observance of Licensed conditions of implementation of economic activity on production of forms of securities, documents of the strict reporting (further - the Procedure) N721/2000 "Questions of the State Committee of Ukraine concerning Regulatory Policy and Entrepreneurship", the resolution of the Cabinet of Ministers of Ukraine of November 14, 2000 of N1698 "About Approval of the List of Bodies of Licensing", the joint order of the State committee of Ukraine concerning regulatory policy and entrepreneurship and the Ministry of Finance of Ukraine of January 9, 2001 of N1/3 "About Approval of Licensed Conditions of Implementation of Economic Activity on Production of Forms of Securities, Documents of the Strict Reporting" registered in the Ministry of Justice of Ukraine on January 23, 2001 for N 58/5249 is developed according to the Law of Ukraine "About licensing of certain types of economic activity", the Presidential decree of Ukraine of May 25, 2000.

1.2. Control of observance by subjects of managing (daleelitsenziata) of Licensed conditions of implementation of economic activity on production of forms of securities, documents of the strict reporting (further - Licensed conditions) perform the Ministry of Finance of Ukraine as body of licensing, the State committee of Ukraine concerning regulatory policy and entrepreneurship (and its territorial authorities) as specially authorized body concerning licensing (further - control facilities) in limits of the powers by carrying out scheduled and unscheduled inspections.

2. Organization of checks

2.1. Scheduled inspections of observance by the licensee of Licensed conditions are carried out by control facilities not more often than once a year according to the annual plan of checks which affirms the order of control facility.

2.2. Unscheduled inspections are performed by control facilities based on receipt to them in writing statements (message) on violation by the licensee of Licensed conditions or for the purpose of check of accomplishment of orders about elimination of violations of Licensed conditions.

The licensee is not warned previously about carrying out unscheduled inspection.

2.3. For conducting check by control facility which performs check it is issued:

the ordering document on creation of the commission (as a part of at least two persons), appointment of the Chairman and members of the commission;

the certificate on conducting check of the licensee (appendix 1) signed by the head of control facility (his deputy) which makes sure signet of control facility.

2.4. The certificate on conducting check of the licensee is registered in register of certificates on conducting checks which pages shall be numbered, strung together and under seal (appendix 2).

2.5. In case of requirement, are performed with involvement of specialists central and local executive bodies, local government bodies, leading enterprises, production associations, associations and other forms of associations of the companies which are engaged in the specified field of activity, and also public organizations, research establishments and so forth (in their consent). Requirement is determined by the Commission chairman which performs.

2.6. The control facility in writing reports to the licensee about conducting planned inspection with indication of date of its carrying out not later than in ten working days prior to day of conducting the mentioned check.

2.7. The term of conducting check constitutes no more than five working days. In case of the large volume of works on the decision of the head of control facility, the review period can be prolonged to ten working days.

3. Rights, obligations and responsibility of the commission

3.1. The chairman and members of the commission have the right:

access to the territory, to production and other rooms of the licensee for their inspection and clarification of the questions which are directly connected with check;

get acquainted with all documents, necessary for conducting check;

receive copies (photocopy) of necessary documents;

receive from the licensee written explanations on the questions arising during check.

3.2. The chairman and members of the commission shall:

be guided in the work only by regulations of the legislation and it is correct to apply them;

to objectively display the state of affairs concerning observance by the licensee of Licensed conditions;

provide observance of the state secret and other confidential information.

3.3. The chairman and members of the commission bear responsibility according to the legislation for:

doubtful display in the inspection statement of data on activities of the licensee;

concealment of the facts of the violations or abuses allowed by the licensee;

other actions made in verification process which violate the current legislation of Ukraine.

3.4. The commission chairman answers to management of control facility for accomplishment of the check charged to it at the scheduled time and in full.

4. Procedure for conducting check

4.1. For conducting check the Commission chairman shall show to the head of the licensee or his authorized representative (legal entity), to the licensee (the subject of business activity - physical person) the certificate on the check and documents proving the identity of the Chairman and members of the commission.

The commission specifies in the magazine of visit of the licensee (in case of its availability) terms and the purpose of check, position and surname of the Commission chairman. The specified data make sure the signature of the Commission chairman.

4.2. The licensee during check provides all documents, necessary for conducting check, and provides proper conditions for its carrying out.

4.3. The commission checks:

4.3.1. Observance by the licensee of the regime, production and organizational requirements obligatory for accomplishment when implementing economic activity on production of forms of securities, documents of the strict reporting, including:

availability of the instruction on the organization of the access and intra object control on production (site);

instruction availability about procedure for obtaining, expenditure, accounting and storage in structural divisions of separate material types which are applied in case of production of forms;

instruction availability about providing the mode of privacy in case of implementation of schemes of protection of forms;

availability of the instruction which determines the specialists who are responsible for development and accomplishment of system of protection of forms against counterfeit and unauthorized replication; the group of people which are informed of the complete scheme of protection;

instruction availability about procedure for obtaining, expenditure, accounting and storage of separate material types in each of structural divisions;

availability of the special magazine of registration of orders for production of forms which pages shall be numbered, strung together and under seal;

availability of the regime and confidential department or person who is responsible for observance of the state or commercial secrets, rather developed schemes of protection of forms in the course of their realization;

availability of technical documentation on the equipment which is used for production of forms of securities, documents of the strict reporting;

the staff list and completeness regular personnel (taking into account qualification requirements).

4.3.2. Accomplishment of orders about elimination of violations of the Licensed conditions (issued by results of the previous checks).

4.3.3. Compliance of the data provided in the documents filed by the subject of managing for receipt of the license which is actually existing.

4.3.4. Timeliness of the message to body of licensing and body of state registration in which the licensee, about change of the location, form of business, pattern of ownership, the name and so forth is registered.

4.3.5. Timeliness of renewal of the license.

4.3.6. Timeliness of provision of the message on change of the data specified in documents which were enclosed to the application for licensing.

4.3.7. In case of lack of the license - availability of the certificate of reception of an application about renewal of the license for implementation of economic activity on production of forms of securities, documents of the strict reporting or reception of an application about issue of the duplicate of the license and so forth.

5. Procedure for registration of results of check

5.1. By results of check control facilities draw up the inspection statement of observance by the subject of managing of Licensed conditions:

5.1.1. The inspection statement is drawn up directly after conducting check in duplicate on the established sample (appendix 3). One copy of the inspection statement is issued to the head or his authorized representative (legal entity) or to the licensee (the subject of business activity - physical person) which was checked, the second - is stored by the control facility which performed check.

5.1.2. Persons who пр ovodit check sign all copies of the act. The head of the licensee or his authorized representative (legal entity) the personal signature and seal of the licensee certifies with indication of date that it is informed of the inspection statement and received the copy belonging to it. The licensee (the subject of business activity - physical person) the personal signature and seal (in case of its availability) certifies with indication of date that it is informed of the inspection statement and received the copy belonging to it.

5.1.3. In case of refusal the licensee to sign the inspection statement, the Commission chairman makes the corresponding entry that the licensee is informed of the act, but refused to sign it. The head of the licensee or his authorized representative (legal entity), the licensee (the subject of business activity - physical person) has the right to offer explanations and to state notes concerning contents of the act and conducting check. These documents are integral part of the act (about what it is specified in the act).

5.1.4. If at the time of check the subject of managing performed economic activity which is subject to licensing, without license or without the corresponding certificate of body of licensing of receipt of the statement on renewal (or issue of the duplicate) licenses, this fact is displayed in the inspection statement.

5.1.5. The found violations fixed in the inspection statement shall be confirmed with the reference to specific Items, Articles, Sections of the existing regulatory legal acts. Any statement or interpretation of requirements of regulatory legal acts is not allowed.

5.1.6. It is forbidden to enter data on violations which are not documented in the inspection statement.

5.1.7. In case of creation of obstacles from the licensee concerning conducting check, these actions are displayed in the inspection statement.

5.2. The order about elimination of violations of Licensed conditions:

5.2.1. In case of identification of violations, not later than ten working days from the date of creation of the inspection statement of observance by the licensee of Licensed conditions, control facilities publish the order about elimination of violations of Licensed conditions (appendix 4) or the body of licensing makes the decision on cancellation of the license on the bases stated in Item 5.3.1.

5.2.2. In case of elimination of the violations of Licensed conditions found by check within ten working days if it is documented and does not need implementation of additional check, the order about elimination of violations of Licensed conditions is not published.

5.2.3. The licensee which received the order about elimination of violations of Licensed conditions shall observe it in the term established on hand and report in writing about it to control facility.

5.2.4. In case of failure to carry out by the licensee of the order about elimination of violations of Licensed conditions or failure to provide the message by it, the stipulated in Item 5.2.3, control facility draws up the statement of failure to carry out of the order of elimination of violations of Licensed conditions which is the basis for cancellation of the license.

5.2.5. Territorial authorities of the State committee of Ukraine concerning regulatory policy and entrepreneurship direct the copy of the act of failure to carry out of the order about elimination of violations of Licensed conditions to the State committee of Ukraine concerning regulatory policy and entrepreneurship which addresses to the Ministry of Finance of Ukraine with the offer of cancellation of the license and reports about it to the relevant territorial authority.

5.2.6. The state committee of Ukraine concerning regulatory policy and entrepreneurship sends to the Ministry of Finance of Ukraine the copy of the act of failure to carry out of the order about elimination of violations of Licensed conditions with the offer of cancellation of the license.

5.2.7. The Ministry of Finance of Ukraine based on the act of failure to carry out of the order of elimination of violations of Licensed conditions makes the decision on cancellation of the license according to the current legislation.

5.3. Procedure for cancellation of the license.

5.3.1. The bases for cancellation of the license are:

statement of the licensee for cancellation of the license;

act of further violation by the licensee of Licensed conditions;

decision on cancellation of state registration of the subject of managing;

notarially attested copy of the death certificate of the physical person - the subject of business activity;

the act of detection of false information in the documents filed by the subject of managing for receipt of the license;

the act of factual determination of transfer of the license or its copy to other legal entity or physical person for implementation of economic activity on production of forms of securities, documents of the strict reporting;

the act of failure to provide factual determination at the scheduled time of the message on change of the data specified in documents which increased to the statement for licensing;

act of failure to carry out of the order of elimination of violations of Licensed conditions;

impossibility of the licensee to provide accomplishment of the Licensed conditions established for economic activity on production of forms of securities, documents of the strict reporting;

the act of refusal of the licensee in conducting check by body of licensing or specially authorized body concerning licensing.

5.3.2. The body of licensing makes the decision on cancellation of the license within ten working days from the date of establishment of the bases for cancellation of the license which is handed (is sent) to the licensee with indication of the cancellation bases not later than three working days from the date of its acceptance. The decision on cancellation of the license becomes effective in ten days from day of its acceptance.

The decision on cancellation of the license is handed to the licensee under the personal signature or sent by the letter with the notification.

5.3.3. The question of cancellation of the license on the bases, the specified in paragraphs six - the ninth subitem 5.3.1 of this Procedure, is considered by body of licensing with the obligatory invitation of the head of the licensee or his authorized representative (legal entity), the licensee (subject of business activity - physical person).

5.3.4. In case of absence of the licensee or his representatives, the question of cancellation of the license is considered without their participation.

5.3.5. The question of cancellation of the license in case of further violation by the licensee of Licensed conditions during effective period of the license is considered in the presence of such documents:

the inspection statement about further violation by the licensee of Licensed conditions;

act of the previous check of violation by the licensee of Licensed conditions;

orders about elimination of violations of Licensed conditions;

the ordering documents based on which checks were performed.

5.3.6. Record about date and number of the decision on cancellation of the license is entered in the licensed register by body of licensing not later than the next working day after entry into force of the decision on cancellation of the license.

5.3.7. In case of cancellation of the license on the basis:

act of further violation by the licensee of Licensed conditions;

the act of detection of false information in the documents filed by the subject of managing for receipt of the license;

the act of factual determination of transfer of the license to other legal entity or physical person for implementation of economic activity on production of forms of securities, documents of the strict reporting;

the act of failure to provide factual determination at the scheduled time of the message on change of the data specified in documents which increased to the statement for licensing;

act of failure to carry out of the order of elimination of violations of Licensed conditions;

the subject of managing can obtain the new license for the right of implementation of this type of economic activity not earlier than in year from decision date of body of licensing about cancellation of the previous license.

6. Appeal of the decision on cancellation of the license

6.1. If the licensee within ten days of acceptance date body of licensing of the decision on cancellation of the license makes the complaint in expert and appeal council under the State committee of Ukraine concerning regulatory policy and entrepreneurship, action of this decision stops before adoption of the relevant decision by specially authorized body concerning licensing.

Expert and appeal council informs the Ministry of Finance of Ukraine on receipt of such claim.

6.2. The decision of expert and appeal council concerning the claim of the licensee is the basis for the edition the State committee of Ukraine concerning regulatory policy and entrepreneurship of the order about elimination of the found violations of the law in the field of licensing allowed by body of licensing.

6.3. The decision on cancellation of the license can be appealed judicially.

 

Director of the department of control and authorization system State committee of Ukraine on questions regulatory policy and entrepreneurships

O. P. Apatenko

The head of department on control behind production of securities (Gosznak) Department of jurisdictional enterprises Ministries of Finance of Ukraine

V. P. Muzyka

Appendix 1

to Item 2.3 of the Procedure for control of observance of Licensed conditions of implementation of economic activity on production of forms of securities, documents of the strict reporting

 
                                от "___" __________ 200__г.
                                N ______________________

CERTIFICATE

     Выдано Председателю комиссии_____________________________________
                                         (инициалы, фамилия)

                           ___________________________________________
     и членам комиссии:    ___________________________________________
                                     (инициалы, фамилия)

     для проведения проверки субъекта хозяйствования _________________
______________________________________________________________________
                      (наименование лицензиата)

     относительно соблюдения    Лицензионных   условий   осуществления
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
       (вид хозяйственной деятельности, который лицензируется)

за период с "___" ___________ 200__г. до "___" ___________ 200__г.

в срок    с "___" ____________ 200__г. до "___" __________ 200__г.

 ______________________  ____________________   ______________________
(должность руководителя органа  (подпись, печать) (инициалы, фамилия)
       контроля)

     Срок продлен до "___" ____________ 200__г.

 ______________________  ____________________  _______________________
(должность руководителя   (подпись, печать)    (инициалы, фамилия)
    органа контроля) 

The head of department on control behind production of securities (State sign) of Department jurisdictional enterprises Ministries of Finance of Ukraine

V. P. Muzyka

Director of the department of control and authorization system State entrepreneurships of Ukraine

O. P. Apatenko

Appendix 2

to Item 2.4 of the Procedure for control of observance of Licensed conditions of implementation of economic activity on production of forms of securities, documents of the strict reporting

Register of certificates on conducting check

------------------------------------------------------------------
| N |   Номер   |    Куда     | Состав |Срок про-|Регистрационный|
|п/п|удостовере-|направляется |комиссии|ведения  | номер приказа |
|   |    ния    |   комиссия  |        |проверки |(распоряжения) |
|---+-----------+-------------+-------+----------+---------------|
| 1 |     2     |      3      |   4   |    5     |       6       |
------------------------------------------------------------------

 

The head of department on control behind production of securities (State sign) of Department jurisdictional enterprises Ministries of Finance of Ukraine

V. P. Muzyka

Director of the department of control and authorization system State entrepreneurships of Ukraine

O. P. Apatenko

Appendix 3

to Item 5.1.1 of the Procedure for control of observance of Licensed conditions of implementation of economic activity on production of forms of securities, documents of the strict reporting

INSPECTION STATEMENT

                 от "___" ____________ 200__г. N ___

______________________________________________________________________
        (название населенного пункта, где проводится проверка)
                     (номер, дата удостоверения)

    Председатель комиссии: ___________________________________________
                                (должность, инициалы, фамилия)
    Члены комиссии: __________________________________________________
                    __________________________________________________
                    __________________________________________________
     При участии представителя(лей) __________________________________
______________________________________________________________________
       (наименование органа, должность, инициалы, фамилия)

    с "___" ____________ 200__г. до "___" ____________ 200__г.
     В _______________________________________________________________
_____________________________________________________________________,
              (наименование субъекта хозяйствования)
     местонахождение ________________________________________________,
     место осуществления деятельности________________________________,
     свидетельство о государственной регистрации N ____ от___________,
_____________________________________________________________________,
               (название органа, который его выдал)
     лицензия серии ______ N _____ дата выдачи лицензии _____________,
     название органа, который выдал _________________________________,
     вид хозяйственной деятельности, который лицензируется___________,
_____________________________________________________________________,
     в присутствии руководителя или уполномоченного  представителя
______________________________________________________________________
     (должность, инициалы, фамилия руководителя или представителя
                 субъекта хозяйственной деятельности)
______________________________________________________________________
     проведена проверка    деятельности    лицензиата    по   вопросам
осуществления хозяйственной деятельности,  связанной  с  изготовлением
бланков ценных бумаг, документов строгой отчетности.

     Проверкой УСТАНОВЛЕНО:
______________________________________________________________________
      (каждое нарушение, записанное в акте проверки, должно быть
  подкрепленное ссылкой на соответствующий нормативно-правовой акт)
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________

     Акт составлен   в  двух  экземплярах,  которые  имеют  одинаковую
юридическую силу.

  Председатель комиссии:    __________________________________________
                                   подпись (инициалы, фамилия)

  Члены комиссии:           __________________________________________
                            __________________________________________
                            __________________________________________

  С актом ознакомлен и
  один экземпляр получил:

  Руководитель или
  уполномоченный представитель
  лицензиата, в присутствии ______________________________________
  которого проведена проверка          подпись (инициалы, фамилия)
 

The head of department on control behind production of securities (State sign) of Department jurisdictional enterprises Ministries of Finance of Ukraine

V. P. Muzyka

Director of the department of control and authorization system State entrepreneurships of Ukraine

O. P. Apatenko

Appendix 4

to Item 5.2.1 of the Procedure for control of observance of Licensed conditions of implementation of economic activity on production of forms of securities, documents of the strict reporting

 
                    (Государственный Герб Украины)
______________________________________________________________________
                    (наименование органа контроля)

ORDER

                 от "___" ____________ 200__г. N ___

                       Об устранении нарушений
               законодательства в сфере лицензирования

     В соответствии  с  Законом Украины "О лицензировании определенных
видов хозяйственной деятельности",  постановлением Кабинета  Министров
Украины  от  19.04.93  N  283  "Об  установлении  порядка изготовления
бланков ценных бумаг и документов строгого  учета"  (с  изменениями  и
дополнениями)       и       на       основании      акта      проверки
______________________________________________________________________
                      (наименование лицензиата)
     от "___"   _____________   200__г.   N  _____,  который  является
неотъемлемым частью этого распоряжения
______________________________________________________________________
                    (наименование органа контроля)

                               РЕШЕНО:
______________________________________________________________________
                      (наименование лицензиата)
______________________________________________________________________
                       (содержание мероприятий)
______________________________________________________________________
     Распоряжение является обязательным к выполнению в срок до
     "___" ____________ 200__г.

     О результатах выполнения распоряжения в этот же срок сообщить
______________________________________________________________________
                  (наименование органа контроля)

     В случае  невыполнения  распоряжения  или  повторного   нарушения
лицензионных  условий  Министерством  финансов  Украины  будет принято
решение об аннулировании лицензии.

  Руководитель      _____________________   __________________________
  (его заместитель) (место подписи, печати)   (фамилия, инициалы) 

The head of department on control behind production of securities (State sign) of Department jurisdictional enterprises Ministries of Finance of Ukraine

V. P. Muzyka

Director of the department of control and authorization system State entrepreneurships of Ukraine

O. P. Apatenko

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