ORDER OF THE MINISTER OF INFORMATION AND COMMUNICATIONS OF THE REPUBLIC OF KAZAKHSTAN

of October 29, 2016 No. 232

About approval of Rules of functioning of the state information system of permissions and notifications

According to the subitem 2) of article 15 of the Law of the Republic of Kazakhstan "About permissions and notifications" I ORDER:

1. Approve the enclosed Rules of functioning of the state information system of permissions and notifications.

2. To development department of the state services of the Ministry of information and communications of the Republic of Kazakhstan (Hatiyev A. N.) provide:

1) state registration of this order in the Ministry of Justice of the Republic of Kazakhstan;

2) the direction of the copy of this order on official publication in periodic printing editions and information system of law of Ad_let within ten calendar days after day of its state registration in the Ministry of Justice of the Republic of Kazakhstan

3) the direction of the copy of this order in the Republican state company on the right of economic maintaining "The republican center of legal information of the Ministry of Justice of the Republic of Kazakhstan" for placement in Reference control bank of regulatory legal acts of the Republic of Kazakhstan within ten calendar days from the date of state registration in the Ministry of Justice of the Republic of Kazakhstan;

4) placement of this order on Internet resource of the Ministry of information and communications of the Republic of Kazakhstan;

5) submission to Legal department of the Ministry of information and communications of the Republic of Kazakhstan of data on execution of the actions provided by subitems 1), 2) and 3) of this Item within ten working days after state registration of this order in the Ministry of Justice of the Republic of Kazakhstan.

3. To impose control of execution of this order on the supervising vice-minister of information and communications of the Republic of Kazakhstan.

4. This order becomes effective after twenty one calendar days after day of its first official publication.

It is approved Minister of national economy of the Republic of Kazakhstan November 7, 2016

__________________ K. Bishimbayev

Approved by the Order of the Minister of information and communications of the Republic of Kazakhstan of October 29, 2016 No. 232

Rules of functioning of the state information system of permissions and notifications

Chapter 1. General provisions

1. These rules of functioning of the state information system of permissions and notifications (further – Rules) are developed according to the subitem 2) of article 15 of the Law of the Republic of Kazakhstan "About permissions and notifications" (further – the Law) and determine procedure for functioning of the state information system of permissions and notifications.

2. Rules contain exhaustive structure of functions of the state information system of permissions and notifications regarding automation of processes of licensing, the allowing procedure and notifying procedure.

3. The basic concepts used in these rules:

1) The Government for Citizens State corporation (further - the State corporation) - the legal entity created according to the decision of the Government of the Republic of Kazakhstan for rendering the state services according to the legislation of the Republic of Kazakhstan, the organization of work on reception of applications on rendering the state services and issue of their results to uslugopoluchatel by the principle of "one window", ensuring rendering the state services electronically;

2) integration of objects of informatization – action for the organization and ensuring information exchange between objects of informatization based on the standard protocols of data transmission used in the Republic of Kazakhstan;

3) number and code of the administrative document (further – NIKAD) – number assigned to the electronic document by the state information system of permissions and notifications;

4) the external portal of System – the web portal of System providing to physical persons and legal entities single point of access to services regarding licensing, the allowing procedure and notifying procedure by means of the Internet;

5) registration on the external portal of System – the admission of the subject, his officials and interested persons to participation in implementation of processes of licensing, the allowing procedure and notifying procedure on the external portal of System;

6) the authorized user of the external portal of System – physical person or legal entity or their representative who underwent registration and authorization on the external portal of System, using objects of informatization for accomplishment of specific function and (or) task;

7) the internal portal of System – the web portal of System providing processes of licensing, allowing and notifying procedures from the allowing bodies and state bodies keeping the register of the subjects which submitted the notification by means of the Single transport circle of state bodies;

8) registration on the internal portal of System – the admission of the authorized person of allowing body to participation in implementation of processes of licensing, the allowing procedure and notifying procedure on the internal portal of System;

9) the transport signature – the digital signature used for ensuring integrity and authorship of the transferred messages in case of information exchange of information systems using the WSSecurity specification;

10) the permission issued on paper – the permission which is drawn up in System, unpacked on paper or on the enumerated form of the strict reporting;

11) information system of monitoring of rendering the state services – the information system intended for automation and monitoring of process of rendering the state services including rendered through The Government for Citizens State corporation;

12) the applicant – physical person or legal entity, branch or representation of the legal entity, the licensee, the owner of permission of the second category who addressed to the relevant allowing organ for passing of licensing or the allowing procedure or who directed the notification;

13) the state information system of permissions and notifications (further – System) – the information system which is component of "the electronic government", intended for implementation in electronic form of licensing, allowing procedures regarding receipt of permission with assignment of identification number, the direction of the notification by the applicant and ensuring these processes;

14) the state electronic register of permissions and notifications – the component of the state information system of permissions and notifications containing data about the issued, renewed, suspended, cancelled, extended, resumed and terminated permissions and their duplicates, and also about the received notifications;

15) the list of permissions (further - the list) – the list of permissions on which check of the applicant on compliance to qualification or allowing requirements and issue of permission or motivated refusal are performed in the automatic mode of check of the applicant and issue of permission in the state information system of permissions and notifications, approved by authorized body in the field of informatization;

16) the register of permissions – the Section of the state electronic register of permissions and notifications, containing data on permissions of the first and second category, their statuses and stories of actions over these documents;

17) electronic form of permission (electronic permission) – the permission in electronic form which is drawn up and received with use of the state information system of permissions and notifications equivalent to permission on paper;

18) historical data – information on the permissions and notifications issued or sent to the period of temporary or permanent absence at the allowing and state bodies performing acceptance of notifications, possibilities of maintaining the state electronic register of permissions and notifications;

19) converting of historical data – process of confirmation of permission in electronic format the electronic and digital signature of the head of the authorized body which issued permission in the period of temporary or permanent lack of possibility of maintaining by allowing body of the state electronic register of permissions and notifications (assignment of matrix code);

20) recovery of historical data – process of filling of the register of permissions historical data in the period of temporary or permanent lack of possibility of maintaining by allowing body of the state electronic register of permissions and notifications;

21) the notification – the document constituted by the applicant in the form approved by authorized body in the field of permissions and notifications, National Bank of the Republic of Kazakhstan or authorized body on regulation, control and supervision of the financial market and the financial organizations, informing on the beginning or the termination of implementation of activities or action;

22) the subject which submitted the notification – the physical person or legal entity which performed the notification on the beginning and the termination of activities or action;

23) the register of the subjects which submitted the notification – the Section of the state electronic register of permissions and notifications, containing the information about the subjects who submitted the notification on the beginning or the termination of implementation of activities or certain actions;

24) the electronic document – the document in which information is provided in electronic and digital form and is certified by means of the digital signature;

25) matrix code of the electronic document (further – matrix code) – the graphical information on the electronic document in the eXtensible Markup Language format (further – XML) applied on form of submission of the document, representing possibility of reading by its technical means;

26) the operator of information and communication infrastructure of "the electronic government" (further – the Operator) – the legal entity determined by the Government of the Republic of Kazakhstan to which ensuring functioning of the information and communication infrastructure of "the electronic government" assigned to it is assigned;

27) the user's office on the web portal of "the electronic government" (further – personal account) – the web portal component of "the electronic government" intended for official information exchange of physical persons and legal entities with state bodies concerning rendering services electronically, to questions of the address to the subjects considering addresses of specified persons and also uses of personal data;

28) transfer in electronic format – process of recovery and (or) converting of historical data in the XML format of earlier issued permissions on paper;

29) the digital signature (further – the EDS) – set of electronic digital symbols created by means of the digital signature and confirming reliability of the electronic document, its accessory and invariance of content;

30) the XML format – text extensible markup language (character set or the sequences inserted into the text for information transfer about its input or structure).

Chapter 2. Procedure for functioning of System

Paragraph 1. General provisions of functioning of System

4. Functional tasks of System are automation of the following processes:

1) giving and consideration of the applications during licensing, the allowing procedure;

2) forming of the register of permissions;

3) forming of the register of the subjects which submitted the notification;

4) forming of the register of self-regulatory organizations.

5. Process of giving and consideration of the applications during licensing, the allowing procedure consists of the following transactions:

1) filing of applications in electronic form, or entering into System of data according to the statements which arrived on papers;

2) considerations of the applications;

3) provisions to applicants of results of consideration of the applications.

6. Process of forming of the register of permissions consists of the following transactions:

1) automatic entering of positive results of consideration of the applications into the register of permissions, or entering into the register of permissions of results of process of the consideration of the applications performed out of System;

2) recovery of historical data;

3) converting of historical data;

4) issues, renewals, suspensions, cancellations, prolongation, renewals and cancellation of permission or appendix to permission.

7. Process of forming of the register of the subjects which submitted the notification consists of the following transactions:

1) submissions of notifications;

2) automatic inclusion of notifications in the register of the subjects which submitted the notification or filling of the register of the subjects which submitted the notification, historical data in the period of temporary or permanent lack of possibility of maintaining by the body performing notifying procedure, the state electronic register of permissions and notifications;

3) exceptions of the subject which submitted the notification of the state electronic register of permissions and notifications, suspensions, renewals of activities of the subject which submitted the notification.

8. Functions of filing of applications within licensing, the allowing procedure or the direction of notifications electronically with use of the EDS are performed by means of the external portal of System.

9. Implementation of processes of licensing, the allowing procedure in electronic form by state bodies is made by means of the internal portal of System. In the presence at state body of own information system the specified processes are performed in this system on condition of its integration with System.

10. Within automation of processes of licensing, allowing procedures and notifying procedure in System the following types of electronic documents are created:

1) statements;

2) notifications;

3) the notices sent to applicants in the course of consideration of the applications;

4) permissions;

5) motivated refusals in consideration of the applications and issue of permissions of the first and second category;

6) requests to the state bodies authorized on approval of issue of permission;

7) answers - approvals of state bodies;

8) the notices sent to the owners of permissions or subjects which submitted the notification in the course of maintaining the state electronic register of permissions and notifications.

11. NIKAD generated by System in form according to appendix to these rules is appropriated to all electronic documents created in System in the XML format.

12. In System there is possibility of loading and seal of forms of submission of electronic documents.

13. The authorized users of the external portal of System by means of personal account are given opportunity of implementation of the following actions:

1) search and viewing of data of the state electronic register of the permissions and notifications which are in open access;

2) viewing of information on conditions of receipt of permissions and direction of notifications;

3) submission of the electronic statement for receipt of permission;

4) filing of application on transfer of permission in paper form in electronic format;

5) filing of applications on renewal, prolongation, the termination, suspension, action renewal, adjustment of data of permission and (or) appendix to permission, stipulated by the legislation in the field of the state services, and also converting and recovery of permissions;

6) viewing of the status of consideration of the applications, served the applicant;

7) viewing of electronic notices from the state bodies directed during consideration of the application, given the applicant (about need of appearance for testing, provisions of additional data according to the statement, payments of license or allowing fee and other data);

8) the direction electronically reply to the request of allowing body in the course of consideration of the applications (provision of additional data according to the statement, confirmation of appearance for testing, the direction of the receipt on payment of license or allowing fee and other actions);

9) payment of license and allowing fees by means of payment gateway of "the electronic government" (in the course of submission of the electronic statement);

10) viewing of the electronic documents issued by allowing body for results of consideration of the applications;

11) submission of the notification on the beginning of activities;

12) submission of termination letters of activities (action), about change of data;

13) viewing of electronic notices from the state bodies directed during maintaining the state electronic register of permissions and notifications (about cancellation (cancellation), suspension, renewal of action of permission, about the subject's exception of the register of the subjects which submitted the notification about suspension, renewal of activities of the subject);

14) withdrawal of the statement.

14. Not authorized users of the external portal of System are given opportunity of use of the following functions:

1) search and viewing of data of the state electronic register of the permissions and notifications which are in open access;

2) viewing of information on conditions of receipt of permissions and direction of notifications.

15. For receipt of access to the internal portal of System the state body provides to authorized body in the field of informatization and to the Operator information on persons responsible for implementation of licensing, allowing procedures and notifying procedure. The operator after receipt of this information within ten working days creates accounting records for ensuring work of users of state bodies with the internal portal of System.

16. The internal portal of System provides to the staff of state bodies the following functions within their powers (authorization happens to the help of login, the password and the EDS of the legal entity issued addressed to the employee of allowing body):

1) search and viewing of data of the state electronic register of permissions and notifications;

2) entering into System of data according to the statements which arrived on papers;

3) registration and consideration of the applications;

4) search and viewing of statements;

5) search and viewing of the documents created during consideration of the applications (request of additional data from state bodies; responses of applicants to request of additional data of state bodies, motivated refusals in consideration of the applications and issue of permissions of the first and second category, approvals of state bodies, and also notices on the course of consideration of the application);

6) entering into the register of permissions of results of process of the consideration of the applications performed out of System;

7) recovery of historical data in the period of temporary or permanent lack of possibility of maintaining by allowing body of the state electronic register of permissions and notifications with (without) converting;

8) issue, renewal, suspension, cancellation, prolongation, renewal, cancellation of permission and deprivation (response) of permission or appendix to permission;

9) filling of the register of the subjects which submitted the notification, historical data in the period of temporary or permanent lack of possibility of maintaining by the body performing notifying procedure, the state electronic register of permissions and notifications;

10) notification exception of the state electronic register of permissions and notifications, suspension, renewal of activities of the subject which submitted the notification.

17. The external and internal portal of System are available in the round-the-clock mode, except for the technical breaks made in time off.

18. For implementation of function of automation of licensing, the allowing procedure and the direction of the notification by state bodies in System electronic notices on suspension, renewal, the termination (cancellation, exception) of activities are created.

18-1. For the state services provided in the list approved by authorized body in the field of informatization according to subitem 2-2) of article 15 of the Law, consideration of the applications is performed without participation of staff of state body - the licensor.

Sistema carries out necessary inspections in the automatic mode and signs result of rendering service (the allowing document or motivated refusal) the transport signature belonging to the owner Sistemy (on condition of entering of corresponding changes into regulatory legal act on rendering the state services).

Paragraph 2. Acceptance of electronic statements in System

19. Submission of the electronic statement is performed by the authorized user of the external portal of System by filling of the electronic application form and the certificate of its EDS.

20. Assignment to the electronic statement of NIKAD is made by System at the time of the certificate of the document EDS of the applicant.

21. During submission of the electronic statement the System performs the following automated checks:

1) verification of presence of the applicant (the applicant's representative) in the state databases of physical persons and legal entities, in the integrated taxation information system;

2) implementation of formatno-logical control of the electronic application form (check of correctness and completeness of filling);

3) verification of presence in information systems of state bodies of the data specified by the applicant electronically of the statement;

4) verification of presence in the state electronic register of permissions and notifications of the data specified by the applicant electronically of the statement.

22. In case of negative result of the automated checks determined in Item 21 of these rules, the System does not allow submission of the electronic statement, with conclusion to the user of the information message informing on the reasons of impossibility of departure of the electronic statement.

23. In case of positive result of the automated checks determined in Item 21 of these rules and the certificate of the EDS of the applicant of the electronic statement, in personal account of the applicant the notice on registration of its electronic statement in System arrives. At the same time the electronic statement will be deemed accepted from the moment of registration by its state body in working hours with sending to personal account of the applicant of the notification certified by the EDS of the authorized person of allowing body. Registration of the electronic statement by state body is made within one working day.

24. The system allows submission of electronic statements in the round-the-clock mode, without binding to the working schedule of state body.

Paragraph 3. Acceptance of notifications in System

25. Submission of notifications is performed by the authorized users of the external portal of System by filling of electronic form of the notification and the certificate of its EDS.

26. Assignment to the notification NIKAD is made by System at the time of the certificate of the document EDS of the applicant.

27. In case of positive result of the automated checks determined in Item 21 of these rules and the certificate of the notification EDS of the applicant the notification arrives in allowing body.

28. Submission of notifications in System is performed round the clock.

Paragraph 4. Entering into System of data according to statements in paper form

29. For the processes of licensing, the allowing procedure performed by allowing bodies in electronic form by means of the internal portal of System, entering into System of data according to the applications submitted in paper form is made by division of documentary providing state body.

30. The statement entered into the System by the employee of division of documentary providing state body by means of the internal portal of System does not make sure the EDS of the applicant. In this case for the applicant the notification on reception of an application is not created by System. Assignment to the statement of NIKAD is performed by System at the time of registration of a statement.

31. In case of submission of the statement in paper form in the State corporation, entering into System of data according to the statement is performed by means of information system of monitoring of rendering the state services.

32. The statements transferred to System by means of information system of monitoring of rendering the state services are certified by the EDS of the employee of the State corporation from written consent of the applicant.

33. In case of filing of application in paper form in the State corporation, for the applicant the notification on reception of an application in System is not created.

34. For the processes of licensing, the allowing procedure performed by state bodies in electronic form by means of own information system, entering into System of data according to the applications submitted in state body in paper form is made by acceptance of the data certified by the EDS of the authorized person of state body on condition of integration of the specified information system with System.

Paragraph 5. Consideration of the applications in System allowing bodies

35. The system provides standard transactions of processes of consideration by allowing bodies of statements during implementation of licensing, the allowing procedure in electronic form by means of the internal portal of System.

36. Registration of the entering statements and their transfer to work consists of the following transactions:

1) registration of statements with automatic assignment of NIKAD;

2) registration of requests to the state bodies authorized on approval of issue of permission;

3) in the internal portal the document on confirmation of acceptance in case of registration of the corresponding statement certified by the EDS of the authorized person of allowing body is issued.

37. The direction of the document represents transfer of the incoming document (the statement, request to the state body authorized on approval of issue of permission, incoming message of the accepting allowing body) the employee of division of documentary providing to authorized persons of state body. The direction of the incoming document does not include additional functions and is performed consistently.

38. The direction to the applicant during consideration of the application of notices on need of appearance in allowing body, about suspension, renewal and prolongation of term of consideration of the application consists of the following transactions:

1) forming of the project of notice \request is initiated by the contractor in cases, stipulated by the legislation in the field of the state services;

2) in case of initiation of notice \request to the applicant the contractor creates the draft of the notice;

3) the project of notice \request undergoes reconciliation procedure in allowing body consistently for the ascending chain;

4) in case of positive result of approval of the project of notice \request by the participant of process of approval, the project automatically goes to the following participant. In case of negative result of approval of the draft of the notice by the participant of process of approval, the project automatically returns to the contractor to completion;

5) the notice \request makes sure the EDS of the head (authorized person) of allowing body;

6) if the applicant is registered on the external portal of System, after signing of notice \request it becomes available to the applicant in personal account;

7) if the application was submitted in allowing body in paper form, after signing of notice \request in System by the head, the executive in charge unpacks it and sends to the applicant out of System (by mail, purposely);

8) for the applications submitted Systems, in electronic form by means of the external portal, provision of the response to notice \request is performed by the applicant in electronic form, with the certificate of the message EDS. The electronic answer arrives directly to the contractor;

9) for the applications submitted in paper form the answer is provided to the applicant out of System (by mail, purposely). Entering into System of data from the answer of the applicant is made by the contractor;

10) the contractor makes the decision according to the statement, in case of non-presentation by the applicant of the answer at the scheduled time.

39. The direction in the approving state body of statements for provision of the conclusion, additional data and about approval of the draft decision consists of the following transactions:

1) forming of the project of request to the state bodies authorized on approval of issue of permission is initiated by the contractor according to the procedure, the stipulated in Clause 25 Laws;

2) the project of request undergoes reconciliation procedure in allowing body consistently for the ascending chain;

3) in case of positive result of approval of the project of request, the project automatically goes to the following participant of reconciliation procedure; in case of negative result of approval of the project of request, the project automatically returns to the contractor to completion;

4) the request makes sure the EDS of the head (authorized person) of allowing body then arrives in division of documentary providing the approving body for registration;

5) in the approving body the inquiry consistently is sent to the executive in charge by the descending chain;

6) the executive in charge of the approving body creates the draft decision on request (the expert opinion, reply to the request of data, approval);

7) the draft decision on demand undergoes reconciliation procedure consistently;

8) the decision on demand makes sure the EDS the head of the approving body then automatically goes to the contractor of allowing body;

9) in cases, stipulated by the legislation in the field of the state services, the contractor can initiate suspension of term of consideration of the application in case of request at the applicant of additional data or in case of sending an inquiry to the approving body;

10) in case of suspension because of request of data at the approving body to the applicant the notice certified by the EDS of the head of allowing body at the time of the beginning of suspension and at the time of renewal of term of consideration of the application without fail goes.

40. Decision making according to the statement consists of the following transactions:

1) the draft decision according to the statement is created by the contractor;

2) the draft decision is subject to approval in allowing body consistently. In case of positive approval of the draft decision by the participant of process of approval, it passes to the following participant;

3) in case of return by the participant of process of approval of the draft decision on completion, the project returns to the contractor to completion;

4) if the applicant is registered on the external portal of System, after signing of the decision by the head of allowing body, it automatically availablly in personal account of the applicant. If the application is submitted to allowing body in paper form, after the certificate of the EDS of the decision in System by the head of allowing body, the executive in charge unpacks it and sends to the applicant out of System (by mail, purposely).

41. Prolongation of term of consideration of the application consists of the following transactions:

1) initiation of prolongation of term of consideration of the application in the cases provided in the subordinate regulatory legal acts determining procedure for rendering the state services;

2) the direction to the applicant of the notice certified by the EDS of the head of allowing body with indication of new date of completion of consideration of the application.

42. The withdrawal of the statement the applicant consists of the following transactions:

1) if process of consideration of the application is not completed yet, the applicant can initiate process of withdrawal of the statement;

2) fixing of the fact of withdrawal of the statement by the applicant in System is made by the contractor according to the statement, at the same time further review of the statement stops;

3) if the statement is created on the internal portal of System, the withdrawal of the statement is made by the contractor according to the statement of the Applicant with fixing of this statement in System.

43. The following transactions of process of consideration of the applications which are performed out of System are not automated by means of the internal portal of System:

1) the direction of the statement on the expert opinion to internal structural divisions of allowing body;

2) sending an inquiry on provision of additional data according to the statement to internal structural divisions of allowing body.

44. Certificates of the EDS of the documents created during consideration of the application it is performed by the head (authorized person) of allowing body by means of the EDS of the legal entity issued addressed to the head (authorized person) of allowing body.

45. Joint actions are not automated and are subject to implementation out of System during consideration of the application (meeting of the commissions, testing, vote and other actions), and also the actions made by the organizations which are not relating to state bodies.

Paragraph 6. Interaction of information systems of state bodies with System in the course of consideration of the applications

46. All statements, notices, decisions according to the statement created within implementation of the allowing procedure are subject to registration in System. If the specified documents are created in information system of state body, they are subject to obligatory transfer to System after signing by the responsible of allowing body. At the same time before signing and transfer of the document the information system of state body performs request in System for assignment of NIKAD.

47. All interactions of information systems of state bodies with System during implementation of licensing, the allowing and notifying procedure in electronic form are determined according to the legislation of the Republic of Kazakhstan in the field of informatization.

Paragraph 7. Entering of data on the issued permission into the register of permissions

48. For allowing procedures within which automation of processes of registration and consideration of the application for various reasons is not represented possible or inexpedient the System provides functionality on entering into the register of permissions of positive results of consideration of the applications performed out of System according to subitem 2-1) of article 15 of the Law.

49. Data on positive results of consideration of the applications when entering into the register of permissions make sure the EDS of the head (authorized person) of allowing body by means of the legal entity issued addressed to the head (authorized person) of allowing body.

50. In case of the termination of activities of physical person, in case, stipulated in Item 2 Articles 13 of the Civil code of the Republic of Kazakhstan, the notification on the death of the physical person from state databases goes to System.

After receipt of the notification System automatically cancels permissions and notifications on the physical person specified in part one of this Item.

Appendix

to Rules of functioning of the state information system of permissions and notifications

Form

Forming of number and code of the administrative document

All numbers and codes of the administrative document have identical structure irrespective of document type, the allowing body or body performing notifying procedure. NIKAD represents 15-digit facet structure of the following type:

CCKKTTTHHHHHHHH, where:

CC	KK	TTT	НННННННН
two-digit (alpha 2) document country code according to the ISO standards 3166-1 and GOST 7.67	two target figures calculated according to algorithm MOD-97-10 of the ISO/IEC 7064:2002, standard algorithm of coding of letters agree EBS204 V3.2	three-symbolical code of document type, for designation of type 24 letters of the Latin alphabet are used (all except for the letters "I" and "O")	eight-digit digital sequence number of the document of the specified type

Example: "KZ03ABC00000001" (for convenience of reading in case of seal number can be divided into groups, for example, "KZ03 ABC 0000 0001", however in case of input and processing gaps are ignored).

 

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info