Unofficial translation
Ҳужжатга таклиф юбориш
Аудиони тинглаш
Ҳужжат элементидан ҳавола олиш RESOLUTION
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишOF THE CABINET OF MINISTERS OF THE REPUBLIC OF UZBEKISTAN
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишON ADDITIONAL MEASURES FOR ORGANIZING STATE CONTROL OVER THE ACTIVITIES OF BUSINESS ENTITIES BY SUPERVISORY BODIES
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишҲужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишIn order to ensure the implementation of the Decree of the President of the Republic of Uzbekistan “On measures to further reduce the administrative and tax burden on business entities and improve the system for protecting the legitimate interests of business” dated September 15, 2021 No. DP-6314, as well as the Resolution of the President of the Republic of Uzbekistan “On measures to improve the procedure for coordinating inspections of business entities” dated September 13, 2022 No. DP-374, and also for the purpose of further improving the system for protecting the legitimate interests of business entities, the Cabinet of Ministers resolves:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш1. Approve the following:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишa) in accordance with Appendix 1 — the Regulation on the procedure for maintaining the Register of inspections, which provides for:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишforms for maintaining the Register of inspections (hereinafter — the Register);
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишinformation on inspections to be entered into the Register and the procedure for entering such information;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишmonitoring compliance with the procedure for maintaining the Register and keeping its records;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишb) in accordance with Appendix 2 — the Regulation on the procedure for attestation of officials of supervisory bodies for granting the right to inspect the activities of business entities, which provides for:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишestablishment of the attestation commission and organization of its activities;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишformation of the list of employees subject to attestation;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишconduct of attestation of employees and adoption of decisions by the attestation commission based on its results;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишissuance of a special certificate granting the right to inspect the activities of business entities to employees who have passed attestation;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишc) in accordance with Appendix 3 — the minimum requirements for “risk analysis” systems of supervisory bodies, which provides for:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишgeneral requirements for analyzing the level of risk in the activities of business entities;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишcategories of data to be studied during risk analysis;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишclassification of risk levels and requirements for their criteria;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишmeasures to be implemented within classified risk levels.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш2. Supervisory bodies shall, within one month, enter into the information system “Unified State Control” data on officials who have undergone attestation in accordance with the established procedure prior to the adoption of this Resolution and who are authorized to inspect business entities, for the purpose of forming an electronic register of officials authorized to inspect the activities of business entities.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш3. Certain resolutions of the Government of the Republic of Uzbekistan according to Appendix 4* shall be declared invalid.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш* The Appendix 4 of the act is given in uzbek.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш4. Interested ministries and agencies shall, within one month, bring their adopted normative legal acts into compliance with this Resolution.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш5. Control over the implementation of this Resolution shall be assigned to the Deputy Prime Minister of the Republic of Uzbekistan on financial, economic and poverty reduction issues — the Minister of Economic Development and Poverty Reduction J.A. Kuchkarov.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишPrime Minister of the Republic of Uzbekistan A. ARIPOV
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишTashkent,
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишOctober 19, 2022,
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишNo. 611
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишҲужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишAppendix 1
to the Resolution of the Cabinet of Ministers of the Republic of Uzbekistan No. 611 dated October 19, 2022
to the Resolution of the Cabinet of Ministers of the Republic of Uzbekistan No. 611 dated October 19, 2022
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишRegulation
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишRegulation on the procedure for maintaining the Register of inspections
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишҲужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишChapter 1. General provisions
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш1. This Regulation establishes the procedure for maintaining and completing the Register of inspections.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш2. The following basic concepts are used in this Regulation:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишauthorized body — an organization authorized by the legislation of the Republic of Uzbekistan to coordinate inspections of the activities of business entities and to monitor the legality of inspections conducted by supervisory bodies;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишState control system — the information system “Unified State Control”, which enables the collection, analysis and processing of large volumes of data related to state control in the field of entrepreneurship;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишsupervisory body — a ministry, agency, their structural subdivisions, and other organizations authorized by legislation to exercise state control over the activities of business entities;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишofficial of a supervisory body — a person who, on a temporary basis or under special authorization, exercises control over the activities of a business entity, performs legally significant actions within the business entity, and carries out these functions in administrative or judicial bodies;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишbusiness entity — legal entities and individuals duly registered in accordance with the established procedure and engaged in entrepreneurial activity;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишRegister of inspections — a special electronic register in which information on conducted inspections is recorded;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишinspection — a control measure carried out by obtaining necessary materials, documents or information related to the activities of a business entity, as well as by performing certain actions to determine the extent of compliance with legislation regulating its activities.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш3. The purpose of maintaining the Register of inspections is to:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишensure legality, objectivity and transparency in the activities of supervisory bodies;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишprotect the rights and legitimate interests of business entities;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишprevent unlawful interference in the activities of business entities;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишensure accountability and transparency of the state control system.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш4. All inspections conducted in relation to the activities of business entities shall be entered into the State control system.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш5. The Register of inspections shall be maintained by the business entity in electronic form.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишThe electronic form of the Register shall be maintained through registration of the business entity in the State control system.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш6. The electronic form of the Register of inspections shall be completed on a mandatory basis.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш7. Data shall be entered into the electronic form of the Register through the web page of the State control system or via a special mobile application.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишThe electronic form of the Register of inspections shall be completed directly by the business entity.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш8. The Register of inspections shall contain information on the full name of the business entity, its location (postal address), its taxpayer identification number or the personal identification number of an individual.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш9. Information constituting state secrets or other secrets protected by law shall not be entered into the Register of inspections.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш10. The Register of inspections shall be completed in accordance with the scheme set out in the appendix to this Regulation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишChapter 2. Entering records on inspections into the Register of inspections
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш11. Before the commencement of an inspection, the head of the business entity (or, in the absence of the head — the person acting in his/her capacity) shall provide the official of the supervisory body with access to the electronic form of the Register of inspections for completion.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш12. Before the commencement of an inspection, the official of the supervisory body shall, in accordance with the legislation, acquaint the head of the business entity (or the person acting in his/her capacity) with the purpose and conditions of the inspection, present the documents required by law, and enter relevant information into the appropriate sections of the Register of inspections.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш13. The head of the business entity (or the person acting in his/her capacity) shall have the right to compare the information entered into the Register of inspections with the information contained in the documents presented by the inspecting official in accordance with the legislation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш14. Before the commencement of an inspection, the official of the supervisory body shall enter the following information into the electronic form of the Register of inspections:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишthe inspection number registered in the State control system;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишthe name of the supervisory body conducting the inspection;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишthe surname, name and patronymic of the official of the supervisory body, and where several officials are involved in the inspection — information on each of them;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишthe number of the special certificate of the official of the supervisory body;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишif the entered certificate number does not correspond to the data in the State control system, the inspection by such official shall not be permitted at the business entity;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишthe address of the business entity being inspected;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишthe number and date of the order serving as the basis for conducting the inspection;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишthe type of inspection, including the type available in the State control system and its specific code;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишthe duration of the inspection;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишwhere auditors and experts are involved in the inspection — their surname, name and patronymic, place of work, field of activity, as well as the number and date of the contract serving as the basis for their involvement.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишWhere an inspection is conducted by more than one supervisory body, each supervisory body shall also enter the information specified in this paragraph.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишAfter the information entered into the electronic form of the Register of inspections has been duly confirmed, it may not be modified, except for information relating to auditors and experts involved in the inspection.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш15. After completion of the inspection, the head of the business entity (or the person acting in his/her capacity) shall enter the following information into the electronic form of the Register of inspections:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишthe date of commencement of the inspection;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишthe date of completion of the inspection;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишthe duration of the inspection;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишdocuments requested during the inspection;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишmeasures applied during the inspection (written instructions, protocols on administrative offences, decisions on the imposition of financial and economic penalties, and court decisions);
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишinformation on participation of third parties in the inspection (representatives of the Chamber of Commerce and Industry of the Republic of Uzbekistan and associations of which the business entity is a member, engaged at the request of the business entity, as well as tax consultants, interpreters and advocates engaged on a contractual basis).
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишThe business entity may also provide an assessment of the inspection conducted and report corruption-related situations during the inspection in the electronic form of the Register of inspections.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш16. If the inspecting official refuses to complete the Register of inspections or if discrepancies are identified as a result of comparing the information specified in this Regulation, such official shall not be allowed to conduct the inspection. In this case, the head of the business entity (or the person acting in his/her capacity) shall have the right to apply to the authorized body and notify other law enforcement bodies.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишChapter 3. Final provisions
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш17. In order to prevent unlawful interference in the activities of business entities, monitoring of compliance with the procedure for maintaining the Register of inspections by supervisory and law enforcement bodies shall be carried out by the authorized body and the Chamber of Commerce and Industry of the Republic of Uzbekistan.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш18. The authorized body shall maintain records of the Register of inspections within the State control system.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш19. Failure by officials of supervisory and law enforcement bodies to comply with the requirements of this Regulation shall be regarded as a violation of the procedure for inspecting the activities of business entities.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш20. Persons guilty of violating this Regulation shall be held liable in accordance with the procedure established by legislation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишҲужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишAppendix
to the Regulation on the procedure for maintaining the Register of inspections
to the Regulation on the procedure for maintaining the Register of inspections
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишScheme
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш for completing the Register of inspections
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишҲужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишStages | Subjects | Measures | Deadline for execution |
Stage 1 | Head of the business entity (in the absence of the head — the person performing his/her duties) | Submits the electronic form of the Audit Registration Book to the official of the regulatory body for completion. | Before the start of the audit |
Stage 2 | Official of the regulatory body | Familiarizes the head of the business entity (in the absence of the head — the person performing his/her duties) with the purpose and conditions of the audit in accordance with the legislation, provides the documents established by the legislation, and enters records into the relevant sections of the Audit Registration Book. | Before the start of the audit |
Stage 3 | Head of the business entity (in the absence of the head — the person performing his/her duties) | Is entitled to compare the information entered into the Audit Registration Book with the information in the documents provided by the auditing official in accordance with the legislation. | Before the start of the audit |
Stage 4 | Head of the business entity (in the absence of the head — the person performing his/her duties) | If the auditing official refuses to fill in the Audit Registration Book or if discrepancies are identified as a result of comparing the information specified in this Regulation, does not allow the auditing official to conduct the audit. | Before the start of the audit |
Stage 5 | Head of the business entity (in the absence of the head — the person performing his/her duties) | Enters the relevant information into the electronic form of the Audit Registration Book. | After the completion of the audit |
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишҲужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишAppendix 2
to the Resolution of the Cabinet of Ministers of the Republic of Uzbekistan No. 611 dated October 19, 2022
to the Resolution of the Cabinet of Ministers of the Republic of Uzbekistan No. 611 dated October 19, 2022
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишRegulation
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишRegulation on the procedure for attestation of officials of supervisory bodies for granting the right to inspect the activities of business entities
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишҲужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишChapter 1. General provisions
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш1. This Regulation establishes the procedure for attestation of officials of supervisory bodies for granting the right to inspect the activities of business entities (hereinafter — attestation).
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш2. The following basic concepts are used in this Regulation:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишauthorized body — an organization authorized by the legislation of the Republic of Uzbekistan to coordinate inspections of the activities of business entities and to monitor the legality of inspections conducted by supervisory bodies;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишState control system — the information system “Unified State Control”, which enables the collection, analysis and processing of large volumes of data related to state control in the field of entrepreneurship;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишsupervisory body — a ministry, agency, their structural subdivisions, and other organizations authorized by legislation to exercise state control over the activities of business entities;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишofficial of a supervisory body — a person who, on a temporary basis or under special authorization, exercises control over the activities of a business entity, performs legally significant actions within the business entity, and carries out these functions in administrative or judicial bodies;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишbusiness entity — legal entities and individuals duly registered in accordance with the established procedure and engaged in entrepreneurial activity.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш3. Attestation is conducted in order to assess the qualifications and professional level of officials of supervisory bodies who inspect the activities of business entities (hereinafter — officials), as well as to increase their responsibility for compliance with the requirements of legislation related to the activities of supervisory bodies and inspections of business entities.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишOfficials conducting remote tax inspections based on monitoring the movement of marked goods through the automated information system of tax authorities shall not be subject to attestation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш4. The main principles of conducting attestation are legality, mandatory nature, transparency, objectivity, and collegiality.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш5. The number of officials subject to attestation shall be determined by each supervisory body based on the requirements established by legislation for supervisory bodies and their officials.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш6.Officials shall undergo attestation by the supervisory body at least once every three years in accordance with the scheme set out in Appendix 1 to this Regulation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш7. The main objectives of attestation are:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишidentification of highly qualified and responsible officials;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишdetermination of the level of professional training of officials and the need for their retraining or advanced training;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишorganization of preventive measures in the activities of business entities and ensuring that inspections are conducted in accordance with legislative requirements;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишelimination of corruption-related situations, prevention of conflicts of interest, and ensuring legality during inspections of business entities.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишChapter 2. Organization of the activities of the attestation commission
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш8. Attestation shall be conducted by an attestation commission consisting of five members, established on the basis of an order of the head of the supervisory body.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишThe attestation commission shall consist of a chairperson, a secretary and members of the commission. The chairperson of the attestation commission shall be determined in accordance with paragraph 9 of this Regulation. The composition of the commission shall be formed from persons who are not involved in conducting inspections of business entities.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишBy order of the head of the supervisory body, territorial or inter-territorial attestation commissions may be established within its territorial subdivisions. In this case, the head of the territorial subdivision of the supervisory body shall act as the chairperson of the territorial or inter-territorial attestation commission.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишIf the supervisory body does not have territorial subdivisions with the status of a legal entity, attestation shall be conducted by the republican attestation commission.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш9. The attestation commission shall consist of a chairperson and four members. The commission shall include two representatives of the supervisory body and one representative each from the authorized body, the Chamber of Commerce and Industry, and business entities.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишThe head (or deputy head) of the supervisory body or its relevant territorial subdivision having the status of a legal entity shall act as the chairperson of the attestation commission.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишInformation on the attestation commission shall be published on the official website of the supervisory body.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишThe composition of territorial or inter-territorial attestation commissions shall be formed from representatives of the territorial subdivisions of the bodies specified in paragraph 9 of this Regulation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш10. The attestation commission shall operate on a permanent basis, and organizational support for its activities shall be provided by the working body of the attestation commission.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш11. The structural unit of the supervisory body responsible for human resources shall perform the functions of the working body, and its representative shall serve as the secretary of the attestation commission.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишThe working body shall perform the following functions:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишprepares necessary documents for conducting attestation jointly with the relevant structural unit of the supervisory body;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишcompiles and submits to the attestation commission the list of officials subject to attestation;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишprepares the list of questions for attestation and ensures their submission to commission members for approval;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишcoordinates with commission members the date and venue of attestation and informs officials accordingly;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишensures cooperation with interested organizations;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишtakes measures to publish information about the attestation commission on the website;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишresolves other issues related to the work of the attestation commission and implementation of its decisions in accordance with this Regulation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш12. In conducting attestation, the attestation commission shall:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишhear brief information about the official undergoing attestation;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишask questions to the official undergoing attestation;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишconduct open voting based on the results of attestation;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишprovide recommendations for improving the performance of the official undergoing attestation;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишadopt a decision on granting the right to inspect the activities of business entities;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишconsider issues related to revocation of a previously issued special certificate granting the right to inspect the activities of business entities and adopt relevant decisions;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишresolve other issues related to conducting attestation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш13. The attestation commission shall be responsible for ensuring that attestation is conducted in an open, objective and fair manner.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишChapter 3. Conduct of attestation
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш 14. The head of the supervisory body shall approve, in agreement with the authorized body, the list of officials subject to attestation and issue an order on conducting attestation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш15. The list of officials subject to attestation shall include:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишofficials authorized to inspect the activities of business entities (except for officials of tax authorities conducting remote tax inspections);
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишofficials whose special certificates have expired or will expire within the current month;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишofficials recommended for obtaining the right to inspect the activities of business entities, having at least two years of work experience (at least three months for conducting field tax inspections).
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишThe list shall not include officials who previously had the right to inspect business entities but were appointed to positions not related to inspections, as well as officials deprived of such right due to violations of legislation in the field of inspections of business entities.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш16. The head of the supervisory body shall initiate the timing of attestation, taking into account the expiration of the validity period of officialsʼ rights to inspect business entities, changes in the structure and staffing of the supervisory body, staff turnover, and other factors.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш17. The head of the relevant structural unit of the supervisory body shall submit to the working body a service характеристика for each official subject to attestation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишAn official subject to attestation shall be familiarized with the order on conducting attestation at least two weeks prior to the attestation, against signature.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш18. A meeting of the attestation commission shall be considered valid if at least three quarters of its approved composition are present.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш19. Attestation shall be conducted in the form of a question-and-answer session with the official undergoing attestation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш20. During attestation, persons undergoing attestation shall be prohibited from using electronic devices, reference materials, special or other literature, as well as any notes. In case of violation of these requirements, the persons undergoing attestation shall be removed from the attestation and deemed not to have passed it.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш21 Participation of unauthorized persons in meetings of the commission shall not be permitted.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш22. Attestation shall, as a rule, be conducted at a venue designated by the supervisory body. The supervisory body shall ensure that the attestation process is monitored in real time (online). Members of the commission may participate in attestation via videoconferencing, if necessary.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш23. The secretary of the attestation commission shall submit to the commission information materials on each official undergoing attestation at least one week prior to the date of attestation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш24. At least 15 days prior to the attestation, a list of questions shall be prepared by the working body in coordination with the attestation commission and approved by the chairperson of the attestation commission.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишThe list shall mandatorily include questions related to normative legal acts regulating the activities of business entities, as well as situational tasks — situations that occur and/or may occur during inspections of business entities, and questions related to the “risk analysis” system which provides for initiation of inspections based on the level of risk of violation of legislation by the relevant business entity.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш25. For each official undergoing attestation, an attestation sheet shall be prepared in two copies in accordance with Appendix 2 to this Regulation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш26. Taking into account the performance evaluation of the official undergoing attestation and the answers given to questions, the attestation commission shall adopt an individual decision in respect of each official by open voting. A decision shall be considered adopted if supported by a majority of the members of the attestation commission participating in the attestation. In the event of a tie, the vote of the chairperson of the attestation commission shall be decisive.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш27. Based on the results of attestation, the attestation commission shall adopt one of the following decisions:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишthe official has passed attestation;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишthe official has not passed attestation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишMembers of the attestation commission shall not abstain from voting.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш28. The decision of the attestation commission shall be announced immediately after the completion of voting, and participants of the attestation shall sign the attestation sheets.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш29. The decision adopted by the attestation commission shall be recorded in the attestation sheet signed by the chairperson, secretary and members of the attestation commission.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишIf the person undergoing attestation refuses to sign his/her attestation sheet, a corresponding note shall be made.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишThe second copy of the attestation sheet shall be provided to the official who has undergone attestation within one day after the attestation, against signature.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш30. Within two days following the attestation, minutes shall be drawn up. The minutes shall indicate the date and place of attestation, the decision of the attestation commission, and the attestation sheets shall be attached. The minutes shall be signed by the chairperson and the secretary of the attestation commission.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш31. An official who has passed attestation shall be granted the right to inspect the activities of business entities for the period determined by the attestation commission.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш32. Officials who fail to attend attestation for valid reasons (illness, business trip or other reasons) shall be included in the list of employees to be considered at the next meeting of the attestation commission.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш33. An official deemed not to have passed attestation may be admitted to re-attestation no earlier than six months later.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш34. An official who has not passed attestation shall be prohibited from inspecting the activities of business entities. The head of the supervisory body may, with the consent of such official, transfer him/her to a position not related to inspections of business entities.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш35. If, during the inspection of a business entity, an official commits violation of the law and/or is held liable in accordance with the established procedure, the right granted to him/her shall be revoked by the attestation commission.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишAn official whoʼs right to inspect the activities of business entities has been revoked by the attestation commission may be admitted to re-attestation no earlier than one year later.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишChapter 4. Formation and maintenance of the electronic register of officials of supervisory bodies
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш36. The electronic register of officials of supervisory bodies shall be formed by the supervisory body in the State control system and maintained by the authorized body.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш37. Based on the results of attestation, the working body shall enter the following information on officials of supervisory bodies into the State control system:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишthe name of the supervisory body;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишthe name of the subdivision of the supervisory body where attestation was conducted;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишthe date of attestation;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишa copy of the minutes of the attestation commission;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишfor officials who have successfully passed attestation and have the right to inspect the activities of business entities: surname, name and patronymic, position, validity period of the special certificate, passport series and number, date and issuing authority, and personal identification number of the individual;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишfor officials who have not passed attestation: surname, name and patronymic, position, passport series and number, date and issuing authority, and personal identification number of the individual.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш38. After the relevant minutes are formalized based on the results of attestation, the information specified in paragraph 37 of this Regulation shall be entered into the State control system within one working day.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш39. The authorized body shall verify the accuracy and completeness of the information entered into the State control system by the supervisory body within three working days.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишIf the information entered into the State control system is incomplete or inconsistent with the results of attestation, it shall be returned by the authorized body to the supervisory body for revision.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш40. After the information entered into the State control system by the supervisory body is approved by the authorized body, officials who have successfully passed attestation shall be automatically assigned a serial number.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишThe serial number assigned to each official in the State control system shall serve as the number of the special certificate granting the right to inspect the activities of business entities.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишChapter 5. Special certificate granting the right to inspect the activities of business entities
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш41. An official who has passed attestation shall be issued a special certificate in accordance with Appendix 3* to this Regulation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш* The Appendix 3 of the act is given in uzbek.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш42. The production, issuance, storage and accounting of special certificate forms shall be carried out at the expense of the supervisory body, in accordance with the procedure established for service certificates of officials and the requirements of paragraph 40 of this Regulation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш43. In cases where a special certificate is lost or becomes unfit for use, a duplicate may be issued to the official on the basis of his/her application by order of the supervisory body or its territorial subdivision.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишWhen issuing a new special certificate, it shall bear the mark “Duplicate”. Re-attestation shall not be required for reissuance or issuance of a duplicate of the special certificate.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш44. If an official who has the right to inspect the activities of business entities is transferred within the supervisory body to another position related to inspections, a new special certificate indicating the new position shall be issued for the remaining validity period of the previously issued certificate.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш45. Upon termination of the employment contract with the official or transfer to a position not related to inspections of business entities, the special certificate shall be returned to the working body.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишThe working body shall notify the authorized body within one working day from the date of return of the special certificate. In this case, the authorized body shall make appropriate changes in the electronic register of officials of supervisory bodies in the State control system regarding the official whose employment contract has been terminated or who has been transferred to a position not related to inspections of business entities.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишChapter 6. Final provisions
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш46. Expenses related to the organization and conduct of attestation shall be financed from the funds of the relevant supervisory body.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш47. Issues related to the conduct of attestation not regulated by this Regulation may be resolved by the attestation commission through voting.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш48. Decisions of the attestation commission may be appealed to a higher authority or to a court in accordance with the established procedure.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш49. Persons guilty of violating the requirements of this Regulation shall be held liable in accordance with the procedure established by legislation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишҲужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишAppendix 1
to the Regulation on the procedure for attestation of officials of supervisory bodies for granting the right to inspect the activities of business entities
to the Regulation on the procedure for attestation of officials of supervisory bodies for granting the right to inspect the activities of business entities
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишScheme
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишfor conducting attestation of officials of supervisory bodies for granting the right to inspect the activities of business entities
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишҲужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишStages | Subjects | Measures | Deadline for execution |
Stage 1 | Regulatory body | Approves the list of officials subject to attestation, coordinated with the competent body, and issues an order on holding the attestation. | Continuously |
Stage 2 | Working body of the Attestation Commission | A list of questions is compiled by the working body in coordination with the Attestation Commission, and this list is approved by the head of the regulatory body. | At least 15 days before the attestation |
Stage 3 | Working body of the Attestation Commission | Familiarizes the officials subject to attestation with the order on holding the attestation against their signature. | At least 2 weeks before the attestation |
Stage 4 | Working body of the Attestation Commission | Prepares performance characteristics and certificates for the officials subject to attestation. | At least 2 weeks before the attestation |
Stage 5 | Attestation Commission | Elects the Chairman of the Attestation Commission from among the members of the commission through a secret ballot. | Before the start of the attestation |
Stage 6 | Attestation Commission | The attestation is conducted in the form of an interview (question-and-answer) with the official. | During the attestation |
Stage 7 | Attestation Commission | 1. Adopts a decision by voting; | Based on the results of the attestation |
Stage 8 | Working body of the Attestation Commission | Provides the second copy of the attestation sheet to the official who underwent the attestation. | Within 1 day after the attestation is held |
Stage 9 | Working body of the Attestation Commission | Draws up minutes on the results of the attestation, indicating the date and place of the attestation, the decision of the Attestation Commission, and attaching the attestation sheets. | Within 2 days based on the results of the attestation |
Stage 10 | Working body of the Attestation Commission | Enters information about the officials who participated in the attestation into the State Control System of the electronic register of officials of regulatory bodies. | Within 1 working day after the relevant minutes on the results of the attestation are finalized |
Stage 11 | Competent body | Verifies and confirms the reliability and completeness of the information entered into the State Control System by the regulatory bodies. | Within 3 working days after the information is entered into the State Control System |
Stage 12 | Working body of the Attestation Commission | Issues a special certificate to the officials who passed the attestation, granting the right to audit business entities, indicating the special serial number provided through the State Control System of the electronic register of regulatory body officials. | Based on the results of the attestation |
Stage 13 | Working body of the Attestation Commission | Posts information about the members of the Attestation Commission and the results of the conducted attestation on the official website of the regulatory body. | Based on the results of the attestation |
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишҲужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишAppendix 2
to the Regulation on the Procedure for Attesting Officials of Regulatory Bodies for Granting the Right to Audit the Activities of Business Entities
to the Regulation on the Procedure for Attesting Officials of Regulatory Bodies for Granting the Right to Audit the Activities of Business Entities
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишҲужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш|
ATTESTATION SHEET
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____________________________________________________________________ (Position) ____________________________________________________________________ (Official's Full Name)
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On granting the right to audit the activities of business entities ____________________________________________________________________ (Name of the regulatory body)
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Decision of the Attestation Commission: _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________
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Chairman of the Attestation Commission |
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________________________ |
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(signature) |
(Full Name) |
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Members of the Attestation Commission: |
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________________________ |
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(signature) |
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________________________ |
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(signature) |
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________________________ |
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(signature) |
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Secretary of the Attestation Commission |
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________________________ |
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(signature) |
(Full Name) |
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20___ y. "____" _____________
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I have
familiarized myself with the decision of the Attestation Commission,
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______________________________________ (Date, signature, Official's Full Name)
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Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишҲужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишAppendix 3
to the Resolution of the Cabinet of Ministers of the Republic of Uzbekistan No. 611 dated October 19, 2022
to the Resolution of the Cabinet of Ministers of the Republic of Uzbekistan No. 611 dated October 19, 2022
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишMinimum requirements
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишfor “risk analysis” systems of supervisory bodies
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишҲужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишChapter 1. General provisions
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш1. These minimum requirements establish the minimum requirements for the development by supervisory bodies of a “risk analysis” system which provides for the initiation of inspections based on the level of risk of violation of legislation by business entities. These minimum requirements shall not apply to the risk management system used by customs authorities in the exercise of customs control.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш2. The following basic concepts are used in these minimum requirements:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишauthorized body — an organization authorized by the legislation of the Republic of Uzbekistan to coordinate inspections of the activities of business entities and to monitor the legality of inspections conducted by supervisory bodies;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишsupervisory body — a ministry, agency, their structural subdivisions, and other organizations authorized by legislation to exercise state control over the activities of business entities;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишbusiness entity — legal entities and individuals duly registered in accordance with the established procedure and engaged in entrepreneurial activity;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишinspection — a control measure carried out by obtaining necessary materials, documents or information related to the activities of a business entity, as well as by performing certain actions to determine the extent of compliance with legislation regulating its activities;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш“risk analysis” system — a mechanism used by supervisory bodies to determine, on the basis of specific criteria in the relevant area of supervision, the level of risk of violation of legislation by a business entity in the course of its activities.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш3. These minimum requirements shall be mandatory for supervisory bodies when developing a “risk analysis” system in relation to the activities of business entities.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш4. The risk of violation identified on the basis of the developed “risk analysis” system, regardless of its level, shall not serve as grounds for applying enforcement measures to a business entity.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш5. “Risk analysis” systems that do not comply with these minimum requirements shall not serve as a basis for initiating inspections of business entities.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишChapter 2. General requirements for risk level analysis
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш6. The process of analyzing the level of risk of violation of legislation by a business entity shall not include actions which provides for suspension of activities, obstruction, or direct interference in the activities of the business entity.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш7. Risk level analysis may be carried out on the basis of studying the following information:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишadministrative data (licenses, permits and other documents available in state bodies);
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишperiodic statistical data, including indicators characterizing business entities in which violations have previously been identified, reports, and results of other correlation analyses;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишapplications received from legal entities and individuals;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишinformation obtained from mass media or other external sources (social networks, websites);
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишanalysis of deficiencies identified as a result of control purchases;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишother information obtained from sources not prohibited by legislation, as well as from state bodies and other organizations, provided that it does not directly or indirectly interfere with the normal activities of the business entity.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш8. During the process of risk level analysis, it shall not be permitted to request documents or information from the business entity.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш9. Risk level analysis shall be carried out by the supervisory body at least once a year.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш10. Risk level analysis shall be conducted in relation to business entities operating within the scope of the supervisory authority of the supervisory body.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишIt is prohibited to analyze and assess the activities of business entities that do not fall within the supervisory authority of the supervisory body.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишChapter 3. Classification of risk levels and requirements for their criteria
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш11. The assessment of the risk level shall be carried out by evaluating the compliance of the activities of a business entity with indicators and criteria formed on the basis of analyzed data, using a point-based system.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш12. The assessment process shall include at least five key indicators reflecting signs of violations in the activities of a business entity based on the analyzed data.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш13. The score of each key indicator shall be determined based on the sum of the scores of its sub-indicators. The scores of key indicators may differ depending on their level of significance.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш14. Each key indicator shall include at least five clarifying sub-indicators.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш15. When evaluating sub-indicators, criteria clearly specifying the number of points to be assigned in each case shall be established. The use of vague rules or rules allowing selection within a range of values shall be prohibited. The assessment criteria shall provide for a specific score for a specific situation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш16. The assessment process shall be carried out as follows:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишevaluation of sub-indicators based on established criteria and determination of scores for each sub-indicator;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишdetermination of the score for each key indicator by aggregating the scores of sub-indicators;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишdetermination of the overall risk score for violations in the activities of each business entity by aggregating the scores of key indicators.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш17. Based on the total risk scores determined as a result of the assessment, the risk of violations by business entities shall be classified into the following three categories:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишhigh risk — business entities with the highest risk scores constituting the top 20 percent of the total scores of all assessed business entities;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишmedium risk — business entities with risk scores constituting the next 50 percent of the total scores of all assessed business entities, excluding the top 20 percent;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишlow risk — the remaining business entities with lower risk scores.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишChapter 4. Measures implemented within classified risk levels
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш18. In accordance with the assessment results, preventive measures aimed at preventing violations shall be carried out in respect of business entities classified as high and medium risk.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш19. Initiation of an inspection shall be permitted only in respect of business entities classified as high risk and only if, after the implementation of preventive measures, the indicators of violations have not improved.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш20. Without conducting preventive measures and without waiting for their results, an inspection may be initiated in respect of business entities classified as high risk in the following cases:
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишwhere there is a high risk of harm to human life and health;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишin urgent situations requiring prevention of threats to public safety;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишwhere circumstances that may cause significant harm to the environment are identified;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишwhere cases of material damage to individuals, legal entities, state bodies or other organizations are identified;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишwhere there are instructions which provides for inspections issued by the Oliy Majlis of the Republic of Uzbekistan, the President of the Republic of Uzbekistan, the Presidential Administration, or the Cabinet of Ministers;
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишin other cases provided for by legislation.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш21. Preventive measures aimed at preventing violations shall be mandatory in respect of business entities classified as medium risk. If, based on subsequent assessments, negative changes are identified in the activities of the business entity, an inspection may be initiated.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш22. Any interference in the activities of business entities classified as low risk shall not be permitted.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш23. The “risk analysis” system shall provide that all inspections conducted in the activities of business entities, regardless of the level of risk, are carried out with coordination or notification of the authorized body through registration in the information system “Unified State Control”.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олишChapter 5. Final provisions
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш24. The “risk analysis” system developed by supervisory bodies shall be subject to mandatory approval in coordination with the authorized body and the Chamber of Commerce and Industry of the Republic of Uzbekistan.
Ҳужжатга таклиф юборишАудиони тинглашҲужжат элементидан ҳавола олиш25. The head of the supervisory body shall be personally responsible for the implementation of the “risk analysis” system.