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JOINT ORDER OF I.O. OF THE MINISTER OF INVESTMENTS AND DEVELOPMENT OF THE REPUBLIC OF KAZAKHSTAN AND MINISTER OF NATIONAL ECONOMY OF THE REPUBLIC OF KAZAKHSTAN

of December 14, 2015 No. 1199, on December 29, 2015 No. 826

About approval of criteria for evaluation of risk degree and checking sheets in the field of technical regulation

(as amended on 13-06-2023)

According to Items 5 and 6 of Article 141 and Item 1 of article 143 of the Entrepreneurial code of the Republic of Kazakhstan and the subitem 16) Item 1 of article 7 of the Law of the Republic of Kazakhstan "About technical regulation" PRIKAZYVAYEM:

1. Approve:

1) criteria for evaluation of risk degree for selection of subjects (objects) of control and supervision in the field of technical regulation according to appendix 1 to this joint order;

2) checking leaf in the field of technical regulation concerning the manufacturer of the state symbols of the Republic of Kazakhstan according to appendix 2 to this joint order;

2-1) checking leaf in the field of technical regulation concerning the manufacturer of the state symbols of the Republic of Kazakhstan according to appendix 2-1 to this joint order;

3) checking leaf in the field of technical regulation concerning training centers according to appendix 3 to this joint order;

4) checking leaf in the field of technical regulation concerning the organization authorized on issue of the certificate of origin, the expert organization and experts-auditors in determination of the country of goods' origin, the status of goods of the Eurasian Economic Union or foreign goods according to appendix 4 to this joint order;

5) checking leaf in the field of technical regulation concerning subjects of technical regulation entering into structure of the state system of technical regulation, and also the physical persons and legal entities having concerning objects of technical regulation right of possession, uses and (or) orders according to the civil legislation of the Republic of Kazakhstan according to appendix 5 to this joint order;

6) leaf in the field of technical regulation concerning body for confirmation of conformity and test laboratory (center) according to appendix 6 to this joint order;

7) right rationing arrangements of rapid response according to appendix 7 to this joint order.

2. Declare invalid the joint order of the acting minister on investments and development of the Republic of Kazakhstan of June 26, 2015 No. 728 and the Minister of national economy of the Republic of Kazakhstan of July 4, 2015 No. 501 "About approval of criteria for evaluation of risk degree and forms of checking sheets in the field of technical regulation and metrology" (registered in the Register of state registration of regulatory legal acts of the Republic of Kazakhstan for No. 11831, published in information system of law of Ad_let on August 21, 2015).

3. (Kaneshev B. B.) to provide to committee of technical regulation and metrology of the Ministry for Investments and Development of the Republic of Kazakhstan:

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

2) within ten calendar days after state registration of this joint order in the Ministry of Justice of the Republic of Kazakhstan the direction it the copy in printing and electronic type on official publication in periodic printing editions and information system of law of Ad_let, and also in the Republican center of legal information for entering into reference control bank of regulatory legal acts of the Republic of Kazakhstan;

3) placement of this joint order on Internet resource of the Ministry for Investments and Development of the Republic of Kazakhstan and on the Internet portal of state bodies;

4) within ten working days after state registration of this joint order in the Ministry of Justice of the Republic of Kazakhstan submission to Legal department of the Ministry for Investments and Development of the Republic of Kazakhstan of data on execution of the actions provided by subitems 1), 2) and 3) of Item 3 presents of the joint order.

4. To impose control of execution of this joint order on the supervising vice-minister of investments and development of the Republic of Kazakhstan.

5. This joint order becomes effective after ten calendar days after day of its first official publication.

The acting minister on investments and development of the Republic of Kazakhstan

 

__________________ Zh. Kasymbek

Minister of national economy of the Republic of Kazakhstan

 

_______________ E.Dosayev

It is approved

Chairman of Committee on legal statistics and special accounting of the Prosecutor General's Office of the Republic of Kazakhstan

December 25, 2015

 

_____________________ S. Aytpayeva

Appendix 1

to the joint Order of the acting minister on investments and development of the Republic of Kazakhstan and the Minister of national economy of the Republic of Kazakhstan of December 14, 2015 No. 1199, on December 29, 2015 No. 826

Criteria for evaluation of risk degree for selection of subjects (objects) of control and supervision in the field of technical regulation

Chapter 1. General provisions

1. These Criteria for evaluation of risk degree in the field of technical regulation (further - Criteria) are developed for selection of subjects (objects) of control and supervision according to Items 5 and 6 of Article 141 and Item 1 of article 143 of the Entrepreneurial code of the Republic of Kazakhstan (further – the Code) and Rules of forming by the regulatory state agencies of system of assessment and risk management approved by the order of the acting minister of national economy of the Republic of Kazakhstan of June 22, 2022 No. 48 (it is registered in the Register of state registration of regulatory legal acts at No. 28577).

2. In these Criteria the following concepts are used:

1) point – quantitative measure of calculation of risk;

2) normalization of data – the statistical procedure providing reduction of the values measured in various scales to conditionally general scale;

3) considerable violations – the violations of requirements of the legislation of the Republic of Kazakhstan in the field of technical regulation creating prerequisites on damnification of life, to health of the person, the environment, including plant and animal life and the infringing legitimate interests of physical persons and legal entities, the states;

4) insignificant violations – the violations of requirements of the legislation of the Republic of Kazakhstan in the field of technical regulation which are not relating to considerable and gross violations;

5) gross violations – the violations of requirements of the legislation of the Republic of Kazakhstan in the field of technical regulation attracting direct damnification of life, to health of the person, the environment, including plant and animal life and the infringing legitimate interests of physical persons and legal entities, the states;

6) criteria for evaluation of risk degree – set of the quantitative and qualitative indexes connected with direct activities of the subject of control and the supervision, the features of industry development and factors influencing this development, allowing to carry subjects (objects) of control to various risk degrees;

7) objective criteria for evaluation of risk degree (further - objective criteria) - the criteria for evaluation of risk degree used for selection of subjects (objects) of control and supervision depending on risk degree in certain field of activity and which are not depending directly on separate subject (object) of control and supervision;

8) subjective criteria for evaluation of risk degree (further – subjective criteria) – the criteria for evaluation of risk degree used for selection of subjects (objects) of control and supervision depending on results of activities of specific subject (object) of control and supervision;

9) system of assessment and risk management – process of acceptance of the management decisions directed to decrease in probability of approach of adverse factors by distribution of subjects (objects) of control and supervision on risk degrees for the subsequent implementation of preventive control with visit of subject (object) of control and supervision and (or) checks on compliance to qualification requirements (further – checks on compliance to requirements) for the purpose of minimum possible extent of restriction of freedom of enterprise, providing at the same time admissible risk level in the corresponding fields of activity, and also directed to change of risk level for specific subject (object) of control and supervision and (or) release of such subject (object) of control and supervision from preventive control with visit of subject (object) of control and supervision and (or) checks on compliance to requirements;

10) the checking sheet – the list of requirements imposed to activities of subjects (objects) of control and supervision which non-compliance involves threat of life and to health of the person, the environment, legitimate interests of physical persons and legal entities, the states.

11) subjects (objects) of control and supervision in the field of technical regulation - body (organizations), the representative (representatives) on issue of the certificate of origin and certificate of origin for the internal address, about determination of the status of goods of the Eurasian Economic Union or foreign goods, manufacturers of National Flag and State Emblem of the Republic of Kazakhstan, bodies for confirmation of conformity, laboratory and applicants to which action of the technical regulation, the training centers, subjects of private entrepreneurship enabling the realization, release into the stream of commerce of products conforming to the requirements established by technical regulations extends;

12) risk in the field of technical regulation - probability of damnification as a result of activities of the subject of control and supervision of life or to health of the person, legitimate interests of physical persons and legal entities, valuable interests of the state taking into account severity of its consequences;

13) sample (selection) – the list of the estimated subjects (objects) carried to uniform group of subjects (objects) of control and supervision according to Item 2 of article 143 of the Code.

3. Criteria for evaluation of risk degree in the field of technical regulation for preventive control with visit of subject (object) of control are created by means of objective and subjective criteria which are performed step by step (the Multicriteria analysis of decisions).

Chapter 2. Objective criteria

4. Determination of objective criteria is performed by means of risk identification.

5. Risk identification is performed depending on specifics of the sphere in which the state control and supervision taking into account one of the following criteria is exercised:

1) level of danger (complexity) of object;

2) scales of weight of possible negative consequences, harm on the regulated sphere (area);

3) possibilities of approach of adverse incident for legitimate interests of physical persons and legal entities, states.

6. After carrying out the analysis of all possible risks subjects (objects) of control and supervision are distributed on three risk degrees (high, average and low).

In the sphere of technical regulation the following subjects treat high risk by objective criteria:

1) on production of the state symbols of the Republic of Kazakhstan;

2) body (organizations), the representative (representatives) on issue of the certificate of origin and certificate of origin for the internal address, about determination of the status of the Eurasian Economic Union or foreign goods;

3) the subjects of private entrepreneurship enabling the realization, release into the stream of commerce of products concerning which technical regulations are enacted.

To average risk degree:

1) expert organization and experts-auditors in determination of the country of goods' origin, status of goods of the Eurasian Economic Union or foreign goods;

2) confirmation of conformity, accreditation experts-auditors.

To low risk degree – training centers.

7. For subjects (objects) of control and supervision carried to high risk, frequency rate of conducting check on compliance to requirements is determined by criteria for evaluation of risk degree, but is not more often than once a year.

For subjects (objects) of control and supervision carried to average risk degree, frequency rate of conducting checks on compliance to requirements is determined by criteria for evaluation of risk degree, but is not more often than once in two years.

For subjects (objects) of control and supervision carried to low risk degree, frequency rate of conducting checks on compliance to requirements is determined by criteria for evaluation of risk degree, but is not more often than once in three years.

8. Concerning subjects (objects) of control and supervision carried to high or average risk degree are carried out preventive control with visit of subject (object) of control and supervision, preventive control without visit of subject (object) of control and supervision, check on compliance to requirements and unscheduled inspection.

Concerning subjects (objects) of control and supervision carried to low risk degree are carried out preventive control without visit of subject (object) of control and supervision, check on compliance to requirements and unscheduled inspection.

Chapter 3. Subjective criteria

9. Determination of subjective criteria is performed using the following stages:

1) forming of the database and information collection;

2) information analysis and risks assessment.

10. For assessment of risk degree and preventive control with visit the following sources of information are used:

1) results of the previous checks and preventive control with visit of subjects (objects) of control and supervision;

2) results of preventive control without visit of subject (object) of control and supervision (the resulting documents issued following the results of preventive control without visit of subject (object) of control and supervision).

For conducting check on compliance to requirements the source of information uses results of the previous checks.

Based on the available information sources, the state control body and supervision in the sphere of technical regulation creates the subjective criteria which are subject to assessment.

The analysis and assessment of subjective criteria allows to concentrate conducting check on compliance to requirements and preventive control of subject (object) of control and supervision concerning subject (object) of control and supervision with the greatest potential risk.

At the same time in the analysis and assessment the data of subjective criteria which are earlier considered and used concerning specific subject (object) of control and supervision or data according to which the term of limitation period according to the legislation of the Republic of Kazakhstan expired are not applied.

Concerning the subjects of control and supervision which eliminated in full the issued violations following the results of the carried-out previous preventive control with visit and (or) checks on compliance to requirements their inclusion when forming schedules and lists for the next period of the state control is not allowed.

11. Subjective criteria with distribution on degree of the importance of violations in the field of technical regulation are given in appendices 1, of 2, of 3, of 4, of 5, 6 to these criteria.

Subjective criteria for evaluation of risk degree on information sources for determination of industry risks are given in appendix 7 to these criteria.

12. Proceeding from priority of the applied information sources according to procedure of payments of general exponent of risk by subjective criteria the general exponent of risk by subjective criteria on scale from 0 to 100 is calculated.

On risk exponents the subject (object) of control and supervision belongs:

1) to high risk – in case of exponent of risk from 71 to 100 inclusive;

2) to average risk degree – in case of exponent of risk from 31 to 70 inclusive;

3) to low risk degree – in case of exponent of risk from 0 to 30 inclusive.

13. In case of identification of one gross violation to the subject of control and supervision the exponent of risk 100 is equated and concerning it it is performed on compliance to requirements or preventive control with visit of subject (object) of control and supervision.

In case of not identification of gross violations of measure definition of risk degree is calculated total indicator on violations of considerable and insignificant degree.

In case of measure definition of considerable violations the coefficient of 0,7 is applied and this indicator is calculated by the following formula:

SRZ = (SP2 x 100/SP1) x 0,7,

where:

SRZ – indicator of considerable violations;

SP1 – the required number of considerable violations;

SP2 – the number of the revealed considerable violations;

In case of measure definition of insignificant violations the coefficient of 0,3 is applied and this indicator is calculated by the following formula:

SRN = (SP2 x 100/SP1) x 0,3,

where:

SRN – indicator of insignificant violations;

SP1 – the required number of insignificant violations;

SP2 – the number of the revealed insignificant violations;

The general exponent of risk (SP) is calculated on scale from 0 to 100 and is determined by summing of indicators of considerable and insignificant violations by the following formula:

SP = SRZ + SRN,

where:

SP – general exponent of risk;

SRZ – indicator of considerable violations;

SRN – indicator of insignificant violations.

13-1. When forming system of risks assessment with use of information systems, measure calculation of risk degree by subjective criteria, and also risk exponents, is performed according to the list of subjective criteria in form according to appendix 7 to these criteria.

Measure calculation of risk degree by subjective criteria (R) is perfromed in the automated mode by summing of exponent of risk on violations by results of the previous checks and preventive control with visit of subjects (objects) of control and supervision (SP) and exponent of risk by subjective criteria (SC), with the subsequent normalization of values from 0 to 100 points this in the range.

R pry = SP + SC, where

R pry – intermediate exponent of risk by subjective criteria,

SP – risk exponent on violations,

SC – risk exponent by subjective criteria.

Calculation is made on each subject (object) of control and supervision of uniform group of subjects (objects) of control and supervision of each sphere of the state control and supervision. At the same time the list of the estimated subjects (objects) of control and supervision carried to uniform group of subjects (objects) of control and supervision of one sphere of the state control and supervision forms sample (selection) for the subsequent normalization of data.

Measure calculation of risk degree by subjective criteria is made on scale from 0 to 100 points and performed on the following formula:

 225-2023 (Ф.1)

xi – indicator of subjective criterion,

wi – specific weight of indicator of subjective criterion,

n – quantity of indicators.

The received risk degree measure value by subjective criteria joins in measure calculation of risk degree by subjective criteria.

The values calculated by subjects (objects) by indicator are normalized in the range from 0 to 100 points. Normalization of data is performed on each sample (selection) with use of the following formula:

 225-23 (Ф.2)

R – risk exponent (final) by subjective criteria of separate subject (object) of control and supervision,

Rmax – the greatest possible value on risk degree scale by subjective criteria on subjects (objects) entering one sample (selection) (the upper bound of scale)

Rmin – minimum possible value on risk degree scale by subjective criteria on subjects (objects) entering one sample (selection) (the lower bound of scale)

Rprom – intermediate exponent of risk by subjective criteria.

Chapter 4. Risk management

14. For the purpose of realization of the principle of encouragement of fair subjects of control and supervision and concentration of control on violators subjects (objects) of control and supervision are exempted from carrying out preventive control with visit of subject (object) of control and supervision (or) check on compliance to requirements of the period determined by criteria for evaluation of risk degree of state control body and supervision in the sphere of technical regulation by means of use of subjective criteria.

15. Subjects (objects) of control and supervision are transferred using information system from high risk in average risk degree or from average risk degree in low risk degree in the sphere of technical regulation in cases:

1) if such subjects signed insurance contracts of civil responsibility to the third parties in the cases and procedure established by the laws of the Republic of Kazakhstan;

2) if in the laws of the Republic of Kazakhstan and criteria for evaluation of risk degree of state control body and supervision in the sphere of technical regulation cases of release from preventive control with visit of subject (object) of control and supervision or conducting checks on compliance to requirements are determined;

3) if subjects are members of the self-regulatory organization based on voluntary membership (participation) according to the Law of the Republic of Kazakhstan "About self-regulation" with which the agreement on recognition of results of activities of self-regulatory organization is signed.

16. The system of assessment and risk management by state bodies is conducted with use of the information systems carrying subjects (objects) of control and supervision to specific risk degrees and creating schedules or lists of holding control actions and also is based on the state statistics, results of departmental statistical observation, and also information tools.

In the absence of information system of assessment and risk management minimum admissible threshold of amount of subjects (objects) of control and supervision concerning which are performed preventive control with visit of subject (object) of control and supervision and (or) check on compliance to requirements shall not exceed five percent from total quantity of such subjects of control and supervision in the sphere of technical regulation.

Appendix 1

to Criteria for evaluation of risk degree for selection of subjects (objects) of control and supervision in the field of technical regulation

Extents of violation of requirements to subjects (objects) of control in the field of technical regulation concerning the manufacturer of the state symbols when carrying out preventive control with visit, and unscheduled inspections

No. of payment order

Name of the requirement

Extent of violation

1.

compliance of National Flag to the national PK 988 ST standard "National Flag of the Republic of Kazakhstan. General specifications"

rough

2.

compliance of the State Emblem to the national PK 989 ST standard "State Emblem of the Republic of Kazakhstan. Specifications"

rough

Appendix 2

to Criteria for evaluation of risk degree for selection of subjects (objects) of control and supervision in the field of technical regulation

Extents of violation of requirements to subjects (objects) of control in the field of technical regulation concerning the manufacturer of the state symbols when conducting checks on compliance to requirements

No. of payment order

Name of the requirement

Extent of violation

1.

availability of the license for production of National Flag and State Emblem of the Republic of Kazakhstan

rough

2.

availability of production technical base (processing equipment, measuring instruments and control, including the atlas of the flowers providing observance of engineering procedure and quality of the made state symbols)

rough

3.

availability the master of model of each made standard size of the State Emblem of the Republic of Kazakhstan with appendix of positive result of testing

rough

4.

availability of production reference sample of each made standard size of the State Emblem of the Republic of Kazakhstan with appendix of positive result of testing

rough

5.

availability of the certificate of origin of the CT-KZ form on products "National Flag of the Republic of Kazakhstan" and "the State Emblem of the Republic of Kazakhstan"

rough

Appendix 3

to Criteria for evaluation of risk degree for selection of subjects (objects) of control and supervision in the field of technical regulation

Extents of violation of requirements to subjects (objects) of control in the field of technical regulation concerning training centers when carrying out preventive control with visit, and unscheduled inspections

No. of payment order

Name of the requirement

Extent of violation

1.

carrying out preparation and advanced training of experts-auditors in confirmation of conformity, determination of the country of goods' origin, the status of goods of the Eurasian Economic Union or foreign goods is performed in the form of qualification rates

considerable

2.

availability officially the published regulating, reference and educational and methodical documents included in curricula

rough

3.

availability of curricula on each qualification rate, including lecture, the practical training (if necessary) intended to obligatory assimilation of knowledge in the field of technical regulation

considerable

4.

availability of the teachers performing preparation and advanced training of listeners according to the curriculum depending on area of training

considerable

5.

notification availability training center of authorized body about the made changes, in case of change in curricula

rough

6.

notification availability training center of authorized body, in case of the termination of the activities within 10 (ten) calendar days

considerable

Appendix 4

to Criteria for evaluation of risk degree for selection of subjects (objects) of control and supervision in the field of technical regulation

Extents of violation of requirements to subjects (objects) of control in the field of technical regulation concerning the body (organization) authorized (authorized) on issue of the certificate of origin and certificate of origin for the internal address, about determination of the status of goods of the Eurasian Economic Union or foreign goods when carrying out preventive control with visit and unscheduled inspections

No. of payment order

Name of the requirement

Extent of violation

1.

availability of the conclusion about execution of the certificate of origin in any form, before execution of the certificate of origin of the CT-KZ form constituted by the authorized person

rough

2.

issue of the certificate of origin exported, re-exported from the Republic of Kazakhstan no later than 1 (one) working day, except for, when issue is performed no later than 3 (three) working days following behind day of registration

rough

3.

the issue of the certificate of origin of the CT-KZ form or the written motivated decision on refusal in its issue no later than 3 (three) working days electronically by means of information system of authorized organization by means of information system of authorized organization given the right of registration, the certificate and issue of the certificate of origin (further – authorized organization)

considerable

4.

availability of the request of physical person or legal entity for receipt of the certificate of origin exported, re-exported from the Republic of Kazakhstan about determination of the status of goods of the Eurasian Economic Union or foreign goods

rough

5.

availability of supporting documents about the manufacturer of goods (the name with indication of the republic of the Union of Soviet Socialist Republics and the postal address) and years of production of goods

rough

6.

availability of the copy of transport documents, in case of export of goods to the countries of state members of the Eurasian Economic Union

rough

7.

availability of the following documents when conducting examination of goods origin together with the request for conducting examination of goods origin for the internal address:

1) the documents confirming legal position of the applicant (for legal entities - the certificate of state registration (re-registration) of the legal entity, the certificate of accounting registration of branch or representation of the legal entity, regulations on branch or representation of the legal entity, for individual entrepreneurs – the supporting document statement of physical person on registration accounting as person who is engaged in private practice) are provided 1 (one) time a year;

2) the documents confirming purchase of goods (when the applicant is not producer of the declared goods) - the contract with the producer of goods or for purchase of goods, delivery notes, invoices;

documents for determination of criterion of sufficient conversion of goods (for the confirmation of cost of raw materials and (or) components used in production of goods, delivery agreements of raw materials and (or) the invoice and (or) delivery notes, documentation with the description of technological transactions with appendix of the list of regulating technical documents according to which the goods, the list of the equipment for production of the declared goods, documents for the production room, the list of workers with indication of positions and (or) professions, calculation of cost of finished goods on the terms of the price "ex-works" taking into account the cost of the used raw materials or component of foreign origin are made);

3) the certificate of origin for the internal address (further - the certificate of origin of the CT-KZ form) and (or) the documents confirming origin of raw materials, materials and (or) components, except for allowing documents for export;

4) the warehouse certificate of availability and goods quantity in warehouse with indication of the address of warehouse or the certificate of the planned annual amount of release of goods of serial production;

5) the power of attorney on representation of interests of the applicant (when the application is submitted not by the head);

6) for crop production products: the certificate confirmation of local executive body of the corresponding administrative and territorial unit of the Republic of Kazakhstan of cultivation of the declared lot of products in the specified territory;

7) the declaration on the individual income tax and the social tax for the last quarter (form 200.00), the simplified declaration for small business entities for the last half-year (form 910.00), the declaration for payers of the single land tax (form 920.00) and (or) employment contracts, documents on payment of obligatory payments from the income of workers for the last three months

rough

8.

carrying out identification of goods on external signs, marking (the name, type, packaging, class, manufacturer), implementation of photographing of goods and the place of its production with departure on the location of production

rough

9.

conducting examination of engineering procedure in case of production of goods for the purpose of establishment of criterion of sufficient conversion of goods

rough

10.

carrying out calculation of share of local content

rough

11.

conducting check of compliance of the declared goods according to the Commodity Nomenclature of Foreign Economic Activity and PK 04 Oil Company "Products qualifier by types of economic activity"

rough

12.

availability of the copy of documents for purchase of goods (the agreement, the invoice) in case of confirmations of origin for the goods re-exported from the Republic of Kazakhstan

considerable

13.

availability of the copy of the documents confirming the commodity importation fact on the territory of the Republic of Kazakhstan (the declaration on goods (if the goods are imported from the territory of state members of the Eurasian Economic Union, the declaration on goods is not provided), documents on transportation of goods (if the goods are transported by road transport from the territory of state members of the Eurasian Economic Union, the coupon of passing of the state control in addition is submitted) for the goods re-exported from the Republic of Kazakhstan

considerable

14.

availability of the copy of the documents confirming goods origin (the certificate of origin or the declaration on goods origin) for the goods re-exported from the Republic of Kazakhstan

considerable

15.

conducting verification of the appraisal certificate regarding determination of the country of goods' origin for the internal address

rough

16.

the change of commodity code on the Commodity nomenclature of foreign economic activity at the level of any of the first four signs which resulted from conversion of goods for respect for criteria of sufficient conversion of goods of the Kazakhstan origin for the internal address

rough

17.

application of rules of ad valorem share, calculation of ad valorem share in production of goods:

1) for the imported goods - on customs value of these goods in case of their import to the country where production of end products or when the origin of the imported goods is unknown - at documentary confirmed price of their first sale of territories of the country where production of end products is performed is performed;

2) for end products - at the price of the plant (warehouse) of the seller which is not including loading expenses, customs declaring and commodity exportation from the country of export (the price on conditions "ex-works")

rough

18.

execution of the certificate of origin on the forms having degrees of protection: the first copy original, the second and third copy – copies, accounting of use, storage and issue of forms of the certificate of origin by authorized organization

considerable

19.

issue to the applicant of the drawn-up certificate under list in the magazine of registration of the issued certificates of origin

considerable

20.

carrying out the analysis of documents and checking of data in them, and the creation of the conclusion in any form of execution of the certificate of origin or of refusal in execution of the certificate of origin by person which is on the staff of authorized organization, given the right of registration, the certificate and issue of the certificate of origin (further - the authorized person)

considerable

21.

implementation of departure on the location of production of the declared goods for check of production site of batch production when at the time of application for receipt of the certificate of origin of batch production the applicant had no certificate of origin of the ST-1 or CT-KZ form concerning the required goods issued for the last 2 (two) years

rough

22.

implementation of examination of goods origin by the expert-auditor in time no more than five working days from the moment of representation and registration of the request with complete document package

rough

23.

conducting examination by determination of the country of goods' origin for the internal address on contractual basis based on the request for conducting examination of goods origin for the internal address in the approved form

rough

24.

availability of the documents allowing to identify the raw materials used in case of production, materials, components and (or) documents certifying their origin when carrying out additional researches and impossibility of identification of goods on external signs

considerable

25.

availability of test reports, issued by accredited test laboratories (centers), in case of impossibility of identification of goods without laboratory testing (measurements) when carrying out additional researches and impossibility of identification of goods on external signs

considerable

26.

the certificate and issue of the appraisal certificate of goods origin for the internal address in the approved form, the legal entity having in staff of the expert-auditor in determination of the country of goods' origin, the status of goods of the Eurasian Economic Union or foreign goods which is carrying out works on conducting examination of goods origin, the status of goods of the Eurasian Economic Union or foreign goods that the goods are:

1) completely Kazakhstan origin;

2) the Kazakhstan origin taking into account criterion of sufficient conversion of goods;

3) foreign origin

considerable

27.

creation of the appraisal certificate about goods origin for the internal address on batch effective period twelve months

considerable

28.

provision of data on earlier received certificates of origin of the CT-KZ form and documents proving the acquisition facts at least one purchase of raw materials, the materials and (or) components (delivery notes and (or) invoices) used during action of certificates of origin of the CT-KZ form of serial production

considerable

29.

provision of data on earlier received certificates of origin of form "СТ-KZ" on batch within identical goods item of the Commodity Nomenclature of Foreign Economic Activity more than one year, except for producers of medicines and medical products which provide the registration certificate, and elevators, escalators, travelators, elevators for handicapped national groups

considerable

30.

provision of data on annual receipt of certificates of origin of the CT-KZ form of serial production by it within the last three years or the certificate of origin of the CT-KZ form of serial production issued for thirty six months, the documents proving the acquisition facts at least one purchase of raw materials, materials and (or) components (delivery notes and (or) invoices) used during action of certificates of origin of the CT-KZ form of serial production, except for producers of medicines and medical products which provide the certificate of origin of the CT-KZ form of serial production

considerable

31.

issue of the appraisal certificate about goods origin of serial production for thirty six months to the applicant who was earlier not receiving the certificate of origin of the CT-KZ form of serial production

considerable

32.

reflection in the appraisal certificate about goods origin, in case of establishment of the goods origin made from goods (raw materials, materials, products) completely Kazakhstan origin:

1) engineering procedure of production of these goods (regulating document, technological instructions);

2) suppliers of raw materials, the materials and components used in case of production of goods;

3) accounts invoices and (or) delivery notes on supply of raw materials, materials and components

rough

Appendix 5

to Criteria for evaluation of risk degree for selection of subjects (objects) of control and supervision in the field of technical regulation

Extents of violation of requirements to subjects (objects) of control in the field of technical regulation concerning subjects of technical regulation entering into structure of the state system of technical regulation, and also the physical persons and legal entities having concerning objects of technical regulation right of possession, uses and (or) orders according to the civil legislation of the Republic of Kazakhstan when carrying out preventive control with visit and unscheduled inspections

No. of payment order

Name of the requirement

Extent of violation

1.

observance of the requirement to marking of products on providing with the manufacturer and (or) person authorized by the manufacturer and (or) importer in case of release into the stream of commerce of products the complete, necessary, unambiguously understood and reliable information about it, excluding input in delusion of consumers concerning structure, properties, appointments, the manufacturer and (or) person and (or) the importer, the storage condition, transportation, operation, utilization, method of production (production) and the use (application), date of production (production), energy consumption authorized by the manufacturer (for the energy-requiring equipment), origins, expiration date, weight, amount, quantity, and also data directly or indirectly characterizing quality and safety of products and providing possibility of their right choice

rough

2.

observance of the requirement to marking of products on providing with manufacturers, authorized by manufacturers persons, importers, sellers information for the consumer and the text of marking in the state and Russian languages, taking into account regulations of spelling state and Russian

considerable

3.

observance of the requirement to marking of products on providing with manufacturers, authorized by manufacturers persons, importers, sellers information availability for the consumer located on each unit of production in the place, convenient for reading (acquaintance), on packaging (container), the label, label, documents, instruction sheets (inserts, information sheets)

considerable

4.

observance of the requirement to marking of products on providing with manufacturers, authorized by manufacturers persons, importers, sellers availability of information for the consumer by the placed method provided by documents on the standardization and provided in accurate and easily readable form

considerable

5.

observance of the requirement to marking of products on providing with manufacturers, authorized by manufacturers persons, importers, sellers of non-admission of point of the name, misleading consumers concerning origin (nature) of products, specifying the name of other similar products

considerable

6.

observance of the requirement to marking of products on providing with manufacturers, the including information on the distinctive properties of products, condition and special processing authorized by manufacturers persons, importers, sellers information availability for the consumer about products (in the presence) according to the existing documents on standardization on separate type of products

considerable

7.

observance of the requirement to marking of products on ensuring availability of the relevant information in case of production (production) of products of the processed main ingredient

considerable

8.

observance of the requirement to marking of products on providing with availability information on the name and the location (legal address) of the manufacturer and organization accepting claims on product quality (person authorized by the manufacturer and (or) the importer), the licensor (if products are made (is made) according to the license), registration number and registration date for products which are subject according to the legislation of the Republic of Kazakhstan of state registration

considerable

9.

gross, of the main sizes and amounts of products specified in metric system died observance of the requirement to marking of products on providing with availability information on net weight (International System of Units) on packaging (container)

considerable

10.

observance of the requirement to marking of products on providing information with availability in the presence of safety requirements in case of storage, transportation, use, utilizations (conversion), destruction of products allocated from other information for the consumer by other font, color or different ways

considerable

11.

observance of the requirement to marking of products on providing the label with availability which is easily read through external packaging, or availability of the similar label on external packaging

considerable

12.

observance of the requirement to marking of products on ensuring safety of information for the consumer on products applied in the conditions of active environmental activity or in special conditions (high or low temperature, hostile environment) providing in any manner, guaranteeing its safety

considerable

13.

observance of the requirement of withdrawal of products by the manufacturer authorized by the manufacturer person, the importer or the seller in case of release into the stream of commerce of products which are not conforming to requirements of technical regulations with indication of identification of specific batch, amount, the unit of production which is subject to response

considerable

14.

observance of the requirement for implementation of conversion, utilization, to destruction or the return export from the territory of the Republic of Kazakhstan of the withdrawn products from the date of identification ineradicable discrepancy within 30 (thirty) calendar days

rough

15.

observance of the requirement for informing by the manufacturer authorized by the manufacturer person, the importer or the seller about results of the taken measures for withdrawal of products with provision of data on produktion (the name, code of the commodity nomenclature of external economic activity, quantity (unit (in pieces), weight (in kilograms), I will eat around (in liters), the cost, batch No., date of production, data on the document on assessment of conformity) and specifying of the revealed discrepancies (Items, Articles) of requirements of the technical regulation

rough

16.

observance of the requirement by the manufacturer authorized by the manufacturer person, the importer or the seller according to the notification of acquirers in the Kazakh and (or) Russian languages by means of information and communication technologies with indication of the contact information for receipt of the detailed information about response conditions (by exchange, return, compensation), the location of collection points for such products and responsible persons with the obligatory warning of possibility of violation of the rights and legitimate interests of the acquirer, damnification of life and to health of the person and the environment as a result of use of such products

rough

17.

observance of the requirement by the manufacturer authorized by the manufacturer person, the importer or the seller according to the notification in the presence of contact information of the acquirer about withdrawal of products which are not conforming to requirements of technical regulations within 3 (three) calendar days from the moment of factual determination of release into the stream of commerce of products which are not conforming to requirements of technical regulations

rough

18.

observance of the requirement by the manufacturer authorized by the manufacturer person, the importer or the seller of holding procedure of obligatory confirmation of conformity to the requirements established by technical regulations for further use of the processed products or its market circulation

rough

19.

observance of the requirement by the manufacturer authorized by the manufacturer person, the importer or the seller on providing with the room for storage at the subject of supervision or the third party based on the agreement of storage signed with the subject of supervision according to the civil legislation of the Republic of Kazakhstan of the withdrawn products

rough

20.

observance of the requirement by the manufacturer authorized by the manufacturer person, the importer or the seller on storage of the withdrawn products according to requirements of regulating documents for standardization of the withdrawn products and the storage conditions specified in marking or in the shipping documents on products the subject of supervision or the third party performing storage of the withdrawn products

rough

21.

observance of the requirement by the manufacturer authorized by the manufacturer person, the importer or the seller on ensuring storage of the withdrawn products in the zone excluding its contact with other products

rough

22.

observance of the requirement by the manufacturer authorized by the manufacturer person, the importer or the seller on ensuring storage of the withdrawn products with text: "It is WITHDRAWN, PRODUCTS DO NOT CONFORM to REQUIREMENTS of the TECHNICAL REGULATION" and to drawing this text taking into account contrast between flowers of background and text with possibility of reading of information without use of optical devices

rough

23.

observance of the requirement by the manufacturer authorized by the manufacturer person, the importer or the seller on ensuring storage of the withdrawn products before judgment entry into force

rough

24.

observance of the requirement, on safety of railway rolling stock and its components in the way:

1) implementation of complex of research and development works when designing products;

2) applications of the approved technical solutions;

3) establishments of the appointed service life and (or) resources of products, and also carrying out maintenance and repairs with necessary frequency;

4) carrying out complex of the calculations based on the approved techniques;

5) the choice of the materials and substances applied during the designing and production depending on parameters and operating conditions;

7) establishments of extreme criteria of conditions of products;

8) determinations of conditions and methods of utilization of products;

9) evaluating compliance of products

rough

25.

compliance of railway rolling stock and its components to requirements for durability, stability and technical condition to safe train service with the largest speeds within admissible values

rough

26.

providing with railway rolling stock and its components:

1) observance of dimension of railway rolling stock;

2) accomplishment of operating conditions taking into account external climatic and mechanical impacts;

3) technical compatibility with infrastructure of rail transport and other railway rolling stock which is operated on this infrastructure;

4) stability from wheel descent from rail;

5) stability from capsizing in curvilinear sites of way;

6) prevention of spontaneous leaving from the parking lot;

7) coupling in trains for transfer of dynamic efforts on the modes of draft and braking;

8) the allowed brake way;

9) not excess of running loadings, maximum permissible forces on impact on the way, design thrust loads;

10) prevention of fall of components of railway rolling stock on railway track;

11) compliance to extreme allowed pulling forces, braking and to acceleration sizes;

12) sanitary and epidemiologic and ecological safety;

13) electromagnetic compatibility of electric equipment regarding safety of operation of devices and the equipment;

14) electromagnetic compatibility of electric equipment with devices of railway automatic equipment and telemechanics, railway telecommunication of infrastructure of rail transport; o) fulfillment of requirements of fire safety;

15) durability in case of the admissible modes of loading and impacts;

16) lack of plastic deformations in case of appendix of longitudinal and vertical design dynamic loads;

17) fatigue resistance in case of the low-cyclic and multi-cycle modes of loading;

18) safety and reliability of operation of electric equipment in all range of the modes of operation (in case of the nominal and boundary modes of electric utility service);

19) safety of design of goods, mail and luggage cars when loading and unloading using means of mechanization;

20) coupling of cars in case of dissolution from hills and (or) pass on apparelny congress of the ferry boat;

21) lack of contacts of components of railway rolling stock among themselves and with elements of infrastructure of rail transport, not provided by design documentation;

22) coupling of railway rolling stock in curvilinear sites of railway track, traficability of cars in link also single cars on ways of uncommon use;

23) compliance to requirements of energy efficiency

rough

27.

observance of the requirement for lack of decrease in case of modification of design of railway rolling stock and its components of the safety requirements established when designing

rough

28.

observance of the requirement of carrying out obligatory confirmation of conformity in case of modification of design or manufacturing techniques of railway rolling stock and its components influencing safety and also in case of upgrade with prolongation of service life

rough

29.

availability on railway rolling stock and its components of well distinguishable identification and warning signs and markings, with repeating and the explanation in the operation manual

rough

30.

availability on railway rolling stock of the marking conforming to safety requirements

rough

31.

availability on components of railway rolling stock of the marking conforming to safety requirements

considerable

32.

availability on wheel vapors of railway rolling stock according to design documentation of sign of marking and branding

considerable

33.

availability of the cast marking signs on frames and beams of carts of goods wagons according to design documentation containing:

1) conditional number of the manufacturer;

2) two last figures of year of production;

3) sequence number of frames and beams on numbering system of the manufacturer;

4) symbol of brand became;

Frames and beams of carts of goods wagons according to design documentation to have signs of branding of the manufacturer, in case of correction of defect of frames and beams welding - and brand of the welder

rough

34.

marking availability on glasses of cabin of the driver, cars and cars of motorvagonny railway vehicles according to design documentation containing:

1) market access mark of state members of the Eurasian Economic Union;

2) name of the manufacturer and his trademark;

3) designations of type of glass;

4) protection class;

5) data on certification

rough

35.

observance of the requirement for accomplishment of marking and operational documents in state language of state member of the Eurasian Economic Union in which products, and in Russian are made

rough

36.

observance of the requirement for availability of set of operational and repair documentation when commissioning railway rolling stock and its components.

The made products which are subject to obligatory confirmation of conformity are released in the presence of the corresponding operation manuals, fulfillment of requirements and which provisions provides its safe operation

considerable

37.

compliance of arrangement and installation of equipment of railway rolling stock of the service personnel ensuring safety in case of operation, survey, technical maintenance, repair.

Availability on railway rolling stock of the special footboards, hand-rail or devices ensuring safety of service personnel in case of operation, survey, technical maintenance, repair

rough

38.

observance of the requirement, on providing management system, control and safety of railway rolling stock with operating state in all provided operating modes and in case of all external impacts provided in the operation manual.

Exception management systems and control of railway rolling stock of creations of dangerous situations in case of possible logical errors of service personnel.

Availability in management systems, control and safety of means of the alarm system and informing, warning about violations of serviceable condition of railway rolling stock and its components which to lead to emergence of the situations menacing to safety

rough

39.

providing the railway rolling stock with software which both are built in, and delivered on material carriers of the following:

1) working capacity after the resets caused by failures and (or) failures of technical means and integrity in case of own failures;

2) security from computer viruses, unauthorized access, consequences of refusals, mistakes and failures in case of storage, input, processing and information output, possibility of random changes of information;

3) compliance to the properties and characteristics described in the accompanying documentation

rough

40.

observance of the requirement, on non-admission by management system, control and safety of railway rolling stock in cases of operation of the traction drive and other equipment in case of defects of devices of electric, hydraulic and (or) pneumatic parts, failure of the software, changes of characteristics and operating modes which lead to violation of safe condition of railway rolling stock. Non-admission by failure of management system during the operational operation of onboard safety controls, stops of railway rolling stock and to violation of its project characteristics

rough

41.

compliance of devices and devices for management of railway rolling stock to the following:

1) are supplied with texts and (or) symbols according to design documentation;

2) are designed and placed so that their involuntary inclusion, switching off or switching was excluded;

3) the sequences and frequencies of use are placed taking into account the importance of the carried-out functions,

rough

42.

equipment of cargo locomotives and special self-propelled railway rolling stocks following devices:

1) train radio communication;

2) devices of control of motion speed;

3) registrars of parameters of movement;

4) automatic locomotive alarm system;

5) control unit of density of the pneumatic brake highway.

The cargo locomotives intended for operation on sites with heavy traffic and for driving of the connected trains are equipped with the following devices:

1) the automated control system providing control of motion speed and opportunity to receive (to transfer) speech information in case of entrances to entrance and output traffic lights, railway crossings and stations;

2) automatic fire alarm.

The cargo locomotives served by one driver are equipped with the following devices:

1) system of automatic control of braking of the train or complex locomotive safety control;

2) control system of wakefulness of the driver;

3) rear-view mirrors or similar devices;

4) blocking of brake;

5) fire extinguishing system

rough

43.

equipment of shunting locomotives following devices:

1) remote uncoupling from cars;

2) the shunting radio communication compatible to the shunting radio communication used on sites of the address of shunting locomotives.

The shunting locomotives served by one driver are equipped with the following devices:

1) second control panel;

2) rear-view mirrors or similar devices;

3) the devices providing automatic stop in case of sudden losses by the driver of capability to maintaining the locomotive

rough

44.

equipment of passenger locomotives following devices:

1) train radio communication;

2) the automated control system providing control of motion speed and opportunity to receive (to transfer) speech information in case of entrances to entrance and output traffic lights, railway crossings and stations;

3) automatic fire alarm;

4) registrars of parameters of movement;

5) automatic locomotive alarm system;

6) electric air brake.

The passenger locomotives served by one driver are equipped with the following devices:

1) system of automatic control of braking of the train or complex locomotive safety control;

2) control system of wakefulness of the driver;

3) rear-view mirrors or similar devices;

4) blocking of brake;

5) fire extinguishing system

rough

45.

equipment of motorvagonny railway vehicles following devices:

1) train radio communication;

2) the automated control system providing control of motion speed and opportunity to receive (to transfer) speech information in case of entrances to entrance and output traffic lights, railway crossings and stations;

3) registrars of parameters of movement;

4) automatic locomotive alarm system;

5) electric air brake;

6) communication "passenger driver";

7) alarm system of control of closing of doors;

8) automatic fire alarm

rough

46.

equipment of the locomotives used for transportation of passengers, particular and dangerous goods, and head cars of motorvagonny railway vehicles, the equipment of the satellite navigation promoting movement safety

rough

47.

amendment of the automatic locomotive alarm system on locomotives, motorvagonny railway vehicles and special self-propelled railway rolling stock the safety controls providing control of the established motion speeds, recurring inspection of vigilance of the driver, interfering spontaneous leaving of the train from the place of its parking. Providing automatic stop of the train, in cases of loss by the driver of capability of control of the locomotive, motorvagonny railway vehicles and special self-propelled railway rolling stock, and the driver of section car - section car

rough

48.

providing design of cabin of the driver of the locomotive, motorvagonny railway vehicles and special self-propelled railway rolling stock with the following:

1) the free overview to the locomotive crew which is in provision "sitting" and "standing", transits, floor signals, the next ways, structures and contact network;

2) visibility in standing position of one of workers of locomotive crew in case of entrance to structure of cars and the working area of the personnel participating in maneuvers;

3) the free overview from the driver's cabin at all seasons of the year and days, under any weather conditions, on all motion speeds.

Compliance of windshields of cabin of the driver of the locomotive, motorvagonny railway vehicles and special self-propelled railway rolling stock to reliable fixing in windows and to consolidation

Compliance of the layout of cabin of the driver of the locomotive, motorvagonny railway vehicles and special self-propelled railway rolling stock, configuration of workplace of locomotive crew, devices and control units, systems of display of information, design of chair of the driver to requirements of ergonomics and system engineering.

Ensuring compliance when designing the control panel and workplace of the driver and his assistant to the requirement of ergonomics, providing convenience of management from provision "sitting" and "standing".

Providing design and arrangements of devices and control units, measuring devices, sense lights on the control panel of visibility of indications of the specified devices and indicators in day and night time in the absence of patches of light from the direct or reflected light

rough

49.

the equipment of locomotives, motorvagonny railway vehicles, cars, rail reefers with service and auxiliary premises and special railway rolling stock systems of general, local and emergency lighting.

Providing emergency lighting system with the automatic switch on the autonomous power supply (rechargeable battery) in the absence of tension in main power supply. With the provided possibility of manual inclusion of emergency lighting

rough

50.

availability of emergency exit of cabin of the driver of the locomotive, motorvagonny railway vehicles and special self-propelled railway rolling stock through side windows with use of auxiliary devices.

The equipment of motorvagonny railway vehicles, cars, rail reefers with service and auxiliary premises and special railway rolling stock emergency exits from each party of the car with availability in need of means of emergency evacuation of service personnel and passengers

rough

51.

safety of glazing of the internal rooms of railway rolling stock intended for service personnel and passengers in case of shock impacts on railway rolling stock during its parking or along the line.

Providing the internal parts of railway rolling stock requiring survey, setup and maintenance and in need of the external working equipment additional lighting

rough

52.

the equipment of railway rolling stock the automatic brakes providing when braking structure delay or stop within settlement brake way.

The compliance of automatic brake of railway rolling stock of necessary functionality and reliability in various operating conditions providing smoothness of braking, and also train stop in case of violation of integrity of the brake highway or in case of unauthorized unhooking of units of railway rolling stock

rough

53.

ensuring application of various modes of braking with automatic brakes of opportunity depending on loading of railway rolling stock, length of structure and profile of railway track.

Availability in platforms of cars and motorvagonny railway vehicles, in cars of the sealed-up emergency brakes.

Availability in service premises of rail reefers with service and auxiliary premises of the sealed-up emergency brakes

rough

54.

equipment of railway rolling stock parking brakes. The equipment of part of goods wagons from total number issued, transitional platforms with emergency brake and the parking brake according to standards.

Ensuring with parking brakes of railway rolling stock of settlement brake pressing and deduction of unit of railway rolling stock.

Equipment of steering wheel of the hand parking brake the device excluding spontaneous rotation of steering wheel

rough

55.

observance of the requirement, on availability of the safety devices maintaining the weight of the equipment protected by them on components of railway rolling stock, separation or break of which can cause their fall on railway track or exit from dimension of railway rolling stock

rough

56.

availability of the main air reservoirs and rechargeable batteries of railway rolling stock established out of cabin of the driver, passenger salons and rooms for service personnel

rough

57.

ensuring coordination of action of electrodynamic brake of locomotives and motorvagonny railway vehicles (in the presence) with work of pneumatic and electric air brakes when implementing office or emergency brake application. Ensuring automatic replacement with pneumatic brake in case of refusal of electrodynamic brake

rough

58.

ensuring operability of railway rolling stock and its components at ambient air temperatures within admissible values and preserving working capacity in case of short-term temperature increase

rough

59.

the equipment of railway rolling stock the coupling device excluding spontaneous separation of units of railway rolling stock and providing its evacuation in case of emergency.

Inclusion in structure of the autocoupling device of railway rolling stock of the power absorbing device.

Equipment of cars and motorvagonny railway vehicles, autocoupling device, buffer gears

rough

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