JOINT ORDER OF THE MINISTER OF INTERNAL AFFAIRS OF THE REPUBLIC OF KAZAKHSTAN AND MINISTER OF NATIONAL ECONOMY OF THE REPUBLIC OF KAZAKHSTAN

of October 30, 2018 No. 757, on October 30, 2018 No. 32

About approval of criteria for evaluation of risk degree, checking sheets on the state control of security activities, of activities of specialized training centers for preparation and advanced training of the workers holding positions of the head and security guard in the private security organization and of activities for installation, adjustment and maintenance of means of the security alarm system

According to Item 5 of Article 141 and Item 1 of article 143 of the Entrepreneurial code of the Republic of Kazakhstan, we ORDER:

1. Approve:

1) criteria for evaluation of risk degree on the state control of security activities, of activities of specialized training centers for preparation and advanced training of the workers holding positions of the head and security guard in the private security organization and of activities for installation, adjustment and maintenance of means of the security alarm system, according to appendix 1 to this order;

2) checking leaf on the state control of security activities, according to appendix 2 to this joint order;

3) checking leaf on the state control of activities of specialized training centers for preparation and advanced training of the workers holding positions of the head and security guard in the private security organization according to appendix 3 to this joint order;

4) checking leaf on the state control of activities for installation, adjustment and maintenance of means of the security alarm system, according to appendix 4 to this joint order.

2. Recognize to invalid:

the joint order of the Minister of Internal Affairs of the Republic of Kazakhstan of December 11, 2015 No. 1018 and the Acting Minister of national economy of the Republic of Kazakhstan of January 6, 2016 No. 1 "About approval of criteria for evaluation of risk degree, forms of checking sheets on the state control of security activities, of activities of specialized training centers for preparation and advanced training of the workers holding positions of the head and security guard in the private security organization and of activities for installation, adjustment and maintenance of means of the security alarm system" (No. registered in the Register of state registration of regulatory legal acts on February 22, 2016 13162, is published on February 29, 2016 in information system of law of Ad_let);

the joint order of the Minister of Internal Affairs of the Republic of Kazakhstan of February 14, 2017 No. 112 and the Minister of national economy of the Republic of Kazakhstan of March 3, 2017 No. 106 "About introduction of amendments to the joint order of the Minister of Internal Affairs of the Republic of Kazakhstan of December 11, 2015 No. 1018 and the acting minister of national economy of the Republic of Kazakhstan of January 6, 2016 No. 1 "About approval of criteria for evaluation of risk degree, checking sheets on the state control of security activities, of activities of specialized training centers for preparation and advanced training of the workers holding positions of the head and security guard in the private security organization and of activities for installation, to adjustment and maintenance of means of the security alarm system" (No. registered in the Register of state registration of regulatory legal acts on April 10, 2017 15000, is published on April 20, 2017 in information system of law of Ad_let).

3. To provide to committee of administrative police of the Ministry of Internal Affairs 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 from the date of state registration of this joint order the direction it in the Republican state company on the right of economic maintaining "The republican center of legal information" for official publication and inclusion in Reference control bank of regulatory legal acts of the Republic of Kazakhstan;

3) placement of this joint order on official Internet resource of the Ministry of Internal Affairs of the Republic of Kazakhstan after its official publication;

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

4. To impose control of execution of this joint order on the supervising deputy minister of internal affairs of the Republic of Kazakhstan.

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

Minister of national economy of the Republic of Kazakhstan

______________ T. Suleymenov

Minister of Internal Affairs of the Republic of Kazakhstan

____________ K. Kasymov

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

 

Appendix 1

to the joint Order of the Minister of Internal Affairs of the Republic of Kazakhstan and the Minister of national economy of the Republic of Kazakhstan of October 30, 2018 No. 757, on October 30, 2018 No. 32

Criteria for evaluation of risk degree on the state control of security activities, of activities of specialized training centers for preparation and advanced training of the workers holding positions of the head and security guard in the private security organization and of activities for installation, adjustment and maintenance of means of the security alarm system

Chapter 1. General provisions

1. These criteria for evaluation of risk degree on the state control of security activities, of activities of specialized training centers for preparation and advanced training of the workers holding positions of the head and security guard in the private security organization and of activities for installation, adjustment and maintenance of means of the security alarm system (further – Criteria) are developed according to article 141 of the Entrepreneurial code of the Republic of Kazakhstan, Rules of forming by 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 for No. 28577) and the order of the acting minister of national economy of the Republic of Kazakhstan of July 31, 2018 No. 3 "About approval of form of checking leaf" (it is registered in the Register of state registration of regulatory legal acts for No. 17371).

2. In these Criteria the following concepts are used:

1) risk – probability of damnification as a result of activities of the subject of control 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 effects;

2) criteria for evaluation of risk degree – set of the quantitative and qualitative indexes connected with the direct activities of the subject of control, features of industry development and factors influencing this development, allowing to carry subjects of control to different risk degrees.

3) objective criteria for evaluation of risk degree (further – objective criteria) – the criteria for evaluation of risk degree used for selection of subjects of control depending on risk degree in certain field of activity and which are not depending directly on the certain subject of control;

4) subjective criteria for evaluation of risk degree (further – subjective criteria) – the criteria for evaluation of risk degree used for selection of subjects of control depending on results of activities of the specific subject of control;

5) 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 of control on risk degrees for the subsequent implementation of preventive control with visit of the subject of control and (or) the inspections which are carried out on compliance to qualification or allowing requirements on the issued permissions, requirements for directed notifications according to the Law of the Republic of Kazakhstan "About permissions and notifications" (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 the specific subject of control and (or) release of such subject of control from preventive control with visit of the subject of control and (or) checks on compliance to requirements;

No 6) gross violations – the violations established by regulatory legal acts of the Republic of Kazakhstan, connected with non-compliance with the prohibiting, limiting legislation regulation (it is forbidden, it is forbidden, are prohibited, restrictions, have no right, cannot, cannot, have, not having, shall be, not consisting), with failure to meet requirements of the legislation, with non-presentation or with provision of the doubtful reporting, information, data, and also with availability confirmed claims and addresses, with availability of the adverse incidents which arose because of the worker, the head, the founder of the subject of control;

7) considerable violations – violations by the subject of control of requirements of the legislation of the Republic of Kazakhstan which making does not influence quality of the services rendered by the subject;

8) insignificant violations – non-compliance with the legislation of the Republic of Kazakhstan by the subject of control regarding the conclusion of written form of service provision agreements, and also with availability of the proved to be true negative publications and consecrations of quality rendered by the checked subject of services in mass media;

9) the checking sheet – the list of requirements imposed to activities of subjects of control which non-compliance involves threat of life and to health of the person, legitimate interests of physical persons and legal entities, the states;

10) point – quantitative measure of calculation of risk;

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

12) sample (selection) – the list of the estimated subjects carried to homogeneous group of subjects of control in the specific sphere of the state control according to Item 2 of article 143 of the Entrepreneurial code.

3. Criteria for evaluation of risk degree for conducting check on compliance to requirements and preventive control of subjects of control are created by means of determination of objective and subjective criteria.

Chapter 2. Objective criteria for evaluation of risk degree

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

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

1) scales of weight of possible negative effects, harm on the regulated sphere (area);

2) possibilities of approach of adverse incident for life or health of the person, legitimate interests of physical persons and legal entities, states.

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

6. Treat subjects, high risk:

1) the legal entities performing security activities with use of office weapon;

2) the legal entities performing activities of specialized training centers for preparation and advanced training of the workers holding positions of the head and security guard in the private security organization;

3) the legal entities and physical persons performing activities up to one year from the date of submission of the notification on the beginning of work on installation, adjustment and maintenance of means of the security alarm system;

4) the legal entities performing security activities with use of office weapon and who are at the same time engaged in activities for installation, adjustment and maintenance of means of the security alarm system.

7. To subjects, average risk degree belong:

1) the legal entities performing security activities without use of office weapon;

2) the legal entities performing activities for installation, adjustment and maintenance of means of the security alarm system, numbering the annual average number of workers more than two hundred fifty people;

3) the legal entities performing security activities without use of office weapon and who are at the same time engaged in activities for installation, adjustment and maintenance of means of the security alarm system security activities.

8. To subjects, low risk degree, the legal entities and physical persons which are engaged more than one year only in activities for installation, adjustment and maintenance of means of the security alarm system, numbering the annual average number of workers less than two hundred fifty people belong.

9. Concerning the subjects of control carried to high and average risk degree are carried out check on compliance to requirements, preventive control with visit of the subject of control, preventive control without visit of the subject of control and unscheduled inspection.

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

Chapter 3. Subjective criteria for evaluation of risk degree

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

1) forming of the database and information collection;

2) information analysis and risks assessment.

11. Forming of the database and information collection are necessary for identification of subjects of control.

Processes of data collection and processing are fully automated and allow possibility of check of correctness of the obtained data.

12. For assessment of degree of risks of the subjects of control performing security activities the following sources of information are used:

on implementation of preventive control with visit of the subject of control:

1) results of monitoring of the reporting, the data represented by the subject of control, the analysis and the information provided by state bodies and the organizations and the operational and preventive events held by law enforcement and special state bodies;

2) results of the previous check and preventive control with visit of the subject of control;

3) results of preventive control without visit of the subject of control (recommendation);

4) availability of the adverse incidents which arose because of the subject of control. Treat adverse incidents:

availability of criminal and/or administrative case concerning the security guard, the head, the founder (participant) of the subject of control;

making of offense, the emergency which is directly connected with ensuring protection (rendering security services) on the object protected by the subject of control;

loss, loss of office weapon;

5) availability of the confirmed claims and addresses;

6) the analysis of publications and consecrations in mass media;

on conducting check on compliance to requirements:

7) results of monitoring of the reporting, the data represented by the subject of control, the analysis and the information provided by state bodies and the organizations and the operational and preventive events held by law enforcement and special state bodies;

8) results of the previous check;

9) results of preventive control without visit of the subject of control (recommendation);

10) availability of the confirmed claims and addresses.

13. For assessment of degree of risks of the subjects of control performing activities of specialized training centers for preparation and advanced training of the workers holding positions of the head and security guard in the private security organization the following sources of information for conducting check on compliance to requirements are used:

1) results of monitoring of the reporting, the data represented by the subject of control, the analysis and the information provided by state bodies and the organizations and the operational and preventive events held by law enforcement and special state bodies;

2) results of the previous check;

3) results of preventive control without visit of the subject of control (recommendation);

4) availability of the confirmed claims and addresses.

14. For assessment of degree of risks of the subjects of control performing activities for installation, adjustment and maintenance of means of the security alarm system the following sources of information for conducting check on compliance to requirements are used:

1) analysis results of the information provided by state bodies, the organizations and the operational and preventive events held by law enforcement and special state bodies;

2) results of the previous check;

3) results of preventive control without visit of the subject of control (recommendation);

4) availability of the confirmed claims and addresses.

15. Based on the available sources subjective criteria are subdivided into three extents of violation: rough, considerable, insignificant.

Extent of violations is appropriated to subjective criteria depending on possible risk and the importance of problem, singularity or systemacity of violation, the analysis of the decisions made earlier.

In case of risk degree assessment subjective criteria for evaluation of risk degree of security activities according to appendix 1 to these Criteria are applied to implementation of preventive control with visit of the subject of control.

In case of risk degree assessment subjective criteria for evaluation of risk degree of security activities, activities of specialized training centers for preparation and advanced training of the workers holding positions of the head and security guard in the private security organization, activities for installation, adjustment and maintenance of means of the security alarm system according to appendices 2, 3 and 4 to these Criteria are applied to conducting check on compliance to requirements.

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 of control (SP) and exponent of risk by subjective criteria (SC), with the subsequent normalization of values from 0 to 100 points this in the range.

Rprom = SP + SC, where

Rprom – intermediate exponent of risk by subjective criteria;

SP – risk exponent on violations;

SC – risk exponent by subjective criteria.

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

15-1. According to the data obtained by results of the previous checks and preventive control with visit of subjects of control the risk exponent on violations estimated in points from 0 to 100 is created.

In case of identification of one gross violation on any of information sources, the subject of control the exponent of risk of 100 points is equated and concerning it it is performed on compliance to requirements or preventive control with visit of the subject of control.

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

In case of measure definition of considerable violations 0,7 coefficient is applied.

This indicator is calculated by the following formula:

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

where:

SPZ – 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 0,3 coefficient is applied.

This indicator is calculated by the following formula:

SPN = (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 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.

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

15-2. Measure calculation of risk degree by subjective criteria, is made on scale from 0 to 100 points and performed on the following formula:  

xi – indicator of subjective criterion;

wi – specific weight of indicator of subjective criterion of xi;

n – quantity of indicators.

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

15-3. The values calculated by subjects by indicator are normalized by R in the range from 0 to 100 points. Normalization of data is performed on each sample (selection) with use of the following formula:

 

R – risk exponent (final) by subjective criteria of the certain subject of control;

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