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ORDER OF THE MINISTER OF NATIONAL ECONOMY OF THE REPUBLIC OF KAZAKHSTAN

of October 31, 2018 No. 49

About approval of criteria for evaluation of risk degree and checking sheets in the field of support and protection of subjects of private entrepreneurship

(as amended on 30-06-2021)

According to Item 3 of Article 141 and Item 1 of article 143 of the Entrepreneurial code of the Republic of Kazakhstan PRIKAZYVAYU:

1. Approve:

1) criteria for evaluation of risk degree in the field of support and protection of subjects of private entrepreneurship according to appendix 1 to this order;

2) checking leaf in the field of support and protection of subjects of entrepreneurship on observance by subjects of control of procedure of the state control and supervision in fields of activity of subjects of private entrepreneurship according to appendix 2 to this order;

3) checking leaf in the field of support and protection of subjects of entrepreneurship on observance by subjects of control of procedure for issue of permissions of the first and second category, acceptance of the notification on implementation of business activity according to appendix 3 to this order;

4) checking leaf in the field of support and protection of subjects of entrepreneurship on observance by subjects of control of procedure of the state support according to appendix 4 to this order.

2. Declare invalid the order of the Minister of national economy of the Republic of Kazakhstan of April 28, 2016 No. 191 "About approval of criteria for evaluation of risk degree and checking sheets in the field of support and protection of subjects of private entrepreneurship" (it is registered in the Register of state registration of regulatory legal acts for No. 13742, it is published on June 13, 2016 in information system of law of Ad_let).

3. To provide to development department of entrepreneurship of the Ministry of national economy of the Republic of Kazakhstan:

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

2) within ten calendar days from the date of state registration of this order the direction it the copy in the Kazakh and Russian languages 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 the copy of this order on official Internet resource of the Ministry of national economy of the Republic of Kazakhstan;

4) within ten working days after state registration of this order in the Ministry of Justice of the Republic of Kazakhstan submission to Legal department of the Ministry of national economy 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 order on the supervising vice-minister of national economy of the Republic of Kazakhstan.

5. This 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

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 Order of the Minister of national economy of the Republic of Kazakhstan of October 31, 2018 No. 49

Criteria for evaluation of risk degree in the field of support and protection of subjects of private entrepreneurship

Chapter 1. General provisions

1. These criteria for evaluation of risk degree in the field of support and protection of subjects of private entrepreneurship (further - Criteria) are developed according to Item 3 of Article 141 and Item 1 of article 143 of the Entrepreneurial code of the Republic of Kazakhstan (further - the Code), and also Rules of forming by the state bodies of system of risks assessment and form of checking sheets approved by the order of the acting minister of national economy of the Republic of Kazakhstan of July 31, 2018 No. 3 (it is registered in the Register of state registration of regulatory legal acts for No. 17371), for the purpose of conducting checks and preventive control with visit of subjects of control.

Preventive control with visit of subjects of control in the field of support and protection of subjects of private entrepreneurship is directed to elimination of the reasons and conditions of making of offenses when implementing the state control and supervision in fields of activity of subjects of private entrepreneurship, issue of permissions of the first and second category, and also when rendering the state support to subjects of private entrepreneurship.

2. In Criteria the following concepts are used:

1) risk - probability of damnification as a result of activities of the subject of control and supervision of life or to health of the person, the environment, legitimate interests of physical persons and legal entities, valuable interests of the state taking into account severity of its effects;

2) system of risks assessment - complex of the events held for the purpose of purpose of preventive control with visit of subjects of control;

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) subjects of control - the state bodies and their territorial subdivisions (in case of their availability) exercising the state control and supervision in fields of activity of subjects of private entrepreneurship, licensing or issue of other allowing documents, acceptance of notifications on implementation of business activity or other actions, and also state bodies and their territorial subdivisions (in case of their availability) and legal entities, including their branches and representations performing the state support to subjects of private entrepreneurship;

6) gross violations - the violations of the requirements established by regulatory legal acts in the field of support and protection of subjects of private entrepreneurship, attracting the administrative responsibility and connected with the greatest number of the performed and preventive control and supervision with visit of subject (object) of control and supervision in fields of activity of subjects of private entrepreneurship, the greatest number of refusals in issue of permissions of the first and second category, and also connected with the greatest number of refusals in implementation of the state support in the ratio to the number of the approved statements on receipt of the state support;

7) considerable violations - the violations of the requirements established by regulatory legal acts in the field of support and protection of subjects of private entrepreneurship, which are not attracting the administrative responsibility and not relating to gross and insignificant violations;

8) insignificant violations - violations of the requirements established by regulatory legal acts in the field of support and protection of subjects of private entrepreneurship, not attracting administrative responsibility and approach of substantial adverse effects for subjects of private entrepreneurship;

9) the checking sheet - the list of requirements including requirements imposed to activities of subjects of control 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.

3. Determination of risk degree in the field of support and protection of subjects of private entrepreneurship is performed depending on probability of violation of the rights and legitimate interests of subjects of private entrepreneurship.

4. When carrying out the analysis of all possible risks, subjects of control are distributed on two risk degrees (high and not carried to high).

5. Reference of subjects of control on degrees of risks is performed on the basis of objective and subjective criteria.

Chapter 2. Methods of carrying out preventive control and supervision with visit of the subject of control

6. Criteria for evaluation of risk degree for preventive control and supervision with visit of the subject of control are created by means of objective and subjective criteria.

Paragraph 1. Objective criteria

7. With accounting of specifics of preventive control with visit of subjects of control in the field of support and protection of subjects of private entrepreneurship selection of subjects of control in two regions (the area, the city of republican value, the capital), with the smallest indicator of surplus of number of the acting subjects of small and medium business in comparison with the same period of previous year in percentage ratio according to data of Committee according to the statistics of the Ministry of national economy of the Republic of Kazakhstan is made.

At the same time subjects of control in regions (the area, the city of republican value, the capital) in which preventive control with visit of the subject of control for the last three years was exercised are not subject to selection.

8. By objective criteria all subjects of control in the selected regions (the area, the city of republican value, the capital) performing treat high risk:

1) the state control and supervision in fields of activity of subjects of private entrepreneurship according to Articles 138, 139 Codes, for the purpose of regulation of the relations in the field of the state control and supervision of the implementation of control and supervising activities directed to establishment of the single principles, and also protection of the rights and legitimate interests of subjects of private entrepreneurship concerning which the state control and supervision is exercised;

2) issue of permissions of the first and second category according to the Law of the Republic of Kazakhstan "About permissions and notifications" (further - the Law);

3) state support to subjects of private entrepreneurship.

9. By objective criteria the subjects of control in the selected regions (the area, the city of republican value, the capital) performing acceptance of notifications on implementation of business activity according to the Law do not treat high risk.

10. After risk identification, subjects of control are distributed on two risk degrees (high and not carried to high).

Subjective criteria for the purpose of carrying out preventive control with visit of the subject of control are applied to the subjects of control carried by objective criteria to high risk.

Paragraph 2. Subjective criteria

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

1) forming of the database and information collection;

2) information analysis and risks assessment.

12. The analysis and assessment of subjective criteria will allow to concentrate preventive control with visit of the subject of control concerning the subject of control with the greatest potential risk.

13. For risk degree assessment by subjective criteria the following sources of information are used:

1) results of monitoring of the reporting and the data represented by the subject of control including by means of the automated information systems, carried out by state bodies, organizations and the industry organizations;

2) analysis results of the data represented by authorized bodies and the organizations for request;

3) results of the previous checks and preventive control with visit of the subject of control, at the same time, severity of violations is established in case of non-compliance with the requirements reflected in checking sheets.

14. By subjective criteria subjects of control with the greatest number, in the half-year preceding the analysis treat high risk within the selected regions (the area, the city of republican value, the capital):

1) the performed and preventive control and supervision with visit of subject (object) of control and supervision in fields of activity of subjects of private entrepreneurship;

2) refusals in issue of permissions of the first and second category;

3) refusals in implementation of the state support, in the ratio to the number of the approved statements on receipt of the state support.

15. Concerning the subjects of control carried to high risk preventive control with visit of the subject of control is carried out.

16. In case of selection of subjects of control in the analyzed period spheres of control and supervision, permissions of the first and second category which are earlier considered and used in the previous analyzed period are not considered.

17. In case of availability of territorial subdivisions of state body or branches and representations of the legal entity, action for subjective criteria of system of assessment of risk degree are applied to territorial subdivisions, branches and representations of legal entities of each subject of control.

18. Violations in the field of support and protection of subjects of private entrepreneurship are subdivided into three degrees: rough, considerable and insignificant. The list of gross, considerable and insignificant violations is specified in appendix to Criteria.

19. Proceeding from priority of the applied information sources according to Item 24 of Criteria the general exponent of risk by subjective criteria on scale from 0 to 100 is calculated.

On risk exponents the subject of control belongs:

1) to high risk - in case of exponent of risk from 61 to 100 inclusive and concerning it preventive control with visit of the subject of control is carried out;

2) not carried to high risk - in case of exponent of risk from 0 to 60 inclusive and concerning it preventive control is not carried out by visit of the subject of control.

20. Frequency rate of carrying out preventive control with visit of the subject of control is determined by results of the carried-out analysis and assessment of the received data on subjective criteria and cannot be more often than once a year.

21. Preventive control with visit of the subject of control is carried out based on the semi-annual lists of preventive control with visit of the subject of control created according to Item 3 of article 141 of the Code.

22. Lists of preventive control with visit of the subject of control are constituted taking into account priority of subjects of control with the greatest exponent of risk by subjective criteria.

Chapter 3. Procedure of payments of general exponent of risk by subjective criteria

23. After carrying out the analysis of all possible risks subjects of control are distributed on two risk degrees (high and not carried to high).

For reference of the subject of control to risk degree, the following procedure of payments of exponent of risk is applied.

In case of identification of one gross violation, to the subject of control the exponent of risk 100 is equated and concerning it preventive control with visit of the subject of control is carried out.

If gross violations are not revealed, for measure definition of risk degree the total indicator on violations of considerable and insignificant degree is calculated.

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.

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