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

of November 19, 2018 No. 807, on November 26, 2018 No. 81

About approval of criteria for evaluation of risk degree and checking sheets in the field of architecture, town planning and construction behind activities of subjects of architectural, town-planning and construction activities

(as amended on 14-10-2020)

According to Item 3 of Article 141 and Item 1 of article 143 of the Entrepreneurial code of the Republic of Kazakhstan of October 29, 2015 PRIKAZYVAYEM:

1. Approve:

1) criteria for evaluation of risk degree in the field of architecture, town planning and construction when conducting checks concerning subjects of architectural, town-planning and construction activities, according to appendix 1 to this joint order;

2) checking leaf in the field of architecture, town planning and construction concerning the customer (builder), according to appendix 2 to this joint order;

3) checking leaf in the field of architecture, town planning and construction concerning project the organizations (the general designer), according to appendix 3 to this joint order;

4) checking leaf in the field of architecture, town planning and construction, concerning the contractor (subcontractor), according to appendix 4 to this joint order;

5) checking leaf in the field of architecture, town planning and construction concerning persons exercising designer's service according to appendix 5 to this joint order;

6) checking leaf in the field of architecture, town planning and construction concerning the legal entities and physical persons exercising test authority according to appendix 6 to this joint order;

7) checking leaf in the field of architecture, town planning and construction concerning the organization carrying-out expert works on technical inspection of reliability and stability of buildings and constructions on technically and technologically difficult objects of the first and second levels of responsibility, according to appendix 7 to this joint order;

8) checking leaf in the field of architecture, town planning and construction concerning the organization rendering engineering project management services of construction of facilities, according to appendix 8 to this joint order;

9) checking leaf in the field of architecture, town planning and construction concerning licensees, according to appendix 9 to this joint order;

10) checking leaf in the field of architecture, town planning and construction concerning the non-state certification centers for certification of the engineering employees participating in design process and constructions according to appendix 10 to this joint order;

11) checking leaf in the field of architecture, town planning and construction concerning the legal entities who are carrying out complex non-departmental expertize of construction projects of objects according to appendix 11 to this joint order

2. Declare invalid the order of the acting minister of national economy of the Republic of Kazakhstan of September 2, 2016 No. 395 "About approval of checking sheets in the field of architecture, town planning and construction" (it is registered in the Register of state registration of regulatory legal acts at No. 14351, it is published on October 28, 2016 in information system of law of Ad_let).

3. To provide to committee on cases of construction and housing and communal services of the Ministry for Investments and Development of the Republic of Kazakhstan in the procedure established by the legislation:

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 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 this joint order on Internet resource of the Ministry for Investments and Development of the Republic of Kazakhstan;

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 this Item.

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

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

Minister of investments and development of the Republic of Kazakhstan

 

Zh. Kasymbek

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 Joint Order of the Minister of investments and development of the Republic of Kazakhstan and the Minister of national economy of the Republic of Kazakhstan of November 19, 2018 No. 807, on November 26, 2018 No. 81

Criteria for evaluation of risk degree in the field of architecture, town planning and construction when conducting checks concerning subjects of architectural, town-planning and construction activities

Chapter 1. General provisions

1. These criteria for evaluation of risk degree in the field of architecture, town planning and construction when conducting checks concerning subjects of architectural, town-planning and construction activities (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 of October 29, 2015 (further - the Code) and 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 at No. 17371) for reference of subjects (objects) of control and supervision to risk degrees.

2. In these Criteria the following concepts are used:

1) subjects (objects) of control and supervision - persons exercising designer's service;

the non-state certification centers for certification of the engineering employees participating in design process and constructions;

project organization (general designer);

the organizations the carrying-out expert works on technical inspection of reliability and stability of buildings and constructions on technically and technologically difficult objects of the first and second levels of responsibility;

licensees;

contractor (prime contractor);

the legal entities who are carrying out complex non-departmental expertize of construction projects;

the organizations the rendering engineering project management services of construction of facilities;

customer (builder);

the legal entities and physical persons exercising test authority;

2) considerable violations - the violations established by regulatory legal acts in the field of architecture, town planning, involving the administrative and criminal liability provided by the laws of the Republic of Kazakhstan and connected with provision of the doubtful reporting and monitoring, non-compliance with the state standard rates, except for inopportuneness and correctness of execution of executive documentation, terms, procedure for acceptance of notifications, and also infringement of the rights and legitimate interests of citizens, availability of claims and addresses;

3) insignificant violations - violation of requirements, not belonging to considerable and gross violations, but attracting damnification to legitimate interests of physical persons and legal entities, the states;

4) gross violations - the violations established by regulatory legal acts in the field of architecture, town planning and construction owing to which worsens the condition of the favorable habitat and life activity of the person, including handicapped national groups connected with availability of the facts of technogenic catastrophes (collapse of the bearing and protecting structures of buildings and constructions), with causing damage to state interests and also infringement of the rights and legitimate interests of citizens which involve the administrative and criminal liability provided by the laws of the Republic of Kazakhstan and also with absence in staff of workers with the corresponding formation and certain experience of work, lack of the realized construction objects, absence and discrepancy to levels of responsibility of experts, lack of the license and accredited experts, issue of the positive experimental testimony (expert evaluation) on project (project and estimate) documentation which is not providing stability, reliability and durability of the built or built objects, issue of the conclusions on technical inspection of reliability and stability of the buildings and constructions fulfilled with violation of requirements of the approved construction regulations and containing doubtful data which can entail deterioration in functional performance, strength reduction, stability of buildings, structures, their parts or separate structural components, violation on project implementation phase, including quality, terms, acceptance of the performed works and commissioning of the object;

5) risk in the field of architecture, town planning and construction - probability of damnification as a result of activities of subject (object) 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;

6) 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;

7) 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;

8) the checking sheet - the list of requirements including only those requirements to activities of subject (object) 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.

3. Criteria for evaluation of risk degree in the field of architecture, town planning and construction when conducting checks concerning subjects of architectural, town-planning and construction activities are created by means of objective and subjective criteria.

Chapter 2. Objective criteria

4. In the field of architecture, town planning and construction the following subjects (objects) of control and supervision belong to high risk by objective criteria:

industrial facilities, factory buildings, constructions;

office buildings of state bodies, buildings of the museums of republican value, the Public Records Offices, storages of national and cultural values and critical infrastructure of the cities and settlements requiring special devices of artificial microclimate and (or) special security or anti-terrorist events;

socially important objects (organizations of education, health care, culture and others);

subjects to construction engineering assignment;

objects of transport infrastructure;

subjects to water supply and water disposal;

In the field of architecture, town planning and construction the following objects of control and supervision belong to not high risk by objective criteria:

other buildings and constructions.

Chapter 3. Subjective criteria

5. For determination of subjective criteria for evaluation of risk degree the following sources of information are used:

1) results of monitoring of the reporting and the data represented by subject (object) of control and supervision including by means of the automated information systems;

2) results of the previous check / preventive control and supervision with visit of subject (object) of control and supervision (at the same time, severity of violations (rough, considerable, insignificant) is established in case of non-compliance with the requirements of the legislation reflected in checking sheets;

3) availability and the number of the confirmed claims and addresses;

4) analysis results of official Internet resources, information systems of state bodies, mass media.

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

The following procedure of payments of exponent of risk is applied to reference of subject (object) of control and supervision to risk degree.

In case of identification of one gross violation from the available information sources, to the checked subject the exponent of risk 100 is equated and concerning it preventive control and supervision with visit of subject (object) of control and supervision 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.

Subjective criteria for evaluation of risk degree are given in Appendix to these criteria.

On risk exponents the checked subject (object) belongs:

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

2) does not treat high risk - in case of exponent from 0 to 60 inclusive and concerning it preventive control and supervision with visit of subject (object) of control and supervision is not carried out.

In the analysis and assessment of risk degree data of the subjective criteria which are earlier considered and used concerning specific subject (object) of control and supervision are not applied.

Frequency rate of carrying out preventive control and supervision with visit of subject (object) of control and supervision is determined by criteria for evaluation of risk degree, but is not more often than once a year.

The basis for purpose of preventive control and supervision with visit of subject (object) of control and supervision is the semi-annual list of carrying out preventive control and supervision with visit of subject (object) of control and supervision created by results of the carried-out analysis and assessment, approved by the first head of regulatory state agency.

Preventive control and supervision with visit of subject (object) of control and supervision are carried out based on semi-annual lists of preventive control and supervision with visit of subject (object) of control and the supervision created according to Item 3 of article 141 of the Code.

Lists of preventive control and supervision with visit of subject (object) of control and supervision are constituted taking into account priority of the subject of control and supervision with the greatest exponent of risk by subjective criteria.

Appendix

to Criteria for evaluation of risk degree in the field of architecture, town planning and construction when conducting checks concerning subjects of architectural, town-planning and construction activities

Subjective criteria for evaluation of risk degree in the field of architecture, town planning and construction when conducting checks concerning subjects of architectural, town-planning and construction activities

No. of payment order

Criteria

Extent of violation

Customer (builder)

1. Results of the previous check / preventive control and supervision with visit of subject (object) of control and supervision (at the same time, severity of violations (rough, considerable, insignificant) is established in case of non-compliance with the requirements of the legislation reflected in checking sheets

1

Availability of the notification on the beginning of production of building and construction works

rough

2

Availability at the customer (builder) of the corresponding documents of title on the parcel of land (the platform or the route under construction) or the decision of executive body on its provision

rough

3

Availability of the decision of local executive body on reconstruction (re-planning, re-equipment) of residential and non-residential premises in the existing buildings

rough

4

Use of the parcel of land for building (including laying of communications, engineering training of the territory, improvement, gardening and other types of arrangement of the site) according to the approved project documentation and respect for purpose or the servitude, zoning of the territory, red lines and lines of regulation of building

rough

5

Compliance of the performed (performed) building and construction works, the applied construction materials (products, designs) and the equipment to the approved project decisions and the state (interstate) standard rates, including on ensuring durability, stability, reliability of the bearing and protecting designs and functional performance of buildings (constructions)

rough

6

Availability of permission of the relevant organizations to works in zone of overhead power transmission lines and communication lines, in strip of withdrawal of the railroads, in zones of side job of the parcels of land mining operations located on construction site

rough

7

Availability of written consent and presence of the representative of the relevant organization operating lines and constructions of communication

rough

8

Rejection of measures to arrangement of places of excavation, and also construction sites after the termination of construction and repair also blocking up of the yards, streets and areas construction materials

rough

9

Availability of the approved design estimates

rough

10

Availability of positive experimental testimony of projects, including repeated experimental testimony of projects in case of adjustment

rough

11

Availability of the license for the right of implementation of the corresponding types of the licensed architectural, town-planning and construction activities

rough

12

Availability of the agreement signed between the customer (the investor of the project or program) and the contractor (prime contractor) elected by it

insignificant

13

Availability at contract organization of the state license for the right of implementation of the licensed architectural, town-planning and construction types of activity on category

rough

14

Availability of the contract with the accredited legal entities performing engineering services in test authority in case of reference of object to technically and technologically difficult objects of the first or second levels of responsibility

insignificant

15

Availability of the contract with the physical person having the certificate of the expert of the test authority performing activities on objects technically of simple second and third levels of responsibility

insignificant

16

Availability of the contract for implementation of designer's service with person who developed project (project and estimate) documentation (developer of the project or the certified expert)

insignificant

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