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I.O'S ORDER. MINISTER OF TRADE AND INTEGRATION OF THE REPUBLIC OF KAZAKHSTAN

of June 29, 2021 No. 433-HK

About approval of Rules of assessment of conformity

According to the subitem 1) Item 2 of article 7 of the Law of the Republic of Kazakhstan "About technical regulation" PRIKAZYVAYU:

1. Approve the enclosed Rules of assessment of conformity according to appendix 1 to this order.

2. Recognize invalid some orders according to appendix 2 to this order.

3. To provide to committee of technical regulation and metrology of the Ministry of Trade and integration of the Republic of Kazakhstan in the procedure established by the legislation:

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

2) placement of this order on Internet resource of the Ministry of Trade and integration of the Republic of Kazakhstan.

4. To impose control of execution of this order on the supervising vice-Minister of Trade and integration of the Republic of Kazakhstan.

5. This order becomes effective since July 1, 2021 and is subject to official publication.

Deputy. Minister of Trade and integration of the Republic of Kazakhstan

E.Kazanbayev

Appendix 1

to the Order of the deputy. The Minister of Trade and integration of the Republic of Kazakhstan of June 29, 2021 No. 433-HK

Rules of assessment of conformity

Chapter 1. General provisions

1. These rules of assessment of conformity (further - Rules) are developed according to the subitem 1) of Item 2 of article 7 of the Law of the Republic of Kazakhstan "About technical regulation" (further - the Law) and determine compliance evaluation procedure.

These rules are applied in case of assessment of conformity of products, services and processes, to the requirements established by technical regulations of the Republic of Kazakhstan, documents on standardization and (or) requirements of the applicant.

These rules are applied in case of obligatory and voluntary confirmation of conformity.

2. In these rules the following basic concepts are used:

1) accreditation - the procedure of official recognition of competence of the applicant by accreditation body to perform works in certain area of assessment of conformity;

2) area of accreditation - officially acknowledged objects of assessment of conformity to which accreditation extends;

3) the register of data of the state system of technical regulation (further - the register of technical regulation) - the electronic database of technical regulations, subjects of accreditation, the issued documents on assessment of conformity, confirmation of conformity experts-auditors, the equipment, information on products which are not conforming to requirements of technical regulations, and other data in the field of technical regulation;

4) obligatory certification - form of obligatory confirmation of conformity by body for confirmation of conformity of objects of technical regulation to requirements of technical regulations;

5) products - the result of activities provided in material and material form and intended for further use in economic and other purposes;

6) safety of products and processes (further - safety) - lack of the unacceptable risk connected with damnification of life, to health of the person, the environment, including plant and animal life;

7) the applicant - the legal entity registered according to the legislation of the Republic of Kazakhstan or state member of the Eurasian Economic Union or the physical person registered as the individual entrepreneur (the manufacturer, the importer, the person authorized by the manufacturer, the seller) which provided products, processes and service for evaluating compliance;

8) process - set of the interconnected and consecutive actions (works) for the purpose of achievement of any set result, including processes of product lifecycle;

9) mark of conformity - the designation serving for informing buyers on passing of products and service through procedures of confirmation of conformity to the requirements established by technical regulations and (or) national standards;

10) the certificate of conformity - the document certifying compliance of objects of technical regulation to the requirements established by technical regulations and (or) documents on standardization;

11) the certificate holder of compliance - the applicant on evaluating compliance who received the certificate of conformity;

12) the declaration of conformity - the document which the manufacturer, the importer, person authorized by the manufacturer or the seller certify compliance issued in the product circulation, processes and service to requirements of technical regulations and documents for standardization;

13) assessment of conformity - direct or indirect determination of observance of requirements imposed to object of technical regulation;

14) voluntary confirmation of conformity - the procedure by means of which confirmation of conformity of products, processes and service is performed, carried out at the initiative of the applicant on compliance to documents on standardization and (or) requirements of the applicant;

15) obligatory confirmation of conformity - the procedure by means of which confirmation of conformity of products to the requirements established by technical regulations is performed;

16) confirmation of conformity - the procedure which the documentary certificate (in the form of the declaration of conformity or the certificate of conformity) is result of compliance of object of technical regulation to the requirements established by technical regulations and (or) documents on standardization;

17) body for confirmation of conformity (further - OPS) - the legal entity accredited in accordance with the established procedure for implementation of activities for confirmation of conformity;

18) the scheme of confirmation of conformity (further - the scheme of confirmation) - set and the sequence of procedures of confirmation of conformity;

19) certification - the procedure by means of which the body for confirmation of conformity certifies compliance of products and (or) the related process, and also service to the established requirements;

20) test laboratory (center) (further - laboratory) - the legal entity or structural division of the legal entity operating from his name, performing testing (research);

21) authorized body in the field of technical regulation (further - authorized body) - the central executive body performing management and cross-industry coordination in the field of technical regulation;

22) information system of technical regulation - the automated information system intended for storage, processing, search, distribution, transfers and provisions of the data and information containing in registers of technical regulation, state system for ensuring the uniformity of measurements, national system of standardization and unified registers of the issued or accepted documents on assessment of conformity of the Eurasian Economic Union;

23) the web portal of information system of technical regulation (further - the web portal) - the Internet resource providing single point of access to information system of technical regulation.

Other concepts and determinations used in these rules are applied according to the Law.

3. Assessment of conformity is carried out in forms:

1) confirmations of conformity (declaring of compliance and certification);

2) testing if they according to technical regulations are independent form of assessment of conformity;

3) established by technical regulations and (or) national standards.

4. Confirmation of conformity of products to the requirements established by technical regulations is carried out in the form of adoption of the declaration of conformity and (or) in the form of carrying out certification and issue of the certificate of conformity.

Confirmation of conformity of products and processes in the territory of the Republic of Kazakhstan has binding or voluntary character.

5. Obligatory confirmation of conformity is performed in forms of adoption of the declaration of conformity and carrying out obligatory certification.

Obligatory confirmation of conformity is carried out only in the cases established by the corresponding technical regulation and is exclusive on compliance to its requirements.

6. Voluntary confirmation of conformity is carried out in the form of voluntary certification on initiative and requirements of the applicant for any objects of assessment of conformity regarding their compliance to documents on standardization, and in case of their absence - to the declared requirements.

7. Obligatory and voluntary confirmation of conformity is carried out by OPS within area of accreditation on terms of the contract with applicants.

8. Testing is carried out by accredited test laboratory (center). Determination by the established technique of one or several quantity and (or) quality characteristics of properties of product sample, other object of assessment of conformity is result of testing.

Chapter 2. Certification of products

Paragraph 1. General provisions

9. The procedure of certification of products includes the following stages in information system of technical regulation:

1) submission by the applicant of the request for carrying out certification (further - the request) in form according to appendix 1 to these rules in OPS;

2) consideration of OPS of the request with the enclosed documents and adoption on it of the decision, including approval of the scheme of certification of products, based on the scheme of certification of products chosen by the applicant;

3) the conclusion of the contract for work on certification;

4) identification, sampling and their testing;

5) carrying out the analysis of condition of production (if it is provided by the scheme of certification of products);

6) the analysis of the received results and decision making about issue (about refusal in issue) the certificate of conformity;

7) registration of the certificate of conformity in the register of technical regulation by means of information system of technical regulation;

8) forming and issue of the certificate of conformity;

9) implementation of periodic assessment behind the certified products (if it is provided by the scheme of certification of products);

10) provision of information on results of certification.

10. All actions made between OPS, the applicant by authorized body are performed in the information system of technical regulation conforming to requirements for information security according to the legislation of the Republic of Kazakhstan.

Access to data of information system of technical regulation for its users is provided through the web portal of authorized body.

11. Certification of products is carried out in voluntary or without fail.

12. In case of certification of products characteristics (indicators) of products are checked, the test methods allowing are used:

1) to carry out identification of products, including to check belonging to classification group, compliance of technical documentation, origin, belonging to this batch, and also its compliance on signs, parameters, indicators and requirements which are in total sufficient for confirmation of conformity of products to the technical regulation and the document on standardization, the shipping documentation, the agreement (contract) for delivery, the specification, the label, the label and other document characterizing products. In case of identification observance by the importer of requirements of regulatory legal acts of the Republic of Kazakhstan regarding necessary information in marking of products is considered;

2) it full and to authentically confirm products compliance to the requirements aimed at providing its safety for life, health of the person, environmental protection, established in rules and also to other requirements which on the basis of the legislation of the Republic of Kazakhstan are checked in case of obligatory confirmation of conformity, in case of observance of conditions of use, storage and transportation of products.

The structure of other checked characteristics (indicators) is determined proceeding from the purposes of certification of specific products.

Paragraph 2. Giving and consideration of the request

13. The applicant represents in case of application to OPS necessary technical documentation to products, structure and which content is established in technical regulations and (or) documents on standardization on these products.

14. For carrying out certification of products the applicant sends to OPS the request containing the following information and documents and (or) their copies certified by the sign and seal (in the presence) of the applicant (depending on the scheme of certification of products):

1) for products of serial production:

technical documentation and (or) project, and (or) design, and (or) technological, and (or) operational;

the document (documents) on standardization (including specifications) according to which products are made (in the presence);

the certificate of conformity of quality management system if its action extends to production of products (in the presence or if it is required by the scheme of certification of products);

the report on audit of quality management system and information confirming capability of the implemented quality management system to provide stable production, to conforming requirements confirmed in case of certification (if it is required by the scheme of certification of products);

certificate of conformity of critical elements, materials, components or components of product (in the presence);

the contract with the manufacturer (including with the foreign manufacturer) providing compliance to requirements of technical regulations or documents for the standardization and responsibility for discrepancy of such products to the specified requirements delivered to the Republic of Kazakhstan products (for person authorized by the manufacturer);

the documents at the choice of the applicant indirectly confirming products compliance;

2) for lot of products (single product):

technical documentation and (or) project, and (or) design, and (or) technological, and (or) operational;

the document (documents) on standardization (including specifications) according to which products are made (in the presence);

the contract (delivery agreement) and the shipping documents identifying single product or lot of products, including its size (in the presence);

test reports, carried out by the manufacturer (in the presence);

the certificates of conformity issued by foreign OPS (in the presence);

the documents at the choice of the applicant indirectly confirming products compliance.

15. Depending on the implementable scheme of certification of products the applicant represents test reports to OPS, carried out earlier in case of development and statement of products on production, or documents on the testing executed by accredited test laboratories (centers).

16. The applicant submits the documents on products compliance to the established requirements issued by authorized state bodies within the competence to OPS if it is established by the legislation of the Republic of Kazakhstan for certain types of products.

Are applied to the request:

1) earlier received existing certificates of conformity on products or on the used raw materials, materials, components, quality management system;

2) the conclusions, references and documents directly or indirectly confirming products compliance to the established requirements, issued by authorized state bodies (in the presence).

17. OPS considers the request and carries out the analysis of the submitted documents on completeness of information on the applicant and products for carrying out certification.

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