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

of May 12, 2023 No. 63

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

According to Article 141 and Items 2 and 3 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 entrepreneurship according to appendix 1 to this order;

2) checking leaf concerning the state bodies exercising control and supervision in fields of activity of subjects of entrepreneurship according to appendix 2 to this order;

3) checking leaf concerning the state bodies performing issue of permissions of the first and second category, acceptance of notifications on implementation of business activity according to appendix 3 to this order.

2. To provide to department of the state support and protection of entrepreneurship of the Ministry of national economy of the Republic of Kazakhstan in the procedure established by the legislation of the Republic of Kazakhstan state registration of this order in the Ministry of Justice of the Republic of Kazakhstan and its placement on Internet resource of the Ministry of national economy of the Republic of Kazakhstan.

3. To impose control of execution of this order on the supervising vice-minister of national economy of the Republic of Kazakhstan.

4. This order becomes effective after day of its first official publication.

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 May 12, 2023 No. 63

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

Chapter 1. General provisions

1. These criteria for evaluation of risk degree in the field of support and protection of subjects of entrepreneurship (further – Criteria) are developed for selection of subjects (objects) of control exercising control and supervision in fields of activity of subjects of entrepreneurship according to articles 138 and 139 of the Entrepreneurial code of the Republic of Kazakhstan (further – the Code) and issue of permissions of the first and second category, acceptance of notifications on implementation of business activity according to the Law of the Republic of Kazakhstan "About permissions and notifications" (further – the Law) for the purpose of carrying out preventive control with visit of subject (object) of control according to Item 3 of article 143 of the Code and determine procedure for forming of system of assessment and risk management.

2. In these Criteria the following concepts are used:

1) risk – probability of damnification as a result of activities of the subject of control to the rights and legitimate interests of subjects of entrepreneurship taking into account severity of its effects;

2) 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 on risk degrees for the subsequent implementation of preventive control with visit of subject (object) of control;

3) 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 (objects) of control to different risk degrees;

4) 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 depending on risk degree in certain field of activity and which are not depending directly on separate subject (object) of control;

5) 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 depending on results of activities of specific subject (object) of control;

6) the checking sheet – the list of requirements imposed to activities of subjects (objects) of control which non-compliance involves damnification to the rights and legitimate interests of subjects of entrepreneurship;

7) gross violations – the violations of the requirements established by regulatory legal acts in the field of support and protection of subjects of entrepreneurship, attracting the administrative responsibility;

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

9) insignificant violations – violations of the requirements established by regulatory legal acts in the field of support and protection of subjects of entrepreneurship connected with lack of criteria for evaluation of risk degree and checking sheets, applied to carrying out preventive control with visit of subject (object) of control and supervision and (or) checks and placements them on Internet resources of regulatory state agencies, and also inadequate implementation of execution of the license and (or) appendix to the license electronically.

3. Determination of risk degree in the field of support and protection of subjects of entrepreneurship is performed depending on probability of violation of the rights and legitimate interests of subjects of 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. Forming of system of assessment and risk management when carrying out preventive control with visit of the subject of control

6. With accounting of specifics of preventive control with visit of the subject of control in the field of support and protection of subjects of 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 Bureau of national statistics of the Agency on strategic planning and reforms 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.

Criteria for evaluation of risk degree for carrying out preventive control of subjects (objects) control are created by means of determination of objective and subjective criteria.

Paragraph 1. Objective criteria

7. 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 entrepreneurship according to articles 138 and 139 of the Code;

2) issue of permissions of the first and second category according to the Law;

8. 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.

9. 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

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. 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.

12. For assessment of risk degree the following sources of information are used:

1) analysis of official Internet resources of state bodies, mass media;

2) results of the previous preventive control with visit of subject (object) of control and supervision and (or) checks.

13. 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 carried-out preventive control with visit of subject (object) of control and supervision and (or) checks in fields of activity of subjects of entrepreneurship;

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

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

15. In case of selection of subjects of preventive control with visit of the subject 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.

16. Violations in the field of support and protection of subjects of entrepreneurship are subdivided into three degrees: rough, considerable and insignificant. Extents of violations of requirements are determined according to appendix to these Criteria.

17. Preventive control with visit of the subject of control is carried out based on semi-annual lists of preventive control with visit of the subject of control.

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