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The document ceased to be valid since October 6, 2018 according to Item 2 of the Order of the Acting Minister of national economy of the Republic of Kazakhstan of July 31, 2018 No. 3

I.O.'S ORDER OF THE MINISTER OF NATIONAL ECONOMY OF THE REPUBLIC OF KAZAKHSTAN

of November 25, 2015 No. 722

About approval of the Technique of forming by state bodies (except for National Bank of the Republic of Kazakhstan) systems of risk assessment, forms of the obligatory departmental reporting and checking sheets

According to the subitem 3) Item 2 of Article 85 and item 4 of article 141 of the Entrepreneurial code of the Republic of Kazakhstan of October 29, 2015, PRIKAZYVAYU:

1. Approve:

1) the Technique of forming by state bodies (except for National Bank of the Republic of Kazakhstan) systems of risk assessment according to appendix 1 to this order;

2) form of the obligatory departmental reporting according to appendix 2 to this order;

3) form of checking sheets according to appendix 3 to this order.

2. Declare invalid the order of the acting minister of national economy of the Republic of Kazakhstan of April 17, 2015 No. 343 "About approval of the Technique of forming by state bodies (except for National Bank of the Republic of Kazakhstan) systems of risks assessment" (registered in the Register of state registration of regulatory legal acts for No. 11082, published in information system of law of Ad_let on June 12, 2015).

3. To provide to development department of entrepreneurship of the Ministry of national economy 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) within ten calendar days after state registration of this order in the Ministry of Justice of the Republic of Kazakhstan the direction it the copy on official publication in periodic printing editions and information system of law of Ad_let;

3) placement of this order on Internet resource of the Ministry of national economy of the Republic of Kazakhstan.

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 since January 1, 2016 and is subject to official publication.

Acting minister of national economy of the Republic of Kazakhstan

M. Kusainov

It is approved

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

"____" ____________ 2015

 

 

______________ Aytpayeva S. M.

Appendix 1

to the Order of the Minister of national economy of the Republic of Kazakhstan of November 25, 2015 No. 722

Technique of forming by state bodies (except for National Bank of the Republic of Kazakhstan) systems of risk assessment

1. General provisions

1. The technique of forming by state bodies (except for National Bank of the Republic of Kazakhstan) systems of risk assessment (further - the Technique) is developed according to the Entrepreneurial code of the Republic of Kazakhstan of October 29, 2015 (further – the Code).

2. The technique is intended for development of criteria for evaluation of risk degree by regulatory state agencies for selection of the checked subjects (objects) for the purpose of conducting checks, and also the checking sheets approved according to Items 2 and 3 of Article 141 and Item 1 of article 143 of the Code.

This Technique does not extend to the checks performed by National Bank of the Republic of Kazakhstan.

3. In this Technique the following concepts are used:

1) risk – probability of damnification as a result of activities of the checked subject 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 consequences;

2) system of risks assessment – the complex of actions held by control facility and supervision for the purpose of purpose of checks;

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

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

5) the checking sheet – the list of requirements including only those requirements to activities of the checked subjects 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.

4. Regulatory legal acts of state bodies about approval of criteria for evaluation of risk degree and checking sheets are subject to coordination before their approval in authorized body on legal statistics and special accounting regarding technical capability of automation of systems of risks assessment and compliance to requirements of information system – the unified register of subjects and objects of checks.

The term of coordination by authorized body on legal statistics and special accounting constitutes five working days.

Provisions of this Item do not extend to the state bodies specified in paragraph 3 of Chapter 3 of this Technique.

5. The special procedure for conducting checks and selective checks are applied to the checked subjects (objects) carried to high risk.

Unscheduled inspections and other forms of control and supervision are applied to the checked subjects (objects) carried to high and which are not carried to high risk.

2. Methods for special procedure for conducting checks based on semi-annual schedules

6. Criteria for evaluation of risk degree for special procedure for conducting checks based on semi-annual schedules are created by means of objective and subjective criteria.

Paragraph 1. Objective criteria

7. Determination of objective criteria is performed by means of the following stages:

1) risk identification;

2) group and distribution of the checked subjects (objects) on risk degrees (high and not carried to high).

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

1) level of danger (complexity) of object;

2) scales of weight of possible negative consequences, harm on the regulated sphere (area);

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

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

The special procedure for conducting checks based on semi-annual schedules is applied to the checked subjects (objects) carried to high risk.

10. Frequency of conducting checks concerning the checked subjects (objects) of high risk is determined by Criteria for evaluation of risk degree of state bodies, but is not more often than once a year, and in the sphere of sanitary and epidemiologic wellbeing of the population according to Item 2 of article 141 of the Code.

Paragraph 2. Subjective criteria

11. For the purpose of realization of the principle of encouragement of the fair checked subjects and concentration of control and supervision on violators, the checked subjects (objects) of high risk are exempted from special procedure for conducting checks for the period determined by criteria for evaluation of risk degree of regulatory state agencies by means of use of subjective criteria.

12. Release from check on special procedure for conducting check based on semi-annual schedules is performed by means of use of subjective criteria for the checked subjects (objects) of high risk by means of the following stages:

1) determination of subjective criteria;

2) assessment of results.

13. Subjective criteria are developed based on requirements of checking sheets which non-compliance according to criteria for evaluation of risk degree of regulatory state agency correspond to certain extent of violation. Concerning each requirement from checking sheets extent of violation – rough, considerable and insignificant is determined.

At the same time determination of gross, considerable and insignificant violations is established in criteria for evaluation of risk degree of regulatory state agencies taking into account specifics of the respective sphere of the state control and supervision.

When forming subjective criteria extent of violation (rough, insignificant, considerable) is appropriated according to the established determinations of gross, insignificant, considerable violations.

14. The exponent of risk is calculated on scale from 0 to 100 based on the criteria established in criteria for evaluation of risk degree of regulatory state agency and is calculated by summing of the received indicators by subjective criteria according to Chapter 4 of this Technique.

On risk exponents the checked subject (object) of high risk:

1) it is exempted from special procedure for conducting checks based on semi-annual schedules for the term established in criteria for evaluation of risk degree of regulatory state agency – in case of exponent of risk from 0 to 60;

2) it is not exempted from special procedure for conducting checks based on semi-annual schedules – in case of exponent of risk from 60 to 100 inclusive.

15. Release from special procedure for conducting checks is possible based on the applied alternative (independent) systems of assessment and risk analysis, audit, examinations, according to the procedure, departmental acts of state bodies of the approval of criteria for evaluation of risk degree which is not contradicting requirements of the Code and determined.

3. Methods for carrying out selective checks

16. Criteria for evaluation of risk degree for selective checks are created by means of objective and (or) subjective criteria.

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