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

of December 14, 2015 No. 1205, on December 29, 2015 No. 823

About approval of criteria for evaluation of risk degree and checking sheets in the field of automobile, railway, inland water transport and merchant shipping

(as amended on 26-03-2021)

According to Item 3 of Article 141, 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 road transport according to appendix 1 to this joint order;

2) criteria for evaluation of risk degree in the field of rail transport according to appendix 2 to this joint order;

2-1) criteria for evaluation of risk degree in the field of inland water transport according to appendix 2-1 to this joint order;

2-2) criteria for evaluation of risk degree in the field of merchant shipping according to appendix 2-2 to this joint order;

3) checking leaf in the field of the state control in the field of road transport concerning carriers of taxi and information and dispatching taxi services according to appendix 3 to this joint order;

3-1) checking leaf in the field of the state control in the field of road transport concerning persons rendering services of bus stations, bus stations and service points of passengers according to appendix 3-1 to this joint order;

3-2) checking leaf in the field of the state control in the field of road transport concerning the automobile carriers performing and (or) rendering services in public conveyance and baggage according to appendix 3-2 to this joint order;

3-3) checking leaf in the field of the state control in the field of road transport concerning the automobile carriers performing and (or) providing services in transportation of dangerous goods according to appendix 3-3 to this joint order;

3-4) checking leaf in the field of the state control in the field of road transport concerning the automobile carriers performing and (or) providing services in carriage of goods, and also transportation of bulky and (or) heavy loads according to appendix 3-4 to this joint order;

3-5) checking leaf in the field of the state control in the field of road transport concerning persons acting as consignors and (or) consignees according to appendix 3-5 to this joint order;

3-6) checking leaf in the field of the state control in the field of road transport concerning the automobile carriers performing the international motor transportations according to appendix 3-6 to this joint order;

3-7) checking leaf in the field of the state control in the field of road transport concerning operators of technical inspection according to appendix 3-7 to this joint order;

3-8) checking leaf in the field of the state control in the field of road transport concerning the automobile carriers providing services in perishable traffic according to appendix 3-8 to this joint order;

3-9) checking leaf in the field of the state control in the field of road transport concerning persons performing activities for installation and servicing of tachographs, production and issue of electronic cards to electronic (digital) tachographs according to appendix 3-9 to this joint order;

4) checking leaf in the field of the state control in the field of rail transport concerning vetvevladelets according to appendix 4 to this joint order;

4-1) checking leaf in the field of the state control in the field of rail transport concerning auxiliary service of rail transport according to appendix 4-1 to this joint order;

4-2) checking leaf in the field of the state control in the field of rail transport concerning the national operator of infrastructure according to appendix 4-2 to this joint order;

4-3) checking leaf in the field of the state control in the field of rail transport concerning carrier according to appendix 4-3 to this joint order;

4-4) checking leaf in the field of the state control in the field of rail transport concerning the operator of locomotive draft according to appendix 4-4 to this joint order;

4-5) checking leaf in the field of the state control in the field of rail transport concerning railway stations according to appendix 4-5 to this joint order;

4-6) checking leaf in the field of the state control in the field of rail transport concerning operators of cars (containers) according to appendix 4-6 to this joint order;

4-7) checking leaf in the field of the state control in the field of rail transport concerning urban rail transportation (subway) according to appendix 4-7 to this joint order;

4-8) checking leaf in the field of the state control in the field of rail transport concerning urban rail transportation (tram) according to appendix 4-8 to this joint order;

5) checking leaf in the field of the state control and supervision in the field of inland water transport concerning owners of the shipping waterways and constructions located on inland waterways according to appendix 5 to this joint order;

5-1) checking leaf in the field of the state control and supervision in the field of inland water transport concerning owners of bases parking for small size vessels according to appendix 5-1 to this joint order;

6) checking leaf in the field of the state control and supervision in the field of merchant shipping concerning owners of ports and port installations according to appendix 6 to this joint order;

6-1) checking leaf in the field of the state control and supervision in the field of merchant shipping concerning owners of bases parking for small size vessels according to appendix 6-1 to this joint order.

2. Declare invalid the joint order of the Minister of investments and development of the Republic of Kazakhstan of June 29, 2015 No. 739 and the Minister of national economy of the Republic of Kazakhstan of July 20, 2015 No. 543 "About approval of criteria for evaluation of risk degree and forms of checking sheets in the field of automobile, railway, inland water transport and merchant shipping" (registered in the Register of state registration of regulatory legal acts of the Republic of Kazakhstan at No. 11914, published in information system of law of Ad_let on September 11, 2015).

3. To committee of transport of the Ministry for Investments and Development of the Republic of Kazakhstan (Asavbayev A. A.) provide:

1) state registration of this joint 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 in printing and electronic view on official publication in periodic printed publicity materials and Ad_let information system of law", and also in the Republican center of legal information for entering into 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 and on the intranet portal of state bodies;

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 Item 3 presents of the joint order.

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

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

The acting minister on investments and development of the Republic of Kazakhstan

____________ Zh. Kasymbek

Minister of national economy of the Republic of Kazakhstan

______________ E.Dosayev

It is approved

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

December 23, 2015

 

 

___________________ S. Aytpayeva

Appendix 1

to the Joint Order of the acting minister on investments and development of the Republic of Kazakhstan and the Minister of national economy of the Republic of Kazakhstan of December 14, 2015 No. 1205, on December 29, 2015 No. 823

Criteria for evaluation of risk degree in the field of road transport

Chapter 1. General provisions

1. These criteria for evaluation of risk degree in the field of road transport (further - criteria) are developed according to Item 3 of Article 141, Item 1 of article 143 of the Entrepreneurial code of the Republic of Kazakhstan of October 29, 2015 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 for No. 17371).

2. In criteria the following basic concepts are used:

1) subjects (objects) of control in the field of road transport are the carriers of taxi and information and dispatching taxi services, persons rendering the services of bus stations, bus stations and service points of passengers, automobile carriers rendering services in public conveyance and loads, persons acting as the consignor and (or) the consignee, the automobile carriers providing services in transportation of dangerous goods, the automobile carriers providing services in transportation of bulky and heavy loads, the automobile carriers performing the international motor transportations, automobile carriers providing services in perishable traffic, the operators of technical inspection, persons performing activities for installation and servicing of tachographs, the faces performing activities for production and issue of electronic cards to electronic (digital) tachographs;

2) considerable violation - violation of the requirements established by regulatory legal acts in the field of road transport under the organization and implementation of motor transportations of perishable loads and also when implementing activities for installation and servicing of tachographs, to production and issue of electronic cards to electronic (digital) tachographs which can lead to approach adverse incident for life or health of the person, legitimate interests of physical persons and legal entities, the state;

3) insignificant violation - violation of the requirements established by regulatory legal acts in the field of road transport which does not threaten life and health of the person, legitimate interests of physical persons and legal entities, the states, but is obligatory;

4) gross violation - violation of the requirements established by regulatory legal acts in the field of road transport under the organization and implementation of motor transportations of passengers and loads, dangerous goods, bulky and heavy loads with use of vehicles, implementation of the international motor transportations, transportations of taxi and information and dispatching taxi services and also when rendering services in carrying out obligatory technical inspection, services of bus stations, bus stations and service points of passengers, and persons acting as consignors and (or) consignees which threatens life, health of the person and legitimate interests of physical persons and legal entities, the states;

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

6) system of risks assessment - complex of the events held by control facility for the purpose of purpose of preventive checking with visit of subject (object) of control;

7) 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;

8) 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;

9) the checking sheet - the data requirements list including requirements to activities of subjects of control which non-compliance involves threat of life and to health of the person, legitimate interests of physical persons and legal entities, the states.

3. Criteria for evaluation of risk degree for preventive checking with visit of subject (object) of control are created by means of objective and subjective criteria.

Chapter 2. Objective criteria

4. Risk identification in the field of road transport is performed depending on probability of damnification as a result of activities of the checked subject of life or to health of the person, legitimate interests of physical persons and legal entities, from non-compliance with safety of operation of vehicles.

5. By objective criteria treat high risk:

1) carriers of taxi and information and dispatching taxi services;

2) the automobile carriers rendering services in public conveyance and loads;

3) persons acting as the consignor and (or) the consignee;

4) the automobile carriers providing services in transportation of dangerous goods;

5) the automobile carriers providing services in transportation of bulky and heavy loads;

6) the automobile carriers performing the international motor transportations;

7) persons rendering services of bus stations, bus stations and service points of passengers;

8) operators of technical inspection.

Treat not high risk:

1) the automobile carriers providing services in perishable traffic;

2) persons performing activities for installation and servicing of tachographs;

3) persons performing activities for production and issue of electronic cards to electronic (digital) tachographs.

6. Are applied to subjects (objects) of control carried by objective criteria to high risk subjective criterion for the purpose of carrying out preventive checking with visit of subject (object) of control.

Chapter 3. Subjective criteria

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

1) forming of the database and information collection;

2) information analysis and risks assessments.

8. For assessment of subjective criteria the following sources of information are used:

1) results of the previous checks and preventive checking with visit of subjects (objects) of control;

2) 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;

3) availability of the adverse incidents which arose because of the subject of control. The fires, incidents, incidents, accidents, the crashes, the road accidents and other emergency situations on road transport belong to adverse incidents;

4) results of preventive checking without visit of subject (object) of control (the resulting documents issued following the results of preventive checking without visit of subject (object) of control (the reference, the conclusion, recommendations);

5) availability and the number of the confirmed claims and addresses, the analysis of official Internet resources of state bodies, mass media;

6) analysis results of the data represented by authorized state bodies and the organizations.

For the purpose of increase in efficiency of risks assessment, work on mutual exchange of information with other state bodies is carried out.

9. Based on the sources of information specified in Item of 8 these criteria the subjective criteria which are subject to assessment are determined.

In the analysis and assessment the data of subjective criteria which are earlier considered and used concerning specific subject (object) of control or data according to which period of limitation according to the legislation of the Republic of Kazakhstan expired are not applied.

10. Depending on possible risk and the importance of problem, singularity or systemacity of violation, the analysis of the decisions made earlier subjective criteria which according to these criteria correspond to extent of violation - rough, considerable and not considerable are determined by each source of information.

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

11. The risk exponent by subjective criteria is evaluated on scale from 0 to 100.

On risk exponents the subject (object) of control belongs:

1) to high risk - in case of exponent of risk from 61 to 100 inclusive and concerning it preventive checking with visit of subject (object) 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 checking with visit of subject (object) of control is not carried out.

12. Frequency rate of carrying out preventive checking with visit of subject (object) of control is determined by results of the carried-out analysis and assessment of the received data on subjective criteria and is not more often than once a year.

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

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

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