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

of July 26, 2016 No. 332

About approval of criteria for evaluation of risk degree and checking sheets in spheres of natural monopolies and behind observance of procedure for pricing and obligations of the subject of the socially significant market

(as amended on 25-05-2023)

According to Item 5 of Article 141, Item 1 of article 143 of the Entrepreneurial code of the Republic of Kazakhstan PRIKAZYVAYU:

1. Approve:

1) criteria for evaluation of risk degree in spheres of natural monopolies and behind observance of procedure for pricing and obligations of the subject of the socially significant market, according to appendix 1 to this order.

2) checking leaf in spheres of natural monopolies, according to appendix 2 to this order.

3) checking leaf behind observance of procedure for pricing and obligations of the subject of the socially significant market, according to appendix 3 to this order.

2. Recognize invalid:

1) the order of the Minister of national economy of the Republic of Kazakhstan of June 27, 2015 No. 462 "About approval of criteria for evaluation of risk degree in spheres of natural monopolies and the controlled markets" (registered in the Register of state registration of regulatory legal acts for No. 11768, published in information system of law of Ad_let of August 5, 2015);

2) the order of the Minister of national economy of the Republic of Kazakhstan of June 27, 2015 No. 463 "About approval of forms of checking sheets in spheres of natural monopolies and the controlled markets" (registered in the Register of state registration of regulatory legal acts for No. 11782, published in information system of law of Ad_let of August 5, 2015).

3. To provide to committee on regulation of natural monopolies and protection of the competition of the Ministry of national economy of the Republic of Kazakhstan:

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

2) the direction of the copy of this order in printing and electronic type on official publication in periodic printing editions and information system of law of Ad_let within ten calendar days after its state registration in the Ministry of Justice of the Republic of Kazakhstan, and also in the Republican center of legal information within five working days from the date of receipt of the registered order for inclusion in reference control bank of regulatory legal acts of the Republic of Kazakhstan;

3) placement of this order on Internet resource of the Ministry of national economy of the Republic of Kazakhstan and on the intranet portal of state bodies;

4) within ten working days after state registration of this order in the Ministry of Justice of the Republic of Kazakhstan submission to Legal department of the Ministry of national economy of the Republic of Kazakhstan of data on execution of the actions provided by subitems 1), 2) and 3) of this Item.

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 after ten calendar days after day of its first official publication.

Minister of national economy of the Republic of Kazakhstan

K. Bishimbayev

It is approved

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

 July "26", 2016

 

_____________________ S. Aytpayeva

 

Appendix 1

to the Order of the Minister of national economy of the Republic of Kazakhstan of July 26, 2016 No. 332

Criteria for evaluation of risk degree in spheres of natural monopolies and behind observance of procedure for pricing and obligations of the subject of the socially significant market

Chapter 1. General provisions

1. These criteria for evaluation of risk degree in spheres of natural monopolies and behind observance of procedure for pricing and obligations of the subject of the socially significant market (further – Criteria) are developed according to article 141 of the Entrepreneurial code of the Republic of Kazakhstan (further – the Code), the Law of the Republic of Kazakhstan "About natural monopolies" (further – the Law), Rules of forming by the regulatory state agencies of system of assessment and risk management approved by the order of the acting minister of national economy of the Republic of Kazakhstan of June 22, 2022 No. 48 (it is registered in the Register of state registration of regulatory legal acts for No. 28577) and the Forms of checking leaf 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 these Criteria the following concepts are used:

1) the subject of control – individual entrepreneurs and legal entities, including the branches and representations of legal entities which are subjects of natural monopoly and (or) the socially significant markets;

2) point – quantitative measure of calculation of risk;

3) normalization of data – the statistical procedure providing reduction of the values measured in various scales to conditionally general scale;

4) insignificant violations – inadequate placement, the publication, bringing to data and the consumer notification and provision by subjects of natural monopolies and the socially significant markets of information, report, notifications in authorized body; not the conclusion according to standard agreements, contracts with consumers; property acquisition not at the biddings; collection of payment for provision of information on free capacities; non-execution of the tariff estimate and investing program; availability of one confirmed claim or address on non-compliance with requirements of the legislation of the Republic of Kazakhstan by subjects in the field of the socially significant markets;

5) considerable violations – availability of one confirmed claim or address on non-compliance with requirements of the legislation of the Republic of Kazakhstan about natural monopolies, non-execution or improper execution by subjects of natural monopolies and the socially significant markets of the obligations, restrictions and requirements regulated by the legislation of the Republic of Kazakhstan on natural monopolies and in the field of the socially significant markets, except for the obligations, restrictions and requirements providing insignificant and gross violations; not observance of requirements for the address with the statement to authorized body for approval of rate, and also about inclusion in the State register of subjects of natural monopolies, about exception of it;

6) gross violations – the unreasonable income (revenue) gained by subjects of natural monopolies and the socially significant markets as a result of violation of the law of the Republic of Kazakhstan; availability of two or more confirmed claims, or addresses on non-compliance with requirements of the legislation of the Republic of Kazakhstan on natural monopolies and the socially significant markets;

7) risk in the sphere of provision of services (goods, works) referred to natural monopolies and the socially significant markets – probability of damnification to legitimate interests of physical persons and legal entities;

8) 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;

9) 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;

10) 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 for the purpose of minimum possible extent of restriction of freedom of enterprise, providing at the same time admissible risk level in the corresponding fields of activity, and also directed to change of risk level for specific subject (object) of control and (or) release of such subject (object) of control from preventive control with visit of subject (object) of control;

11) the checking sheet – the list of the mandatory requirements imposed to activities of subjects (objects) 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;

12) authorized body – the state body performing management in the respective spheres of natural monopolies;

13) sample (selection) – the list of the estimated subjects (objects) carried to uniform group of subjects (objects) of control in the specific sphere of the state control according to Item 2 of article 143 of the Code.

3. For fields of activity of subjects (objects) of control carried to high and average risk degree are carried out preventive control with visit of subject (object) of control, preventive control without visit of subject (object) of control and unscheduled inspection.

For fields of activity of subjects (objects) of control carried to low risk degree are carried out preventive control without visit of subject (object) of control and unscheduled inspection.

4. 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.

Chapter 2. Objective criteria

5. For risk management objectives when implementing preventive control with visit of subject (object) of control, 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 which are performed step by step (the Multicriteria analysis of decisions).

At the first stage state bodies by objective criteria are carried by subjects (objects) of control to one of the following risk degrees:

1) high risk;

2) average risk;

3) low risk.

For fields of activity of subjects (objects) of control carried to high and average risk degree by objective criteria are carried out preventive control with visit of subject (object) of control, preventive control without visit of subject (object) of control and unscheduled inspection.

For fields of activity of subjects (objects) of control carried to low risk degree by objective criteria are carried out preventive control without visit of subject (object) of control and unscheduled inspection.

At the second stage state bodies by subjective criteria are carried by subjects (objects) of control to one of the following risk degrees:

1) high risk;

2) average risk;

3) low risk.

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

1) to high risk – in case of exponent of risk from 71 to 100 inclusive;

2) to average risk degree – in case of exponent of risk from 31 to 70 inclusive;

3) to low risk degree – in case of exponent of risk from 0 to 30 inclusive.

6. In spheres of natural monopolies the subjects of natural monopolies included in the State register of subjects of natural monopolies, which are performing regulated services referred to the sphere of natural monopolies more than one calendar year and gained unreasonable income (revenue), and also subjects of the socially significant market belong to high risk.

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