JOINT ORDER OF THE MINISTER FOR CULTURE AND SPORTS OF THE REPUBLIC OF KAZAKHSTAN AND MINISTER OF NATIONAL ECONOMY OF THE REPUBLIC OF KAZAKHSTAN

of August 8, 2016 No. 227, on August 17, 2016 No. 373

About approval of criteria for evaluation of risk degree and checking sheets behind compliance with law of the Republic of Kazakhstan about gaming

According to Items 5 and 6 of Article 141, Item 1 of article 143 of the Entrepreneurial code of the Republic of Kazakhstan PRIKAZYVAYEM:

1. Approve:

1) criteria for evaluation of risk degree behind compliance with law of the Republic of Kazakhstan about gaming according to appendix 1 to this joint order;

2) checking leaf in the field of the state control of compliance with law of the Republic of Kazakhstan about gaming concerning the organizers of gaming performing activities of casino according to appendix 2 to this joint order;

3) checking leaf in the field of the state control of compliance with law of the Republic of Kazakhstan about gaming concerning the organizers of gaming performing activities of slot machine halls according to appendix 3 to this joint order;

4) checking leaf in the field of the state control of compliance with law of the Republic of Kazakhstan about gaming concerning the organizers of gaming performing activities of bookmaker offices according to appendix 4 to this joint order;

5) checking leaf in the field of the state control of compliance with law of the Republic of Kazakhstan about gaming concerning the organizers of gaming performing activities of totalizators according to appendix 5 to this joint order;

6) checking leaf in the field of the state control of compliance with law of the Republic of Kazakhstan about gaming concerning organizers of gaming according to appendix 6 to this joint order.

2. To committee on cases of sport and physical culture of the Ministry of Culture and sport of the Republic of Kazakhstan (Kanagatov I. B.) in the procedure established by the legislation to provide:

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 the direction of its copies in graphical format in full accordance with the original for official publication in information system of law of Ad_let;

3) within ten calendar days from the date of state registration of this order the direction in the Republican state company on the right of economic maintaining "The republican center of legal information of the Ministry of Justice of the Republic of Kazakhstan" of copies of this order in paper and electronic type, persons assured by the digital signature, the representative to sign this order, for official publication, inclusion in Reference control bank of regulatory legal acts of the Republic of Kazakhstan, the State register of regulatory legal acts of the Republic of Kazakhstan;

4) placement of this order within ten calendar days after official publication on Internet resource of the Ministry of Culture and sport of the Republic of Kazakhstan;

5) within ten working days after execution of the actions provided by this Item, submission to Department of legal service of the Ministry of Culture and sport of the Republic of Kazakhstan of data on execution of actions.

3. Declare invalid the joint order of the acting minister of culture and sport of the Republic of Kazakhstan of June 25, 2015 No. 223 and the acting minister of national economy of the Republic of Kazakhstan of June 30, 2015 No. 486 "About approval of criteria for evaluation of risk behind compliance with law of the Republic of Kazakhstan about gaming and forms of checking sheets in the field of the state control of compliance with law of the Republic of Kazakhstan about gaming" (registered in the Register of state registration of regulatory legal acts for No. 11840, published in information system of law of Ad_let of August 28, 2015).

4. To impose control of execution of this joint order on the supervising vice-Minister for Culture and Sports of the Republic of Kazakhstan.

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

Minister for Culture and Sports of the Republic of Kazakhstan

____________ A. Mukhamediula

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 August 31, 2016

________________ S. Aytpayeva

Appendix 1

to the joint Order of the Minister for Culture and Sports of the Republic of Kazakhstan and the Minister of national economy of the Republic of Kazakhstan of August 8, 2016 No. 227, on August 17, 2016 No. 373

Criteria for evaluation of risk degree behind compliance with law of the Republic of Kazakhstan about gaming

Chapter 1. General provisions

1. These Criteria for evaluation of risk degree behind compliance with law of the Republic of Kazakhstan about gaming (further – Criteria) are developed according to Items 5 and 6 of Article 141, Item 1 of article 143 of the Entrepreneurial code of the Republic of Kazakhstan (further – the Code), and also with the order of the acting minister of national economy of the Republic of Kazakhstan of July 31, 2018 No. 3 "About approval of form of checking leaf" (it is registered in the Register of state registration of regulatory legal acts at No. 17371), the order of the acting minister of national economy of the Republic of Kazakhstan of June 22, 2022 No. 48 "About approval of Rules of forming by regulatory state agencies of system of assessment and risk management and about introduction of amendments to the order of the acting minister of national economy of the Republic of Kazakhstan of July 31, 2018 No. 3 "About approval of Rules of forming by state bodies of system of risks assessment and form of checking sheets" (it is registered in the Register of state registration regulatory legal acts at No. 28577) and are intended for selection of subjects of control for the purpose of carrying out preventive control with visit of the subject of control.

2. In these Criteria the following concepts are used:

1) objects of control – the property which is on the property right or other legal cause at the subject of control, subject to control;

2) subjects of control – the legal entities performing activities of casino, slot machine halls, bookmaker offices, totalizators behind which activities control is exercised;

2-1) point – quantitative measure of calculation of risk;

3) insignificant violations – violations of requirements of the legislation of the Republic of Kazakhstan on gaming which non-compliance does not involve threat to legitimate interests of physical persons and legal entities, the states;

4) considerable violations – violations of requirements of the legislation of the Republic of Kazakhstan on gaming which non-compliance does not involve essential threat to legitimate interests of physical persons and legal entities, the state;

4-1) normalization of data – the statistical procedure providing reduction of the values measured in different scales to conditionally general scale;

5) gross violations – violations of requirements of the legislation of the Republic of Kazakhstan on gaming which can lead to fundamental breaches of the rights, legitimate interests of physical persons and legal entities, the states;

6) risk – probability of damnification as a result of activities of the subject of control to legitimate interests of physical persons and legal entities, valuable interests of the state taking into account severity of its effects;

7) 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 of control to different risk degrees;

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 the field of gaming 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 of control on risk degrees for the subsequent implementation of preventive control with visit of the subject of control and (or) checks on compliance to qualification requirements 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 the specific subject of control and (or) release of such subject of control from preventive control with visit of the subject of control and (or) checks on compliance to qualification requirements;

11) the checking sheet – the list of requirements imposed to activities of subjects (objects) of control which non-compliance involves threat to legitimate interests of physical persons and legal entities, the states;

12) sample (selection) – the list of the estimated subjects (objects) carried to homogeneous 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. Frequency rate of carrying out preventive control 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, but is not more often than two times a year.

4. The basis for purpose of preventive control with visit of subject (object) of control is the semi-annual list of carrying out preventive control with visit of subject (object) of control approved by the first head of state body.

5. Lists of preventive control 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.

6. Criteria for preventive control with visit of subject (object) of control are created by means of objective and subjective criteria.

Chapter 2. Procedure for forming of system of assessment and risk management when conducting check on compliance to qualification requirements and preventive control of subjects (objects) of control

7. For risk management objectives when implementing check on compliance to qualification requirements and (or) preventive control with visit of subject (object) of control, criteria for evaluation of risk degree for conducting check on compliance to qualification requirements and preventive control of subjects (objects) of 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 subjects (objects) of control by objective criteria carry to one of the following risk degrees:

1) high risk;

2) average risk;

3) low risk.

Concerning subjects (objects) of control carried to high and average risk degree by objective criteria are carried out check on compliance to qualification requirements, preventive control with visit of subject (object) of control, preventive control without visit of subject (object) of control and unscheduled inspection.

Concerning subjects (objects) of control carried to low risk degree by objective criteria are carried out check on compliance to qualification requirements, preventive control without visit of subject (object) of control and unscheduled inspection.

At the second stage subjects (objects) of control by subjective criteria belong to one of the following risk degrees:

1) high risk;

2) average risk;

3) low risk.

8. Proceeding from priority of the applied sources of information and the importance of indicators of subjective criteria, according to risk exponent procedure of payments by the subjective criteria determined in Chapter 3 of these rules the risk exponent by subjective criteria on scale from 0 to 100 points is calculated.

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.

9. Criteria for evaluation of risk degree for conducting check on compliance to qualification requirements and preventive control of subjects (objects) of control are created by means of determination of objective and subjective criteria.

10. The system of assessment and risk management is conducted with use of the information systems carrying subjects (objects) of control to specific risk degrees and creating schedules or lists of holding control actions and also is based on the state statistics, results of departmental statistical observation, and also information tools.

In the absence of information system of assessment and risk management minimum admissible threshold of amount of subjects (objects) of control concerning which are performed preventive control with visit of subject (object) of control and (or) check on compliance to requirements shall not exceed five percent from total quantity of such subjects of control.

Paragraph 1. Objective criteria

11. In the field of gaming risks of probability of damnification to legitimate interests of physical persons and legal entities, valuable interests of the state belong to high risk.

By objective criteria the following subjects (objects) of control belong to high risk:

1) casino;

2) slot machine halls;

3) bookmaker offices.

By objective criteria totalizators belong to subjects (objects) of control of average risk degree.

Paragraph 2. Subjective criteria

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

1) forming of the database and information collection;

2) information analysis and risks assessment.

13. Forming of the database and information collection are necessary for identification of subjects (objects) of control violating the law of the Republic of Kazakhstan on gaming.

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