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

of November 23, 2018 No. 816, on November 26, 2018 No. 82

About modification and amendments in the joint order of the Minister of investments and development of the Republic of Kazakhstan of December 23, 2015 No. 1230 and the acting minister of national economy of the Republic of Kazakhstan of December 30, 2015 No. 837 "About approval of criteria for evaluation of risk degree and checking sheets in the field of energy saving and increase in energy efficiency"

WE ORDER:

1. Bring in the joint order of the Minister of investments and development of the Republic of Kazakhstan of December 23, 2015 No. 1230 and the acting minister of national economy of the Republic of Kazakhstan of December 30, 2015 No. 837 "About approval of criteria for evaluation of risk degree and checking sheets in the field of energy saving and increase in energy efficiency" (it is registered in the Register of state registration of regulatory legal acts for No. 12793) the following changes and amendments:

state Item 1 in the following edition:

"1. Approve:

1) criteria for evaluation of risk degree in the field of energy saving and increase in energy efficiency according to appendix 1 to this joint order;

2) checking leaf in the field of energy saving and increase in energy efficiency concerning subjects of the State energy register according to appendix 2 to this joint order;

3) checking leaf in the field of energy saving and increase in energy efficiency concerning power auditing organizations according to appendix 3 to this joint order;

4) checking leaf in the field of energy saving and increase in energy efficiency concerning training centers according to appendix 4 to this joint order;

5) checking leaf in the field of energy saving and increase in energy efficiency concerning subjects of ferrous metallurgy on observance of standard cost of electrical energy, fuel and heat energy according to appendix 5 to this joint order;

6) checking leaf in the field of energy saving and increase in energy efficiency concerning subjects of non-ferrous metallurgy on observance of standard cost of electrical energy according to appendix 6 to this joint order;

7) checking leaf in the field of energy saving and increase in energy efficiency concerning subjects of fuel industry on observance of standard cost of electrical energy according to appendix 7 to this joint order;

8) checking leaf in the field of energy saving and increase in energy efficiency concerning subjects of the chemical industry on observance of standard cost of electrical energy according to appendix 8 to this joint order;

9) checking leaf in the field of energy saving and increase in energy efficiency concerning subjects of petrochemical and oil-processing industry on observance of standard cost of fuel and heat energy according to appendix 9 to this joint order;

10) checking leaf in the field of energy saving and increase in energy efficiency concerning subjects of the industry of construction materials on observance of standard cost of electrical energy according to appendix 10 to this joint order;

11) checking leaf in the field of energy saving and increase in energy efficiency concerning power plants on observance of standard cost of electrical energy for own needs of power plants in case of maximum demand, in % of total loading according to appendix 11 to this joint order;

12) checking leaf in the field of energy saving and increase in energy efficiency concerning condensation thermal power plants for own needs of power units on observance of expense of the electric power according to appendix 12 to this joint order;

13) checking leaf in the field of energy saving and increase in energy efficiency concerning substations for own needs on observance of standard cost of the electric power according to appendix 13 to this joint order";

to be reworded as follows appendices 1 and 2 to the specified joint order, according to appendices 1 and 2 to this joint order.

add with appendices 3, of 4, of 5, of 6, of 7, of 8, of 9, of 10, of 11, 12 and 13 according to appendices 3, of 4, of 5, of 6, of 7, of 8, of 9, of 10, of 11, 12 and 13 to this joint order.

2. To provide to committee of industrial development and industrial safety of the Ministry for Investments and Development of the Republic of Kazakhstan in the procedure established by the legislation:

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

2) within ten calendar days from the date of state registration of this joint order the direction it in the Kazakh and Russian languages in the Republican state company on the right of economic maintaining "The republican center of legal information" for official publication and inclusion in 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;

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 actions, according to subitems 1), 2) and 3) this Item.

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

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

Minister of investments and development of the Republic of Kazakhstan "__ " __________ 2018

_______________ Zh. Kasymbek

Minister of national economy of the Republic of Kazakhstan "__ " __________ 2018

_______________ T. Suleymenov

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 Joint Order of the Minister of investments and development of the Republic of Kazakhstan and the Minister of national economy of the Republic of Kazakhstan of November 23, 2018 No. 816, on November 26, 2018 No. 82

Appendix 1

to the Joint Order of the Minister of investments and development of the Republic of Kazakhstan and the acting minister of national economy of the Republic of Kazakhstan of December 23, 2015 No. 1230, on December 30, 2015 No. 837

Criteria for evaluation of risk degree in the field of energy saving and increase in energy efficiency

Chapter 1. General provisions

1. These Criteria for evaluation of risk degree in the field of energy saving and increase in energy efficiency (further - Criteria) are developed according to Item 3 of article 141 of the Entrepreneurial code of the Republic of Kazakhstan of October 29, 2015, 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) and the order of the Minister of investments and development of the Republic of Kazakhstan No. 394 "About approval of standard rates of energy consumption" of March 31, 2015 (it is registered in the Register of state registration of regulatory legal acts for No. 11319 of June 11, 2015).

2. In these Criteria the following concepts are used:

1) insignificant violations - assumption of purchases and use of electric glow lamps capacity of 25 W and above which can be used in chains of alternating current for the purpose of lighting, use assumption for the purpose of commercial accounting of counters of electrical energy with 2,5 accuracy class;

2) considerable violations - non-compliance with standard rates of energy consumption; availability of one confirmed claim or address on non-compliance with requirements of the legislation of the Republic of Kazakhstan on energy saving and increase in energy efficiency; non-presentation following the results of half-year power auditor to the organizations and training centers no later than July 15 and on January 15 in authorized body of the copy of all conclusions issued for the accounting period on energy audit and (or) the copy of all documents on passing of retraining and (or) advanced training of the personnel performing activities in the field of energy saving and increase in energy efficiency issued for the accounting period; untimely execution of the instruction of authorized body on elimination of the allowed violations; non-compliance with rules of carrying out energy audit and activities of training centers; non-compliance with requirements of the legislation of the Republic of Kazakhstan on energy saving and increase in energy efficiency regarding obligation of power auditing organizations and training centers on availability: in staff of qualified personnel, on the property right or on other legal cause of information and measuring complexes and technical means, the approved training programs and plans, on the property right or on other legal cause of educational office and computers;

3) gross violations - violations on non-compliance with normative values of power factor in power networks; lack of the conclusion by results of carrying out energy audit; violation of the requirement about obligatory annual decrease in amount of consumption of energy resources and water per unit of products, the area of buildings, structures and constructions up to the sizes determined following the results of energy audit within five years after passing of energy audit; availability of two or more confirmed claims or addresses on non-compliance with requirements of the legislation of the Republic of Kazakhstan on energy saving and increase in energy efficiency; non-presentation by legal entities of the notification in authorized body before, or the termination of implementation of activities in the field of energy saving and increase in energy efficiency according to the procedure established by the Law of the Republic of Kazakhstan of May 16, 2014 "About permissions and notifications"; non-admission of sale and use of the technologies and materials which are not conforming to the requirements established by the legislation of the Republic of Kazakhstan on energy saving and increase in energy efficiency in under construction (reconstructed, capitally repaired) buildings, structures, constructions; not provision of information entered in the State energy register;

4) risk - probability of damnification as a result of activities of the subject of control 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 effects;

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

6) 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;

7) 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;

8) subjects of control in the field of energy saving and increase in energy efficiency (further - subjects of control) - subjects of the State energy register, individual entrepreneurs and legal entities, public institutions and subjects of the quasi-public sector, power auditing organizations and training centers, officials.

3. Criteria for evaluation of risk degree are created by means of objective and subjective criteria.

Chapter 2. Objective criteria

4. In the field of energy saving and increase in energy efficiency subjects of the State energy register treat high risk.

5. Individual entrepreneurs and legal entities, public institutions and subjects of the quasi-public sector, power auditing organizations and training centers, officials treat the subjects of control which are not carried to high risk.

Are applied carrying out preventive control with visit of subjects (objects) of control to subjects (objects) of control carried to high risk.

Unscheduled inspections are applied to the subjects (objects) of control carried and not carried to high risk.

Chapter 3. Subjective criteria

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

1) forming of the database and information collection;

2) information analysis and risks assessment.

For assessment of degree of risks the following sources of information are used:

1) results of the previous checks and preventive control with visit of subjects (objects) of control. At the same time, severity of violations (rough, considerable, insignificant) is established in case of non-compliance with the requirements of the legislation reflected in checking sheets;

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) results of audit (examination) of independent organizations (energy audit, power examination, substantive audit in case of liquidation, examination of industrial safety and other types of audit (examinations);

4) availability and the number of the confirmed claims and addresses.

Based on the sources of information determined in Item of 6 these Criteria subjective criteria for evaluation of risk degree according to appendix to these Criteria are determined.

7. In case of identification of one gross violation, to the subject the exponent of risk 100 is equated and concerning it preventive control with visit of subject (object) of control is carried out.

If gross violations are not revealed, for measure definition of risk degree the total indicator on violations of considerable and insignificant degree is calculated.

In case of measure definition of considerable violations the coefficient of 0,7 is applied and this indicator is calculated by the following formula:

Рз = (P2 x 100/P1) x 0,7,

where:

Рз - indicator of considerable violations;

P1 - the required number of considerable violations;

P2 - the number of the revealed considerable violations;

In case of measure definition of insignificant violations the coefficient of 0,3 is applied and this indicator is calculated by the following formula:

Рн = (P2 x 100/P1) x 0,3,

where:

Рн - indicator of insignificant violations;

P1 - the required number of insignificant violations;

P2 - the number of the revealed insignificant violations;

The general exponent of risk (R) is calculated on scale from 0 to 100 and is determined by summing of indicators of considerable and insignificant violations by the following formula:

Р = Рз + Rn,

where:

Р - general exponent of risk;

Рз - indicator of considerable violations;

Рн - indicator of insignificant violations.

On risk exponents the checked subject (object) belongs:

1) to high risk - in case of exponent of risk from 61 to 100 inclusive and concerning it preventive control with visit of subject (object) of control is carried out;

2) to not carried to high risk - in case of exponent of risk from 0 to 60 and concerning it preventive control with visit of subject (object) of control is not carried out.

Chapter 4. Final provisions

8. Frequency rate of carrying out preventive control with visit of subject (object) of control concerning the subjects carried to high risk makes not more often than once a year.

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

9. Preventive control with visit of subject (object) of control is carried out based on the semi-annual lists of preventive control with visit of subject (object) of control created according to Item 3 of article 141 of the Entrepreneurial code of the Republic of Kazakhstan of October 29, 2015.

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

Appendix

to Criteria for evaluation of risk degree in the field of energy saving and increase in energy efficiency

Subjective Criteria for evaluation of risk degree of subjects of control in the field of energy saving and increase in energy efficiency

№ of payment order	Criteria	Extent of violation
1. Results of the previous checks and preventive control with visit of subjects (objects) of control (severity is established in case of non-compliance with the specified requirement)
1.	The power factor in power networks in point of joining of the consumer to power network, in case of class of tension of power network of 110-220 kV shall be more or 0,89 is equal	rough
2.	The power factor in power networks in point of joining of the consumer to power network, in case of class of tension of power network of 6-35 kV shall be more or 0,92 is equal	rough
3.	The power factor in power networks in point of joining of the consumer to power network, in case of class of tension of power network 0,4 of kV shall be more or 0,93 is equal	rough
4.	Non-admission of use of electric glow lamps capacity of 25 W and above which can be used in chains of alternating current for the purpose of lighting	insignificant
5.	Non-admission of purchases for public institutions and subjects of the quasi-public sector of electric glow lamps capacity of 25 W and above which can be used in chains of alternating current for the purpose of lighting	insignificant
6.	Non-admission of use for the purpose of commercial accounting of counters of electrical energy with 2,5 accuracy class	insignificant
7.	Non-admission of sale and use of the technologies and materials which are not conforming to the requirements established by the legislation of the Republic of Kazakhstan on energy saving and increase in energy efficiency in under construction (reconstructed, capitally repaired) buildings, structures, constructions	considerable
8.	Ensuring annual decrease in amount of consumption of energy resources and water per unit of products, the area of buildings, structures and constructions up to the sizes determined following the results of energy audit within five years after passing of energy audit (except for public institutions)	rough
9.	Non-admission of acceptance for operation of the new objects consuming energy water resources which are not equipped with the corresponding metering devices of energy resources and waters and the automated systems of regulation of heatconsumption	considerable
10.	Provision of information in the State energy register, namely: the name, the address and core activities of subjects of the State energy register, amounts of production, production, consumption, transfer and losses of energy resources and water in natural and monetary value in one calendar year, the actions plan on energy saving and increase in energy efficiency developed by the subject of the State energy register following the results of energy audit, and also amendment and (or) the changes made to this actions plan on energy saving and increase in energy efficiency, results of execution of the actions plan on energy saving and increase in energy efficiency developed by the subject of the State energy register following the results of energy audit for the accounting period, the actual energy consumption per unit of products and (or) expense of energy resources on heating per acre of buildings, structures, constructions, the copy of the conclusion on energy audit information on equipment metering devices of energy resources	rough
11.	The direction legal entities of the notification in authorized body before or the terminations of implementation of activities in the field of energy saving and increase in energy efficiency	rough
12.	Availability at the legal entity who notified authorized body on the beginning of implementation of activities in the field of energy saving and increase in energy efficiency on carrying out energy audit in the state at least four power accountants certified by authorized body	considerable
13.	Availability at the legal entity of the implementation of activities which notified authorized body on the beginning in the field of energy saving and increase in energy efficiency on carrying out energy audit, on the property right or on other legal cause, the information and measuring complexes and technical means confided in the territory of the Republic of Kazakhstan according to the list of information and measuring complexes and technical means	considerable
14.	Actions plan availability on energy saving and increase in energy efficiency of object taking into account decrease in consumption of energy resources per unit of products and (or) decrease in energy resources on heating per acre buildings, structures, constructions and with indication of terms of their accomplishment in recommendations	considerable
15.	Carrying out tool inspection of the building, structure, construction and its engineering systems with use of devices of measurement	considerable
16.	Availability of instrument measurements of parameters of the work of the equipment according to adopted agenda of carrying out energy audit coordinated with the addressed person (customer) of energy audit	considerable
17.	Availability of the data which are taken off from regular devices of the company (attorneys)	considerable
18.	Filling of class of energy efficiency for each public and (or) residential building	considerable
19.	Conclusion availability by results of carrying out energy audit	rough
20.	Availability in the conclusion on energy saving and increase in energy efficiency of reporting information	considerable
21.	Availability in the conclusion on energy saving and increase in energy efficiency of the final part including recommendations and conclusions, possible energy saving potential of object in natural and percentage expression	considerable
22.	The direction following the results of half-year power auditing organizations no later than July 15 and on January 15 in authorized body of the copy of all conclusions issued for the accounting period on energy audit	considerable
23.	Timely execution of the instruction of authorized body on elimination of the allowed violations when carrying out energy audit	considerable
24.	Availability of the agreement of training, the concluded training center with the interested physical persons and legal entities	considerable
25.	Availability at the legal entity who notified authorized body on the beginning implementation of activities in the field of energy saving and increase in energy efficiency on carrying out retraining and (or) advanced training of the personnel performing activities in the field of energy saving and increase in energy efficiency, the approved training programs and plans according to the approved training programs and plans in coordination with authorized body in the field of education	considerable
26.	Availability at the legal entity who notified authorized body on the beginning of implementation of activities in the field of energy saving and increase in energy efficiency on carrying out retraining and (or) advanced training of the personnel performing activities in the field of energy saving and increase in energy efficiency in the state at least two teachers with the higher education including at least one teacher with academic degree not below the candidate (master) of technical science	considerable
27.	Availability at the legal entity who notified authorized body on the beginning of implementation of activities in the field of energy saving and increase in energy efficiency on carrying out retraining and (or) advanced training of the personnel performing activities in the field of energy saving and increase in energy efficiency on the property right or on other legal cause of educational office, computers, information and measuring complexes and technical means according to the list of the information and measuring complexes and technical means approved by authorized body	considerable
28.	The direction following the results of half-year training centers no later than July 15 and on January 15 in authorized body of all documents on passing of retraining and (or) advanced training of the personnel performing activities in the field of energy saving and increase in energy efficiency issued for the accounting period	considerable
29.	Approved as the head of training center quantitative and members examination the commissions (at least three people)	considerable
30.	Availability approved by examination committee questions to testing in the corresponding directions at least from four options where each option consists of at least fifty questions	considerable
31.	Timely execution of the instruction of authorized body on elimination of the allowed violations when carrying out retraining and (or) advanced training of the personnel performing activities in the field of energy saving and increase in energy efficiency	considerable
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
32.	Non-presentation of information in the State energy register, namely: the name, the address and core activities of subjects of the State energy register, amounts of production, production, consumption, transfer and losses of energy resources and water in natural and monetary value in one calendar year, the actions plan on energy saving and increase in energy efficiency developed by the subject of the State energy register following the results of energy audit, and also amendment and (or) the changes made to this actions plan on energy saving and increase in energy efficiency, results of execution of the actions plan on energy saving and increase in energy efficiency developed by the subject of the State energy register following the results of energy audit for the accounting period, the actual energy consumption per unit of products and (or) expense of energy resources on heating per acre of buildings, structures, constructions, the copy of the conclusion on energy audit information on equipment metering devices of energy resources	rough
33.	Lack of the notification legal entities in authorized body before or the terminations of implementation of activities in the field of energy saving and increase in energy efficiency	rough
3. Results of audit (examination) of independent organizations (energy audit, power examination, substantive audit in case of liquidation, examination of industrial safety and other types of audit (examinations)
3.1. Requirements for observance of standard cost of electrical energy, heat energy and fuel for industry ferrous and non-ferrous metallurgy
34.	Specific expense of the electric power on production of ton of coke more than 17 Kvt*chas	considerable
35.	Specific expense of the electric power on production of ton of cast iron more than 14 Kvt*chas	considerable
36.	Specific expense of the electric power on production of ton of electric steel of ordinary brands more than 475 Kvt*chas	considerable
37.	Specific expense of the electric power on production of ton of the alloyed electric steel more than 750 Kvt*chas	considerable
38.	Specific expense of the electric power on production of ton of martin steel more than 20 Kvt*chas	considerable
39.	Specific expense of the electric power on oxygen konventornoye production of ton became more than 30 Kvt*chas	considerable
40.	Specific expense of the electric power on domain production of ton of cast iron more than 23 Kvt*chas	considerable
41.	Specific expense of the electric power on konventorny production of ton became more than 30 Kvt*chas	considerable
42.	Specific expense of the electric power on pouring of ton became on slyabovy machines of continuous casting of procurements (further – MNLZ) more than 60 Kvt*chas	considerable
43.	Specific expense of the electric power on pouring of ton became on high-quality MNLZ more than 60 Kvt*chas	considerable
44.	Specific expense of the electric power on oxygen production on martin workshops of the separate plants of m3 of oxygen more 2,7 Kvt*chas	considerable
45.	Specific expense of the electric power on oxygen production on separate oxygen plants of m3 of oxygen more 2,7 Kvt*chas	considerable
46.	Specific expense of the electric power on production of ton became in arc electric furnaces on electric furnaces reservoir of 0,5 more than 1135 Kvt*chas (it is not applicable for process of receipt of electric steel by melting of scrap)	considerable
47.	Specific expense of the electric power on production of ton became in arc electric furnaces on electric furnaces reservoir of 1,5 more than 860 Kvt*chas (it is not applicable for process of receipt of electric steel by melting of scrap)	considerable
48.	Specific expense of the electric power on production of ton became in arc electric furnaces on electric furnaces reservoir of 3,0 more than 700 Kvt*chas (it is not applicable for process of receipt of electric steel by melting of scrap)	considerable
49.	Specific expense of the electric power on production of ton of tool steel more than 775 Kvt*chas	considerable
50.	Specific expense of the electric power on production of ton of carbonaceous steel more than 620 Kvt*chas	considerable
51.	Specific expense of the electric power on production of ton of hire in bloomings with heating wells more than 25 Kvt*chas	considerable
52.	Specific expense of the electric power in the main drive of ton of hire more than 20 Kvt*chas	considerable
53.	Specific expense of the electric power on hire of mechanisms and cranes of ton of hire more than 5 Kvt*chas	considerable
54.	Specific expense of the electric power on production of ton of hire in bloomings of 1100 more than 15 Kvt*chas	considerable
55.	Specific expense of the electric power on production of ton of hire in slabbings more than 25 Kvt*chas	considerable
56.	Specific expense of the electric power on production of ton of hire on continuous camps of cold rolling more than 400 Kvt*chas	considerable

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