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 29, 2018 No. 833, on November 29, 2018 No. 90

About modification and amendments in the joint order of the acting minister on investments and development of the Republic of Kazakhstan of December 14, 2015 No. 1199 and the Minister of national economy of the Republic of Kazakhstan of December 29, 2015 No. 826 "About approval of criteria for evaluation of risk degree and checking sheets in the field of technical regulation, metrology and behind compliance with law of the Republic of Kazakhstan about accreditation in the field of assessment of conformity"

WE ORDER:

1. Bring in the joint order of the acting minister on investments and development of the Republic of Kazakhstan of December 14, 2015 No. 1199 and the Minister of national economy of the Republic of Kazakhstan of December 29, 2015 No. 826 "About approval of criteria for evaluation of risk degree and checking sheets in the field of technical regulation, metrology and behind compliance with law of the Republic of Kazakhstan about accreditation in the field of assessment of conformity" (it is registered in the Register of state registration of regulatory legal acts for No. 12735) the following changes and amendments:

state Item 1 in the following edition:

"1. Approve:

1) criteria for evaluation of risk degree for selection of subjects (objects) of control in the field of technical regulation, metrology and behind compliance with law of the Republic of Kazakhstan about accreditation in the field of assessment of conformity, according to appendix 1 to this joint order;

2) checking sheets in the field of the state control in the field of technical regulation:

concerning the manufacturer of the state symbols of the Republic of Kazakhstan according to appendix 2 to this joint order;

concerning body for confirmation of conformity, laboratory (centers) and on which applicant action of the technical regulation according to appendix 3 to this joint order extends;

concerning the body (organization) authorized (authorized) on issue of the certificate of origin and certificate of origin for the internal address, the appraisal certificate about goods origin and producers according to appendix 4 to this joint order;

3) checking sheets in the field of the state control in the field of metrology according to appendix 5 to this joint order;

4) checking sheets in the field of the state control of compliance with law of the Republic of Kazakhstan about accreditation in the field of assessment of conformity:

concerning accreditation body according to appendix 6 to this joint order;

concerning calibrating laboratory (center) according to appendix 7 to this joint order;

concerning the legal entities performing metrological certification of techniques of accomplishment of measurements according to appendix 8 to this joint order;

concerning testing laboratory (center) according to appendix 9 to this joint order;

concerning body for confirmation of conformity and test laboratory (center) according to appendix 10 to this joint order.";

1, of 2, of 3, 4 to the specified joint order to state appendices in edition according to appendices 1, of 2, of 3, 4 to this joint order;

add with appendices 5, of 6, of 7, of 8, 9 and 10 according to appendices 5, of 6, of 7, of 8, 9 and 10 to this joint order.

2. To provide to committee of technical regulation and metrology 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 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

_______________ K. Kasymbek

Minister of national economy of the Republic of Kazakhstan

_______________ T. Suleymenov

Committee on legal statistics and special accounting of the Prosecutor General's Office of the Republic of Kazakhstan "__ " ___________ 2018

 

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 29, 2018 No. 833, on November 29, 2018 No. 90

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. 1199, on December 29, 2015 No. 826

Criteria for evaluation of risk degree for selection of subjects (objects) of control in the field of technical regulation, metrology and behind compliance with law of the Republic of Kazakhstan about accreditation in the field of assessment of conformity

Chapter 1. General provisions

1. These Criteria for evaluation of risk degree in the field of technical regulation, metrology and behind compliance with law of the Republic of Kazakhstan about accreditation in the field of assessment of conformity (further - Criteria) are developed for selection of subjects (objects) of control according to Item 3 of article 141 of the Entrepreneurial code of the Republic of Kazakhstan of October 29, 2015 (further - the Code) and 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 of regulatory legal acts for No. 17371).

2. In these Criteria the following concepts are used:

1) risk in the field of technical regulation, metrology and accreditation in the field of assessment of conformity - 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;

2) subjects (objects) of control in the field of metrology - the physical persons or legal entities performing the activities connected with ensuring unity of measurements in the territory of the Republic of Kazakhstan;

3) subjects (objects) of control of compliance with law of the Republic of Kazakhstan about accreditation in the field of assessment of conformity are subjects (objects) the performing activities for accreditation, metrological certification of techniques of accomplishment of measurements, checking of measuring instruments, testing, work on confirmation of conformity of products, processes, services;

4) subjects (objects) of control in the field of technical regulation - body (organizations), the representative (representatives) on issue of the certificate of origin and certificate of origin for the internal address, the appraisal certificate about goods origin and producers, manufacturers of National Flag and State Emblem of the Republic of Kazakhstan, bodies for confirmation of conformity, laboratory and applicants to which extend action of the technical regulation;

5) 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;

6) 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;

3. Criteria for evaluation of risk degree in the field of technical regulation, metrology and accreditation in the field of assessment of conformity for preventive control with visit of subject (object) of control are created by means of objective and subjective criteria.

Chapter 2. Objective criteria

4. In the field of technical regulation subjects (objects) of control belong to high risk by objective criteria:

1) on production of the state symbols of the Republic of Kazakhstan;

2) bodies for confirmation of conformity, laboratories (centers) and applicants to whom action of the technical regulation extends.

5. Subjects (objects) of control belong to the subjects which are not carried to high risk by objective criteria in the field of technical regulation:

1) body (organizations), the representative (representatives) on issue of the certificate of origin and certificate of origin for the internal address, the appraisal certificate about goods origin and producers.

6. In the field of metrology subjects (objects) of control the performing types of activity connected with measurements which results are used in case of belong to high risk by objective criteria:

1) works on ensuring protection of life and health of citizens;

2) implementation of activities in the field of environmental protection, geology and hydrometeorology;

3) implementation of activities for assessment of conformity according to the legislation of the Republic of Kazakhstan in the field of technical regulation;

4) the state accounting transactions, trade and commercial transactions between the buyer (consumer) and sellers (the supplier, the producer, the contractor), including in spheres household and utilities and communication services;

5) works on safety of work and traffic circulation;

6) arms production, military equipment;

7) testing, metrological certification, checking, calibration of measuring instruments;

8) production, production, conversion, transportation, storage and consumption of all types of energy resources;

9) the works performed on the order of state bodies, court and law enforcement agencies.

7. Subjects (objects) the performing types of activity connected with measurements which results are used in case of belong to the subjects which are not carried to high risk by objective criteria in the field of metrology:

1) carrying out scientific research;

2) registration of national and international sports records.

8. Behind compliance with law of the Republic of Kazakhstan about accreditation in the field of assessment of conformity subjects (objects) of control belong to high risk by objective criteria:

1) accreditation body;

2) calibrating laboratory (center);

3) accreditation, confirmation of conformity experts-auditors, technical experts in the field of ensuring unity of measurements, technical experts;

4) testing laboratory (center);

5) bodies for confirmation of conformity;

6) test laboratory (center).

9. Behind compliance with law of the Republic of Kazakhstan about accreditation in the field of assessment of conformity the legal entities performing metrological certification of techniques of accomplishment of measurements treat the subjects which are not carried to high risk by objective criteria.

10. Subjective criteria for the purpose of carrying out preventive control with visit of subject (object) of control are applied to subjects (objects) of control carried by objective criteria to high risk.

Concerning the subjects of control which are not carried to high risk unscheduled inspections are carried out.

Chapter 3. Subjective criteria

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

1) forming of the database and information collection;

2) information analysis and risks assessment.

12. Based on the available sources of information the following subjective criteria are created:

by results of the monitoring of the reporting and 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 on which risk exponents according to appendix 1 to these criteria are appropriated;

by results of the previous checks and preventive control with visit of subjects (objects) of control on which risk exponents according to appendix 2 to these criteria are appropriated;

according to the confirmed claims and addresses according to which risk exponents according to appendix 3 to these criteria are appropriated;

by results of audit (examination) of independent organizations on which risk exponents according to appendix 4 to these criteria are appropriated;

on analysis results of the data provided by authorized bodies and the organizations on which risk exponents according to appendix 5 to these criteria are appropriated.

13. Criteria for evaluation of risk degree are divided into 3 severity of requirements: rough, considerable, insignificant.

14. In case of identification of one gross violation, to the subject of control 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:

SRZ = (SP2 x 100/SP1) x 0,7

where:

SRZ - indicator of considerable violations;

SP1 - the required number of considerable violations;

SP2 - 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:

SRN = (SP2 x 100/SP1) x 0,3

where:

SRN - indicator of insignificant violations;

SP1 - the required number of insignificant violations;

SP2 - the number of the revealed insignificant violations;

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

SP = S of Rz + SRN

where:

SP - general exponent of risk;

SRZ - indicator of considerable violations;

SRN - indicator of insignificant violations.

15. 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 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 inclusive and concerning it preventive control with visit of subject (object) of control is not carried out.

Chapter 4. Final provisions

16. 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 concerning the subjects carried to high risk makes once a year.

17. 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.

18. 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.

Appendix 1

to Criteria for evaluation of risk degree for selection of subjects (objects) of control in the field of technical regulation, metrology and behind compliance with law of the Republic of Kazakhstan about accreditation in the field of assessment of conformity

Subjective criteria by results of the monitoring of the reporting and 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

№	Criteria	Extent of violation
In the field of technical regulation
1	Entering into the register of unfair suppliers because of production of National Flag and the State Emblem of the Republic of Kazakhstan with violations according to the Law of the Republic of Kazakhstan "About public procurements" of December 4, 2015 the licensee on production of National Flag and State Emblem of the Republic of Kazakhstan (in case of not deprivation of the license by court) by results of monitoring of the portal of public procurements	rough
2	Production of National Flag and State Emblem of the Republic of Kazakhstan without license by results of monitoring of the portal of public procurements	rough
3	Availability of data on lack of the contract with the industry organization on provision of regulating documents for standardization (ST of PK 989 and ST of RK 988)	rough
4	Lack of the certificate on checking or metrological certification of the used measuring instruments and the test equipment in case of production of National Flag and State Emblem of the Republic of Kazakhstan as a result of monitoring of the portal of public procurements and (or) the report of the industry organization	rough
5	Not observance of the requirement of completeness and correctness of instruction of the regulating documents for standardization provided for confirmation of conformity of the this products by results of monitoring of the report of the industry organization	rough
6	Not observance of the requirement of identification, sampling, their testing and choice of the scheme of certification on results of monitoring of the report of the industry organization	rough

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