JOINT ORDER OF THE MINISTER OF JUSTICE OF THE REPUBLIC OF KAZAKHSTAN AND MINISTER OF NATIONAL ECONOMY OF THE REPUBLIC OF KAZAKHSTAN

of July 5, 2019 No. 350, on July 9, 2019 No. 61

About approval of criteria for evaluation of risk degree and checking leaf in the field of registration of the legal entities, branches and representations which are the commercial organizations

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

Approve:

1) criteria for evaluation of risk degree in the field of registration of the legal entities, branches and representations which are the commercial organizations according to appendix 1 to this joint order;

2) checking leaf in the field of registration of the legal entities, branches and representations which are the commercial organizations according to appendix 2 to this joint order.

2. To provide to department of registration service and organization of legal services of the Ministry of Justice of the Republic of Kazakhstan in the procedure established by the legislation:

1) state registration of this joint order;

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 "Institute of the legislation and legal information of the Republic of Kazakhstan" the Ministries of Justice of the Republic of Kazakhstan 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 official the Internet - resource of the Ministry of Justice of the Republic of Kazakhstan.

3. To impose control of execution of this joint order on the supervising deputy minister of justice of the Republic of Kazakhstan.

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

Minister of Justice of the Republic of Kazakhstan

M. Beketayev

Minister of national economy of the Republic of Kazakhstan

R. Dalenov

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

No. 350, No. 61 are approved on July 9, 2019 by the joint Order of the Minister of Justice of the Republic of Kazakhstan and the Minister of national economy of the Republic of Kazakhstan of July 5, 2019

Criteria for evaluation of risk degree in the field of registration of the legal entities, branches and representations which are the commercial organizations

Chapter 1. General provisions

1. These criteria for evaluation of risk degree in the field of registration of the legal entities, branches and representations which are the commercial organizations (further - Criteria) are developed according to Items 5 and 6 of article 141 of the Entrepreneurial code of the Republic of Kazakhstan, the Law of the Republic of Kazakhstan "About state registration of legal entities and accounting registration of branches and representations", with 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 No. 28577) and forms 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 No. 17371).

2. In these Criteria the following concepts are used:

1) point – quantitative measure of calculation of risk;

2) normalization the this-statistical procedure providing reduction of the values measured in different scales to conditionally general scale;

3) 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;

4) 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.

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) 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 (objects) of control to different risk degrees;

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

9) 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. The criteria for evaluation of risk degree and checking sheets applied to carrying out preventive control with visit of subject (object) of control affirm the joint act of regulatory state agencies, authorized body on entrepreneurship and are placed on the Internet - resources of regulatory state agencies according to Item 5 of article 141 of the Code.

Chapter 2. Procedure for forming of system of assessment and risk management when carrying out preventive control of subjects (objects) control

4. 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).

Concerning subjects (objects) of control carried to average risk degree by objective criteria preventive control with visit of subject (object) of control and unscheduled inspection is carried out.

5. Depending on possible risk and the importance of problem, singularity or systemacity of violation, the analysis of the decisions made earlier on each source of information requirements imposed to activities of subjects (objects) of control correspond to extent of violation – rough, considerable and insignificant.

Extent of violation (rough, considerable, insignificant) is appropriated according to the established determinations of gross, considerable, insignificant violations by subjective criteria.

6. 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.

Paragraph 1. Objective criteria

7. Determination of objective criteria is performed by means of risk identification.

8. By objective criteria subjects (objects) of control belong to average risk degree branches of Non-commercial joint-stock company "The Government for Citizens state corporation in the field of registration of the legal entities, branches and representations which are the commercial organizations.

Paragraph 2. Subjective criteria

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

1) forming of the database and information collection;

2) information analysis and risks assessment.

10. Forming of the database and information collection are necessary for identification of subjects (objects) of control violating the law of the Republic of Kazakhstan in the field of registration of the legal entities, branches and representations which are the commercial organizations.

11. For assessment of degree of risks by subjective criteria for carrying out preventive control with visit of subject (object) of control the following sources of information are used:

1) the results of monitoring of the reporting and data represented by the subject of control including by means of the information system "National Register of Business and Identification Numbers" (further - IS NR the BIN);

2) results of the previous checks and preventive control with visit of subjects (objects) of control.

12. Based on the available information sources, the authorized body in the field of registration of legal entities creates the data on subjective criteria which are subject to the analysis and assessment according to appendix 1 to these Criteria.

13. The analysis and assessment of subjective criteria allows to concentrate carrying out preventive control of subject (object) control concerning subject (object) of control with the greatest potential risk.

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 the term of limitation period according to the legislation of the Republic of Kazakhstan expired are not applied.

Concerning the subjects of control which eliminated in full the issued violations following the results of the carried-out previous preventive control with visit their inclusion when forming lists for the next period of the state control is not allowed.

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

Priority of the applied sources of information and the importance of indicators of subjective criteria are established according to the list of subjective criteria for determination of risk degree by subjective criteria concerning branches of Non-commercial joint-stock company "The Government for Citizens state corporation, according to appendix 1 to these Criteria.

Paragraph 3. Features of forming of system of assessment and risk management

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

16. Measure calculation of risk degree by subjective criteria, and also risk exponents according to which the subject of control treats high, average or low risk degrees are established in criteria for evaluation of risk degree according to the list of subjective criteria for determination of risk degree by subjective criteria according to Item of 14 these Criteria.

Chapter 3. Risk degree procedure of payments by subjective criteria

17. The following procedure of payments of exponent of risk is applied to reference of the subject of control to risk degree according to item 4 of these Criteria.

Authorized body in the area in the field of registration of the legal entities, branches and representations which are the commercial organizations

collects information and creates the database on subjective criteria of sources according to Items 11 or 12 of these Criteria, depending on carrying out preventive control with visit of subject (object) of control.

Measure calculation of risk degree by subjective criteria (R) is perfromed in the automated mode by summing of exponent of risk on violations by results of the previous checks and preventive control with visit of subjects (objects) of control (SP) and exponent of risk by the subjective criteria determined according to Item of 14 these Criteria (SC), with the subsequent normalization of values this in the range from 0 to 100 points.

Rprom = SP + SC, where

Rprom – intermediate exponent of risk by subjective criteria,

SP – risk exponent on violations,

SC – risk exponent by the subjective criteria determined according to Item of 15 these Criteria.

Calculation is made on each subject (object) of control of homogeneous group of subjects (objects) of control of each sphere of the state control. At the same time the list of the estimated subjects (objects) of control carried to homogeneous group of subjects (objects) of control of one sphere of the state control forms sample (selection) for the subsequent normalization of data.

18. According to the data obtained by results of the previous checks and preventive control with visit of subjects (objects) of control the risk exponent on violations estimated in points from 0 to 100 is created.

19. In case of identification of one gross violation on any of the sources of information specified in Item of 12 these Criteria, the subject of control the exponent of risk of 100 points is equated and concerning it preventive control with visit of subject (object) of control is carried out.

In case of not identification of gross violations the risk exponent on violations is calculated total indicator on violations of considerable and insignificant degree.

In case of measure definition of considerable violations 0,7 coefficient is applied.

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 0,3 coefficient is applied.

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

SP = SRZ + SRN, where:

SP – risk exponent on violations;

SRZ – indicator of considerable violations;

SRN – indicator of insignificant violations.

The received risk degree measure value on violations joins in measure calculation of risk degree by subjective criteria.

20. Measure calculation of risk degree by the subjective criteria determined according to Item of 14 these Criteria is made on scale from 0 to 100 points and performed on the following formula:

 

xi – indicator of subjective criterion,

wi – specific weight of indicator of subjective criterion of xi,

n – quantity of indicators.

The received risk degree measure value by the subjective criteria determined according to Item of 14 these Criteria joins in measure calculation of risk degree by subjective criteria.

21. The values calculated by subjects (objects) by indicator are normalized by R in the range from 0 to 100 points. Normalization of data is performed on each sample (selection) with use of the following formula:

 

R – risk exponent (final) by subjective criteria of separate subject (object) of control,

Rmax – the greatest possible value on risk degree scale by subjective criteria on subjects (objects) entering one sample (selection) (the upper bound of scale)

Rmin – minimum possible value on risk degree scale by subjective criteria on subjects (objects) entering one sample (selection) (the lower bound of scale)

Rprom – the intermediate exponent of risk by subjective criteria calculated according to Item of 18 these Criteria.

Chapter 4. Checking sheets

22. Checking sheets are constituted for homogeneous groups of subjects (objects) of control and include requirements according to Item 2 of article 132 of the Code and with observance of the conditions determined in Item 2 of article 143 of the Code.

23. Checking sheets are created in form according to appendix 2 to this joint order.

Appendix 1

to Criteria for evaluation of risk degree in the field of registration of legal entities, being the commercial organizations

Extents of violations of requirements of subjects (objects) of control in the field of registration of legal entities which are the commercial organizations

№	Criteria	Degree violations
1	Doubtful filling of data in the National register of business and identification numbers	Rough
2	Registration actions in the presence of court resolutions and resolutions (prohibitions, arrests) of legal executives and law enforcement agencies	Rough
3	Registration actions in case of violation of procedure for creation, re-registration and reorganization of the legal entity identified by legal acts of the Republic of Kazakhstan, discrepancy of constituent documents to the law of the Republic of Kazakhstan	Rough
4	Registration actions in case of non-presentation of the transfer act or separation balance sheet or lack in them of regulations on legal succession of the reorganized legal entity	Rough
5	Registration actions if the legal entity or the single founder (participant) of the legal entity is the idle legal entity	Rough
6	Registration actions if the physical person, is the single founder (the participant, the member) and (or) the head of the idle legal entities	Rough
7	Carrying out registration actions if the physical person which is the founder (the participant, the member) and (or) the head of the legal entity acknowledged incapacitated or is limited by capable	Rough
8	Registration actions if the physical person which is the founder (the participant, the member) and (or) the head of the legal entity is acknowledged unknown absent, is declared the dead, registered as the dead or his status is not determined	Rough
9	Registration actions if the physical person which is the founder (the participant, the member) and (or) the head of the legal entity has the outstanding or not removed criminal record for crimes under Articles 237, 238 Criminal Codes of Kazakhstan	Rough
10	Registration actions if in case of state registration the founder (physical person and (or) the legal entity), his founders, the head of the legal entity, the founder and (or) the head of the legal entity who is the founder (the participant, the member) of the legal entity are debtors according to the executive document, except for the person which is the debtor on enforcement proceeding about collection of periodical payments and who does not have debt on enforcement proceeding about periodic penalties more than three months	Rough
11	Registration actions if the physical person which is the founder (participant) and (or) the head of the legal entity is included in the list of the organizations and faces tied with financing of distribution of weapons of mass destruction and (or) in the list of the organizations and faces tied with financing of terrorism and extremism according to the legislation of the Republic of Kazakhstan, except for the shares (shares in the authorized capital) confiscated and (or) collected by a court decision	Rough
12	Registration actions in case of registration with the lost and (or) invalid documents, the heads / founders (members, participants) proving the identity	Rough
13	Carrying out registration actions in case of incomplete packet documents necessary for registration actions	Rough
14	Unreasonable refusal in registration actions	Rough
15	Non-compliance with terms of carrying out registration actions	Rough
16	Reclamations from uslugopoluchatel of documents, which can be received from information systems	Considerable
17	Unreasonable break of term of registration actions	Considerable
18	Inadequate conducting and storage of registration cases	Rough

 

Appendix 2

to Criteria for evaluation of risk degree in the field of registration of legal entities, being the commercial organizations

The list of the subjective criteria for determination of risk degree in the field of registration of legal entities which are the commercial organizations according to the Entrepreneurial code of the Republic of Kazakhstan

Form

№ of payment order	Indicator of subjective criterion	Source of information on indicator of subjective criterion	Specific weight on the importance, point (in the amount shall not exceed 100 points), wi	Conditions/values, xi
				condition 1/value	condition 2/value
1	2	3	4	5	6
For preventive control with visit
1	Submission of the data on the number of registration of legal entities which are the commercial organizations	Results of monitoring of the reporting and the data represented by the subject of control	50	Timely provision / 0%	Non-presentation of the report / 100%
2	Submission of the data on the number of registration of legal entities which are the commercial organizations with violations of term	Results of monitoring of the reporting and the data represented by the subject of control	50	Timely provision / 0%	Non-presentation of the report / 100%

 

No. 350, No. 61 is approved on July 9, 2019 by the joint Order of the Minister of Justice of the Republic of Kazakhstan and the Minister of national economy of the Republic of Kazakhstan of July 5, 2019

Checking leaf in the field of registration of legal entities and accounting registration of their branches and representations which are the commercial organizations according to the Entrepreneurial code of the Republic of Kazakhstan

Concerning activities of branches of Non-commercial joint-stock company "The Government for Citizens state corporation (further - registering bodies), the legal entities performing state registration and accounting registration of branches and representations

_________________________________________________________________________________
                name of homogeneous group of subjects (objects) of control

The state body which appointed check / preventive control with visit of subject (object) of control

__________________________________________________________________________

The act of purpose of check with visit of subject (object) of control

__________________________________________________________________________
                                                  (No., date)

Name of subject (object) of control

__________________________________________________________________________
                          (business and identification number),

__________________________________________________________________________

Address location ____________________________________________________

№	List of requirements	Conforms to requirements	Does not conform to requirements
1	2	3	4
1	Doubtful filling of data in the National register of business and identification numbers
2	Registration actions in the presence of court resolutions and resolutions (prohibitions, arrests) of legal executives and law enforcement agencies
3	Registration actions in case of violation of procedure for creation, re-registration and reorganization of the legal entity identified by legal acts of the Republic of Kazakhstan, discrepancy of constituent documents to the law of the Republic of Kazakhstan
4	Registration actions in case of non-presentation of the transfer act or separation balance sheet or lack in them of regulations on legal succession of the reorganized legal entity
5	Registration actions if the legal entity or the single founder (participant) of the legal entity is the idle legal entity
6	Registration actions if the physical person, is the single founder (the participant, the member) and (or) the head of the idle legal entities
7	Carrying out registration actions if the physical person which is the founder (the participant, the member) and (or) the head of the legal entity acknowledged incapacitated or is limited by capable
8	Registration actions if the physical person which is the founder (the participant, the member) and (or) the head of the legal entity is acknowledged unknown absent, is declared the dead, registered as the dead or his status is not determined
9	Registration actions if the physical person which is the founder (the participant, the member) and (or) the head of the legal entity has the outstanding or not removed criminal record for crimes under Articles 237, 238 Criminal Codes of Kazakhstan
10	Registration actions if in case of state registration the founder (physical person and (or) the legal entity), his founders, the head of the legal entity, the founder and (or) the head of the legal entity who is the founder (the participant, the member) of the legal entity are debtors according to the executive document, except for the person which is the debtor on enforcement proceeding about collection of periodical payments and who does not have debt on enforcement proceeding about periodic penalties more than three months
11	Registration actions if the physical person which is the founder (participant) and (or) the head of the legal entity is included in the list of the organizations and faces tied with financing of distribution of weapons of mass destruction and (or) in the list of the organizations and faces tied with financing of terrorism and extremism according to the legislation of the Republic of Kazakhstan, except for the shares (shares in the authorized capital) confiscated and (or) collected by a court decision
12	Registration actions in case of registration with the lost and (or) invalid documents, the heads / founders (members, participants) proving the identity
13	Carrying out registration actions in case of incomplete document package, necessary for registration actions
14	Unreasonable refusal in registration actions
15	Non-compliance with terms of carrying out registration actions
16	Reclamations from uslugopoluchatel of documents, which can be received from information systems
17	Unreasonable break of term of registration actions
18	Inadequate conducting and storage of registration cases

Official person(s): ______________________________________
                                                         position signature

______________________________________________________________
                  surname, name, middle name (in case of its availability)

Head of the subject of control

______________________________________________________________
                                          position signature

______________________________________________________________
                  surname, name, middle name (in case of its availability)

 

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