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

of December 12, 2022 No. 122

About introduction of amendments to the 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"

I ORDER:

1. Bring in the 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" (it is registered in the Register of state registration of regulatory legal acts for No. 14167) the following changes:

state preamble in the following edition:

"According to Item 5 of Article 141, Item 1 of article 143 of the Entrepreneurial code of the Republic of Kazakhstan I ORDER:";

1, 2 and 3 to the specified order to state appendices in edition according to appendices 1, 2 and 3 to this order.

2. To provide to committee on regulation of natural monopolies of the Ministry of national economy of the Republic of Kazakhstan in the procedure established by the legislation of the Republic of Kazakhstan:

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

2) placement of this order on Internet resource of the Ministry of national economy of the Republic of Kazakhstan;

3) 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) and 2) of this Item.

3. To impose control of execution of this order on the supervising vice-minister of national economy of the Republic of Kazakhstan.

4. This order becomes effective since January 1, 2023 and is subject to official publication.

Appendix 1

to the Order of the Minister of national economy of the Republic of Kazakhstan of December 12, 2022 No. 122

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) 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;

3) 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;

4) 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;

5) risk in the field 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;

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) 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;

9) 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;

10) authorized body – the state body performing management in the respective spheres of natural monopolies.

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. State bodies for risk management objectives when implementing preventive control with visit of subject (object) of control are carried by subjects (objects) of control to one of the following to risk degrees (further – risk degrees):

1) high risk;

2) average risk;

3) low risk.

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.

In spheres of natural monopolies the subjects of natural monopolies included in the State register of subjects of natural monopolies, performing the regulated services referred to the sphere of natural monopolies more than one calendar year belong to average risk degree.

In the field of natural monopolies the newly created subjects of natural monopolies rendering the regulated services referred to the sphere of natural monopolies less than one calendar year treat low risk degree.

Chapter 3. Subjective criteria

7. For determination of subjective criteria for evaluation 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 (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 subject (object) of the control which is carried out by authorized body and (or) other state bodies;

3) analysis results of official Internet resources of state bodies and mass media;

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