JOINT ORDER OF THE MINISTER OF THE INDUSTRY AND INFRASTRUCTURE DEVELOPMENT OF THE REPUBLIC OF KAZAKHSTAN AND MINISTER OF NATIONAL ECONOMY OF THE REPUBLIC OF KAZAKHSTAN

of February 27, 2023 No. 127, on March 1, 2023 No. 29

About introduction of amendments to the joint order of the Minister of investments and development of the Republic of Kazakhstan of November 19, 2018 No. 807 and the Minister of national economy of the Republic of Kazakhstan of November 26, 2018 No. 81 "About approval of criteria for evaluation of risk degree and checking sheets in the field of architecture, town planning and construction behind activities of subjects of architectural, town-planning and construction activities"

WE ORDER:

1. Bring in the joint order of the Minister of investments and development of the Republic of Kazakhstan of November 19, 2018 No. 807 and the Minister of national economy of the Republic of Kazakhstan of November 26, 2018 No. 81 "About approval of criteria for evaluation of risk degree and checking sheets in the field of architecture, town planning and construction behind activities of subjects of architectural, town-planning and construction activities" (it is registered in the Register of state registration of regulatory legal acts for No. 17818) the following changes:

state preamble in the following edition:

"According to articles 141 and 143 of the Entrepreneurial code of the Republic of Kazakhstan we ORDER:";

be reworded as follows Item 1:

"1. Approve:

1) criteria for evaluation of risk degree in the field of architecture, town planning and construction when conducting checks concerning subjects of architectural, town-planning and construction activities, according to appendix 1 to this joint order;

2) checking leaf in the field of architecture, town planning and construction concerning the customer (builder), according to appendix 2 to this joint order;

3) checking leaf in the field of architecture, town planning and construction concerning project the organizations (the general designer), according to appendix 3 to this joint order;

4) checking leaf in the field of architecture, town planning and construction, concerning the contractor (prime contractor), according to appendix 4 to this joint order;

5) checking leaf in the field of architecture, town planning and construction concerning persons exercising designer's service according to appendix 5 to this joint order;

6) checking leaf in the field of architecture, town planning and construction concerning the legal entities and physical persons exercising technical supervision according to appendix 6 to this joint order;

7) checking leaf in the field of architecture, town planning and construction concerning the organization carrying-out expert works on technical inspection of reliability and stability of buildings and constructions on technically and technologically difficult objects of the first and second levels of responsibility, according to appendix 7 to this joint order;

8) checking leaf in the field of architecture, town planning and construction concerning the legal entities who are carrying out complex non-departmental expertize of construction projects of objects according to appendix 8 to this joint order;

9) checking leaf in the field of architecture, town planning and construction concerning the customer (builder) on compliance to requirements, according to appendix 12 to this joint order;

10) checking leaf in the field of architecture, town planning and construction concerning project the organizations (the general designer) on compliance to requirements, according to appendix 13 to this joint order;

11) checking leaf in the field of architecture, town planning and construction concerning the contractor (prime contractor) on compliance to requirements, according to appendix 14 to this joint order;

12) checking leaf in the field of architecture, town planning and construction concerning persons exercising designer's service on compliance to requirements according to appendix 15 to this joint order;

13) checking leaf in the field of architecture, town planning and construction concerning the legal entities and physical persons exercising technical supervision on compliance to requirements according to appendix 16 to this joint order;

14) checking leaf in the field of architecture, town planning and the construction concerning the organization which are carrying out expert works on technical inspection of reliability and stability of buildings and constructions on technically and technologically difficult objects of the first and second levels of responsibility on compliance to requirements according to appendix 17 to this joint order;

15) checking leaf in the field of architecture, town planning and the construction concerning the organization rendering engineering project management services of construction of facilities on compliance to requirements according to appendix 18 to this joint order;

16) checking leaf in the field of architecture, town planning and construction concerning licensees on compliance to requirements, according to appendix 19 to this joint order;

17) checking leaf in the field of architecture, town planning and construction concerning the non-state certification centers for certification of the engineering employees participating in design process and constructions on compliance to requirements according to appendix 20 to this joint order;

18) checking leaf in the field of architecture, town planning and construction concerning the legal entities who are carrying out complex non-departmental expertize of construction projects of objects on compliance to requirements according to appendix 21 to this joint order.";

to be reworded as follows the criteria for evaluation of risk degree in the field of architecture, town planning and construction when conducting checks concerning subjects of architectural, town-planning and construction activities approved by the specified joint order according to appendix 1 to this joint order;

to be reworded as follows the checking leaf in the field of architecture, town planning and construction concerning the customer (builder) approved by the specified joint order according to appendix 2 to this joint order;

to be reworded as follows the checking leaf in the field of architecture, town planning and construction concerning the project organizations (the general designer) approved by the specified joint order according to appendix 3 to this joint order;

checking leaf in the field of architecture, town planning and construction, concerning the contractor (prime contractor), approved by the specified joint order to be reworded as follows according to appendix 4 to this joint order;

to be reworded as follows checking leaf in the field of architecture, town planning and construction concerning persons exercising the designer's service approved by the specified joint order according to appendix 5 to this joint order;

to be reworded as follows checking leaf in the field of architecture, town planning and construction concerning the legal entities and physical persons exercising the technical supervision approved by the specified joint order according to appendix 6 to this joint order;

to be reworded as follows the checking leaf in the field of architecture, town planning and the construction concerning the organization which are carrying out expert works on technical inspection of reliability and stability of buildings and constructions on technically and technologically difficult objects of the first and second levels of responsibility approved by the specified joint order according to appendix 7 to this joint order;

to be reworded as follows the checking leaf in the field of architecture, town planning and construction concerning the legal entities who are carrying out complex non-departmental expertize of construction projects of objects approved by the specified joint order according to appendix 8 to this joint order;

add with appendices 12, of 13, of 14, of 15, of 16, of 17, of 18, of 19, 20 and 21 according to appendices 9, of 10, of 11, of 12, of 13, of 14, of 15, of 16, 17 and 18.

2. To provide to committee on cases of construction and housing and communal services of the Ministry of the industry and infrastructure 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) placement of this joint order on Internet resource of the Ministry of the industry and infrastructure development of the Republic of Kazakhstan.

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

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

Minister of national economy of the Republic of Kazakhstan

__________ A. Kuantyrov

Minister of the industry and infrastructure development of the Republic of Kazakhstan

__________ M. Karabayev

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 the industry and infrastructure development of the Republic of Kazakhstan and the Minister of national economy of the Republic of Kazakhstan of February 27, 2023 No. 127, on March 1, 2023 No. 29

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 19, 2018 No. 807, on November 26, 2018 No. 81

Criteria for evaluation of risk degree in the field of architecture, town planning and construction when conducting checks concerning subjects of architectural, town-planning and construction activities

Chapter 1. General provisions

1. These criteria for evaluation of risk degree in the field of architecture, town planning and construction when conducting checks concerning subjects of architectural, town-planning and construction activities (further – Criteria) are developed according to articles 141 and 143 of the Entrepreneurial code of the Republic of Kazakhstan, the Law of the Republic of Kazakhstan "About architectural, town-planning and construction activities in the Republic of Kazakhstan" (further - the Law), 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" (No. 48 "About approval of Rules of forming by regulatory state agencies of system of assessment and risk management is registered in the Register of state registration of regulatory legal acts for No. 17371) and the order of the acting minister of national economy of the Republic of Kazakhstan of June 23, 2022 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 of regulatory legal acts for No. 28577).

2. In Criteria the following basic concepts are used:

1) point – quantitative measure of calculation of risk;

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

3) subjects (objects) of control and supervision – persons exercising designer's service; the non-state certification centers for certification of the engineering employees participating in design process and constructions; project organization (general designer); the organizations the carrying-out expert works on technical inspection of reliability and stability of buildings and constructions on technically and technologically difficult objects of the first and second levels of responsibility; licensees; contractor (prime contractor); the legal entities who are carrying out complex non-departmental expertize of construction projects; the organizations the rendering engineering project management services of construction of facilities; customer (builder); the legal entities and physical persons exercising technical supervision;

4) considerable violations – the violations established by regulatory legal acts in the field of architecture, town planning not being rough, connected with provision of the doubtful reporting and monitoring, inopportuneness and correctness of execution of executive documentation, and also requirement in the field of architecture, town planning and construction directed to prevention and the prevention violation the conditions of the favorable habitat and life activity of the person attracting deterioration;

5) insignificant violations - violation of requirements, not belonging to considerable and gross violations, but attracting damnification to legitimate interests of physical persons and legal entities, the states;

6) gross violations – the actions which entailed the deterioration in condition of the favorable habitat and life activity of the person which resulted from violation of the requirements established by regulatory legal acts in the field of architecture, town planning and construction at all stages of lifecycle, connected with technogenic incidents, causing damage to state interests, legal entities and physical persons, infringement of the rights and legitimate interests of citizens and societies, not ensuring durability, stability and reliability of object, deformation of inadmissible size of building constructions, foundations of the building or construction and geological arrays of the adjacent territory;

7) risk – probability of damnification as a result of activities of the subject of control and supervision 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;

8) criteria for evaluation of risk degree – set of the quantitative and qualitative indexes connected with direct activities of the subject of control and the supervision, the features of industry development and factors influencing this development, allowing to carry subjects (objects) of control and supervision to different risk degrees;

9) 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 and supervision depending on risk degree in certain field of activity and which are not depending directly on separate subject (object) of control;

10) 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 and supervision depending on results of activities of specific subject (object) of control and supervision;

11) 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 and supervision on risk degrees for the subsequent implementation of preventive control with visit of subject (object) of control and supervision and (or) checks on compliance to qualification and allowing requirements on the issued permissions, requirements for directed notifications (further – Check on compliance to 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 specific subject (object) of control and supervision and (or) release of such subject (object) of control and supervision from preventive control with visit of subject (object) of control and supervision and (or) checks on compliance to requirements;

12) the checking sheet – the list of requirements imposed to activities of subjects (objects) of control and supervision 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;

13) sample (selection) – the list of the estimated subjects (objects) carried to homogeneous group of subjects (objects) of control and supervision in the specific sphere of the state control and supervision according to Item 2 of article 143 of the Code.

3. Criteria are created by means of objective and subjective criteria.

Chapter 2. Objective criteria

4. By objective criteria subjects (objects) of control and supervision in the field of architecture, town planning and construction belong to one of the following risk degrees:

1) high risk;

2) average risk;

3) low risk.

Treat high risk:

objects I (raised) and the II (normal) levels of responsibility the determinations of general procedure for reference of buildings and constructions established in Rules to technically and (or) technologically difficult objects approved by the order of the Minister of national economy of the Republic of Kazakhstan of February 28, 2015 No. 165 "About approval of Rules of determination of general procedure for reference of buildings and constructions to technically and (or) technologically difficult objects" (it is registered in the Register of state registration of regulatory legal acts for No. 10666) (further – Rules of reference of buildings and constructions);

technologically difficult subjects to production and construction engineering appointment established in Rules of reference of buildings and constructions;

the objects financed by the state investments and means of subjects of the quasi-public sector;

objects with a normative duration of construction more than 9 months;

objects where installation and construction works more than for 6 months is suspended.

Treat average risk degree:

the objects II (normal) level of responsibility which are not relating to technically difficult the references of buildings and constructions established in Rules;

objects with a normative duration of construction more than 6 months;

objects where installation and construction works more than for 3 months is suspended.

Treat low risk degree:

objects III (lowered) level of responsibility the references of buildings and constructions established in Rules;

objects with a normative duration of construction more than 4 months.

5. For fields of activity of subjects (objects) of control and supervision carried to high and average risk degree by objective criteria are carried out check on compliance to requirements, preventive control with visit of subject (object) of control and supervision and unscheduled inspection.

For fields of activity of subjects (objects) of control and supervision carried to low risk degree by objective criteria are carried out check on compliance to requirements and unscheduled inspection.

Chapter 3. Subjective criteria

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

1) results of monitoring of the reporting and the data represented by the subject of control and supervision;

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

3) availability and the number of the confirmed claims and addresses;

4) analysis of official Internet resources of state bodies.

For assessment of degree of risks by subjective criteria for conducting check on compliance to requirements the following sources of information are used:

1) availability and the number of the confirmed claims and addresses;

2) analysis of official Internet resources of state bodies;

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

7. Based on the available information sources regulatory state agencies create the data on subjective criteria which are subject to the analysis and assessment.

The analysis and assessment of subjective criteria allows to concentrate conducting check on compliance to requirements and preventive control of subject (object) of control and supervision concerning subject (object) of control and supervision with the greatest potential risk.

At the same time in the analysis and assessment the data of subjective criteria which are earlier considered and used concerning specific subject (object) of control and supervision 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 and supervision which eliminated in full the issued violations following the results of the carried-out previous preventive control with visit and (or) checks on compliance to requirements their inclusion when forming schedules and lists for the next period of the state control is not allowed.

8. 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 and supervision correspond to extent of violation – rough, considerable and insignificant.

Distribution of violations of requirements of the legislation in the field of architecture, town planning and construction, and also the state standard rates on rough, considerable, insignificant, is given in appendices 1 and 2 to these Criteria.

9. 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 subjective criteria, the risk exponent by subjective criteria on scale from 0 to 100 points is calculated.

On risk exponents the subject (object) of control and supervision 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.

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

The state body collects information and creates the database on subjective criteria of sources according to Item of 6 these Criteria.

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 and supervision (SP) and exponent of risk by the subjective criteria determined according to Item 15 of these rules (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 9 these Criteria.

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

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

In case of identification of one gross violation on any of the sources of information specified in Item of 6 these Criteria, the subject of control and supervision the exponent of risk of 100 points is equated and concerning it it is performed on compliance to requirements or preventive control with visit of subject (object) of control and supervision.

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.

12. Measure calculation of risk degree by the subjective criteria determined according to Item of 9 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 9 these Criteria joins in measure calculation of risk degree by subjective criteria.

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