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

of June 26, 2023 No. 124, on June 27, 2023 No. 467

About introduction of amendments to the order of the acting minister of the industry and infrastructure development of the Republic of Kazakhstan of November 30, 2022 No. 665 and the acting minister of national economy of the Republic of Kazakhstan of November 30, 2022 No. 103 "About approval of criteria for evaluation of risk degree and checking sheets in spheres of natural monopolies (services of the airports and air navigation) and behind observance of procedure for pricing and obligations of the subject of the socially significant market (services of the airports)

I ORDER:

1. Bring in the joint order of the acting minister of the industry and infrastructure development of the Republic of Kazakhstan of November 30, 2022 No. 665 and the acting minister of national economy of November 30, 2022 No. 103 "About approval of criteria for evaluation of risk degree and checking sheets in spheres of natural monopolies (services of the airports and air navigation) and behind observance of procedure for pricing and obligations of the subject of the socially significant market (services of the airports)" (it is registered in the Register of state registration of regulatory legal acts at No. 30870) the following changes:

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

2. To provide to committee of civil aviation of the Ministry of the industry and infrastructure development of the Republic of Kazakhstan in the established legislative procedure:

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 after ten calendar days after day of its first 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 national economy of the Republic of Kazakhstan and the Minister of the industry and infrastructure development of the Republic of Kazakhstan of June 26, 2023 No. 124, on June 27, 2023 No. 467

Appendix 1

to the joint Order of the acting minister of the industry and infrastructure development of the Republic of Kazakhstan and the acting minister of national economy of the Republic of Kazakhstan of November 30, 2022 No. 665, on November 30, 2022 No. 103

Criteria for evaluation of risk degree of subjects in spheres of natural monopolies (services of the airports and air navigation) and behind observance of procedure for pricing and obligations of the subject of the socially significant market (services of the airports)

Chapter 1. General provisions

1. These criteria for evaluation of risk degree of subjects in spheres of natural monopolies (services of the airports and air navigation) and behind observance of procedure for pricing and obligations of the subject of the socially significant market (services of the airports) (further – Criteria) are developed according to Items 5 and 6 of article 141 of the Entrepreneurial code of the Republic of Kazakhstan (further – the Code), the Law of the Republic of Kazakhstan "About natural monopolies", the order of the Minister of the industry and infrastructure development of the Republic of Kazakhstan of April 30, 2019 No. 256 "About approval of rules of implementation of activities by subjects of natural monopolies" (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. 18608) and the order of the acting minister of national economy of the Republic of Kazakhstan of June 22, 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 these Criteria the following 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) risk – probability of damnification as a result of activities of the subject of control, to legitimate interests of physical persons and legal entities, valuable interests of the state taking into account severity of its effects;

4) 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;

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;

7) 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;

8) the checking sheet – the list of requirements imposed to activities of subjects (objects) of control which non-compliance involves violation of 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. 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. 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).

At the first stage by objective criteria subjects (objects) of control belong to one of the following risk degrees:

1) high risk;

2) average risk;

3) low risk.

For fields of activity of subjects (objects) of control carried to high and average risk degree by objective criteria 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 by objective criteria are carried out preventive control without visit of subject (object) of control and unscheduled inspection.

At the second stage by subjective criteria subjects (objects) of control belong to one of the following risk degrees:

1) high risk;

2) average risk;

3) low risk.

On risk exponents by subjective criteria the subject (object) of control 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.

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.

At the same time determinations to gross, considerable and insignificant violations are established in criteria for evaluation of risk degree taking into account specifics of the respective sphere of the state control.

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

Extents of violations of requirements imposed to activities of subjects (objects) of control are established according to appendix 1 and 2 to these Criteria.

Paragraph 1. Objective criteria

6. In spheres of natural monopolies (services of the airports) and in the socially significant markets (services of the airports) subjects of natural monopolies treat high risk (airports) in case of the number of served passengers at the airport from 500 (five hundred) thousand people a year and more, and also the subject natural monopolies providing regulated service in the field of air navigation in the territory of two and more areas, the cities of republican value and the capital.

In spheres of natural monopolies (services of the airports) and in the socially significant markets (services of the airports) subjects of natural monopolies treat average risk degree (airports) in case of the number of served passengers at the airport from 100 (hundred) thousand to 500 (five hundred) thousand people a year.

In spheres of natural monopolies (services of the airports) and in the socially significant markets (services of the airports) subjects of natural monopolies treat low risk degree (airports) in case of the number of served passengers at the airport to 100 (hundred) thousand people a year.

7. Frequency rate of carrying out preventive control with visit of subject (object) of control, carried to high and average risk degrees cannot be more often two once a year.

Paragraph 2. Subjective criteria

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

1) forming of the database and information collection;

2) information analysis and risks assessment.

9. Forming of the database and information collection are necessary for identification of subjects (objects) of control.

Processes of data collection and processing are fully automated and allow possibility of check of correctness of the obtained data.

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