Joint Order of the deputy. The Minister of Energy of the Republic of Kazakhstan "About modification and amendments in the joint order of the Minister of Energy of the Republic of Kazakhstan of August 26, 2019 No. 290 and the Minister of national economy of the Republic of Kazakhstan..."

JOINT ORDER OF I.O. THE MINISTER OF ENERGY OF THE REPUBLIC OF KAZAKHSTAN AND THE DEPUTY PRIME MINISTER - THE MINISTER OF NATIONAL ECONOMY OF THE REPUBLIC OF KAZAKHSTAN

of January 22, 2025 No. 33-n/k, on January 22, 2025 No. 4

About modification and amendments in the joint order of the Minister of Energy of the Republic of Kazakhstan of August 26, 2019 No. 290 and the Minister of national economy of the Republic of Kazakhstan of August 27, 2019 No. 78 "About approval of criteria for evaluation of risk degree and checking sheets in the field of power industry"

WE ORDER:

1. Bring in the joint order of the Minister of Energy of the Republic of Kazakhstan of August 26, 2019 No. 290 and the Minister of national economy of the Republic of Kazakhstan of August 27, 2019 No. 78 "About approval of criteria for evaluation of risk degree and checking sheets in the field of power industry" (it is registered in the Register of state registration of regulatory legal acts for No. 19323) the following changes and amendments:

be reworded as follows heading:

"About approval of criteria for evaluation of risk degree and checking sheets in the field of power industry and heat-and-power engineeering";

be reworded as follows Item 1:

"1. Approve:

1) criteria for evaluation of risk degree in the field of power industry according to appendix 1 to this joint order;

2) criteria for evaluation of risk degree in the field of heat-and-power engineeering according to appendix 2 to this joint order;

3) checking leaf in the field of power industry concerning the power transferring organizations according to appendix 3 to this joint order;

4) checking leaf in the field of power industry concerning the power supplying organizations according to appendix 4 to this joint order;

5) checking leaf in the field of power industry concerning physical persons and legal entities according to appendix 5 to this joint order;

6) checking leaf in the field of power industry concerning the expert organizations performing energy examination according to appendix 6 to this joint order;

7) checking leaf in the field of power industry concerning the power making organizations according to appendix 7 to this joint order;

8) checking leaf in the field of power industry concerning the power making organizations using renewable energy resources according to appendix 7-1 to this joint order;

9) checking leaf in the field of heat-and-power engineeering concerning the heatmaking subjects according to appendix 7-2 to this joint order;

10) checking leaf in the field of heat-and-power engineeering concerning the heattransporting subjects according to appendix 7-3 to this joint order

11) checking leaf in the field of heat-and-power engineeering concerning physical persons and legal entities according to appendix 7-4 to this joint order;

12) checking leaf in the field of heat-and-power engineeering concerning the expert organizations performing energy examination according to appendix 7-5 to this joint order.";

in the Criteria for evaluation of risk degree in the field of power industry approved by the specified joint order:

be reworded as follows Items 1 and 2:

"1. These Criteria for evaluation of risk degree in the field of power industry (further – Criteria) are developed according to Item 5 of article 141 of the Entrepreneurial code of the Republic of Kazakhstan (further – the Code) and 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), for selection of subjects (objects) of control in the field of power industry for the purpose of carrying out preventive control with visit of subject (object) of control and (or) checks on compliance to requirements.

2. In Criteria the following concepts are used:

1) insignificant violations – violations of the requirements established by regulatory legal acts in the field of power industry which do not create premises for emergence of technological violations, violation of the set modes of energy consumption, threat of life and to health of the population, the environment;

2) considerable violations – violations of the requirements established by regulatory legal acts in the field of power industry which brought or can lead to damnification to legitimate interests of physical persons and legal entities, and also untimely provision of reports, data, operational messages on technological violations and information on indicators of reliability of electric utility service;

3) the power making organization using renewable energy resources – the legal entity performing production of electrical energy with use of renewable energy resources, except for net - consumers;

4) gross violations – violations of the requirements established by regulatory legal acts in the field of power industry which brought or can lead to damnification of life and health of the person, the fire, environmental pollution, violation of the set energy consumption modes, and also non-presentation and provision of false information, reports, operational messages on technological violations and information on indicators of reliability of electric utility service;

5) risk – 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;

6) 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 and (or) checks 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 (or) release of such subject (object) of control from preventive control with visit of subject (object) of control and (or) checks on compliance to requirements;

7) 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 the field of power industry and which are not depending directly on separate subject (object) of control;

8) 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;

9) technological violation – refusal or damage to machinery, power networks, including owing to ignition or explosions, variation from the set modes, unauthorized shutdown or restriction of operability of the equipment or its defect which led to violation of production process, transfer, consumption of electrical energy;

10) 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;

11) the power transferring organization – the organization rendering service in transfer of electrical energy on the basis of agreements;

12) the power supplying organization - the organization performing sale to consumers of the purchased electrical energy;

13) the power making organization – the organization performing production of electrical energy for own needs and (or) realization, except for net - consumers;

14) electroinstallation – set of the machines, devices, lines and the service equipment (together with constructions and rooms, in which they are established) intended for production, transformation, transfer of electrical energy and its transformation to other type of energy;

15) power industry – the sphere of production, transfer, supply and consumption of electrical energy;

16) subjects (objects) of control in the field of power industry the organizations which - are power making, power transferring, power supplying, physical persons and legal entities, the expert organizations which are performing energy examination and power making the organizations using renewable energy resources.";

exclude Item 7;

be reworded as follows Item 8:

"8. Treat subjects (objects) of control of high risk:

1) the power making, power transferring organizations and the power making organizations, using renewable energy resources;

Physical persons and legal entities which operate or have 2) on balance of the 0,4 electroinstallation of kV and above which shutdown can lead to technological violation, violation of work of critical infrastructure, environmental pollution, the fire, violation of the set energy consumption modes, and also to threat of life and health of the person, legitimate interests of physical, legal entities and the states, to social or economic effects, namely:

gas supply facilities, water supply, the sewerages and heat supplies providing life activity of the cities;

the objects of the aeronautical organization providing servicing of air traffic;

objects oil-extracting and oil processing organizations;

objects of the mining and mining and processing organizations;

objects of the metallurgical companies with continuous cycle of production process.";

be reworded as follows Items 13 and 14:

"13. 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 power industry.

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) results of the previous unscheduled inspections and preventive control with visit of subjects (objects) of control;

2) results of preventive control without visit of subject (object) of control (the resulting documents issued following the results of preventive control without visit of subject (object) of control (the reference, the conclusion, recommendations);

For assessment of degree of risks by subjective criteria for conducting check on compliance to qualification requirements results of the previous checks concerning the expert organizations performing energy examination are used.

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.

14. Based on the available information sources extent of violations of requirements in the field of power industry are subdivided into three extents of violation: rough, considerable, insignificant.

Extents of violation of requirements in the field of power industry are applied in the relation:

the power making organizations according to appendix 1 to these Criteria;

the power transferring organizations according to appendix 2 to these Criteria;

the power supplying organizations according to appendix 3 to these Criteria;

physical persons and legal entities according to appendix 4 to these Criteria;

the power making organizations using renewable energy resources according to appendix 5 to these Criteria;

the expert organizations performing energy examination according to appendix 6 to these Criteria;

The list of subjective criteria for determination of risk degree by subjective criteria in the field of power industry according to article 138 of the Entrepreneurial code of the Republic of Kazakhstan concerning the power making, power transferring, power supplying organizations, physical persons and legal entities, the expert organizations which are performing energy examination and the power making organizations using renewable energy resources is given in appendix 7 to these Criteria.";

be reworded as follows Item 16:

"16. In case of identification of one gross violation, to subject (object) of control the exponent of risk 100 is equated and concerning it preventive control with visit of subject (object) of control and (or) check on compliance to requirements is carried out.";

21, of 22, of 23, 24 and 25 to be reworded as follows Items:

"21. On risk exponents 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.

22. 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 and (or) check on compliance to requirements their inclusion when forming lists for the next period of the state control is not allowed.

23. Subjects (objects) of control are transferred using information system from high risk in average risk degree or from average risk degree in low risk degree in the corresponding fields of activity of subjects of control in cases:

1) if such subjects signed insurance contracts of civil responsibility to the third parties in the cases and procedure established by the laws of the Republic of Kazakhstan;

2) if in the laws of the Republic of Kazakhstan and criteria for evaluation of risk degree of regulatory state agencies cases of release from preventive control with visit of subject (object) of control or conducting checks on compliance to requirements are determined;

3) if subjects are members of the self-regulatory organization based on voluntary membership (participation) according to the Law of the Republic of Kazakhstan "About self-regulation" with which the agreement on recognition of results of activities of self-regulatory organization is signed.

24. In the absence of information system of assessment and risk management minimum admissible threshold of amount of subjects (objects) of control concerning which are performed preventive control with visit of subject (object) of control and (or) check on compliance to requirements shall not exceed five percent from total quantity of such subjects of control in certain sphere of the state control.

25. 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 13 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 13 these Criteria.";

be reworded as follows Item 27:

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

813-23 (Ф..2)

where

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 25 these Criteria.";

be reworded as follows appendix 1 according to appendix 1 to this joint order;

be reworded as follows appendix 2 according to appendix 2 to this joint order;

add appendix 4 in the lines, sequence numbers 502, of 503, of 504, of 505, of 506, 507 following contents:

502	Availability at digital mayner of the automated systems of commercial accounting of electrical energy, special automatic equipment of shutdown of loading, the system of telecommunications providing their unification with the systems installed at the system operator and at the power transferring organization in case of connection to their networks	Rough
503	Availability at digital mayner: 1) the acceptance act of system of the commercial accounting of electrical energy which is drawn up by the power transferring organization; 2) acceptance act of system of telecommunications; 3) decisions on input of the device of shutdown of loading; 4) structural division with the qualified personnel having group of the admission, or service agreement of electroinstallation with the organization, the having personnel with the admission to work in the operating electroinstallations.	Rough
504	Availability of specifications on connection to power networks for digital mayner only from transformer substations of 35 kilovolts and above with the permitted capacity at least one megawatt, issued by the power transferring organizations.	Rough
505	Availability at digital mayner of the contract with the single purchaser for acquisition of electrical energy of at least 1 megawatt of average daily (basic) capacity at the centralized biddings of electrical energy within the established quotas determined by the system operator.	Rough
506	Availability at digital mayner of the contract for acquisition of electrical energy of at least 1 megawatt of the average daily (basic) capacity made outside the Republic of Kazakhstan within technical capability of single electric utility system of the Republic of Kazakhstan determined by the system operator.	Considerable
507	Availability at digital mayner of the contract for acquisition of electrical energy of at least 1 megawatt of average daily (basic) capacity from the power making organizations using renewable energy resources not having the long-term agreement of purchase and sale of electrical energy signed with the single purchaser of electrical energy.	Considerable

be reworded as follows appendix 5 according to appendix 3 to this joint order;

to be reworded as follows heading of appendix 7:

"The list of subjective criteria for determination of risk degree by subjective criteria in the field of power industry according to article 138 of the Entrepreneurial code of the Republic of Kazakhstan concerning the power making, power transferring, power supplying organizations, physical persons and legal entities, the expert organizations which are performing energy examination and the power making organizations using renewable energy resources";

to be reworded as follows appendix 2 to the specified joint order according to appendix 4 to this joint order;

to be reworded as follows appendix 3 to the specified joint order according to appendix 5 to this joint order;

to add appendix 5 to the specified joint order in the lines, sequence numbers 493, of 494, of 495, of 496, of 497, 498 following contents:

493	Availability at digital mayner of the automated systems of commercial accounting of electrical energy, special automatic equipment of shutdown of loading, the system of telecommunications providing their unification with the systems installed at the system operator and at the power transferring organization in case of connection to their networks.
494	Availability at digital mayner: 1) the acceptance act of system of the commercial accounting of electrical energy which is drawn up by the power transferring organization; 2) acceptance act of system of telecommunications; 3) decisions on input of the device of shutdown of loading; 4) structural division with the qualified personnel having group of the admission, or service agreement of electroinstallation with the organization, the having personnel with the admission to work in the operating electroinstallations.
495	Availability of specifications on connection to power networks for digital mayner only from transformer substations of 35 kilovolts and above with the permitted capacity at least one megawatt, issued by the power transferring organizations.
496	Availability at digital mayner of the contract with the single purchaser for acquisition of electrical energy of at least 1 megawatt of average daily (basic) capacity at the centralized biddings of electrical energy within the established quotas determined by the system operator.
497	Availability at digital mayner of the contract for acquisition of electrical energy of at least 1 megawatt of the average daily (basic) capacity made outside the Republic of Kazakhstan within technical capability of single electric utility system of the Republic of Kazakhstan determined by the system operator.
498	Availability at digital mayner of the contract for acquisition of electrical energy of at least 1 megawatt of average daily (basic) capacity from the power making organizations using renewable energy resources not having the long-term agreement of purchase and sale of electrical energy signed with the single purchaser of electrical energy.

appendices 6 and 7 to the specified joint order to be reworded as follows according to appendices 6 and 7 to this joint order;

add with appendices 7-1, 7-2, 7-3, 7-4 and 7-5 to the specified joint order according to appendices 8, of 9, of 10, 11 and 12 to this joint order.

2. To provide to committee of atomic and energy supervision and control of the Department of Energy of the Republic of Kazakhstan in the procedure established by the legislation of the Republic of Kazakhstan:

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 Department of Energy of the Republic of Kazakhstan after its official publication;

3) within five working days after state registration of this joint order in the Ministry of Justice of the Republic of Kazakhstan its direction in Committee on legal statistics and special accounting of the Prosecutor General's Office of the Republic of Kazakhstan for placement in the information system "Unified Register of Subjects and Objects of Checks";

4) within ten working days after state registration of this joint order in the Ministry of Justice of the Republic of Kazakhstan submission to Department of legal service of the Department of Energy of the Republic of Kazakhstan of data on execution of the actions provided by subitems 1), 2) and 3) of this Item.

3. To impose control of execution of this joint order on the supervising vice-Minister of Energy of the Republic of Kazakhstan.

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

The deputy prime minister is the Minister of national economy of the Republic of Kazakhstan

__________ S. Zhumangarin

Acting minister of power industry of the Republic of Kazakhstan

__________ A. Zhamauov

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 deputy. The Minister of Energy of the Republic of Kazakhstan and the Deputy prime minister - the Minister of national economy of the Republic of Kazakhstan of January 22, 2025 No. 33-n/k, on January 22, 2025 No. 4

Appendix 1

to Criteria for evaluation of risk degree in the field of power industry

Extent of violations of requirements in the field of power industry for the power making organizations

№	Criteria	Extent of violation
1	Availability in the energy company of the summary reporting on technological violations for form, sent to state body on the state energy supervision and control or local executive body (on competence), monthly, to the seventh following reporting.	Considerable
2	Availability of the operational message by phone with duplication by means of mobile programs for instant messaging about the happened technological violations and accidents in Single electric utility system of the Republic of Kazakhstan provided by the power company within 1 (one) hour from the moment of emergence of technological violation.	Considerable
3	Availability of the written message of the power company sent to the relevant Territorial department of body for the state energy supervision and control on areas and the cities of Astana, Almaty, Shymkent and local executive body and to the system operator, in time no later than 12 (twelve) hours from the moment of emergence of technological violation.	Considerable
4	Availability of operational and written messages, the containing following data: 1) name of the energy company, date and time of emergence of technological violation, accident; 2) alleged causes of technological violation, accident; 3) the list of the fulfilled protection, automatic equipment and blocking; 4) the list of the failed equipment and which remained in work; 5) effects of technological violation: amount of the damaged equipment, недоотпуск, the number of the disconnected consumers, time of liquidation of technological violation; 6) surname, name, middle name (in case of its availability) and position transferred information.	Considerable
5	Availability of the description of all origins, development of accidents for studying and estimation in case of investigation of technological violations: 1) compliance of objects and organizations of their operation to requirements for safety, technical condition and operation; 2) quality and terms of carrying out repairs, routine inspections and testing, control of condition of the equipment; 3) respect for technological discipline in case of production of repair work; 4) timeliness of taking measures to elimination of the emergency centers and defects of the equipment.	Rough
6	Availability of the description of all origins, development of refusals of I and II degrees on objects of the power making organization for studying and estimation in case of investigation of technological violations in case of refusal: 1) compliance of objects and organizations of their operation to requirements for safety, technical condition and operation; 2) quality and terms of carrying out repairs, routine inspections and testing, control of condition of the equipment; 3) respect for technological discipline in case of production of repair work; 4) timeliness of taking measures to elimination of the emergency centers and defects of the equipment.	Considerable
7	Availability of classification sign of the technical reasons of technological violations: 1) violation of structure of material of installation, its detail or node; 2) violation of welding, soldering; 3) violation of mechanical connection; 4) mechanical depreciation; 5) zolovy depreciation; 6) corrosion depreciation; 7) erosive depreciation; 8) hermeticity violation; 9) exceeding of normative value of vibration; 10) explosion; 11) thermal damage, overheat, burned through; 12) arc damage; 13) violation of electric isolation; 14) violation of electric contact; 15) mechanical destruction (damage); 16) fire or fire; 17) violation of stability of power network; 18) violation of antiemergency automatic equipment; 19) not classified reasons (exhaustion of resource, slagging and another); 20) violations in work of systems of dispatching and technological production management.	Rough
8	Availability of classification signs of the organizational reasons of technological violations: 1) wrong actions of operation personnel; 2) wrong actions of not operation personnel; 3) shortcomings of work of managing personnel of the power company and (or) its structural divisions; 4) unsatisfactory organization of maintenance and repair of the equipment; 5) other shortcomings of operation; 6) defects of the project; 7) defects of design; 8) defects of production; 9) defects of installation; 10) defects of repair; 11) defects of construction; 12) impact of the spontaneous phenomena; 13) impact of strangers and organizations; 14) not classified reasons (depreciation of the equipment which is in operation over normative useful life, impact of birds, rodents).	Considerable
9	Availability of the refusals of the II degree connected with: damage because of factory defects of the equipment which did not develop service life; complete dumping of loading by power plant; damage of power networks of 110-1150 kilovolts (further – kV), and also the capital equipment of substations of 110 kV and above.	Considerable
10	The adherence to deadlines of conducting investigation of technological violations which begins no later than 3 (three) working days estimated from next working day since the moment of emergence of technological violation, and does not exceed 30 calendar days.	Considerable
11	Adherence to deadlines of the investigation extended for term no more than 30 calendar days in cases of impossibility of completion of investigation of technological violation.	Considerable
12	Availability of the list of the heads who are subject to qualification examination of rules of technical operation and safety regulations at heads, specialists of the organizations performing production, transfer of electrical energy, for control of technical condition and safety of operation of electroinstallations the next calendar year sent by the organizations to the service provider annually, till 1 on the (first) of December.	Considerable
13	Availability of the commission on assessment of readiness of uslugopoluchatel for work during the autumn and winter period, the created Uslugopoluchatelyami and beginner work for preparation of the act of readiness annually with 1 on the (first) of August.	Considerable
14	Availability of readiness of Uslugopoluchatel for work during the autumn and winter period determined by the Commission of uslugopoluchatel during the period with 1 on the (first) of August on the (thirtieth) of September 30 inclusive.	Considerable
15	Adherence to deadline of receipt of the Passport of readiness of Uslugopoluchatelyami – annually to 19 on the (nineteenth) of October inclusive.	Rough
16	Availability: 1) individual testing of the equipment and functional testing of separate systems, come to the end with trial launch of the capital and service equipment; 2) complex approbation of the equipment, carried out before acceptance for operation of power facility (start-up complex).	Rough
17	Availability of the operational message of the power companies provided within 1 (one) hour from the moment of emergence of technological violation by phone with duplication by means of mobile programs for instant messaging.	Considerable
18	Availability of the directed written message the power companies in the relevant Territorial department of body for the state energy supervision and control for areas and the cities of Astana, Almaty, Shymkent and local executive body and to the system operator in time no later than 12 (twelve) hours from the moment of emergence of technological violation.	Considerable
19	Availability of the specifications issued by the power making organizations on connection of again entered or reconstructed electroinstallations after receipt of the request from the consumer in the following terms: 1) capacity to 200 kilowatts (further – kW) - within 5 working days; 2) capacity from 200 to 1000 kW - within 10 working days; 3) capacity over 1000 kW - within 15 working days.	Considerable
20	Availability of the specifications approved with the system operator in case of connection of the user of power network with the declared capacity over 10 megawatts (further – MW) to power network of the power making organization.	Considerable
21	Availability of the timely, reliable and complete information, provided by the power making organization, required and necessary for implementation of powers of state control body and supervision in the field of power industry.	Rough
22	Availability of the written warning of the termination (restriction) of delivery of electrical energy by the direction of the notification by the methods specified in the acceptance of the agreement (e-mail, the fax, the mailing, the short text message, the multimedia message existing with messengers) in terms at least for 5 (five) in the afternoon before the termination of delivery of electrical energy to the Consumer (The consumer using electrical energy for domestic needs at least in 30 (thirty) calendar days).	Rough
23	Observance of requirements of the termination completely giving to the consumer of electrical energy power transferring or the power making organizations without prior notice in cases: 1) unauthorized connection of receivers of electrical energy to power network of the power transferring (power making) organization; 2) connections of receivers of electrical energy in addition to (without taking into account) devices of commercial accounting of electrical energy; 3) decrease in indicators of quality of electrical energy because of the consumer to the values breaking functioning of electroinstallations of the power transferring (power making) organization and other consumers; 4) non-admissions of representatives power transferring (power making) the organizations and body of energy supervision and control to devices of commercial accounting of electrical energy and electroinstallations of the consumer to working hours (as sent); 5) emergency.	Rough
24	Availability of the drawn-up statement in any form to the consumer of electricity about violation and carrying out recalculation in case of the following violations: 1) unauthorized connection to networks of the power making organization; 2) connection of receivers of the electric power in addition to the device of commercial accounting of electrical energy (further – PKU); 3) change of the scheme of inclusion of PKU, transformers of current and tension; 4) artificial braking of disk PKU; 5) installation of the devices distorting indications of PKU.	Rough
25	Availability of automated control systems of the tasks of production and technological, operational and dispatching and organizational and economic management of power production providing the decision, namely: 1) industrial control systems; 2) the automated systems of dispatching management; 3) automated control systems for production.	Considerable
26	Adherence to deadlines of passing of periodic (another) qualification examination by heads and specialists of security services and labor protection of the power making organization at least once in three years.	Rough
27	Adherence to deadlines of passing of periodic (another) qualification examination by electrotechnical and electrotechnological personnel, including heads and specialists of the operational negotiations and switchings having the right of maintaining, except for administrative technicians of the power making organization at least once a year.	Rough
28	Provision adherence to deadlines in Committee of atomic and energy supervision and control of the Department of Energy of the Republic of Kazakhstan annually, till December 1, the list of the heads who are subject to qualification examination the next calendar year.	Considerable
29	Adherence to deadlines of provision of information in Committee of atomic and energy supervision and control of the Department of Energy of the Republic of Kazakhstan on employment or dismissal of the head of the power making organization within 15 calendar days from the date of acceptance (dismissal) of the head.	Considerable
30	Availability of the order of the head of the power making organization on creation of the commission for conducting qualification check	Considerable
31	Availability of the list of the specialists who are subject to qualification examination the next calendar year, constituted by the power making organization, annually till December 25.	Considerable
32	Availability of the drawn-up protocol of qualification examination following the results of holding qualification examination.	Considerable
33	Observance of forms of carrying out work with operational and operational maintenance force, with the operational heads exercising control of power stations: the preparation on new position including: training; training on workplace; primary qualification examination; duplication; periodic qualification examinations; control antiemergency and fire-proof trainings; instructing; advanced training.	Considerable
34	Observance of forms of carrying out work with maintenance force: the preparation on new position including: training in safe production methods of works; training on workplace; primary qualification examination; periodic qualification examinations; control antiemergency and fire-proof trainings; instructing; advanced training.	Considerable
35	Availability of the annual plan of work with personnel developed and approved by the head of the power making organization.	Considerable
36	Availability of actions in the work plan with personnel in the following directions: training of personnel (heads, specialists and workers), including training on first aid; qualification examinations in the field of power industry; instructing; control antiemergency trainings; advanced training; organization of work of technical libraries, technical offices, offices for safe engineering, polygons, centers and Items of training preparation; check of workplaces; competitions in professional skill and other collective forms of work with personnel; performing periodic medical examinations of personnel.	Considerable
37	Availability of standard programs for training of the workers for new position developed for each position and each workplace and approved as the chief technical lead of the power making organization.	Considerable
38	Observance of holding primary qualification examination after completion of training and training in time no later than one month after position assignment or in time, specified in the standard or individual program of the preparation approved by the technical lead.	Rough
39	Observance of requirements for discharge from accomplishment of labor obligations of the worker in case of refusal from passing of qualification examination, and also not confirmation of group on electrical safety at qualification examination, according to the job description.	Rough
40	Observance of requirements of non-admission of person to accomplishment of job responsibilities on post during the period, from the moment of purpose of extraordinary qualification examination before date of confirmation of qualification.	Rough
41	Observance of functional requirements by the chairman of the central commission of person which underwent examination in state body on the state energy supervision and control.	Considerable
42	Availability of the central commission on qualification checks of the power making organization, as a part of at least three people having electrical safety group not below the fourth.	Considerable
43	Availability of the administrative document on the organization or structural division on the admission of the worker to independent work.	Insignificant
44	Availability of the annual list of subjects of repeated instructing for all positions and specialties approved by the technical lead in each structural division.	Considerable
45	Observance of issue of specifications on connection of users of network with the declared electric power of 5 MW and more to power network based on "The scheme of issue of the power of the power plant" developed by the specialized project organizations having the license for occupation project activities.	Considerable
46	Observance of procedure for disconnection of power networks from the generating installations by the power transferring organization for specifying of the system operator under the following circumstances: 1) the prevention of the approaching threat for health and safety of people or the equipment of electroinstallations; 2) accident at power plant or the connecting equipment; 3) failure to carry out by operation personnel of the power making organization of dispatching orders of the power transferring organization or the system operator; 4) liquidation of emergencies and prevention of its development; 5) force majeure circumstances.	Considerable

Appendix 2

to Criteria for evaluation of risk degree in the field of power industry

Extent of violations of requirements in the field of power industry for the power transferring organizations

№ of payment order	Criteria	Extent of violation
1	Availability of information on the arisen technological violations in the summary reporting on technological violations, the directed power transferring organization to the seventh following reporting.	Considerable
2	Availability of the operational message the provided telling organization by phone within 1 (one) hour from the moment of emergence of technological violation with duplication by means of mobile programs for instant messaging.	Considerable
3	Availability of the written message the power transferring organization in time no later than 12 (twelve) hours from the moment of emergence of technological violation in the relevant territorial department of body for the state energy supervision and control on areas and the cities of Astana, Almaty, Shymkent and local executive body and to the system operator.	Considerable
4	Availability of the following data in the operational and written message on the happened technological violation and accident provided by the power transferring organization: 1) name of the energy company, date and time of emergence of technological violation, accident; 2) alleged causes of technological violation, accident; 3) the list of the fulfilled protection, automatic equipment and blocking; 4) the list of the failed equipment and which remained in work; 5) effects of technological violation: amount of the damaged equipment, недоотпуск, the number of the disconnected consumers, time of liquidation of technological violation; 6) surname, name, middle name (in case of its availability) and position transferred information.	Considerable
5	Observance of classification of technological violations by accident: damage which led to forced idle time, lasting 25 days and more, power lines of 220 kilovolts (further – kV) and above; work of Single electric utility system (further – EEC) and its isolated part (power node) with frequency below 49 Hertz (further – Hz) more than 30 minutes or work with frequency more than 51 Hz more than three minutes; violation of integrity of EEC with its separation into separate parts or the violation of work of power plant and (or) power network which caused недоотпуск electrical energy to consumers in the amount of 250000 kilowatt hours (kWh.) and more.	Considerable
6	Observance of classification of technological violations by refusal of the I degree: damage which led to forced idle time, lasting from 10 up to 25 days of the turbine capacity of 50 MW, the generator capacity of 60 MW and above, the transformer capacity 75 MBA and above, the reactor, the switch, power line of 220 kV and above; violation of integrity of EEC with its separation into separate parts or the violation of work of power plant and (or) power network which caused недоотпуск electrical energy to consumers in the amount of 100000 to 250000 kWh.; work of EEC or its isolated part (power node) with frequency below 49,0 of Hz lasting up to 30 minutes or with frequency of 51 Hz less than three minutes; damage of the bearing elements of buildings and constructions, the forced shutdown or restriction of operability of the capital equipment (irrespective of capacity) power plants and (or) substations, power lines which caused недоотпуск electrical energy to consumers from 100000 to 250000 kWh.	Rough
7	Observance of classification of technological violations by refusal of the II degree: violations of the modes of energy consumption in national and regional power networks of EEC of Kazakhstan of 220 kV who caused operation of devices of protection in networks and above, except cases of work with the successful automatic repeated inclusion (ARI); violation of operability of means of conference circuit and systems of telemechanics for the term of more than one days; the wrong actions of protection and (or) automatic equipment, except cases of operation of these devices on signal; shutdown of consumers operation of automatic equipment of restriction of overflow of capacity in networks of 220 kV and above.	Considerable
8	The adherence to deadlines of conducting investigation of technological violations which begins no later than 3 (three) working days estimated from next working day since the moment of emergence of technological violation, and does not exceed 30 calendar days.	Considerable
9	Adherence to deadlines of prolongation of investigation of technological violation for the term of no more than 30 calendar days.	Considerable
10	Adherence to deadlines submission to Committee of atomic and energy supervision and control of the Department of Energy of the Republic of Kazakhstan till December 1, the annual list of the heads who are subject to qualification examination the next calendar year.	Considerable
11	Disconnection of consumers from electric utility service lasting more than 24 (twenty four) watch.	Rough
12	Availability of specifications on connection of again entered or reconstructed electroinstallations within 5 (five) working days, together with the drawn-up and signed statement of differentiation of balance sheet accessory of power networks and operational responsibility of the parties with the scheme of connection of the consumer after receipt of the statement in any form from the consumer.	Rough
13	Section availability on own Internet resource, to the devoted process of the connection to electric utility power grid and issue of specifications including: development of the Section devoted to technological connection to electric utility power grids; placement of information on loading of substations with frequency at least 3 months.	Insignificant
14	Availability of specifications on connection of users of power network with the declared capacity of 1-5 MW to power network of the power transferring organization sent for data to the System operator.	Considerable
15	Timely, reliable and complete provision by the power transferring organizations of the required information necessary for implementation of powers of state control body and supervision in the area to power industry.	Rough
16	Availability of the written warning of the termination (restriction) of delivery of electrical energy by the direction of the notification by the methods specified in the acceptance of the agreement (e-mail, the fax, the mailing, the short text message, the multimedia message existing with messengers) in terms at least for 5 (five) in the afternoon before the termination of delivery of electrical energy to the consumer (The consumer using electrical energy for domestic needs at least in 30 (thirty) calendar days).	Rough
17	Observance of the requirement for interruption in supply of electrical energy completely without prior notice the consumer in case of unauthorized connection of receivers of electrical energy to power network of the power transferring (power making) organization.	Rough
18	Observance of the requirement for interruption in supply of electrical energy completely without prior notice the consumer in case of connection of receivers of electrical energy in addition to (without taking into account) devices of commercial accounting of electrical energy.	Rough
19	Observance of the requirement for interruption in supply of electrical energy completely without prior notice the consumer in case of decrease in indicators of quality of electrical energy because of the consumer to the values breaking functioning of electroinstallations of the power transferring (power making) organization and other consumers.	Rough
20	Observance of the requirement for interruption in supply of electrical energy completely without prior notice the consumer in case of non-admission of representatives of the power transferring (power making) organization and body of energy supervision and control to devices of commercial accounting of electrical energy and electroinstallations of the consumer in working hours (as sent).	Rough
21	Observance of the requirement for interruption in supply of electrical energy completely without prior notice the consumer in case of emergency.
22	Availability of the warning to the power transferring organization of the consumer of interruption in supply of electrical energy for carrying out planned works on repair of the equipment and to connection of new consumers in the absence of reserve food not later than three calendar days before shutdown.	Rough
23	Availability the termination letter of giving to the consumer who is power giving the organizations of electrical energy, for acceptance of urgent measures for the prevention or accident elimination which will entail danger to life of people, significant economic damage, violation of functioning of especially important elements of municipal services and utility power systems.	Rough
24	Availability of the approval of the power transferring organization of specifications issued by the consumer to the subconsumer which will be connected to power networks of consumers.	Rough
25	Availability of the approval of the consumer of specifications issued to the subconsumer who is power betraying organiztion which will be connected to power networks of consumers.	Rough
26	Availability of the statement which is drawn up in any form to the consumer of electricity about violation and carrying out recalculation in case of unauthorized connections to networks of the power transferring organization.	Rough
27	Availability of the statement which is drawn up in any form to the consumer of electricity about violation and carrying out recalculation in case of podklyucheniipriyemnik of the electric power in addition to the device of commercial accounting of electrical energy (further – PKU).	Rough
28	Availability of the statement which is drawn up in any form to the consumer of electricity about violation and carrying out recalculation in case of change of the scheme of inclusion of PKU, transformers of current and tension.	Rough
29	Availability of the statement which is drawn up in any form to the consumer of electricity about violation and carrying out recalculation in case of artificial braking of disk PKU.	Rough
30	Availability of the statement which is drawn up in any form to the consumer of electricity about violation and carrying out recalculation in case of installation of adaptation, PKU distorting indications.	Rough
31	Availability of periodic (another) qualification examination heads and specialists of security services and labor protections of the power transferring organization at least once in three years.	Rough
32	Availability of periodic (another) qualification examination electrotechnical and electrotechnological personnel, including heads and specialists of the operational negotiations and switchings having the right of maintaining, except for administrative technicians of the power transferring organization at least once a year.	Rough
33	Adherence to deadlines the direction in Committee of atomic and energy supervision and control of the Department of Energy of the Republic of Kazakhstan information on employment or dismissal of the head of the power making organization within 15 calendar days from the date of acceptance (dismissal) of the head.	Considerable
34	Availability of qualification examination of specialists of the power transferring organization by the commission on the qualification examination created by the order of the head.	Considerable
35	Adherence to deadlines creation by the power transferring organization annually, till December 25, the list of the specialists who are subject to qualification examination the next calendar year.	Considerable
36	Availability of the protocol of qualification examination following the results of holding qualification examination.	Considerable
37	Observance the requirement for work with operational and operational maintenance force, the operational heads exercising control of power stations in the following forms: 1) the preparation on new position including: training; training on workplace; primary qualification examination; duplication; 2) periodic qualification examinations; 3) control antiemergency and fire-proof trainings; 4) instructing; 5) advanced training.	Considerable

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