JOINT ORDER OF I.O. MINISTER OF EDUCATION AND SCIENCE OF THE REPUBLIC OF KAZAKHSTAN AND I.O. MINISTER OF NATIONAL ECONOMY OF THE REPUBLIC OF KAZAKHSTAN

of December 31, 2015 No. 719, on December 31, 2015 No. 843

About approval of criteria for evaluation of risk degree and checking sheets behind education system regarding preschool education and training, initial, main average, general secondary, technical and professional, postsecondary, additional education and provision of educational and improving services by the minor

According to Items 5 and 6 of Article 141, Item 1 of article 143 of the Entrepreneurial code of the Republic of Kazakhstan we ORDER:

1. Approve:

1) evaluation criteria and risk managements behind education system, regarding preschool education and training, initial, main average, general secondary, technical and professional, postsecondary, additional education and provision of educational and improving services by the minor according to appendix 1 to this joint order;

2) checking leaf behind education system regarding preschool education and training concerning the organizations of education realizing educational training programs of preschool education and training according to appendix 2 to this joint order;

3) checking leaf behind education system regarding primary, main secondary and general secondary education concerning the organizations of education realizing educational training programs of primary, main secondary and general secondary education according to appendix 3 to this joint order;

4) checking leaf behind education system regarding primary, main secondary and general secondary education concerning the organizations of education realizing educational training programs of primary, main secondary and general secondary education according to appendix 4 to this joint order;

5) checking leaf behind education system regarding technical and professional, postsecondary education concerning the organizations of education realizing educational programs of technical and professional, postsecondary education according to appendix 5 to this joint order;

6) checking leaf behind education system regarding technical and professional, postsecondary education concerning the organizations of education realizing educational programs of technical and professional, postsecondary education according to appendix 6 to this joint order;

7) checking leaf behind education system regarding additional education concerning the organizations of additional education of children according to appendix 7 to this joint order;

8) checking leaf behind education system regarding provision of educational and improving services by the minor according to appendix 8 to this joint order.

2. Declare invalid the joint order of the acting minister of science and education of the Republic of Kazakhstan of July 24, 2015 No. 479 and the acting minister of national economy of the Republic of Kazakhstan of July 31, 2015 No. 583 "About approval of criteria for evaluation of risk degree and forms of checking sheets on checks behind education system" (No. registered in the Register of state registration of regulatory legal acts 11994, published in information system of law of Ad_let on September 29, 2015).

3. (Nyusupov S.) in the procedure established by the legislation to provide to committee on control in the field of science and education of the Ministry of Education and Science of the Republic of Kazakhstan:

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

2) within ten calendar days after state registration of this order in the Ministry of Justice of the Republic of Kazakhstan the direction on official publication;

3) placement of this joint order on Internet resource of the Ministry of Education and Science of the Republic of Kazakhstan.

4. To impose control of execution of this joint order on the vice-Minister of Education and Science of the Republic of Kazakhstan Balykbayev T.

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

Acting minister of science and education of the Republic of Kazakhstan December 31, 2015

_____________ Balykbayev T.

Acting minister of national economy of the Republic of Kazakhstan December 31, 2015

_____________ Kusainov M.

It is approved Chairman of Committee on legal statistics and special accounting of the Prosecutor General's Office of the Republic of Kazakhstan December 30, 2015

_______________ Aytpayeva S.

Appendix 1

to the joint Order of the acting minister of science and education of the Republic of Kazakhstan and the acting minister of national economy of the Republic of Kazakhstan of December 31, 2015 No. 719, on December 31, 2015 No. 843

Evaluation criteria and risk managements behind education system, regarding preschool education and training, initial, main average, general secondary, technical and professional, postsecondary, additional education and provision of educational and improving services by the minor

Chapter 1. General provisions

1. These Evaluation criteria and risk managements behind education system regarding preschool education and training, initial, main average, general secondary, technical and professional, postsecondary and additional education (further – Criteria) are developed according to Item 2 of Article 132, Items 5 and 6 of Article 141 and to Items 1 of article 143 of the Entrepreneurial code of the Republic of Kazakhstan (further – the Code), the order of the acting minister of national economy of the Republic of Kazakhstan "About approval of form of checking leaf" of July 31, 2018 No. 3 (it is registered in the Register of state registration of regulatory legal acts at No. 17371) and the order of the acting minister of national economy of the Republic of Kazakhstan "About approval of Rules of forming by regulatory state agencies of system of assessment and risk management" of June 22, 2022 No. 48 (it is registered in the Register of state registration of regulatory legal acts at No. 28577) and the inspections which are carried out on compliance to qualification or allowing requirements on the issued permissions are intended for selection of subjects (objects) of control for the purpose of carrying out to requirements for directed notifications according to the Law of the Republic of Kazakhstan "About permissions and notifications" (further – check on compliance to requirements) and preventive control with visit of subject (object) of control.

2. In these 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) risk – probability of damnification as a result of activities of the subject of control of life or to health of the person, legitimate interests of physical persons and legal entities, valuable interests of the state taking into account severity of its effects;

4) system of assessment and risk management – process of acceptance of the management decisions directed to decrease in probability of approach of adverse factors by distribution of subjects (objects) of control on risk degrees for the subsequent implementation of preventive control with visit of subject (object) of control 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;

5) objective criteria for evaluation of risk degree (further – objective criteria) – the criteria for evaluation of risk degree used for selection of subjects (objects) of control depending on risk degree in certain field of activity and which are not depending directly on separate subject (object) of control;

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

7) subjective criteria for evaluation of risk degree (further – subjective criteria) – the criteria for evaluation of risk degree used for selection of subjects (objects) of control depending on results of activities of specific subject (object) of control;

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

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

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

Chapter 2. Procedure for forming of system of assessment and risk management when conducting check on compliance to requirements and preventive control of subjects (objects) of control

4. For risk management objectives when implementing preventive control with visit of subject (object) of control and (or) check on compliance to requirements, criteria for evaluation of risk degree for conducting check on compliance to requirements and preventive control of subjects (objects) of 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 subjects (objects) of control by objective criteria carry to one of the following risk degrees:

1) high risk;

2) average risk;

3) low risk.

Concerning subjects (objects) of control carried to high and average risk degree by objective criteria preventive control without visit of subject (object) of control and unscheduled inspections is performed on compliance to requirements, preventive control with visit of subject (object) of control.

Concerning subjects (objects) of control carried to low risk degree by objective criteria unscheduled inspections are carried out.

At the second stage subjects (objects) of control by subjective criteria 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.

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

6. Criteria for evaluation of risk degree for conducting check on compliance to requirements and preventive control of subjects (objects) of control are created by means of determination of objective and subjective criteria.

Paragraph 1. Objective criteria

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

8. By objective criteria subjects (objects) of control:

1) the organizations of education realizing educational training programs of preschool education and training, initial, main average, general average, educational programs of technical and professional, postsecondary, additional education and providing educational and improving services by the minor which activities are conducted with violations of the law of the Republic of Kazakhstan in the field of education treat high risk;

2) the organizations of education realizing educational programs of children's music schools, children's art schools and children's schools of arts which activities are conducted with violations of the law of the Republic of Kazakhstan in the field of education treat average risk degree;

3) the organizations of education realizing educational programs of additional education which activities are conducted with violations of the law of the Republic of Kazakhstan in the field of education treat low risk degree.

Paragraph 2. Subjective criteria

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

1) forming of the database and information collection;

2) information analysis and risks assessment.

10. Forming of the database and information collection are necessary for identification of subjects (objects) of control violating the law of the Republic of Kazakhstan in the field of preschool education and training, initial, main average, general secondary, technical and professional, postsecondary and additional education.

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

1) the results of monitoring of the reporting and data represented by the subject of control including by means of the information system "National Educational Database" (further – IS NOBD);

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

3) availability and the number of the confirmed claims and addresses to subjects (objects) of control which arrived from physical persons or legal entities, state bodies within one calendar year;

4) 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.

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

1) the results of monitoring of the reporting and data represented by the subject of control including by means of the information system "National Educational Database" (further – IS NOBD);

2) results of the previous checks;

3) availability and the number of the confirmed claims and addresses to subjects (objects) of control which arrived from physical persons or legal entities, state bodies within one calendar year;

4) 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.

13. Based on the available information sources, the authorized body in the field of education creates the data on subjective criteria which are subject to the analysis and assessment in the field of:

1) preschool education and training according to appendix 1 to these Criteria;

2) primary, main secondary, general secondary education according to appendices 2 and 3 to these Criteria;

3) technical and professional, postsecondary education according to appendices 4 and 5 to these Criteria;

4) additional education according to appendix 6 to these Criteria;

5) provisions of educational and improving services by the minor according to appendix 6-1 to these Criteria.

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

In the analysis and assessment the data of subjective criteria which are earlier considered and used concerning specific subject (object) of control or data according to which the term of limitation period according to the legislation of the Republic of Kazakhstan expired are not applied.

Concerning the subjects of control which eliminated in full the issued violations following the results of the carried-out previous preventive control with visit 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.

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

16. Priority of the applied sources of information and the importance of indicators of subjective criteria are established according to the list of subjective criteria for determination of risk degree by subjective criteria concerning the organizations of education implementing:

1) educational training programs of preschool education and training according to appendix 7 to these Criteria;

2) educational training programs of primary, main secondary, general secondary education according to appendix 8 to these Criteria;

3) to educational programs of technical and professional, postsecondary education according to appendix 9 to these Criteria;

4) educational programs of the organizations of education providing educational and improving services by the minor according to appendix 10 to these Criteria.

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

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

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

Chapter 3. Risk degree procedure of payments by subjective criteria

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

The authorized body in the field of education collects information and creates the database on subjective criteria of sources according to Items 11 or 12 of these Criteria, depending on carrying out preventive control with visit of subject (object) of control and (or) check on compliance to requirements.

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 16 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 16 these Criteria.

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

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

In case of identification of one gross violation on any of the sources of information specified in Item of 13 these Criteria, the subject of control 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.

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;

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