JOINT ORDER OF I.O. OF THE MINISTER OF INVESTMENTS AND DEVELOPMENT OF THE REPUBLIC OF KAZAKHSTAN AND MINISTER OF NATIONAL ECONOMY OF THE REPUBLIC OF KAZAKHSTAN

of December 14, 2015 No. 1205, on December 29, 2015 No. 823

About approval of criteria for evaluation of risk degree and checking sheets in the field of automobile, railway, inland water transport and merchant shipping

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

1. Approve:

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

2) criteria for evaluation of risk degree in the field of rail transport according to appendix 2 to this joint order;

2-1) criteria for evaluation of risk degree in the field of inland water transport according to appendix 2-1 to this joint order;

2-2) criteria for evaluation of risk degree in the field of merchant shipping according to appendix 2-2 to this joint order;

3) checking leaf in the field of the state control in the field of road transport concerning carriers of taxi and information and dispatching taxi services according to appendix 3 to this joint order;

3-1) checking leaf in the field of the state control in the field of road transport concerning persons rendering services of bus stations, bus stations and service points of passengers according to appendix 3-1 to this joint order;

3-2) checking leaf in the field of the state control in the field of road transport concerning the automobile carriers performing and (or) rendering services in transportation of passengers and baggage according to appendix 3-2 to this joint order;

3-3) checking leaf in the field of the state control in the field of road transport concerning the automobile carriers performing and (or) providing services in transportation of dangerous goods according to appendix 3-3 to this joint order;

3-4) checking leaf in the field of the state control in the field of road transport concerning the automobile carriers performing and (or) providing services in transportation of goods, and also transportation of bulky and (or) heavy loads according to appendix 3-4 to this joint order;

3-5) checking leaf in the field of the state control in the field of road transport concerning persons acting as consignors and (or) consignees according to appendix 3-5 to this joint order;

3-6) checking leaf in the field of the state control in the field of road transport concerning the automobile carriers performing the international motor transportations according to appendix 3-6 to this joint order;

3-7) checking leaf in the field of the state control in the field of road transport concerning operators of technical inspection according to appendix 3-7 to this joint order;

3-8) checking leaf in the field of the state control in the field of road transport concerning the automobile carriers providing services in perishable traffic according to appendix 3-8 to this joint order;

3-9) checking leaf in the field of the state control in the field of road transport concerning persons performing activities for installation and servicing of tachographs, production and issue of electronic cards to electronic (digital) tachographs according to appendix 3-9 to this joint order;

3-10) checking leaf in the field of the state control in the field of road transport for conducting check on compliance to qualification and allowing requirements concerning carriers of taxi and information and dispatching taxi services according to appendix 3-10 to this joint order;

3-11) checking leaf in the field of the state control in the field of road transport for conducting check on compliance to qualification and allowing requirements concerning persons rendering services of bus stations, bus stations and service points of passengers according to appendix 3-11 to this joint order;

3-12) checking leaf in the field of the state control in the field of road transport for conducting check on compliance to qualification and allowing requirements concerning the automobile carriers performing and (or) rendering services in transportation of passengers and baggage according to appendix 3-12 to this joint order;

3-13) checking leaf in the field of the state control in the field of road transport for conducting check on compliance to qualification and allowing requirements concerning the automobile carriers performing and (or) providing services in transportation of dangerous goods according to appendix 3-13 to this joint order;

3-14) checking leaf in the field of the state control in the field of road transport for conducting check on compliance to qualification and allowing requirements concerning the automobile carriers performing and (or) providing services in transportation of goods, and also transportation of bulky and (or) heavy loads according to appendix 3-14 to this joint order;

3-15) checking leaf in the field of the state control in the field of road transport for conducting check on compliance to qualification and allowing requirements concerning the automobile carriers performing the international motor transportations according to appendix 3-15 to this joint order;

3-16) checking leaf in the field of the state control in the field of road transport for conducting check on compliance to qualification and allowing requirements concerning operators of technical inspection the name of homogeneous group of subjects (objects) of control according to appendix 3-16 to this joint order;

4) checking leaf in the field of the state control in the field of rail transport concerning vetvevladelets according to appendix 4 to this joint order;

4-1) checking leaf in the field of the state control in the field of rail transport concerning auxiliary service of rail transport according to appendix 4-1 to this joint order;

4-2) checking leaf in the field of the state control in the field of rail transport concerning the national operator of infrastructure according to appendix 4-2 to this joint order;

4-3) checking leaf in the field of the state control in the field of rail transport concerning carrier according to appendix 4-3 to this joint order;

4-4) checking leaf in the field of the state control in the field of rail transport concerning the operator of locomotive draft according to appendix 4-4 to this joint order;

4-5) checking leaf in the field of the state control in the field of rail transport concerning railway stations according to appendix 4-5 to this joint order;

4-6) checking leaf in the field of the state control in the field of rail transport concerning operators of cars (containers) according to appendix 4-6 to this joint order;

4-7) checking leaf in the field of the state control in the field of rail transport concerning urban rail transportation (subway) according to appendix 4-7 to this joint order;

4-8) checking leaf in the field of the state control in the field of rail transport concerning urban rail transportation (tram) according to appendix 4-8 to this joint order;

5) checking leaf in the field of the state control and supervision in the field of inland water transport concerning owners of the navigable waterways and constructions located on inland waterways according to appendix 5 to this joint order;

5-1) checking leaf in the field of the state control and supervision in the field of inland water transport concerning owners of bases parking for small size vessels according to appendix 5-1 to this joint order;

6) checking leaf in the field of the state control and supervision in the field of merchant shipping concerning owners of ports and port installations according to appendix 6 to this joint order;

6-1) checking leaf in the field of the state control and supervision in the field of merchant shipping concerning owners of bases parking for small size vessels according to appendix 6-1 to this joint order.

2. Declare invalid the joint order of the Minister of investments and development of the Republic of Kazakhstan of June 29, 2015 No. 739 and the Minister of national economy of the Republic of Kazakhstan of July 20, 2015 No. 543 "About approval of criteria for evaluation of risk degree and forms of checking sheets in the field of automobile, railway, inland water transport and merchant shipping" (registered in the Register of state registration of regulatory legal acts of the Republic of Kazakhstan at No. 11914, published in information system of law of Ad_let on September 11, 2015).

3. To committee of transport of the Ministry for Investments and Development of the Republic of Kazakhstan (Asavbayev A. A.) provide:

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 it the copy in printing and electronic type on official publication in periodic printing editions and Ad_let information system of law", and also in the Republican center of legal information for entering into reference control bank of regulatory legal acts of the Republic of Kazakhstan;

3) placement of this joint order on Internet resource of the Ministry for Investments and Development of the Republic of Kazakhstan and on the intranet portal of state bodies;

4) within ten working days after state registration of this joint order in the Ministry of Justice of the Republic of Kazakhstan submission to Legal department of the Ministry for Investments and Development of the Republic of Kazakhstan of data on execution of the actions provided by subitems 1), 2) and 3) of Item 3 presents of the joint order.

4. To impose control of execution of this joint order on the supervising vice-minister of investments and development of the Republic of Kazakhstan.

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

The acting minister on investments and development of the Republic of Kazakhstan

____________ Zh. Kasymbek

Minister of national economy of the Republic of Kazakhstan

______________ E.Dosayev

It is approved Chairman of Committee on legal statistics and special accounting of the Prosecutor General's Office of the Republic of Kazakhstan December 23, 2015

___________________ S. Aytpayeva

Appendix 1

to the joint Order of the acting minister on investments and development of the Republic of Kazakhstan and the Minister of national economy of the Republic of Kazakhstan of December 14, 2015 No. 1205, on December 29, 2015 No. 823

Criteria for evaluation of risk degree in the field of road transport

Chapter 1. General provisions

1. These criteria for evaluation of risk degree in the field of road transport (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 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. 126 "About modification the order of the acting minister of national economy of the Republic of Kazakhstan of June 22, 2022 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 Minister of national economy of the Republic of Kazakhstan of December 14, 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. 31148).

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 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;

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, the environment, 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.

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

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

1) high risk;

2) average risk.

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.

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.

4. 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.

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

Chapter 3. Objective criteria

6. Determination of objective criteria in the field of road transport is performed by means of risk identification.

7. By objective criteria treat high risk:

1) carriers of taxi and information and dispatching taxi services;

2) the automobile carriers rendering services in transportation of passengers, baggage and loads;

3) persons acting as the consignor and (or) the consignee;

4) the automobile carriers providing services in transportation of dangerous goods;

5) the automobile carriers providing services in transportation of bulky and heavy loads;

6) the automobile carriers performing the international motor transportations;

7) persons rendering services of bus stations, bus stations and service points of passengers;

8) operators of technical inspection.

Treat average risk degree:

1) the automobile carriers providing services in perishable traffic;

2) persons performing activities for installation and servicing of tachographs;

3) persons performing activities for production and issue of electronic cards to electronic (digital) tachographs.

For fields of activity of subjects (objects) of control carried to high risk, frequency rate of conducting checks on compliance to qualification and allowing requirements makes once a year.

For fields of activity of subjects (objects) of control carried to average risk degree, frequency rate of conducting checks on compliance to qualification and allowing requirements makes every two years.

8. For fields of activity of subjects (objects) of control carried to high and average risk degree are carried out check on compliance to qualification and allowing requirements, preventive control with visit of subject (object) of control, preventive control without visit of subject (object) of control and unscheduled inspection.

Frequency rate of preventive control with visit of subject (object) of control, carried to high and average risk degrees, makes not more often than two times a year.

Chapter 4. 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.

For selection of subjects of entrepreneurship when carrying out preventive control with visit the following sources of information are used:

1) analysis results of the data represented by authorized state bodies;

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 selection of subjects of entrepreneurship when conducting check on compliance to qualification and allowing requirements the following sources of information are used:

1) analysis results of the data represented by authorized state bodies;

2) results of preventive control without visit of subject (object) of control (recommendation).

11. Based on the available information sources, when carrying out preventive control and check on compliance to qualification and allowing requirements the subjective criteria which are subject to assessment according to appendices 1 and 2 to these Criteria are created.

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.

Subjects of control, eliminated in full the issued violations following the results of the carried-out previous preventive control with visit and (or) checks on compliance to qualification and allowing requirements, when forming schedules and lists for the next period of the state control do not join.

12. 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 the subjective criteria determined in Chapter of 7 these Criteria the risk exponent by subjective criteria on scale from 0 to 100 points is calculated.

Priority of the applied sources of information and the importance of indicators of subjective criteria are established in criteria for evaluation of risk degree taking into account specifics of the sphere of road transport according to the list of subjective criteria for determination of risk degree by subjective criteria in form according to appendix 3 to these Criteria.

Indicators of subjective criteria are determined for each homogeneous group of subjects (objects) of control in the field of road transport. The specific weight is determined by the importance of indicators of subjective criteria depending on importance of indicator in risk assessment for each homogeneous group of subjects (objects) of control in the field of road transport.

13. Checks on compliance to qualification and allowing requirements are carried out based on the schedule created according to article 144 of the Entrepreneurial code of the Republic of Kazakhstan.

Preventive control with visit of the subject of control are carried out based on the semi-annual lists created according to article 144-2 of the Entrepreneurial code of the Republic of Kazakhstan.

Chapter 5. Risk management

14. For the purpose of realization of the principle of encouragement of fair subjects of control and concentration of control on violators subjects (objects) of control are exempted from carrying out preventive control with visit of subject (object) of control and (or) check on compliance to qualification and allowing requirements for the period determined by subjective criteria for evaluation of risk degree.

15. Subjects (objects) of control by subjective criteria 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 qualification and allowing 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.

16. For the purpose of release from preventive control with visit of subject (object) of control and (or) conducting check on compliance to qualification and allowing requirements the mitigating indicators are considered.

Treats the mitigating indicators:

1) availability of audio and (or) video of fixing, with data transmission in the online mode;

2) availability of sensors and the fixing devices on data transmission in systems of state bodies (water sensors, sensors of fixing of emissions in the atmosphere).

At the same time release from preventive control with visit of subject (object) of control and (or) conducting check on compliance to qualification and allowing requirements is performed regarding requirements, data on which are obtained by the methods specified in the mitigating indicators.

Chapter 6. Features of forming of system of assessment and risk management for the state bodies using information systems taking into account specifics and confidentiality according to legal acts of the Republic of Kazakhstan

17. The system of assessment and risk management by state bodies is conducted with use of the 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.

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 qualification and allowing requirements shall not exceed five percent from total quantity of such subjects of control in certain sphere of the state control.

Chapter 7. Risk degree procedure of payments by subjective criteria

18. For reference of the subject of control to risk degree according to Item of 3 these Criteria, the following procedure of payments of exponent of risk is applied.

The state body collects information and creates the database on subjective criteria of sources according to Item of 10 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 (SP) and exponent of risk by the subjective criteria determined according to Item of 12 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 12 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.

19. 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 10 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 qualification and allowing 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;

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.

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

21. The values calculated by subjects (objects) by indicator 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:

 

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 18 these Criteria.

Chapter 8. Checking sheets

22. Checking sheets are constituted for homogeneous groups of subjects (objects) of control and include requirements according to Item 2 of article 132 of the Code and with observance of the conditions determined in Item 2 of article 143 of the Code.

23. Homogeneous groups are divided as on the types of activity performed by subjects (objects) of control and according to the registration form (legal entities, physical persons, individual entrepreneurs).

Appendix 1

to Criteria for evaluation of risk degree in the field of rail transport

Extents of violations of requirements of subjects (objects) of control in the field of rail transport

Name of criteria		Extent of violation
1.	Incidents as a result of which collision, descent of railway rolling stock in cargo or passenger trains on main, station, sidings and railway tracks is allowed	rough
2.	Incidents as a result of which damage of railway rolling stock to the condition which is not subject to recovery is allowed	rough
3.	Incidents as a result of which damage of railway rolling stock to the amount requiring its uncoupling and giving on repair is allowed	rough
4.	Availability of one confirmed claim or address about damnification, or threat of life and to health of the person and traffic safety on rail transport	insignificant
5.	Availability of two and more confirmed claims or addresses about damnification, or threat of life and to health of the person and traffic safety on rail transport	rough
6.	Confirmation of information on incident on rail transport, or threat of life and to health of the person	rough
7.	Non-execution at the scheduled time of the recommendation of elimination of the violations revealed by results of preventive control without visit of subject (object) of control	rough
8.	Lack of state registration of railway vehicles	considerable
9.	Lack of the instruction about procedure for servicing and the organization of movement on siding developed by vetvevladelets and approved by the National operator of infrastructure	insignificant
10.	Untimely passing of railway vehicles and special railway vehicles (further – Union of Right Forces) scheduled preventive types of repair and maintenance	rough
11.	Implementation of ekspluatation of railway rolling stock with the expired service life, and also excluded (written off) on the axes, on the high-level railway system	rough
12.	Lack of the inspection report about carrying out commission survey two times a year (in the spring and in the fall) power railway vehicles, cars and Union of Right Forces	insignificant
13.	Leaving of the locomotives standing in working order, motorvagonny and Union of Right Forces under observation of the worker, the aware rule of their servicing, and on the station ways – the driver, the driver of Union of Right Forces or their assistants on the depot ways and ways of business entities	rough
14.	Absence on locomotives and the motor - carriage railway vehicles, (special self-propelled railway vehicles) the means of train radio communication compatible to train radio communication of infrastructure along routes of the address of trains (in case of operation on infrastructure), velometers of the established indications providing registration, locomotive devices of the automatic locomotive alarm system and safety controls	rough
15.	Lack of devices of remote uncoupling of shunting locomotives from the cars serviced by one driver	rough
16.	Lack of the second control panel on the shunting locomotives serviced by one driver	rough
17.	Lack of rear-view mirrors on the shunting locomotives serviced by one driver	rough
18.	Lack of the devices providing automatic stop on case of sudden loss by the driver of capability to maintaining the locomotive on the shunting locomotives serviced by one driver	rough
19.	Implementation of release in operation and to following in trains of railway vehicles, including the Union of Right Forces having the defects menacing to traffic safety	rough
20.	Not the equipment of railway vehicles, including special self-propelled railway vehicles automatic brakes, besides not the equipment of the cars, motorvagonny railway vehicles and locomotives intended for driving of passenger trains by electric air brakes	rough
21.	Not the equipment of locomotives, passenger, goods wagons, motorvagonny and Union of Right Forces emergency brakes	rough
22.	Not the equipment of railway vehicles and Union of Right Forces the coupling device excluding spontaneous separation of units of railway rolling stock	rough
23.	Discrepancy of height of axis of automatic coupling over the level of top of heads of rails at locomotives, passenger and goods empty wagons - no more than 1080 millimeters (further – mm.)	rough
24.	Discrepancy of height of axis of automatic coupling over the level of top of heads of rails at locomotives and cars with people - at least 980 mm.	rough
25.	Discrepancy of height of axis of automatic coupling over the level of top of heads of rails at goods wagons (loaded) - at least 950 mm.	rough
26.	Discrepancy of height of axis of automatic coupling over the level of top of heads of rails at Union of Right Forces in empty condition - no more than 1080 mm., in loaded - at least 980 mm.	rough
27.	Failure to provide of dimension of constructions and devices when carrying out any repair, construction and other work	rough
28.	Not laying and not fixing of the loads unloaded or prepared for loading about the way so that the dimension of approach of structures was not broken	rough
29.	Finding of loads (except the ballast unloaded for traveling works) with height up to 1200 mm. from outside side of head of extreme rail 2,0 meter is not closer (further – m), and with big height - m 2,5 is not closer.	rough
30.	Failure to provide in case of operation of all elements of railway track (road bed, the upper structure and artificial constructions) of safe and smooth train service with the speeds established on this site	rough
31.	Discrepancy of railway track concerning radiuses of curves, interface of straight lines and curves, the steepness of biases to the plan and profile of the line	rough
32.	Not establishment of size of variations from the nominal sizes of width of track on direct and curve sites of way: towards narrowing of-4 mm., broadenings of +8 mm., and on sites where speeds of movement of 50 km/h and less, aside are established: narrowings of-4 mm., broadenings of +10 mm.	rough
33.	Not establishment of size of variations from the nominal sizes of width of track less than 1512 mm. and more than 1548 mm.	rough
34.	Implementation of ekspluatation of way on direct sites in size of variation of level of one rail thread is relative another on 6 mm.	rough
35.	Eminence of outside rail thread on curve sites with exceeding of 150 mm.	rough
36.	Operation of railroad switches and deaf crossings at which separation of arrow funnymen and mobile cores of crosspieces with drafts is allowed	rough
37.	Operation of railroad switches and deaf crossings at which lagging of the funnyman from frame rail, the mobile core of crosspiece from usovik on 4 mm is allowed. and more, measured at the funnyman and the core of stupid crosspiece against the first draft, at the core of sharp crosspiece - in core edge in case of the locked arrow provision	rough
38.	Operation of railroad switches and deaf crossings at which it is allowed vykrashivaniye of the funnyman or the mobile core in case of which danger of nabeganiye of crest, and in all cases vykrashivaniye by length on the main ways of 200 mm is created. and more	rough
39.	Operation of railroad switches and deaf crossings at which it is allowed vykrashivaniye of the funnyman or the mobile core in case of which danger of nabeganiye of crest, and in all cases vykrashivaniye by length on the priyemootpravochny ways of 300 mm is created.	rough
40.	Operation of railroad switches and deaf crossings at which it is allowed vykrashivaniye of the funnyman or the mobile core in case of which danger of nabeganiye of crest, and in all cases vykrashivaniye by length on the other station ways of 400 mm is created.	rough
41.	Operation of railroad switches and deaf crossings at which it is allowed lowering of the funnyman against frame rail and the mobile core against usovik on 2 mm. and more, measured in the section where width of head of the funnyman or the mobile core on top 50 mm. and more	rough
42.	Operation of railroad switches and deaf crossings at which the distance between working side of the core of crosspiece and working side of head of counterrail less than 1472 mm is allowed.	rough
43.	Operation of railroad switches and deaf crossings at which the distance between working sides of head of counterrail and usovik more than 1435 mm is allowed.	rough
44.	Operation of railroad switches and deaf crossings at which the break of the funnyman or frame rail, crosspiece break is allowed (the core, usovik or counterrail)	rough
45.	Operation of railroad switches and deaf crossings at which the gap of counterrail bolt in one-bolted or both in the two-bolted insert is allowed	rough
46.	Operation of way except detection cases on the zvenyevy way of gaps between rail and liner in case of which the sole of rail appears above flanges of liners and exceed 5 cross ties or bars in a row	rough
47.	Lack of safety deadlocks, security arrows, the dumping boots dumping funnymen or the dumping arrows in places of adjunction of railway access and connecting tracks to priyemootpravochny and other station ways, for prevention of spontaneous exit of railway vehicles on the station or stage. Lack of useful length of safety deadlocks at least 50 m.	rough
48.	Not limiting establishment of columns in the middle междупутья in that place where the distance between axes of the meeting ways makes 4100 mm.	rough
49.	Not establishment on the reloading ways with the promised mezhduputy limiting column in that place where width междупутья reaches 3600 mm.	rough
50.	In zones of journey and transition through railway tracks: podkladyvaniye, dropping and leaving on railway tracks of objects which can cause violation of movement of rail transport	rough
51.	Failure to provide and implementation by vetvevladelets of maintenance and repair of sidings	rough
52.	Absence at vetvevladelets on each siding of two copies of packets of technical data sheet with longitudinal profile of way	insignificant
53.	Absence at vetvevladelets on each siding of two copies of packets of drawings of artificial constructions	insignificant
54.	Absence at vetvevladelets on each siding of two copies of packets of the large-scale scheme plan with the places of loading unloading (unloading) put on it, with indication of specialization of ways and warehouse spaces	insignificant
55.	Absence in technical data sheet of corresponding changes, after commissioning of new objects or their closing	insignificant
56.	Lack of the tool verification of the plan and profile of siding which is carried out once in ten years	rough
57.	Failure to provide vetvevladelets of illumination of sidings within the territory occupied by them, and also carrying out cleaning of sidings of garbage and snow	insignificant
58.	Failure to provide the first heads of the organizations - participants of transportation process, completeness of conducting primary accounting and correctness of classification of cases of violations of safety	insignificant
59.	Cleaning of roof, loading hatches of the covered and specialized cars of remaining balance of submersed load, wipes pattern texts on the car, also frame and running gears of the car	rough
60.	Provision to authorized body participants of transportation process and owners of railway rolling stock of information on the made planned repairs of railway rolling stock, and also main, station, sidings from the moment of repair completion	insignificant
61.	Content in good repair and effective use of means of defectoscopy and systems of diagnostics	considerable
62.	Implementation of modification of design of the operated railway rolling stock, influencing its operational characteristics, on condition of observance of requirements of operational documentation	rough
63.	All elements of cars on durability, stability and technical condition provide safe and smooth train service	rough
64.	Lack of operability of operation of safety controls and devices of radio communication, the brake equipment and autocoupling device, survey, measuring and alarm meters, electric chains in case of maintenance	rough
65.	Lack of limiters of vertical movements on automatic couplings of cars, and also on automatic couplings of Union of Right Forces, the locomotive working on technology jointly in link to the passenger train	rough
66.	Absence on each wheel couple on axis of accurate sign about time and the place of forming and complete survey of wheel couple, and also brand about its acceptance when forming	rough
67.	Lack of distance between internal sides of wheels at not loaded wheel couple 1440 mm. At locomotives and cars, and also the special self-propelled railway vehicles handling in trains speed over 120 km/h. to 140 km/h, variation assumption towards increase no more than 3 mm. and towards reduction no more than 1 mm., at speeds up to 120 km/h. variation assumptions towards increase and reduction no more than 3 mm.	rough
68.	Release in operation and to following in trains of railway vehicles, including Union of Right Forces with crack in any part of axis of wheel couple or crack in rim, bandage, disk and nave of wheel, in the presence of sharp-pointed setup on crest of wheel couple	rough
69.	Distance between internal sides of wheels of cars of production of the PatentesTalgoS.L company. 1440 mm., handling in trains speed up to 160 km/h., variations are allowed towards increase no more than 3 mm. and towards reduction no more than 1 mm.	rough
70.	Thickness of crest of wheels of cars of production of the PatentesTalgoS.L company. at least 28 mm., wheel rim thickness – at least 40 mm., hire around drivings - no more than 3 mm.	rough
71.	Difference of diameters of wheels of cars of production of the PatentesTalgoS.L company. around drivings when turning from vykatky wheel couple - no more 0,5 of mm., without vykatka - no more than 1 mm.	rough
72.	Difference of diameters of wheels of cars of production of the PatentesTalgoS.L company. between carts of adjacent cars – no more than 5 mm.	rough
73.	Not overspeeding of movement of 140 km/h. In the presence of rams (chips) on the surface of driving of wheels of cars of production of the PatentesTalgoS.L company. depth to mm 0,5.	rough
74.	Not overspeeding of movement of 120 km/h. in the presence of rams (chips) on the surface of driving of wheels of cars of production of the PatentesTalgoS.L company. depth from mm 0,5. to 1 mm.	rough
75.	Failure to carry out of depot and capital repairs of cars with the expired service life after diagnosing of their technical condition on Technical solution, at the same time not exceeding of 5 years of prolongable service life, aggregate fixed term of service of cars, taking into account prolongation, not exceeding of the one-and-a-half appointed service life, specified manufacturing plant on the basic car	insignificant
76.	Not testing and not survey of devices of electric protection, fire extinguishing means, the fire alarm and automatic equipment, manometers, safety valves, air reservoirs on locomotives and motorvagonny railway vehicles	rough
77.	Difference on height between longitudinal axes of automatic couplings no more than 100 mm. in the cargo train	rough
78.	Difference on height between longitudinal axes of automatic couplings no more than 110 mm. between the locomotive and the first loaded car of the cargo train	rough
79.	Difference on height between longitudinal axes of automatic couplings no more than 100 mm. between the locomotive and the first car of the passenger train	rough
80.	Difference on height between longitudinal axes of automatic couplings no more than 70 mm. in the passenger train going with speed up to 120 km/h.	rough
81.	Difference on height between longitudinal axes of automatic couplings no more than 50 mm. the same with speed of 121-140 km/h.	rough
82.	Difference on height between longitudinal axes of automatic couplings no more than 100 mm. between the locomotive and mobile units of Union of Right Forces	rough
83.	Not the equipment of the passenger trains going with speed of 161 km/h. and more bezzazorny automatic coupling between cars	rough
84.	Lack of distribution at the expense of the employer of uniform (without shoulder strap) with the corresponding signs of distinction of the workers of rail transport connected with servicing of passengers, consignors and consignees, and also directly connected with train service	insignificant
85.	Cattle pasture in zones of the increased danger of rail transport	rough
86.	The free omission in zone of the increased danger of fire-fighting combat crews and rescue crews to liquidation of the fires, accidents and other natural disasters, crews of ambulance and emergency medical service	rough
87.	Lack of the written permission of the National operator of infrastructure for placement of objects and work in zones of the increased danger of rail transport	rough
88.	Failure to provide technically the operational tool and technical means according to specifics of the carried-out works	insignificant
89.	Not informing authorized body and its territorial subdivisions, participants of transportation process and auxiliary services of rail transport about violations of traffic safety on main, station and sidings	considerable
90.	Maintaining on each engine, the car and unit of motorvagonny railway vehicles and Union of Right Forces of technical data sheet of the manufacturing plant containing technical and operational characteristics	insignificant
91.	Absence in goods wagons, included in economic, local trains for transportation of people, emergency brake	rough
92.	Distance between axes of ways on stages of two-acceptable lines on direct sites at least 4100 mm.	rough
93.	Distance between axes of ways on three-acceptable and four-acceptable lines, distance between axes of the second and third ways on direct sites at least 5000 mm.	rough
94.	Distance between axes of adjacent ways at railway stations (further - stations) on direct sites at least 4800 mm., on the minor ways and ways of cargo areas - at least 4500 mm.	rough
95.	Distance of 4100 mm. in case of arrangement of the main ways extreme at stations	rough
96.	Distance between axes of the ways intended for direct freight handling from the car in the car, 3600 mm.	rough
97.	Absence at the National operator of infrastructure of drawings and the description of all constructions and devices which are available at distance traveling farms	insignificant
98.	Absence at the National operator of infrastructure large-scale and schematic plans of stations, longitudinal profiles of all main and station ways, hump yards, and also railroad side tracks where locomotives address	insignificant
99.	Discrepancy of width of road bed, on top on direct sites of way to the upper structure of way	rough
100.	The assumption on the existing lines before their reconstruction is at least width of road bed: on single-line lines - 5,5 of m, two-acceptable - m 9,6, and in the rocky and draining soil on single-line lines is at least – 5,0 of m, two-acceptable - m 9,1.	rough
101.	Absence the minimum width of roadside of road bed on top m 0,4 from each party of way	rough
102.	Compliance of the nominal size of width of track between internal sides of heads rails on direct sites of way and on curves to the radius of 350 m and more - 1520 mm.	rough
103.	Track width on more abrupt curves is provided by 1530 mm. - in case of radius from 349 to 300 m on wooden cross ties	rough
104.	Track width on more abrupt curves is provided by 1520 mm. - in case of radius from 349 to 300 m on steel concrete cross ties	rough
105.	Track width on more abrupt curves is provided by 1535 mm. - in case of the radius of 299 m and less for all types of cross ties	rough
106.	Operation of sites of railway tracks track width - 1524 mm. on direct and curve sites of way with a radius more than 650 m.	rough
107.	Barrier of bridges and tunnels control and dimensional devices, equipment announcing alarm system and protecting traffic lights	rough
108.	Supply of artificial constructions with fire-proof means and devices for survey	rough
109.	Not use of track measuring cars and carts, the car defectoscopes, defektoskopny railcars, defektoskopny carts, laboratory on defectoscopy, bridge, tunnel, traveling obsledovatelsky, gabarito-obsledovatelsky, test, repair обследовательско - diving stations for control of condition of way and constructions on the high-level railway system	insignificant
110.	Not establishment of the protecting devices at stations and in the places which are close located to settlements, cattle pasture for safety of train service on railway tracks	rough
111.	Discrepancy to service conditions (traffic volume, axial loadings and speeds of train service) of rails and railroad switches on the main and station ways on capacity and condition	rough
112.	Not establishment before funnymen of all facing railroad switches on the main ways of otboyny bars	rough
113.	Stacking of again railroad switches in the main ways on curve sites	rough
114.	Not the equipment of centralized arrows depending on climatic conditions devices of the mechanized cleaning or snow melting	rough
115.	Not the equipment of not centralized arrows control arrow locks located on the ways on which acceptance and departure of trains, and also security is made	rough
116.	Not the equipment of not centralized arrows control arrow locks leaders on the ways allocated for the parking of cars with dangerous goods of class 1 (explosive materials)	rough
117.	Not the equipment of not centralized arrows control arrow locks leaders on the ways intended for the parking of recovery and fire trains	rough
118.	Not the equipment of not centralized arrows control arrow locks leaders to the safety and catching deadlocks	rough
119.	Not the equipment of not centralized arrows control arrow locks leaders on the ways allocated for sediment of cars defectoscopes, track measuring cars, railway and construction machines	rough
120.	Not the equipment of the arrows and mobile cores of the crosspieces (except located on hump and marshaling sidings) including centralized and having control locks standard devices for possibility of locking by their padlocks. Providing these adaptation dense prileganiye of the funnyman to frame rail, the mobile core of crosspiece to usovik	rough
121.	Arrangement of safety deadlocks or security arrows in places of crossing of the high-level railway system in one level, and also adjunctions of lines, railway access and connecting tracks to the main ways on stages and stations	rough
122.	Lack of the catching deadlocks on the stages having long descents and also at the stations limiting such stages	rough
123.	Not establishment at the main ways of alarm and track signs	rough
124.	Not establishment at railroad switches and in other junctions of limiting ways of columns	rough
125.	Not establishment of special track signs for specifying of borders of railway strip of branch, and also for designation on the Earth's surface of the hidden constructions of road bed	rough
126.	Preserving distance of 3810 mm. on the existing station ways on which the railway vehicles constructed on the T dimension do not address.	rough
127.	Providing crosswalks in one level with railway tracks, replacement with pedestrian tunnels, pedestrian bridges or assignment under the next artificial construction (pipe, the small bridge)	rough
128.	Preserving for construction of the existing walking paths in ways with the equipment their alarm system warning about approach of the train, safety barriers, boards with warning labels	rough
129.	Servicing by the duty worker of moving on which high-speed movement of passenger trains is performed	rough
130.	The termination of movement through moving of vehicles and closing of barrier in 5 minutes before pass of the high-speed passenger train by the person on duty on moving or workers which are carrying out it obligations	rough
131.	The omission through the railway crossing of large-size and heavyweight vehicles with load or without load, low-speed machines and road trains less than in 1 hour prior to pass of the high-speed passenger train	rough
132.	Not barrier signals on both sides of any obstacle for movement (the place requiring stop) in stage and the station, and also the production site of works dangerous to movement requiring stop or reduction of speed irrespective of, the train (shunting structure) is expected or not	rough
133.	Barrier signals of the obstacle or production site of works dangerous to movement	rough
134.	Lack of the signals protecting obstacle or production site of works before removal of obstacles, complete completion of works, checks of condition of way, contact network and observance of dimensions	rough
135.	Lack of the request about issue of preventions in connection with the forthcoming production of foreseen works as roadmen, chiefs and electricians of areas of contact network, electricians of distances of the alarm system and communication - for the period of works, but no more than for 12 hours	insignificant
136.	Lack of the request about issue of preventions in connection with the forthcoming production of foreseen works as directors of distance of way, the alarm system and communication, electric utility service distances - for a period of up to 5 days	insignificant
137.	Transition through railway tracks is provided in the established places on pedestrian bridges, through tunnels, railway crossings. Assumption of transition of railway tracks on pedestrian floorings at stations where there are no bridges and tunnels	rough
138.	Absence the indication of output and route traffic lights of the main ways clearly at least 400 m, distinguishable at distance, output and route traffic lights of branch tracks, and also invitation signals and shunting traffic lights - at distance at least 200 m.	rough
139.	Lack of key - staff for economic trains at the stations located on the sites equipped with traveling blocking, and at stations of sites with semi-automatic blocking where pushing of trains with return of the pushing locomotive is applied - keys staffs and for them	rough
140.	Lack of devices at the stations located on the lines equipped with automatic and semi-automatic blocking and radio blocking not allowing opening of the entrance traffic light in case of the route established on the occupied way	rough
141.	Lack of control of employment of ways and arrows on management personnel	rough
142.	Opening of the entrance traffic light in case of the route established on the occupied way, devices of electric centralization	rough
143.	Switching under railway vehicles devices of electric centralization	rough
144.	Opening of the traffic lights corresponding to this route if shooters are not put in proper position by devices of electric centralization	rough
145.	The transfer entering route of arrow or opening of the traffic light to opposite route in case of the open traffic light protecting the established route with devices of electric centralization	rough
146.	Providing with drives and zamykatel of centralized arrows in case of extreme provisions of arrows of dense prileganiye of the pressed funnyman to frame rail and the mobile core of crosspiece to usovik	rough
147.	Providing with drives and zamykatel of centralized arrows not of assumption of short circuits of funnymen of arrows or the mobile core of crosspiece in case of gap between the pressed funnyman and frame rail or the mobile core and usoviky 4 mm. and more	rough
148.	Providing with drives and zamykatel of centralized arrows of removal of other funnyman from frame rail on distance at least 125 mm.	rough
149.	Assumption arrow control locks of extraction of key only in case of the locked arrow	rough
150.	Assumption arrow control locks of locking of arrows only in the provision specified on the key which is taken out from the lock on condition of dense prileganiye of the funnyman to frame rail	rough
151.	Assumption arrow control locks of possibility of locking of arrow in case of gap between the pressed funnyman and frame rail of 4 mm. and more	rough
152.	Allocation of separate radio frequencies for each shunting area of the station and locomotives servicing it	rough
153.	Finding of the cable communication line, the suspension brackets executed by method, in case of the maximum arrow of pro-weight at height is at least m 5,0 - from the earth in not inhabited area	rough
154.	Finding of the cable communication line, the suspension brackets executed by method, in case of the maximum arrow of pro-weight at height is at least m 6,0 - from the earth in the inhabited area	rough
155.	Finding of the cable communication line, the suspension brackets executed by method, in case of the maximum arrow of pro-weight at height is at least m 4,5 - from surface of passenger platforms	rough
156.	Finding of the cable communication line, the suspension brackets executed by method, in case of the maximum arrow of pro-weight at height is at least m 7,0 - from cloth of highways on railway crossings	rough
157.	The distance from the lower point of wires of air-lines of automatic equipment and telemechanics and communication to the earth in case of the maximum arrow of pro-weight is at least m 2,5 - on m 3,0 stages - at stations	rough
158.	The distance from the lower point of wires of air-lines of automatic equipment and telemechanics and communication to the earth in case of the maximum arrow of pro-weight is at least m 5,5 - on crossings with highways (on the existing lines to their reorganization it is allowed to keep m 4,5 distance)	rough
159.	Carrying out on the station ways of the works requiring barrier signals of stop or reduction of speed with the consent of the person on duty on the station and preliminary entry by the works manager in the Magazine of survey of ways, railroad switches, devices of automatic equipment and telemechanics, communication and contact network	rough

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