On approval of criteria for assessing the degree of risk and a checklist in the field of licensing control in terms of activities related to the collection (procurement), storage, processing and sale by legal entities of scrap and waste of non-ferrous and ferrous metals

Joint Order of the Minister of Industry and Construction of the Republic of Kazakhstan dated March 16, 2026 No. 102 and Deputy Prime Minister - Minister of National Economy of the Republic of Kazakhstan dated March 19, 2026 No. 17. Registered with the Ministry of Justice of the Republic of Kazakhstan on March 31, 2026 No. 38239

In accordance with paragraphs 6 of Article 141 and paragraph 1 of Article 143 of the Entrepreneurial Code of the Republic of Kazakhstan, WE ORDER:

     1. Approve the attached documents:

     1) criteria for assessing the degree of risk in the field of permissive control regarding the collection (procurement), storage, processing and sale by legal entities of scrap and waste of non-ferrous and ferrous metals;

     2) a checklist in the field of licensing control regarding the collection (procurement), storage, processing and sale by legal entities of scrap and waste of non-ferrous and ferrous metals.

     2. The Committee of Industry of the Ministry of Industry and Construction of the Republic of Kazakhstan, in accordance with the procedure established by law, shall ensure:

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

     2) within five working days after the state registration of this joint order with the Ministry of Justice of the Republic of Kazakhstan, its referral to the Committee on Legal Statistics and Special Accounts of the Prosecutor General's Office of the Republic of Kazakhstan for posting in the information system "Unified Register of subjects and objects of inspections;

     3) posting of this joint order on the Internet resource of the Ministry of Industry and Construction of the Republic of Kazakhstan after its official publication;

     3. Control over the implementation of this joint order is entrusted to the supervising Vice Minister of Industry and Construction of the Republic of Kazakhstan.

     4. This joint order shall enter into force upon the expiration of ten calendar days after the date of its first official publication.

Deputy Prime Minister – Minister of National Economy of the Republic of Kazakhstan

__________C. Zhumangarin

Minister of Industry and Construction of the Republic of Kazakhstan

__________E. Nagaspaev

     "AGREED"

     Committee on Legal Statistics

     and special accounts

     The General Prosecutor's Office

     Republic of Kazakhstan

Approved by the Order of the Deputy Prime Minister - Minister of National Economy of the Republic of Kazakhstan on March 19, 2026 No. 17 and the Minister of Industry and Construction of the Republic of Kazakhstan on March 16, 2026 No. 102

Criteria for assessing the degree of risk in the field of permissive control regarding the collection (procurement), storage, processing and sale by legal entities of scrap and waste of non-ferrous and ferrous metals

Chapter 1. General provisions

     1. These Criteria for assessing the degree of risk in the field of permissive control regarding the collection (procurement), storage, processing and sale by legal entities of scrap and waste of non-ferrous and ferrous metals (hereinafter referred to as – Criteria) have been developed in accordance with paragraphs 5 and 6 of Article 141, paragraph 1 of Article 143 of the Entrepreneurial Code of the Republic of Kazakhstan, approved by Orders of the Acting Minister of National Economy of the Republic of Kazakhstan dated July 31, 2018 No. 3 "On Approval of the form of the Checklist" (registered in the Register of State Registration of Regulatory Legal Acts under No. 17371) and Order No. 48 dated June 22, 2022 "On Approval of the Rules for the Formation of a Risk Assessment and Management System by Regulatory State Bodies and on amendments to the Order of the Acting Minister of National Economy of the Republic of Kazakhstan dated July 31, 2018 No. 3 "On Approval of the Rules for the Formation of State bodies of the risk assessment system and forms of checklists" (registered in the Register of State Registration of Regulatory Legal Acts under No. 28577) (hereinafter referred to as the Rules).

     The criteria have been developed for the selection of subjects (objects) of control in order to verify compliance with the licensing requirements for permits issued in accordance with the Law of the Republic of Kazakhstan "On Permits and Notifications" (hereinafter referred to as verification of compliance with licensing requirements), as well as the development of checklists approved in accordance with paragraph 2 of Article 132, Article 141 and paragraphs 2 and 3 of Article 143 of the Entrepreneurial Code of the Republic of Kazakhstan.

     2. The Criteria use the following concepts:

     1) subject of control – legal entities whose activities are monitored for compliance with the legislation of the Republic of Kazakhstan in the field of licensing control regarding the collection (procurement), storage, processing and sale by legal entities of scrap and waste of non-ferrous and ferrous metals by degrees of risk;

     2) gross violations – violations related to the absence of a specialized production base on the right of ownership or other legal basis; a land plot with access roads for vehicles and/or access railway tracks-dead ends on the right of ownership and/or other legal basis; places for storing oxygen and propane cylinders for scrap and ferrous metal waste; storage facilities or closed metal containers for explosive scrap and waste of non-ferrous and ferrous metals, equipped with fire extinguishing equipment; measuring instruments (automobile or railway scales and/or other measuring instruments) entered in the register of the state system for ensuring the uniformity of measurements, if they have a valid certificate of their verification.;

     3) significant violations – violations related to the absence of enclosed spaces or paved or hard concrete or other covered areas for collecting (harvesting), storing and processing scrap and waste of non-ferrous and ferrous metals, with separate storage of scrap and waste by groups, types, grades and grades (for non-ferrous scrap); special sites or production facilities with equipment and tools for sorting, cutting and packaging scrap and waste of non-ferrous and ferrous metals; dosimetric or radiometric equipment for measuring the radiation level of scrap and waste of non-ferrous and ferrous metals, entered in the register of the state system for ensuring the uniformity of measurements, if it has a valid verification certificate; qualified personnel to work on the equipment used according to the staffing table of the enterprise; stationary or mobile lifting equipment, as well as devices with a load capacity corresponding to the technological the process for carrying out these works, approved by the company;

     4) minor violations – violations related to the absence of a sign indicating the affiliation of the reception point to a legal entity or its branch, name, business identification number, operating hours and price list of purchase prices in a place convenient for viewing, as well as on the official website of the legal entity (if any); accounting logs, and/or electronic accounting logs, which should display information about incoming scrap and waste of non-ferrous and ferrous metals, acceptance certificates and other accounting documents; equipment corresponding to the technological process at the enterprise for cutting and cutting non-ferrous and ferrous scrap, as well as presses and/or hydraulic grinders for processing non-ferrous and ferrous scrap; instructions for collecting (harvesting), storing, processing and selling scrap and waste of non-ferrous and ferrous metals, approved by the head of the legal entity; vehicle (trucks and /or other vehicles), owned by right of ownership or otherwise legally, for the transportation of scrap and waste of non-ferrous and ferrous metals; documents confirming the affiliation of the receiving point to a legal entity or its branch;

     5) score is a quantitative measure of risk calculation;

     6) data normalization is a statistical procedure involving the reduction of values measured on various scales to a conventionally common scale.;

     7) risk – the probability of causing harm as a result of the activities of the subject of control to human life or health, the environment, the legitimate interests of individuals and legal entities, the property interests of the state, taking into account the severity of its consequences;

     8) Risk assessment and management system – the process of making managerial decisions aimed at reducing the likelihood of adverse factors by distributing the subjects (objects) of control by degrees of risk for subsequent checks on compliance with licensing requirements in order to minimize the possible degree of restriction of freedom of entrepreneurship, while ensuring an acceptable level of risk in the relevant fields of activity, as well as aimed at changing the level of risk for a specific subject (object) of control and (or) the release of such a subject (object) of control and (or) checks for compliance with licensing requirements;

     9) objective criteria for assessing the degree of risk (hereinafter referred to as objective criteria) – criteria for assessing the degree of risk used to select subjects (objects) of control depending on the degree of risk in the field of permissive control in terms of activities related to the collection (procurement), storage, processing and sale by legal entities of scrap and waste of non–ferrous and ferrous metals;

10) criteria for assessing the degree of risk – a set of quantitative and qualitative indicators related to the direct activities of the subject of control, the specifics of industry development and factors influencing this development, allowing subjects (objects) of control to be classified as different degrees of risk.;

     11) subjective criteria for assessing the degree of risk (hereinafter referred to as subjective criteria) are criteria for assessing the degree of risk used to select subjects (objects) of control depending on the performance of a particular subject (object) of control.;

     12) checklist – a list of requirements for the activities of subjects (objects) of control, non-compliance with which entails a threat to human life and health, the environment, the legitimate interests of individuals and legal entities, the state;

     13) sampling is a list of assessed subjects (objects) classified as a homogeneous group of subjects (objects) of control in a specific area of state control, in accordance with paragraph 2 of Article 143 of the Entrepreneurial Code of the Republic of Kazakhstan.

Chapter 2. Formation of a risk assessment and management system during verification of compliance with the licensing requirements of the subjects (objects) of control

     3. For risk management purposes, when checking for compliance with permissive requirements, risk assessment criteria for checking for compliance with permissive requirements of subjects (objects) of control are formed by defining objective and subjective criteria, which are implemented in stages (multi-criteria analysis of decisions).

     At the first stage, according to objective criteria, all subjects (objects) of control in the field of permissive control regarding the collection (procurement), storage, processing and sale by legal entities of scrap and waste of non-ferrous and ferrous metals are classified as high and medium risk.

     For the fields of activity of subjects (objects) of control classified as high and medium risk according to objective criteria, a check is carried out for compliance with licensing requirements and an unscheduled inspection.

     At the second stage, according to subjective criteria, subjects (objects) of control in the field of permissive control regarding the collection (procurement), storage, processing and sale by legal entities of scrap and waste of non-ferrous and ferrous metals belong to one of the following degrees of risk:

     1) High risk;

     2) Average risk;

     3) Low risk.

     According to the indicators of the degree of risk according to subjective criteria, the subject (object) of control refers to:

     1) to a high degree of risk – with a risk index from 71 to 100 inclusive;

     2) to the average degree of risk – with a risk index from 31 to 70 inclusive;

     3) to a low degree of risk – with a risk index from 0 to 30 inclusive.

     4. Depending on the possible risk and significance of the problem, the uniqueness or consistency of the violation, and the analysis of previously made decisions on each source of information, the licensing requirements for the activities of the subjects (objects) of control correspond to the degree of violation – gross, significant, and minor.

     The degree of violation (gross, significant, minor) is assigned in accordance with the established definitions of gross, significant, minor violations according to subjective criteria.

Chapter 3. Objective criteria

     5. The risk is determined based on one of the following criteria:

     1) the level of danger (complexity) of the object;

     2) the scale of severity of possible negative consequences and harm to the regulated area;

     3) the possibility of an adverse event for human life or health, the environment, the legitimate interests of individuals and legal entities, and the state.

     Objective criteria have been developed in order to distribute the checked subjects (objects) by degrees of risk (high and medium).

     Specialized production facilities and, if available, branches are considered to be at high risk.

     The average risk level includes reception points that accept scrap and waste of non-ferrous and ferrous metals, which are part of a specialized database of a legal entity or its branches.

Chapter 4. Subjective criteria

     6. The definition of subjective criteria is carried out using the following steps::

     1) database formation and information collection;

     2) information analysis and risk assessment.

     7. The formation of a database and the collection of information are necessary to identify the subjects (objects) of control.

     The processes of collecting and processing information are fully automated and provide an opportunity to verify the correctness of the received data.

     The results of previous inspections are used to assess the degree of risk.

Chapter 5. Risk management

     8. In order to implement the principle of encouraging bona fide control subjects and concentrating control on violators, control subjects (objects) are exempt from conducting inspections for compliance with licensing requirements for a period determined by the subjective criteria for assessing the degree of risk of the regulatory state body.

     9. Subjects (objects) of control are transferred using a high-risk information system to a medium-risk one if the subjects are members of a self-regulatory organization based on voluntary membership (participation) in accordance with the Law of the Republic of Kazakhstan "On Self-Regulation", with which an agreement has been concluded on the recognition of the results of the self-regulatory organization.

     10. Exemption from verification of compliance with licensing requirements is carried out on the basis of alternative (independent) risk assessment and analysis systems, audits, and examinations in accordance with the criteria for assessing the degree of risk of a regulatory state body, if such grounds are provided for in international treaties ratified by the Republic of Kazakhstan.

     11. The risk assessment and management system is conducted using information systems that classify the subjects (objects) of control to specific degrees of risk and form schedules for control measures, and is based on government statistics, the results of departmental statistical monitoring, as well as information tools.

     In the absence of an information system for risk assessment and management, the minimum allowable threshold for the number of control entities (objects) subject to inspections for compliance with licensing requirements should not exceed five percent of the total number of such control entities in a certain area of state control.

     The degree of violation of the requirements for subjects (objects) of control during verification of compliance with licensing requirements is given in the appendix to these Criteria.

Chapter 6. The procedure for calculating the degree of risk according to subjective criteria

     12. In order to classify a risk control entity in the field of permissive control in terms of activities related to the collection (procurement), storage, processing and sale by legal entities of scrap and waste of non-ferrous and ferrous metals as a risk in accordance with paragraph 3 of these criteria, the following procedure for calculating the risk indicator is applied.

     According to paragraph 7 of these criteria, information is collected and a database is formed based on subjective criteria from sources.

     The risk index based on subjective criteria (R) is calculated automatically based on the violation risk index (SP) calculated in accordance with paragraph 13 of these criteria, followed by normalization of data values in the range from 0 to 100 points.

     R = SP, where

     R is an indicator of the degree of risk (final) according to the subjective criteria of an individual subject (object) of control.,

     SP is an indicator of the degree of risk for violations,

     The calculation is made for each subject (object) of permissive control in the field of permissive control in terms of activities related to the collection (procurement), storage, processing and sale by legal entities of scrap and waste of non-ferrous and ferrous metals. At the same time, the list of assessed subjects (objects) of control attributed to a homogeneous group of subjects (objects) of control of one sphere of state control forms a sample for subsequent normalization of data.

     13. According to the data obtained from the results of previous inspections, an indicator of the degree of risk for violations is formed, estimated in points from 0 to 100.

     If one gross violation is detected for any of the sources of information specified in paragraph 7 of these criteria, a risk score of 100 points is equated to the subject of control and a check is carried out against him for compliance with licensing requirements.

     If no gross violations are detected, the risk index for violations is calculated as a total indicator for violations of significant and minor degrees.

     When determining the indicator of significant violations, a coefficient of 0.7 is applied.

     This indicator is calculated using the following formula:

     SPz = (SP2 x 100/SP1) x 0.7, where:

     SPz is an indicator of significant violations;

     SP1 – the required number of significant violations;

     SP2 – the number of significant violations detected.

     When determining the indicator of minor violations, a coefficient of 0.3 is applied.

     This indicator is calculated using the following formula:

     SPh = (SP2 x 100/SP1) x 0.3, where:

     SPn is an indicator of minor violations;

     SP1 – the required number of minor violations;

     SP2 – the number of minor violations detected.

When determining the indicator of minor violations, a coefficient of 0.3 is applied.

     This indicator is calculated using the following formula:

     SPh = (SP2 x 100/SP1) x 0.3, where:

     SPn is an indicator of minor violations;

     SP1 – the required number of minor violations;

     SP2 – the number of minor violations detected.

     The risk index for violations (SP) is calculated on a scale from 0 to 100 points and is determined by summing the indicators of significant and minor violations according to the following formula:

     SP = SPz + SPn, where:

     SP is an indicator of the degree of risk for violations;

     SPz is an indicator of significant violations;

     SPn is an indicator of minor violations.

     The obtained value of the indicator of the degree of risk for violations is included in the calculation of the indicator of the degree of risk according to subjective criteria.

Appendix to the criteria of the degree of risk in the field of permissive control regarding the collection (procurement), storage, processing and sale by legal entities of scrap and waste of non-ferrous and ferrous metals

The degree of violations of the requirements for entities in the field of licensing control regarding the collection (procurement), storage, processing and sale by legal entities of scrap and waste of non-ferrous and ferrous metals

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Approved by the Order of the Deputy Prime Minister - Minister of National Economy of the Republic of Kazakhstan on March 19, 2026 No. 17 and the Minister of Industry and Construction of the Republic of Kazakhstan on March 16, 2026 No. 102

Checklist in the field of licensing control regarding the collection (procurement), storage, processing and sale of scrap and waste of non-ferrous and ferrous metals by legal entities in accordance with Article 138 of the Business Code of the Republic of Kazakhstan in respect of legal entities engaged in the collection (procurement), storage, processing and sale of scrap and waste non-ferrous and ferrous metals

     Name of a homogeneous group of subjects (objects) of control________________

     The government agency that ordered the audit _____________________________

     The act on the appointment of the inspection (no., date) ______________________________________

     Name of the subject (object) of control _________________________________

     (Individual identification number), the business identification number of the subject (object) of control ________________________________

     Location address: _________________________________________

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   Official(s) _____________________________________________

     ____________________________________________________________________

     position signature

     ____________________________________________________________________

     last name, first name, patronymic (if any)

     Head of the control entity ___________________________ ____________

     position signature

     ____________________________________________________________________

     last name, first name, patronymic (if any)

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