On approval of the Rules for certification of personnel involved in nuclear facilities’ handling

New Unofficial translation

Order of the Minister of Energy of the Republic of Kazakhstan dated January 20, 2016 no. 12. Registered with the Ministry of Justice of the Republic of Kazakhstan on March 15, 2016 no. 13468.

      Unofficial translation

      In accordance with sub-clause 20) of article 6 of the Law of the Republic of Kazakhstan dated January 12, 2016 "On use of nuclear energy" I HEREBY ORDER:

      1. To approve the attached Rules for certification of personnel involved in nuclear facilities’ handling.

      2. To declare to be no longer in force the order of the Minister of Energy of the Republic of Kazakhstan dated February 12, 2015 no. 82 "On approval of the Rules for certification а personnel of the operating organization" (registered with the Register of State Registration of Regulatory Legal Acts as no. 10551, published on April 9, 2015 in "Adilet" Legal Information System).

      3. The Committee of Atomic and Energy Supervision and Control of the Ministry of Energy of the Republic of Kazakhstan in accordance with the procedure, established by the legislation of the Republic of Kazakhstan shall ensure:

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

      2) within ten calendar days after the state registration of this order with the Ministry of Justice of the Republic of Kazakhstan direction of its copy for official publication in the printed periodicals and "Adilet" Legal Information, as well as to the Republican State Enterprise on the Right of Economic Management "Republican Center of Legal Information" of the Ministry of Justice of the Republic of Kazakhstan for inclusion into the Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan;

      3) placement of this order on the official Internet-resource of the Ministry of Energy of the Republic of Kazakhstan and the Intranet-portal of state bodies;

      4) within ten working days after the state registration of this order with the Ministry of Justice of the Republic of Kazakhstan, submission to the Department of Legal Service of the Ministry of Energy of the Republic of Kazakhstan of information about implementation of measures stipulated by sub-clauses 2) and 3) of this clause.

      4. Control over execution of this order shall be entrusted to the supervising vice-minister of energy of the Republic of Kazakhstan.

      5. This order shall come into force upon expiry of ten calendar days after the day of its first official publication.

      Minister of Energy
of the Republic of Kazakhstan
V. Shkolnik

      "AGREED"

      Minister of National Economy

      of the Republic of Kazakhstan

      _______________ Ye. Dossayev

      February 17, 2016

  Approved
by the order of the
Minister of Energy
of the Republic of Kazakhstan
dated January 20, 2016 no. 12

Rules for certification of personnel involved in nuclear facilities’ handling

      Footnote. The Rules as amended by the Order of the Minister of Energy of the Republic of Kazakhstan dated May 28, 2018 no. 215 (shall come into force upon expiry of twenty-one calendar day after the date на its first official publication).

Chapter 1. General provisions

      1. These Rules for certification of personnel involved in nuclear facilities’ handling (hereinafter referred to as the Rules) have been developed in accordance with sub-clause 20) of article 6 of the Law of the Republic of Kazakhstan dated January 12, 2016 "On use of nuclear energy" and shall determine the procedure for certification of personnel involved in nuclear facilities’ handling (hereinafter referred to as the certification).

      2. Personnel involved in nuclear facilities’ handling, shall pass certification for determination of compliance of the level of its qualification and professional training with the position held.

      The certification shall be carried out by the department of the authorized body exercising management in the field of nuclear energy (hereinafter referred to as the department of the authorized body).

      The department of the authorized body shall carry out certification of:

      1) specialists, whose official duties include direct control of an installation, ensuring nuclear, radiation, nuclear physical safety when carrying out activities in the field of the use of nuclear energy;

      2) personnel of a nuclear installation, whose official duties include the record and control of nuclear materials, sources of ionizing radiation, radioactive waste, ensuring physical protection of a nuclear installation and nuclear materials;

      3) personnel of radiation, electrophysical installation, whose official duties include the control of radiation safety, record and control of the sources of ionizing irradiation.

      Other personnel shall be certified by individuals and legal entities, carrying out activities in the field of the use of nuclear energy.

      3. Certification of the personnel shall be divided into the following types:

      1) primary certification;

      2) periodical certification;

      3) extraordinary certification.

      4. Primary certification of the personnel shall be carried out within one month after the appointment of an employee.

      Periodical certification shall be carried out once in three years.

      Extraordinary certification shall be assigned in cases of:

      1) the occurrence of incidents at nuclear facilities - in relation to the persons who allowed their occurrence;

      2) violation of requirements of nuclear and (or) radiation and (or) nuclear physical safety, record of nuclear materials, sources of ionizing irradiation, detected in the result of audits by the authorized body in relation to the persons, committed the violation;

      3) by decision of an individual or legal person, carrying out activities in the use of nuclear energy.

      5. Assignment of the extraordinary certification shall not change the terms for carrying out the periodical certification.

      6. For certification, the composition and the regulation on the board for certification of personnel involved in nuclear facilities’ handling (hereinafter referred to as the board) shall be approved by the order of the first head of the department of the authorized body.

      The composition of the board shall include the supervising deputy of the head of the department of the authorized body, heads of departments of structural subdivisions of the department of the authorized body. To ensure transparency and neutrality when conducting the certification, observers who have no voting right shall be invited to the meeting of the board. Representatives of public associations (non-governmental organizations), commercial organizations, political parties, employees of the authorized body for assessment and state control over the quality of public services may attend as observers at the meeting of the board.

      The number of members of the board shall be odd and comprise at least five persons. The secretary shall not be a member of the board and shall not have the voting right.

      The meeting of the board shall be eligible if there is a quorum consisting of at least two thirds of the composition of the board.

      7. The period of certification shall be ten working days from the date of registration of the application on admission to certification.

      8. Certification in the department of the authorized body shall be conducted through testing and interview.

      The interview shall be conducted for the personnel, whose official duties include the radiation safety control.

      9. The list of test questions shall be developed and approved by the department of the authorized body and shall include the questions for knowledge of regulations and requirements of nuclear, radiation, nuclear physical safety, as well as determination of ability to make decisions in the performance of labor duties.

      Making amendments to the approved list of test questions shall be made in case of amendments to the current legislation of the Republic of Kazakhstan in terms of regulations and requirements of nuclear, radiation, nuclear physical safety, as well as in cases of detection of incorrectness in the formulation of questions.

      10. Test question shall be determined depending on the official duties of an employee and types of installations, devices, materials used in the work.

      The number of questions, threshold level of the correct answers, which are the grounds for recognizing the test as passed, as well as time of testing shall be determined by the indicators of testing for the personnel involved in nuclear facilities’ handling according to Annex 1 to these Rules.

      11. In the interview, the person, who passes the certification (hereinafter referred to as the certifiable person) is asked questions by the members of the board in order to verify knowledge of regulations and requirements of nuclear, radiation, nuclear physical safety, as well as determine the ability of decision-making in the performance of labor duties, depending on the types of installations, devices, materials used in the work.

Chapter 2. Procedure of certification of personnel involved in nuclear facilities’ handling

      12. To pass the certification, individuals or legal entities (hereinafter referred to as the applicant) shall submit the following documents (hereinafter referred to as the documents):

      to the department of the authorized body:

      1) an application in the form, according to Annex 2 to these Rules;

      2) a copy of an order on the appointment;

      3) a copy of the job description of the employee;

      To the web-portal of the "electronic government" www.egov.kz (hereinafter referred to as the portal):

      1) an application in the form, according to Annex 2 to these Rules in the form of an electronic document;

      2) an electronic copy of the order on appointment;

      3) an electronic copy of the job description of the employee.

      Footnote. Clause 12 as amended by the order of the Minister of Energy of the Republic of Kazakhstan dated November 7, 2019 no. 358 (shall come into force upon expiry of twenty-one calendar days after the date of its first official publication).

      13. The department of the authorized body within two working days after receipt of the documents, specified in clause 12 of these Rules, shall verify the completeness of the submitted documents.

      If the applicant submits an incomplete set of documents, the department of the authorized body shall provide a reasoned refusal to consider further the application within the specified time.

      If a complete package of documents is submitted, a service recipient shall be sent a letter about the date and place of certification.

      The service recipient approved for certification shall be notified of the place, date, time of certification through the portal in electronic form.

      Footnote. Clause 13 as amended by the order of the Minister of Energy of the Republic of Kazakhstan dated November 7, 2019 no. 358 (shall come into force upon expiry of twenty-one calendar days after the date of its first official publication).

      14. Testing shall be carried out by an automated computer method in the Kazakh or Russian languages at the option of the certifiable person. Foreign persons (non-residents) shall pass certification on usual terms in accordance with these Rules.

      A certifiable person shall be admitted to certification upon presentation of an identification document.

      During testing, certifiable persons shall not be allowed talking to each other, use of whatsoever auxiliary information materials (reference, special literature), communication means and records on electronic media.

      If the secretary of the board reveals a fact of violation of the procedure of testing, testing of the certifiable person shall be discontinued. Upon this violation, the secretary of the board shall execute an act on violation of the procedure of testing in the form, according to Annex 3 to these Rules, and the certifiable person shall be issued a negative result of testing.

      15. Upon expiration of the time allotted for testing, the program shall automatically close.

      The calculation of the correct test answers shall be carried out automatically, using the incorporated computer program.

      16. If the number of correct answers is equal to or exceeds the threshold level, the certifiable person shall be issued a positive result of testing – "test passed".

      17. If the number of correct answers is lower of the threshold level, the certifiable person shall be issued a negative result of testing – "test failed".

      18. The result of testing shall be printed and certified by the signature of the secretary of the board. The original copy shall be issued to the certifiable person after passing the test; a copy shall be kept in the certification file of the certifiable person in the department of the authorized body.

      19. The interview shall be carried out in the form of a question-answer. The certifiable person shall be asked 10 questions.

      The interview shall be considered as passed if the certifiable person answered correctly to 7 and more questions.

      The interview shall be considered as failed, if the certifiable person answered correctly to 6 and less questions.

      20. By results of the interview, the secretary of the certification board shall draft a protocol of the interview of the personnel involved in nuclear facilities’ handling, according to Annex 4 to these Rules, which shall be signed by the members of the board and the certifiable person. The original copy shall be issued to the certifiable person after passing the interview, a copy shall be kept in the certification file of the certifiable person in the department of the authorized body.

      21. By results of the certification, the board shall make one of the following decisions:

      1) conforms to the level of qualification and professional training of the position held;

      2) does not conform to the level of qualification and professional training of the position held.

      The decision of the board shall be executed in the form of conclusion of the meeting of the board for certification of personnel involved in nuclear facilities’ handling, in the form, according to Annex 5 to these Rules.

      22. In case if the board makes the decision stipulated in sub-clause 1) of clause 21 of these Rules, the applicant within three working days shall be send a certificate on certification of personnel involved in nuclear facilities’ handling (hereinafter referred to as the Certificate).

      The Certificate shall be signed by the supervising deputy of the head of the department of the authorized body or a person, who substitutes him, shall be registered in the register of issuance of Certificates on certification of personnel involved in nuclear facilities’ handling.

      A copy of the Certificate shall be kept in the certification file of the certifiable person in the department of the authorized body.

      The Certificate shall be issued in the form, according to Annex 6 to these Rules in paper form, or in case of application through the portal, in electronic form.

      Footnote. Clause 22 as amended by the order of the Minister of Energy of the Republic of Kazakhstan dated November 7, 2019 no. 358 (shall come into force upon expiry of twenty-one calendar days after the date of its first official publication).

      23. In case if the board makes decision stipulated in sub-clause 2) of clause 21 of these Rules, the applicant within three working days shall be send a conclusion of the board on non-conformance of the certifiable person to the level of qualification and professional training of the position held in paper form or, in case of application through the portal, in electronic form.

      Footnote. Clause 23 as amended by the order of the Minister of Energy of the Republic of Kazakhstan dated November 7, 2019 no. 358 (shall come into force upon expiry of twenty-one calendar days after the date of its first official publication).

      24. Individuals and legal entities carrying out activities in the field of use of nuclear energy, shall be prohibited to admit to labour activities at the facilities of use of nuclear energy an employee, who received the conclusion of the board on non-conformance of the level of his qualification and professional training to the position held.

      25. If the certifiable person has not appeared to the certification within the term, specified in the notification of the authorized body, then this person shall be considered as received a negative result of the certification, and the board shall make a decision on non-conformance of the certifiable person to the level of qualification and professional training of the position held.

Chapter 3. Procedure for filing an appeal against the results of testing or interview

      26. In case of disagreement with the results of testing or interview, the certifiable person shall have the right to appeal their results on the date of their origin, through filing an application in the form, according to Annex 7 to these Rules.

      27. To consider the application for reviewing the results of testing or interviews, by order of the head of the department of the authorized body, the composition and regulations of the appeals board for reviewing the application for reviewing the results of testing or interviews shall be approved (hereinafter referred to as the appeals board).

      The appeals board shall consists of the heads of the heads of industry departments not included in the board. The number of members of the appeal board shall be odd and amounts to at least three people.

      28. Consideration of the application for reviewing the results of testing or interview shall be carried out by the appeals board within two working days upon receipt of the application.

      29. Based on the results of the consideration of the application for reviewing the results of testing or interviews, the appeal board shall make a decision, which is drawn up in the form of a protocol in the form, according to Annex 8 to these Rules. The original copy shall be issued to the certifiable person after the appeal procedure; the copy shall be kept in the certification file of the certifiable person in the department of the authorized body.

  Annex 1
to the Rules for certification of
personnel involved in nuclear
facilities’ handling
Indicators of testing for personnel
involved in nuclear facilities’
handling

Item no.

Certifiable person

Number of questions

Time of testing, minutes

Threshold level, %

Specialists, whose official duties include:

1

Direct control of the nuclear installation

30

45

70

2

Ensuring nuclear, radiation, nuclear physical safety

50

75

70

Personnel of a nuclear installation, whose official duties include:

3

Record and control of nuclear materials

30

45

70

4

Record and control of sources of ionizing irradiation

30

45

70

5

Record and control of radioactive waste

40

60

70

6

Ensuring physical protection of a nuclear installation and nuclear materials

30

45

70

Personnel of the radiation installation, whose official duties include:

7

Control of radiation safety when using medical gamma-therapy devices

40

60

70

8

Control of radiation safety during radioisotope diagnostics or therapy

40

60

70

9

Control of radiation safety during handling radioactive waste

50

75

70

10

Control of radiation safety in uranium mines

50

75

70

11

Control of radiation safety during defectoscopy

50

75

70

12

Control of radiation safety when using spectrometers, analyzers, sensors, meters

40

60

70

13

Control of radiation safety during other works

50

75

70

14

Record and control of sources of ionizing irradiation

40

60

70

15

Control of radiation safety, record and control of sources of ionizing irradiation during defectoscopy

60

90

70

16

Control of radiation safety, record and control of sources of ionizing irradiation when using medical gamma-therapy devices

60

90

70

17

Control of radiation safety, record and control of sources of ionizing irradiation during radioisotope diagnostics or therapy

60

90

70

18

Control of radiation safety, record and control when using spectrometers, analyzers, sensors, meters

60

90

70

19

Control of radiation safety, record and control of other sources of ionizing irradiation

60

90

70

Personnel of an electrophysical installation, whose official duties include:

20

Control of radiation safety when using medical X-ray diagnostic or therapeutic equipment

30

45

70

21

Control of radiation safety during defectoscopy

50

75

70

22

Control of radiation safety during other works

50

75

70

23

Record and control of sources of ionizing irradiation

40

60

70

24

Control of radiation safety, record and control of sources of ionizing irradiation during defectoscopy

50

75

70

25

Control of radiation safety, record and control of sources of ionizing irradiation when using medical x-ray diagnostic or therapeutic equipment, linear accelerators

50

75

70

26

Control of radiation safety, record and control of other sources of ionizing irradiation

50

75

70

Personnel of radiation and electrophysical installations, whose official duties include:

27

Control of radiation safety during radioisotope diagnostics or therapy, using medical x-ray diagnostic or therapeutic equipment, linear accelerators

50

75

70

28

Control of radiation safety during defectoscopy

50

75

70

29

Control of radiation safety during other works

50

75

70

30

Record and control of sources of ionizing irradiation

40

60

70

31

Control of radiation safety, record and control of sources of ionizing irradiation during defectoscopy

50

75

70

32

Control of radiation safety, record and control of sources of ionizing irradiation during radioisotope diagnostics or therapy, using medical x-ray diagnostic or therapeutic equipment, linear accelerators

50

75

70

33

Control of radiation safety, record and control of other sources of ionizing irradiation

50

75

70

  Annex 2
to the Rules for certification of
personnel involved in nuclear
facilities’ handling
  Form

Application

      Footnote. Annex 2 as amended by the order of the Minister of Energy of the Republic of Kazakhstan dated February 12,2019 no. 43 (shall come into force upon expiry of twenty-one calendar days after the date of its first official publication).

      __________________________________________________________________________

      (surname, name, patronymic (if any) of an individual or name of a legal entity)

      hereby asks to admit to certification of

      __________________________________________________________________________

      (surname, name, patronymic (if any), individual identification number of the person subjected to certification)

      __________________________________________________________________________

      (position name)

      Enclosed documents:____________________________________________________

      Head ___________________________________________ __________________

      surname, name, patronymic (if any) (signature)

      "___"_______20__

  Annex 3
to the Rules for certification of
personnel involved in nuclear
facilities’ handling
  Form

Act on violation of the procedure of testing

"____" __________ 20 __ year ____ hour ______ minutes

      I, __________________________________________, have established a fact of violation (Surname, name, patronymic (if any)

      of paragraph 3 of clause 14 of the Rules for certification of personnel involved in nuclear facilities’ handling, approved by the order of the Minister of Energy of the Republic of Kazakhstan dated January 20, 2016 no. 12, on behalf of _______________________________________________________________________________,

      which was expressed in the following: (Surname, name, patronymic (if any)

      __________________________________________________________________________

      (brief description of violation)

      Signature of the person, who drawn up the act: ________________________________________________________________________________

      Read and understood: _______________________________________________________________________________

      (Surname, name, patronymic (if any) (signature)

  Annex 4 to the Rules for
certification of personnel involved
in nuclear facilities’ handling
  Form

Protocol of interview no. of personnel,
involved in nuclear facilities’ handling

      Footnote. Annex 4 as amended by the order of the Minister of Energy of the Republic of Kazakhstan dated November 7, 2019 no. 358 (shall come into force upon expiry of twenty-one calendar days after the date of its first official publication).

      The city of Nur-Sultan dated "___" __________ 20___

      The Certification Board, acting on the basis of the order __________________________

      (order no.)

      Consisting of:

      Chairman of the Board: ____________________________________________________

      Members of the Board:

      ________________________________________________________________________

      (Surname, name, patronymic (if any) (signature)

      established: ______________________________________________________________

      (Surname, name, patronymic (if any), individual

      identification number, position)

      ________________________________________________________________________

      (place of employment (full name of the organization) of the applicant)

      passing the _______________________________________________________ certification

      (primary, periodical, extraordinary)

      "___" __________ 20__ answered correctly to ___ questions, answered incorrectly to ___ questions

      Result of interview: _______________________________________________________

      (Interview passed /Interview failed)

      Members of the Board:

      ________________________________________________________________________

      (Surname, name, patronymic (if any) (signature)

      "___" ____________ 20___

  Annex 5 to the Rules for
certification of personnel involved
in nuclear facilities’ handling
  Form

Conclusion no. of the meeting of the Board for certification of personnel
involved in nuclear facilities’ handling

      Footnote. Annex 5 as amended by the order of the Minister of Energy of the Republic of Kazakhstan dated November 7, 2019 no. 358 (shall come into force upon expiry of twenty-one calendar days after the date of its first official publication).

      The city of Nur-Sultan dated "___" __________ 20___

      The Board for certification of personnel involved in nuclear facilities’ handling, acting on the basis of the order dated "___" _________ 20___

      no.______, consisting of:

      Chairman of the Board:______________________________________________________

      (Surname, name, patronymic (if any) (signature)

      Members of the Board: ______________________________________________________

      (Surname, name, patronymic (if any) (signature)

      having considered:

      1. Result of the test;

      2. Protocol of interview (in case of interviewing the certifiable person)

      HAS HEREBY DECIDED THAT: ___________________________________________

      (Surname, name, patronymic (if any)

      conforms/does not conform to the level of qualification and professional training of the position held)

      Members of the Board: _____________________________________________________

      (Surname, name, patronymic (if any) (signature)

  Annex 6
to the Rules for certification of
personnel involved in nuclear
facilities’ handling
  Form

CERTIFICATE

on certification of personnel involved in nuclear facilities’ handling

      This certificate is issued to ___________________________________________________

      (Surname, name, patronymic (if any), position)

      _________________________________________________________________________

      to certify that he(she) by decision of the Certification Board of the Committee of Nuclear and Energy Supervision and Control of the Ministry of Energy of the Republic of Kazakhstan conforms to the level of qualification and professional training of the position held.

      Certificate is valid until: __________________

      (indicate the term)

      Registration number no. ___________

      date of issuance: _______________________

      Deputy head _____________________________________________ __________

      (Surname, name, patronymic (if any) (signature)

      Stamp/seal

  Annex 7
to the Rules for certification of
personnel involved in nuclear
facilities’ handling
  Form

To the Management of the Department of the authorized body, carrying out management
in the sphere of the use of nuclear energy

      from _______________________________

      (Surname, Name, Patronymic (if any)

      ____________________________________

      (Position) ____________________________

      (name of organization)

Application

      I kindly ask you to review the results of testing or interview dated________________ within the framework of__________________________________________________________________

      (date) (primary, periodical, extraordinary)

      certification held, in connection with the fact that

      __________________________________________________________________________

      __________________________________________________________________________

      Signature of the applicant: _______________

      Submission date: "___" ____________ 20__

  Annex 8 to the Rules for
certification of personnel involved
in nuclear facilities’ handling
  Form

Protocol no.

      Footnote. Annex 8 as amended by the order of the Minister of Energy of the Republic of Kazakhstan dated November 7, 2019 no. 358 (shall come into force upon expiry of twenty-one calendar days after the date of its first official publication).

      The city of Nur-Sultan date "___" __________ 20___

      The Appeals Commission consisting of:

      Chairman of the Commission: _________________________________________________

      (Surname, name, patronymic (if any) (signature)

      Members of the Commission: __________________________________________________

      (Surname, name, patronymic (if any) (signature)

      having reviewed the results of testing or interview:

      __________________________________________________________________________

      (Surname, name, patronymic (if any),

      individual identification number, position)

      __________________________________________________________________________

      (place of employment (full name of organization) of the applicant)

      passing ________________________________________________ certification

      (primary, periodical, extraordinary)

      on "___" __________ 20__

      Established: correct answers:________________________ incorrect answers:

      ____________ the threshold level for this category of personnel amounts to:_____________

      The Appeals Commission made a decision:

      1. Result of passing the test or interview remains without a change

      ("test failed" or "interview failed")

      2. Recognize the result of passing the test or interview as positive

      ("test passed" or "interview passed")

      Members of the Commission: _________________________________ _______________

      (Surname, name, patronymic (if any) (signature)

      "___" ____________ 20___

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