ORDER OF THE GOVERNMENT OF THE REPUBLIC OF KAZAKHSTAN

of December 10, 2010 No. 1343

About some questions of planning and implementation of concessionary projects

According to Articles 155-4, 158 and 230 of the Budget code of the Republic of Kazakhstan of December 4, 2008 and with article 8 of the Law of the Republic of Kazakhstan of July 7, 2006 "About concessions" the Government of the Republic of Kazakhstan DECIDES:

1. Approve enclosed:

1) Rules of representation, consideration and selection of concessionary projects;

2) Rules of carrying out tender at the choice of the concessionary;

3) Rules of carrying out monitoring of agreements of concession, carrying out monitoring and assessment of implementation of concessionary projects;

4) Rules of selection of concessionary projects for provision or increase in amount of guarantees of the state;

5) Requirements to development or adjustment, and also conducting necessary examinations of the feasibility statement on the concessionary project.

3. This resolution becomes effective after the first official publication.

Approved by the Order of the Government of the Republic of Kazakhstan of December 10, 2010 No. 1343

Rules of representation, consideration and selection of concessionary projects

1. General provisions

1. These rules of representation, consideration and selection of concessionary projects (further - Rules) are developed according to Item 5 of Article 155-4 of the Budget code of the Republic of Kazakhstan of December 4, 2008, the subitem 4) of article 8 of the Law of the Republic of Kazakhstan "About concessions" (further - the Law) and subitem 4-5) of Item 1 of article 13 of the Law of the Republic of Kazakhstan of July 9, 1998 "About natural monopolies and the controlled markets".

2. Rules determine procedure for the organization of representation, consideration and selection of concessionary projects.

3. In these rules the following concepts are used:

1) the concessionary offer - the concept of the concessionary project reflecting it the purpose, ways of its achievement, measure of the state support, sources of cost recovery and receipt of the income of the concessionary, including set of the relevant activities, and also the proving feasibility and the sales opportunity of the concessionary project developed by state body with involvement of legal entities on advisory support of the concessionary projects determined by the Government of the Republic of Kazakhstan or local executive bodies;

2) industry examination of the concessionary offer - assessment of authorized state body of the corresponding industry of the concessionary offer developed by the central state or local executive body of area (the city of republican value, the capital) regarding compliance to priorities of development of industry;

3) the republican project - the concessionary project realized on the objects (existing or assumed to construction), belonging to republican property, and/or receivers of economic benefits from implementation of the concessionary project are subjects of two and more areas, the cities of republican value, the capital and according to article 12 of the Law;

4) the local project - the concessionary project realized on the objects (existing or assumed to construction), belonging to municipal property, and/or receivers of economic benefits from implementation of the concessionary project are subjects of one area, city of republican value, the capital and according to article 13 of the Law;

5) predesigns - calculations for profitable and account part of operating, investing and financial activities of the concessionary project with indication of assumptions. Predesigns are made in the MS Excel format with the opening formulas, and it is represented on the paper and electronic medium;

6) the conclusion according to the concessionary offer - the conclusion of the central authorized body on state planning or local authorized body on state planning in the cases established by subitem 3-2) of article 13 of the Law on economic feasibility of further study of the concessionary project according to documents of system of state planning prepared on the basis of examination of the specialized organization for concession or the legal entity determined by local executive body in the case established by subitem 3-2) of article 13 of the Law on the concessionary offer on form according to appendix to these rules.

4. The organizer of tender can attract in case of need legal entities on advisory support of the concessionary projects determined by the Government of the Republic of Kazakhstan or local executive body for study of the concessionary offer, the tender documentation, and also for participation in negotiations with potential concessionaries.

The authorized body on state planning introduces the conclusion on rendering services in advisory support of concessionary projects for consideration of the relevant budget commission.

On the amounts of financing of services in advisory support of each concessionary project approved by the budget commissions, the authorized body on state planning creates the list of services in advisory support of concessionary projects which is performed at the expense of means of the appropriate distributed budget program of authorized body on state planning.

5. The list of the objects offered to transfer to concession for the medium-term period (further - the list) is created by authorized body on state planning according to article 13 of the Law.

The authorized state body of the corresponding industry makes offers on inclusion of the concessionary project planned to realization in the list of concessionary projects of the special importance in the Government of the Republic of Kazakhstan.

5-1. Local authorized bodies on state planning, in the cases established by subitem 3-2) of article 13 of the Law monthly to the 20th following the accounting period notify the central authorized body on state planning on passing of investment offers of the state investment projects (in case of determination of feasibility of its realization as concessionary project), concessionary offers and competitive documentation of the concessionary project on form according to appendix 1 to these rules.

2. Procedure for representation, consideration and selection of concessionary projects

6. Process of representation, consideration and selection of concessionary projects consists of the following interconnected stages:

1) determination and approval of the concessionary offer by the first head of the state body developer, or replacement his face of the concessionary offer of structural division of state body, responsible for development.

The state body can create project team by involvement of the subordinated organizations, independent experts, project, engineering, consulting and other companies, and also the interested state bodies for development of the concessionary offer.

The purpose of activities of project team is development of the concessionary offer, with the proved need of implementation of the concessionary project for this or that industry / sphere / region.

The project team performs the following functions:

studies the arrived offers and initiatives of implementation of the concessionary project, selects, estimates, determines their priority, determines contract type, tender and other key parameters of the concessionary project;

conducts marketing and other necessary researches on the planned concessionary project;

makes all necessary calculations, including development of predesigns of the concessionary project;

2) forming of the concessionary offer by state body at stage of project development of strategic plans of state bodies taking into account provisions of strategic and program documents, the corresponding orders of the country leaders, initiatives of state bodies, and also offers made by physical persons or legal entities according to the procedure of private initiative.

The state body developer of the concessionary offer, in case of need, places summary of the planned concessionary project in mass media of republican value and on the Internet resource, and also can involve concerned parties (potential concessionaries and the population) in process of forming of the concessionary offer within the meetings, round tables and other necessary actions;

3) coordination of the concessionary offer on the subjects to concession relating to republican property and provided in the subitem 1) of Item 2 of article 16 of the Law with authorized state body on implementation of the right of the order republican property, and also with the authorized state body performing management in spheres of natural monopolies and in the controlled markets regarding procedure for forming and approval of rates (the prices, rates of charges) on services (goods, works) relating to the sphere of natural monopolies according to subitem 4-5) of Item 1 of article 13 of the Law of the Republic of Kazakhstan of July 9, 1998 "About natural monopolies and the controlled markets";

4) signing of the concessionary offer by the first head of the state body developer of the concessionary offer, or replacement his face, at the local level - the akim of area (the city of republican value, the capital), or replacement his face;

5) conducting industry examination of the concessionary offer according to Item 2 of article 15-1 of the Law.

Industry expertize of the concessionary offer is carried out within 15 (fifteen) working days:

from the moment of signing of the concessionary offer, if project republican;

from the moment of introduction of the signed concessionary offer by local executive body of areas, the city of republican value, the capital in authorized state body of the corresponding industry.

Industry examination of the concessionary offer is signed by the first head of state body of the corresponding industry, or replacement his face;

5-1) If implementation of the concessionary project is offered at the expense of means of the republican budget, the conclusion of industry examination of the concessionary offer is carried out by the central authorized body of the corresponding industry, in case of impossibility of reference of authorized state body of the corresponding industry to any certain industry, the industry conclusion is carried out by authorized state body of the corresponding industry.

If implementation of the concessionary project assumed to realization at the expense of means of the republican budget affects the sphere of responsibility of other industry central state body, the specified industry central state body carries out the conclusion of industry examination of the concessionary offer.

If implementation of the concessionary project is offered at the expense of means of the local budget according to subitem 3-2) of article 13 of the Law, the conclusion of industry examination of the concessionary offer is carried out by the industry local executive body financed from the local budget in case of impossibility of reference of local authorized body of the corresponding industry to any certain industry, the industry conclusion is carried out by local authorized body of the corresponding industry.

If the concessionary project assumed to realization at the expense of means of the local budget according to subitem 3-2) of article 13 of the Law affects the sphere of responsibility of other industry local body, the specified industry local state body carries out the conclusion of industry examination of the concessionary offer.

6) the direction the state body developer of the signed concessionary offer with application of documents,  the these rules specified in Item 17, in the central authorized body on state planning or local authorized body on state planning in the case established by subitem 3-2) of article 13 of the Law;

7) conducting examination of concessionary offers by the central or local authorized body on state planning with involvement of the specialized organization for concession or the legal entities determined by local executive body in the case established by subitem 3-2) of article 13 of the Law.

The central or local authorized body on state planning sends the concessionary offer to the specialized organization for concession or the legal entities determined by local executive body in the case established by subitem 3-2) of article 13 of the Law on conducting examination within 3 (three) working days from the date of its introduction of the concessionary offer by the state body developer.

Examination is performed within 15 (fifteen) working days from the date of receipt of concessionary offers in the specialized organization for concession or the legal entities determined by local executive body.

In cases of incomplete submission of information by the state body developer, and also need of submission of the additional information specified in concessionary offers the specialized organization for concession or the legal entities determined by local executive body require submission of the specified information.

The specialized organization for concession or the legal entities determined by local executive body in the case specified in part four of this subitem send inquiries to the state body developer of the concessionary offer, the copy of request - to the central or local authorized body by state planning within 10 (ten) working days from the date of receipt of document package to the specialized organization for concession or the legal entities determined by local executive body.

The state bodies developers of the concessionary offer provide the missing and/or additional information at the same time in the central authorized body on state planning and the specialized organization for concession or local authorized body for state planning and the legal entities determined by local executive body in the case established by subitem 3-2) of article 13 of the Law within 5 (five) working days from the moment of receipt of request or notify on need of additional terms for submission of information, but no more than 15 (fifteen) calendar days.

From the date of sending an inquiry and before submission of necessary information terms of conducting examination stop.

In case of completion of the concessionary offer on the request of the state body developer, terms of examination are updated, but no more than 1 (one) time;

8) the direction the central authorized body on state planning within 5 (five) working days of the conclusion according to the concessionary offer from the moment of receipt of examination of the specialized organization for concession, except as specified, established by subitem 3-2) of article 13 of the Law:

to authorized state body of the corresponding industry, if project republican;

to local executive bodies of areas, cities of republican value, capital, if project local.

In the cases established by subitem 3-2) of article 13 of the Law, the conclusion according to the concessionary offer goes to the state body developer of the concessionary offer local authorized body on state planning within 5 (five) working days from the moment of receipt of examination;

9) approval of the concessionary offer by the state body software developer to results of the positive conclusion of the central authorized body on state planning or local authorized body on state planning in the case established by subitem 3-2) of article 13 of the Law according to the concessionary offer;

10) the state body developer introduces in the central or local authorized body on state planning the request with appendix of the approved concessionary offer, the conclusion for the concessionary offer and other corresponding examinations for further pronouncement at consideration of the relevant budget commission of question of development or adjustment, and also conducting necessary examinations of the tender documentation of concessionary projects;

11) based on the request of state body - developer of the concessionary offer on republican projects the central authorized body on state planning creates the conclusion according to concessionary offers on development or adjustment, and also on conducting necessary examinations of competitive documentation of concessionary projects, including feasibility statements (further - the feasibility study), or on the projects having developed design estimates (further - the design and estimate documentation), and also being technically simple, implemented based on standard projects, prototype project solutions and projects of repeated application, on binding available the design and estimate documentation to the specific platform of subject to concession, and submits for consideration of the Republican budget commission;

based on the request of state body - developer of the concessionary offer with appendix of positive experimental testimony on local projects the local authorized body on state planning creates the conclusion according to concessionary offers on development or adjustment, and also conducting necessary examinations of competitive documentation of concessionary projects, including feasibility study, or on the projects having developed by the design and estimate documentation, and also being technically simple, realized based on standard projects, prototype project solutions and projects of repeated application, on binding available the design and estimate documentation to the specific platform of subject to concession, and submits for consideration of the relevant budget commission;

12) development, adjustment, conducting necessary examinations and approval of the tender documentation:

in cases of carrying out tender at the choice of the concessionary without use of two-stage procedures:

development by the organizer of tender of the tender documentation, including feasibility study for the concessionary project.

On the projects having developed by the design and estimate documentation, and also being technically simple, realized based on standard projects, prototype project solutions and projects of repeated application, development of the feasibility statement is not required.

Development or adjustment of the tender documentation is performed with the binding which is available the design and estimate documentation to the specific platform of subject to concession taking into account the marketing, financial and economic parameters of the concessionary project containing in the concessionary offer.

The binding to the specific platform of subject to concession which is available the design and estimate documentation is performed within allocated funds on development or adjustment, and also conducting necessary examinations of the tender documentation of concessionary projects, and also taking into account compliance to the requirements established by the legislation of the Republic of Kazakhstan on architectural, town-planning and construction activities;

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