of July 19, 2013 No. 215-OD
About approval of Rules of approval of rates (the prices, rates of charges) and tariff estimates on regulated services (goods, works) of subjects of natural monopolies
According to the subitem 5) Item 1 of article 14-1 of the Law of the Republic of Kazakhstan of July 9, 1998 "About natural monopolies", the subitem 2) Item 3 of article 16 of the Law of the Republic of Kazakhstan of March 19, 2010 "About the state statistics" PRIKAZYVAYU:
1. Approve the enclosed Rules of approval of rates (the prices, rates of charges) and tariff estimates on regulated services (goods, works) of subjects of natural monopolies.
2. Recognize invalid some regulatory legal acts of the Chairman of the Agency of the Republic of Kazakhstan on regulation of natural monopolies according to appendix to this order.
3. On regulation of natural monopolies (Martynenko A. V.) to provide to department of strategic planning, summary analysis and international cooperation of the Agency of the Republic of Kazakhstan:
1) in the procedure established by the legislation state registration of this order in the Ministry of Justice of the Republic of Kazakhstan;
2) publication of this order on the Internet resource of the Agency of the Republic of Kazakhstan on regulation of natural monopolies, after official publication in mass media.
4. To department of administrative work of the Agency of the Republic of Kazakhstan on regulation of natural monopolies (Bazarbayev S. P.) after state registration of this order in the Ministry of Justice of the Republic of Kazakhstan:
To provide 1) in the procedure established by the legislation its official publication in mass media with the subsequent submission of data on publication to Legal department of the Agency of the Republic of Kazakhstan on regulation of natural monopolies (Metenov S. S.);
2) to bring it to the attention of structural divisions and territorial authorities of the Agency of the Republic of Kazakhstan on regulation of natural monopolies.
5. To impose control of execution of this order on the Vice-chairman of the Agency of the Republic of Kazakhstan on regulation of natural monopolies Duysebayev A. Zh.
6. This order becomes effective after ten calendar days after day of its first official publication.
Chairman
M. Ospanov
It is approved Acting Chairman of the Agency of the Republic of Kazakhstan according to the statistics July 25, 2013 |
Zh. Dzharkinbayev |
It is approved Minister of Economy and Budget Planning Republic of Kazakhstan "_____" ____________ 2013 |
E.Dosayev |
Approved by the Order of the Chairman of the Agency of the Republic of Kazakhstan on regulation of natural monopolies of July 19, 2013 No. 215-OD
1. Rules of approval of rates (the prices, rates of charges) and tariff estimates on regulated services (goods, works) of subjects of natural monopolies (further - Rules) determine approval procedure of rates (the prices, rates of charges) and tariff estimates on regulated services (goods, works) of subjects of natural monopolies.
2. In Rules the following concepts are used:
1) competent authority - the state body performing management of the corresponding industry (sphere) of public administration;
2) the request - (statement) the official appeal of the subject of natural monopoly to department of authorized body about approval of the rates (the prices, rates of charges) on regulated services (goods, works) including differentiated and investment rates (the prices, rates of charge);
3) strategic goods - the coal, gas, fuel oil, diesel fuel used in fuel quality for production of heat energy by subjects of natural monopolies, electrical energy - for subjects of natural monopolies in spheres of transfer and distribution of electrical energy, water supply and (or) water disposal, heat energy - for subjects of natural monopolies in the field of heat supply and for normative losses in the field of transfer and (or) distribution of heat energy, gas - for own needs and losses for subjects of natural monopolies in the field of gas transportation or gas condensate on the bulk and (or) distribution pipelines, purchased water - for subjects of natural monopolies in spheres of water supply, production of heat energy;
4) authorized body - the state body exercising control and regulation of activities in spheres of natural monopolies;
5) department of authorized body - Committee on regulation and natural monopolies, protection of the competition and rights of consumers of the Ministry of national economy of the Republic of Kazakhstan.
Other concepts and terms used in Rules are applied according to the legislation on natural monopolies.
3. Approval of rates (the prices, rates of charges) is made by department of authorized body in the following cases:
1) at the initiative of the subject of natural monopoly;
2) at the initiative of department of authorized body.
4. In case of application and decision making about approval of rates (the prices, rates of charges), and also by consideration of the performance report of the tariff estimate on regulated services, department of authorized body and subjects of natural monopoly are guided by the Special procedure for forming of costs, No. 130-OD (registered in the Register of state registration of regulatory legal acts for No. 8480) applied in case of approval of rates (the prices, rates of charges) on regulated services (goods, works) of subjects of natural monopolies, the approved order of the Chairman of the Agency of the Republic of Kazakhstan on regulation of natural monopolies of April 25, 2013 (further - the Special procedure), other regulatory legal acts in spheres of natural monopolies and also establishing accounting standards, the tax legislation.
5. During creation or reorganization of the subject of natural monopoly, and also after effective period of rates (the prices, rates of charges) approved with restriction of effective period, the subject of natural monopoly submits the request for approval of rates (the prices, rates of charges) to department of authorized body.
6. Department of authorized body initiates change of rate (the prices, rates of charges) on regulated services (goods, works) of subjects of natural monopolies and tariff estimates of subjects of natural monopolies based on the conclusion by results of verifications of information on rates and tariff estimates.
7. The subject of natural monopoly not later than ninety calendar days before introduction of rates (the prices, rates of charges) in action together with the request provides drafts of tariff estimates and rates (the prices, rates of charges) on the regulated services (goods, works) rendered to them, with appendix of the document confirming availability of the approved investing program (project) with indication of number and date of the made decision (except for subjects of natural monopolies of low power).
In case of review of rates (the prices, rates of charges) at the initiative of department of authorized body, the subject of natural monopoly from the date of receipt of the relevant requirement by the subject of natural monopoly represents in a month economically reasonable calculations and other information in the same amount, as in case of application for approval of new rate (the price, rate of charge).
In case of review of rates (the prices, rates of charges) as the emergency regulating measure, including in case of value addition of strategic goods, the subject of natural monopoly together with the request provides the tariff estimate and projects of rates (the prices, rates of charges) on the regulated services (goods, works) rendered to them, at the same time the requirement of part one of this Item in this case does not extend.
8. Are applied to the request for approval of rates (the prices, rates of charges):
1) the explanatory note about need of approval of rates (the prices, rates of charges);
2) project of rate (price, rate of charge);
3) the draft of tariff estimates according to requirements of Item 6 of the Special procedure for the forms specified in appendices 3-33 to these rules;
4) the balance sheet in form according to appendix 2 to the order of the Minister of Finance of the Republic of Kazakhstan of February 27, 2015 No. 143 (registered in the Register of state registration of regulatory legal acts No. 10641) (further - the balance sheet);
5) the profit and loss statement in form according to appendix 3 to the order of the Minister of Finance of the Republic of Kazakhstan of February 27, 2015 No. 143 (registered in the Register of state registration of regulatory legal acts No. 10641) (further - the profit and loss statement);
6) the cash flow statement (direct and indirect method) in forms according to appendices 4 and 5 to the order of the Minister of Finance of the Republic of Kazakhstan of February 27, 2015 No. 143 (registered in the Register of state registration of regulatory legal acts No. 10641);
7) the statement of changes in equity in form according to appendix 6 to the order of the Minister of Finance of the Republic of Kazakhstan of February 27, 2015 No. 143 (registered in the Register of state registration of regulatory legal acts for No. 10641) (further - the statement of changes in equity);
8) the explanatory note to the financial reporting provided by subitems 4) - 7) this Item of Rules;
9) the report on work (code 1211101, index 1-T, frequency quarter) in statistical form according to appendix 1 to the order of the Chairman of Committee according to the statistics the Ministries of national economy of the Republic of Kazakhstan of November 29, 2016 No. 282 (registered in the Register of state registration of regulatory legal acts No. 14590);
10) the report on financial and economic activities of the company (code 0041104, index 1-PF, frequency annual) in statistical form according to appendix 9 to the order of the Chairman of Committee according to the statistics the Ministries of national economy of the Republic of Kazakhstan of October 7, 2015 No. 154 (registered in the Register of state registration of regulatory legal acts No. 12227);
11) aggregated data for calculation of the project of rates (the prices, rates of charges) on regulated services (goods, works) of subjects of natural monopolies according to appendix 1 to these rules;
12) disaggregation of other and other expenses according to the tariff estimate (supporting documents purchase of goods, works, services of the natural monopolies required for implementation of activities of the subject, with reasons for need of these costs);
13) the document confirming availability of the approved investing program (project) with indication of number and date of the made decision;
14) annual cost budget, directed to the routine maintenance and overhaul repairs and other rescue and recovery operations which are not leading to growth of cost of fixed assets;
15) accounting policy (in case of its availability);
16) calculations of requirement of number of personnel, raw materials, materials, fuel, energy and calculations of technical losses made on the basis of the standard regulations and standard rates existing in the corresponding industry (sphere);
17) calculation of the depreciation charges on fixed assets, with indication of useful lives, used before realization of investing program (project), and put into operation in case of realization of investing program (project) during the long-term period with breakdown by years;
18) the documents confirming the planned amount of regulated services (goods, works) (the protocol of intentions, the agreement, calculations of production volumes of goods proceeding from obligation of high-quality general servicing and opportunities of the subject of natural monopoly, inadmissibility of decrease in amounts for the purpose of maintenance or growth of price level (the prices, rates of charges), materials of marketing researches of the consumer demand);
19) data on design capacity of the subject of natural monopoly and on its actual use;
20) information on use of the depreciation charges.
9. (The prices, rates of charge) are applied to the request for approval of investment rate:
1) the document confirming availability of the approved investing program (project) with indication of number and date of the made decision;
2) calculation arrived to regulated base of the involved assets;
3) information on profit distribution;
4) the planned ranges of services confirmed with competent authority;
5) data on design capacity of the subject of natural monopoly;
6) information on distribution of cash flows;
7) project of investment rate (price, rate of charge);
8) the draft of the tariff estimate according to requirements of the Special procedure for the form specified in appendices 3-33 to these rules.
10. (The prices, rates of charge) and the tariff estimate as the emergency regulating measure are applied to the request for approval of rate:
1) the explanatory note, with indication of the reasons of approval of rate (the price, rate of charge) and the tariff estimate as the emergency regulating measure, for the purpose of stabilization of activities of the subject of natural monopoly and protection of life, health of citizens, property of physical persons and legal entities, and also environmental protection;
2) the draft of the tariff estimate according to requirements of the Special procedure for the form specified in appendix 34 to these rules. At the same time in case of value addition of strategic goods in the tariff estimate only the cost items including use of strategic goods are adjusted;
3) the documents confirming need of approval of rate (the price, rate of charge) and the tariff estimate as the emergency regulating measure for the purpose of stabilization of activities of the subject of natural monopoly and protection of life, health of citizens, property of physical persons and legal entities, and also environmental protection.
In case of value addition of strategic goods, as the documents confirming need of approval of rate (the price, rate of charge) and the tariff estimate as the emergency regulating measure (the price, rate of charge) decisions of the tender (tender) committees on purchase of goods, agreements, invoices, calculations of the cost level, and also made on the basis of the standard regulations and standard rates existing in the corresponding industry (sphere), calculations of technical losses, consumption rates of strategic goods which change in value is the reason of submission of the request for approval of rate as the emergency regulating measure are attached to the request for approval of rate the tender documentation.
11. Are applied to the request for approval of the rates for regulated services in the field of water supply differentiated on customer groups:
1) the documents specified in Item 9 of these rules;
2) information on water consumption amount by customer groups (including the population, state-financed organizations, the companies of the sphere of heat-and-power engineeering, other legal entities), in cubic meters (m 3) in four quarters preceding application or for the previous calendar year;
3) information on water consumption amount in cubic meters (the m 3) and to number of people registered in the book of registration of citizens on each subscriber - for the subscribers who do not have individual metering devices of water in four quarters preceding application or for the previous calendar year;
4) information on water consumption amount in cubic meters (the m 3) and to number of people registered in the book of registration of citizens on each subscriber - for the subscribers having individual metering devices of water in four quarters preceding application or for the previous calendar year.
12. In case of change of amounts of the rendered services in connection with reduction of number of consumers without metering devices the subject of natural monopoly submits the request for approval of the differential tariffs depending on availability or lack of metering devices for regulated services in supply with heat energy, including without change of the price levels approved according to Items 8-10 of these rules, with appendix of the proving materials:
1) the explanatory note about need of approval of the differential tariffs depending on availability or lack of metering devices, including without change of the price levels approved according to Items 8-10 of these rules;
2) calculation of the differential tariffs depending on availability or lack of metering devices;
3) information on the planned annual amount of consumption of heat energy by consumers, belonging to national group, including with breakdown on having and not having all-house metering devices of heat energy (except for consumers - physical persons, belonging to national group, living in shabby, emergency premises, houses of barrack-type type where there is no technical capability of installation of all-house metering devices of heat energy) with appendix of the proving materials;
4) information on the planned annual amount of consumption of heat energy by other consumers, including with breakdown on having and not having all-house metering devices of heat energy (except for the other consumers located in shabby, emergency rooms, houses of barrack-type type where there is no technical capability of installation of all-house metering devices of heat energy) with appendix of the proving materials;
5) information on the planned annual amount of consumption of heat energy by the consumers (including with breakdown on physical persons and other consumers) living or located in shabby, emergency premises, houses of barrack-type type where there is no technical capability of installation of all-house metering devices of heat energy;
6) the list of shabby, emergency rooms, houses of barrack-type type where there is no technical capability of installation of all-house metering devices of heat energy.
13. Department of authorized body considers the request for approval of the differential tariffs on customer groups depending on availability or lack of metering devices on regulated services in supply with heat energy without change of level of rate no more than twenty calendar days. The term of consideration is estimated from the moment of application.
14. The calculations and the proving materials attached to the request are constituted according to the following requirements:
1) materials of the request are stitched, numbered and certified by seal and the signature of the head of the subject of natural monopoly, or person replacing it, or the deputy manager whose competence questions of financial accounting and finance enter.
Financial records are signed by the head and the chief accountant of the subject of natural monopoly or persons replacing them and certified by seal the subject of natural monopoly;
2) as the proving materials actual data about costs in four quarters preceding application and for the previous calendar year are represented;
the subject of natural monopoly within fifteen calendar days after adoption of the request to consideration upon the demand of department of authorized body represents to department of authorized body the specified actual data about costs in 4 quarters preceding application;
3) for the purpose of exception of influence of seasonal fluctuations of amounts on rates (the prices, rates of charges), including the differential tariffs in reasons are accepted data per year;
4) when calculating projects of rates (the prices, rates of charges), for base the actual amounts of regulated services (goods, works) are accepted in four quarters preceding application or for the previous calendar year;
5) in case of decrease in amounts of regulated services (goods, works) the materials proving and confirming decrease shall be provided;
6) are prepared separately on each type of activity, the natural monopoly performed by the subject.
15. The requirements provided by subitems 2) and 4) of Item 14 of these rules do not extend to cases of approval of rate (the price, rate of charge) and the tariff estimate as the emergency regulating measure.
16. Department of authorized body no later than five working days from the date of receipt of the request checks completeness of the provided materials and in writing notifies the subject of natural monopoly on adoption of the request to consideration or on refusal in adoption of the request to consideration with reduction of causes of failure, except as specified approvals of the differential tariffs depending on availability or lack of metering devices on regulated services in supply with heat energy without change of the price levels approved according to Items 8-10 of these rules.
Are causes of failure in adoption of the request of the subject of natural monopoly to consideration:
1) violation of terms of submission of the request;
2) non-presentation of the documents specified in Items 7, of 8 and 11 these rules;
3) discrepancy of the submitted documents to Item 14 of these rules;
4) violation of requirements about carrying out tender (tender), and also requirements about purchase of goods, the works and services as different ways established by the legislation on natural monopolies, except as specified addresses of the subject of natural monopoly with the request for approval of investment rate;
5) provision of the documents containing unreliable information.
Cause of failure in acceptance to consideration of the request of the subject of natural monopoly for approval of rate (the price, rate of charge) and the tariff estimate as the emergency regulating measure is non-presentation of the documents specified in Item 10 of these rules.
Causes of failure in adoption of the request of the subject of natural monopoly for approval of investment rate (the price, rate of charge) to consideration are non-presentation of the documents specified in Item 9 of these rules and discrepancy to requirements of subitems 1), 4), 5) and 6) of Item 16 of these rules.
17. Information which is trade secret is submitted the applicant marked "trade secret" and can be directed in separate cover and joins in packet of information (documents) for consideration of the petition.
The trade secret as a part of information does not form the refusal basis in its provision to authorized body, at the same time interested persons by provision of information specify to authorized body the exhaustive list of the data which are trade secret or attach the copy of the act of the interested person of approval of the list of the data which are trade secret.
18. Projects of rates (the prices, rates of charges) and tariff estimates on regulated services (goods, works) of subjects of natural monopolies are considered by department of authorized body within fifty five calendar days on condition of representation of economically reasonable calculations according to requirements of department of authorized body. The term of consideration of projects of rates (the prices, rates of charges), investment rates (the prices, rates of charges) and tariff estimates to them including differentiated is estimated from the moment of application.
Projects of rates (the prices, rates of charges) and tariff estimates on regulated services (goods, works) of subjects of natural monopolies for decision making as the emergency regulating measure are considered by department of authorized body no more than ten calendar days.
If by consideration of projects of rates (the prices, rates of charges) and tariff estimates the additional information is necessary, department of authorized body requests it from the applicant in writing with establishment of term, but at least five working days.
19. Department of authorized body carries out expertize of projects of rates (the prices, rates of charges) and tariff estimates on the basis of the analysis of the proving documents and calculations submitted by the subject of natural monopoly with the request.
Department of authorized body submits the project of rates (the prices, rates of charges) offered by the subject of natural monopoly and tariff estimates for discussion when carrying out public hearings.
20. Department of authorized body by results of the carried-out expertize makes the decision on approval or refusal in approval of new rates (the prices, rates of charges) and tariff estimates.
21. In case of decision making about approval of new rates (the prices, rates of charges) by department of authorized body the tariff estimate in the form specified in appendices 3-33 and 34 to these rules at the same time affirms.
22. The decision of department of authorized body on approval or refusal in approval of new rates (the prices, rates of charges) on regulated services (goods, works), investment rates of the subject of natural monopoly and tariff estimates is drawn up by the order of department of authorized body and goes department authorized body to the subject of natural monopoly no later than thirty five calendar days until their introduction to action.
The decision of department of authorized body on approval of the differential tariffs depending on availability or lack of metering devices on regulated services in supply with heat energy without change of level of the rate approved according to Items 8-10 of these rules is drawn up by the order of the head of department of authorized body and goes department of authorized body to the Subject no later than ten calendar days before their introduction to action.
23. Enforcement of new rates (the prices, rates of charges) and tariff estimates is performed from the first day of the second month following after month of approval of rates (the prices, rates of charges).
24. Department of authorized body in the decision on approval of investment rate (the price, rate of charge) specifies the term of its action.
25. Enforcement of rates (the prices, rates of charges) and tariff estimates as the emergency regulating measure is performed from the date determined by department of authorized body. At the same time twelve monthly period of time for approval of new rate are determined from Date of Introduction in action of earlier approved rate (the price, rate of charge) in general procedure.
26. The subject of natural monopoly informs the consumer information on change of rates (the prices, rates of charges) not later than thirty calendar days before their introduction in action by placement of this information in the mass media extended to the territories of administrative and territorial unit in which the subject of natural monopoly performs the activities.
In case of change of rate (the prices, rates of charges) on regulated services (goods, works) of the subject of natural monopoly as the emergency regulating measure information on their change is brought by the subject of natural monopoly to the attention of the consumer not later than five calendar days before their introduction in action.
The subject of natural monopoly informs the consumer information on introduction of the differential tariffs depending on availability or lack of metering devices on regulated services in supply with heat energy without change of the price levels approved according to Items 8-10 of these rules not later than seven calendar days before their introduction in action by placement of this information in the mass media extended to the territories of administrative and territorial unit in which the subject of natural monopoly performs the activities.
27. The subject of natural monopoly within five working days provides information on the consumer notification fact in department of authorized body.
28. If the subject of natural monopoly does not notify consumers on introduction of new rates (the prices, rates of charges) in the terms provided by these rules, then the specified rates (the prices, rates of charges) are not entered from the date specified in the decision of department of authorized body. Introduction of the approved rates (the prices, rates of charges) is performed from the first day of the third month following after month of approval of rates (the prices, rates of charges).
29. In case of decision making by authorized body in the form of the emergency regulating measures of the requirement of Items 23, of 24, 28 these rules do not expatiate on approval of rates (the prices, rates of charges).
30. The decision of department of authorized body on acceptance or refusal in adoption of the request to consideration, about approval or refusal in approval of rates (the prices, rates of charges) on regulated services (goods, works) of the subject of natural monopoly also terms can be appealed by the subject of natural monopoly or the consumer of regulated services (goods, works) in established by the legislation procedure.
31. The subject of natural monopoly not later than sixty calendar days until the end of the current year can address to department of authorized body with the offer on adjustment of the tariff estimate.
In case of the address with the offer on adjustment of the tariff estimate the subject of natural monopoly represents to department of authorized body the draft of the tariff estimate taking into account adjustments and the materials proving entering of adjustments into the approved tariff estimate.
32. Department of authorized body considers documents on adjustment of the tariff estimate no more than thirty calendar days from the moment of representation.
It is excluded according to the Order of the Acting Minister of national economy of the Republic of Kazakhstan of 24.07.2015 No. 566
to Rules of approval of rates (the prices, rates of charges) and tariff estimates on regulated services (goods, works) of subjects of natural monopolies
form
Name of the subject ______________________________________________________________
Aggregated data for calculation of the project of rates (the prices, rates of charges) on regulated services (goods, works) of subjects of natural monopolies
_____________________________________________________
name of type of regulated services (goods, works)
as of ____________ 20 ___ years
№ of payment order |
Name of indicators * |
Measurement unit. |
It is accepted in the existing tariff estimate |
The actual indicators for the prior finished year |
The actual indicators for the prior 4 finished quarters |
The indicators designed by the subject |
1 |
2 |
3 |
4 |
5 |
6 |
7 |
I |
Production costs of goods and provision of services, everything, including. |
one thousand tenges |
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1 |
Material costs, everything, including. |
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1.1 |
Raw materials and materials |
-//- |
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1.2 |
purchased products |
-//- |
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1.3 |
FUEL AND LUBRICANTS |
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1.4 |
fuel |
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1.5 |
Energy |
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2 |
Expenses on compensation, everything, including. |
-//- |
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2.1 |
Salary of production personnel |
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2.2 |
Social tax |
-//- |
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3 |
Depreciation |
-//- |
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4 |
Repair, everything, including. |
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4.1 |
The capital repairs which are not leading to value addition of fixed assets |
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5 |
(Decipher) other costs |
-//- |
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II |
Expenses of the entire period, including. |
-//- |
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6 |
Total and administrative expenses, in total including: |
-//- |
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6.1 |
Salary of administrative personnel |
-//- |
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6.2 |
Social tax |
-//- |
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6.3 |
Taxes |
-//- |
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6.4 |
(Decipher) other expenses |
-//- |
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7 |
Expenses on payment of remunerations |
-//- |
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III |
In total costs for provision of services |
-//- |
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IV |
Income (RBA*SP/(1-(KPN/100)) |
-//- |
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The document ceased to be valid since June 13, 2020 according to Item 2 of the Order of the Minister of national economy of the Republic of Kazakhstan of May 22, 2020 No. 42