Document from CIS Legislation database © 2003-2021 SojuzPravoInform LLC

The document ceased to be valid since January 29, 2016 according to Item 2 of the Order of the Minister of national economy of the Republic of Kazakhstan of November 30, 2015 No. 743

ORDER OF THE MINISTER OF NATIONAL ECONOMY OF THE REPUBLIC OF KAZAKHSTAN

of December 29, 2014 No. 177

About approval of Rules of forming and approval of rates (the prices, rates of charges) on regulated services (goods, works) of subjects of the natural monopolies performing the activities for agreements of concession

According to Item 2-1 of article 15-1 of the Law of the Republic of Kazakhstan of July 9, 1998 "About natural monopolies and the controlled markets "I ORDER:

1. Approve the enclosed Rules of forming and approval of rates (the prices, rates of charges) on regulated services (goods, works) of subjects of the natural monopolies performing the activities for agreements of concession.

2. To provide to committee on regulation of natural monopolies and protection of the competition of the Ministry of national economy of the Republic of Kazakhstan in the procedure established by the legislation of the Republic of Kazakhstan:

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

2) within ten calendar days after state registration of this order its direction on official publication in periodic printing editions and in information system of law of Ad_let;

3) placement of this order on Internet resource of the Ministry of national economy of the Republic of Kazakhstan.

3. To impose control of execution of this order on the first vice-minister of national economy of the Republic of Kazakhstan.

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

Minister

E.Dosayev

It is approved

Minister of investments and development of the Republic of Kazakhstan

of February 20, 2015

 

A. Isekeshev

It is approved

Minister of Finance of the Republic of Kazakhstan

of February 4, 2015

 

B. Sultanov

Approved by the Order of the Minister of national economy of the Republic of Kazakhstan of December 29, 2014 No. 177

Rules of forming and approval of rates (the prices, rates of charges) on regulated services (goods, works) of subjects of the natural monopolies performing the activities for agreements of concession

1. General provisions

1. These rules of forming and approval of rates (the prices, rates of charges) on regulated services (goods, works) of subjects of the natural monopolies performing the activities for agreements of concession (further - Rules), are developed according to the Law of the Republic of Kazakhstan of July 9, 1998 "About natural monopolies and the controlled markets" (further - the Law) for the purpose of determination of procedure for forming and approval of rates (the prices, rates of charges) on regulated services (goods, works) of subjects of the natural monopolies performing the activities for agreements of concession (further - the subject of concession).

2. In Rules the following concepts are used:

1) the invested capital - the amount of own means and the loan capital of the subject of concession for creation or reconstruction of subject to concession;

2) regulated services (goods, works) of the subject of concession - the services (goods, works) provided by the subject of concession in the sphere of natural monopoly and which are subject to state regulation of authorized body by department including cases of provision of services (goods, works) in the form of transfer of certain goods to the consumer;

3) the loan capital - the capital formed at the expense of loans (receipt of the credits, release and sale of bonds, receipt of means by other types of monetary commitments) for creation or reconstruction of subject to concession;

4) competent authority - the state body performing management of the corresponding industry (sphere) of public administration or local executive body;

5) own means - money (the share (authorized) capital, retained earnings (net income) or the depreciation charges) of the subject of concession used in creation and reconstruction of subject to concession;

6) costly part of rate - set of the costs connected with rendering services (works) by the subject of concession which are considered in case of approval of rate. These costs consist of cost of regulated service (goods, work) and period expenses (total and administrative expenses, selling expenses, expenses on payment of remunerations);

7) authorized body - the state body performing management in spheres of natural monopolies and in the controlled markets;

8) department of authorized body - department of the state body performing management in spheres of natural monopolies and in the controlled markets.

Other concepts and terms used in Rules are applied according to legislations of the Republic of Kazakhstan on concessions, on natural monopolies and the controlled markets and the budget legislation.

2. Procedure for forming of rates (the prices, rates of charges) on regulated services (goods, works) of subjects of concession

3. Rates for regulated services (goods, works) of subjects of concession shall be not lower than the cost of the costs necessary for provision of regulated services (production of goods, works), to provide return of the invested capital and to consider possibility of profit earning, the subject of concession providing effective functioning.

Thus after the termination of the duration of the agreement of concession, rates for regulated services (goods, works) of the subject of concession are created without return of the invested capital.

4. Rates (the prices, rates of charges) per unit of regulated services (goods, works) rendered by subjects of concession under the agreement of concession are created on the following stages:

1) the calculation of annual revenue including:

determination of annual cost amount, included in costly part of rate (the prices, rates of charge) according to Item 7 of these rules;

determination of the size of initial and residual amount of the invested capital and calculation of the annual amount of return of the invested capital for the forthcoming period according to Items 8 and 9 of these rules;

calculation of the annual amount arrived to the invested own means according to Item 10 of these rules;

2) determination of annual amount by types of regulated services (goods) employed under the agreement of concession, for the forthcoming period according to Item 13 of these rules;

3) determination of cost basis of rates (the price, rates of assemblies) by reasonable distribution of annual revenue by types of the rendered regulated services (goods, works).

5. Forming of rates is performed based on separate accounting of the income, costs and the involved assets by each type of regulated services and in general on other activities.

6. When forming rate for regulated services of the subject of concession the expenses connected with financing of objects of the social sphere entering property complex of subject to concession, confirmed with the corresponding proving materials are considered.

7. Forming of the costs applied in case of approval of rates (the prices, rates of charges) on regulated services (goods, works) of subjects of the natural monopolies performing the activities for agreements of concession is performed in the compliance sosoby procedure for forming of costs 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 No. 130-OD registered in the Register of state registration of regulatory legal acts for No. 8480 (further - the Special procedure).

8. The general size of the invested capital is determined as the amount of own and loan invested capital.

The forecast extreme size and precedent conditions of attraction (structure, rate of remuneration of the loan capital and rate of profit of own means, target use, the schedule of development, terms of return) of the initial amount of the invested capital are determined based on supporting documents (the financial reporting of the subject of concession, memorandums of financing of the concessionary project, the statement from accounts of banks) the subject of concession.

After attraction of the invested capital corresponding changes by the conclusion of the supplementary agreement in which the amount and conditions of attraction of the invested capital (structure, rate of remuneration of the loan capital and rate of profit of own means, target use, the schedule of development and terms of return) according to the signed loan agreements are provided are made to the agreement of concession.

9. Inappropriate use of the invested capital is not allowed.

Return of the invested capital (own and loan) as a part of rate is made only on the capital used for the purpose provided in the agreement of concession and investing program of the subject of concession, and supported by the relevant documents.

The amount and terms of reinvestment of own means of the subject of concession during operation of subject to concession are determined by the agreement of concession and investing program of the subject of concession, and are subject to confirmation by the relevant documents of target use.

The annual amount of return of the loan capital considered in rate is determined based on the schedule of return (repayment) of the loan capital established by the loan agreement. When calculating the amount of return of the loan capital the free money of depreciation fund which is not used by the subject of concession in the forthcoming period for reinvestment (updating and repair of fixed assets) according to investing program and terms of the contract of concession is considered.

Return of the invested own means of the subject of concession considered in rate is made by uniform annual payments throughout all duration of the agreement of concession from the moment of the beginning of operation of subject to concession. In case of reinvestment of own means by the subject of concession return of own means is performed taking into account the reinvested amount of own means.

Annually during the period of regulation by department of authorized body adjustment of size of return of the invested capital established for the next settlement year of the period of regulation taking into account actual data about the objects put into operation, adjustments of the approved plan of inputs and remaining balance of not returned invested capital is made.

10. The annual amount arrived to the invested and (or) reinvested own means of the subject of concession, considered in rate, is calculated as the work of rate arrived to residual amount of own investments of the subject of concession made in the concessionary project.

The profit rate on the invested equity is at least the cost of remuneration on borrowed funds or passive rates of money (deposits) banks of the second level of the Republic of Kazakhstan determined at the time of concession agreement signature.

After complete return of the invested and reinvested own means of the subject of concession the annual amount of profit is considered in rate (the price, rate of charge).

11. The concessions allocated to subjects from means of the government budget the sources of cost recovery and receipt of the income provided by the concessionary legislation are considered in reduction of rate, except for the payments directed to covering of expenses and providing the income which is not considered in costly and revenues of rate.

The size and payment procedure of sources of cost recovery and receipt of the income from means of the government budget are provided in the agreement of concession and are performed according to the budget legislation of the Republic of Kazakhstan.

12. The concessions of subsidy allocated to subjects from means of the government budget are considered in reduction of costly part of rate, except for the subsidies directed to the expenses which are not considered in costly part of rate.

13. Scoping of regulated services (goods, works) provided by the subject of concession is performed in natural measurement based on the actual and forecast data by types of the rendered services.

14. The rate (the price, rate of charge) for regulated services (goods, works) of subjects of concession is calculated according to appendix 1 to these rules.

3. Approval procedure of rates for regulated services (goods, works) of the subject of concession

15. 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 concession;

2) at the initiative of department of authorized body.

16. The newly created subject of concession or the subject of concession planning to render new types of regulated services (goods, works), within ten calendar days from the date of receipt of the notification of department of authorized body on inclusion it in the State register of subjects of natural monopolies submits to department of authorized body the request for approval of rate (the price, rate of charge) in the simplified procedure according to Item 5 of article 18 of the Law.

17. (The prices, rates of charge) for subjects of concession in the simplified procedure are applied to the request for approval of rate:

1) the copy of the signed agreement of concession;

2) copy of investing program;

3) project of rate (price, rate of charge) and tariff estimate;

4) the data on design capacity provided by the agreement of concession;

5) calculation of annual return of the invested capital;

6) the calculation of rate of return of the invested equity provided by the agreement of concession;

7) information on profit distribution and information on distribution of cash flows;

8) the planned ranges of services provided by the agreement of concession confirmed with competent authority;

9) data on availability or absence creditor and receivables with disaggregation appendix;

10) the calculation of standard rates of number provided by the agreement of concession;

11) calculation of industry technical and technological regulations, and also normative technical losses;

12) calculation of the depreciation charges with indication of useful lives of fixed assets;

13) project of cost budget, fixed business assets, necessary for maintenance, in working order;

14) the draft of the tariff estimate for calculation of the project of rate (the price, rate of charge) and the tariff estimate, according to appendices 3-29 to these rules;

15) information on the planned amount of regulated services (goods, works) according to the agreement of concession;

16) information on use of net income (profit) on regulated services (goods, works) according to the agreement of concession;

17) data on return of the invested capital (loan and own) for previous periods;

18) schedule of return of borrowed funds and payments of remunerations for borrowed funds.

18. The subject of concession not later than ninety calendar days before enforcement of rates (the prices, rates of charges) together with the request represents projects of rates (the prices, rates of charges) on the regulated services (goods, works) rendered to them.

19. For subjects of concession in general procedure are applied to the request for approval of rates (the prices, rates of charges):

1) the copy of the signed agreement of concession;

2) the explanatory note about need of approval of rates (the prices, rates of charges);

3) project of rate (price, rate of charge) and tariff estimate;

4) the balance sheet in the form approved according to the order of the Minister of Finance of the Republic of Kazakhstan of August 20, 2010 No. 422 "About approval of the list and forms of the annual financial reporting for the publication by the organizations of public interest (except the financial organizations)", registered in the Register of state registration of regulatory legal acts for No. 6452 (further - the order of the Minister of Finance of the Republic of Kazakhstan of August 20, 2010 No. 422);

5) the profit and loss statement in the form approved according to the order of the Minister of Finance of the Republic of Kazakhstan of August 20, 2010 No. 422;

6) the cash flow statement in the form approved according to the order of the Minister of Finance of the Republic of Kazakhstan of August 20, 2010 No. 422;

7) the statement of changes in equity, in form of the Minister of Finance of the Republic of Kazakhstan approved according to the order of August 20, 2010 No. 422;

8) the explanatory note to the financial reporting;

9) the report on work (form 1-t) approved according to the subitem 8) of article 12 of the Law of the Republic of Kazakhstan of March 19, 2010 "About the state statistics";

10) the report on the sizes of the salary of workers on separate positions and professions (2-T professional) approved according to the subitem 8) of article 12 of the Law of the Republic of Kazakhstan "About the state statistics" of March 19, 2010;

11) the report on production financial activities of the company (organization) for form 1-PF for small business entities, the main indicators of activities for form 2-megapixel, approved according to the subitem 8) of article 12 of the Law of the Republic of Kazakhstan "About the state statistics" of March 19, 2010;

12) the report on availability and movement of fixed assets and intangible assets (No. form 11), approved according to the subitem 8) of article 12 of the Law of the Republic of Kazakhstan of March 19, 2010 "About the state statistics";

13) aggregated data according to appendix 2 to these rules;

14) the performance report of the tariff estimate with appendix of the materials proving actual costs according to appendix 31 to these rules;

15) disaggregation of receivables and payables;

16) disaggregation of other and other expenses;

17) the approved investing program (project);

18) data on return of the invested capital (loan and own) for previous periods;

19) the data confirming availability of the rates (the prices, rates of charges) approved with department of authorized body and operating for consideration of the request for approval:

staff list and limit of compensation of leading employees of administrative personnel;

the 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;

accounting policy;

20) decisions of the contest (tender) committees on purchase of goods, works and services;

21) data on results of the last revaluation of fixed assets;

22) calculation of the depreciation charges with indication of useful lives of fixed assets;

23) data on actually made expenses which according to the Special procedure are not considered when forming rates (the prices, rates of charges);

24) 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 concession, 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);

25) data on design capacity of the subject of concession and its actual use;

26) the draft of the tariff estimate according to requirements of the Special procedure for the form specified in appendices 3-29 to these rules;

27) information on use of net income from regulated services (goods, works);

28) information on use of the depreciation charges;

29) actions plans on liquidation of above-standard losses in case of their availability, and also on decrease in normative technical losses at size and in the terms determined by department of authorized body and operating for consideration of the request which contain data and calculation of economic effect (it is represented subjects of concession, rendering regulated services in spheres of transfer and (or) distribution of electrical and (or) heat energy, water supply, oil transportation in bulk distribution lines, on storage, transportation of commodity gas on connecting, trunk gas pipelines and (or) gas-distribution systems, and also transportation of sour gas through connecting gas pipelines).

20. For the purpose of protection of life, health of citizens, property of physical persons and legal entities, environmental protection, and also in case of value addition of strategic goods, the subject of concession addresses to department of authorized body for approval of rates (the price, rate of charge) as the emergency regulating measure.

21. (The prices, rates of charge) for subjects of concession 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 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 30 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) as the emergency regulating measure for the purpose of 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), as the emergency regulating measure (the price, rate of charge) decisions of the contest (tender) committees on purchase of goods, agreements, invoices, calculations of the cost level, information on availability the normative technical losses approved for the forthcoming period, 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.

22. In case of review of rate (the prices, rates of charges) at the initiative of department of authorized body, the subject of concession from the date of receipt of the relevant requirement by the subject of concession represents in a month economically reasonable calculations and information in amount, as in case of application for approval of new rate (the price, rate of charge).

23. The calculations and the proving materials attached to the request for approval of rates (the prices, rates of charges) are represented to department of authorized body 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 concession. Financial records are signed by the head and the chief accountant of the subject of concession or persons replacing them and certified by seal of the subject of concession;

2) as the proving materials actual data about costs in four quarters preceding application and for the previous calendar year are represented;

3) the subject of concession 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 four quarters preceding application;

4) for the purpose of exception of influence of seasonal fluctuations of amounts on rates (the prices, rates of charges), in reasons data per year are accepted;

5) when calculating projects of rates (the prices, rates of charges), including the differential tariffs for base the actual amounts of regulated services (goods, works) are accepted in four quarters preceding application or for the previous calendar year;

6) in case of decrease in amounts of regulated services (goods, works) the materials proving and confirming decrease are represented;

7) prepared separately on each type of activity, the concession performed by the subject.

The requirements provided by subitems 2) and 5) of Item 23 of these rules do not extend to cases of approval of rate (the price, rate of charge) as the emergency regulating measure.

24. Department of authorized body within five working days from the date of receipt of the request for approval of rates (the prices, rates of charges) checks completeness of the provided materials and in writing notifies the subject of concession on adoption of the request to consideration or on refusal in adoption of the request to consideration with reduction of causes of failure.

25. Department of authorized body in writing proves refusal in acceptance to consideration of the request of the subject of natural monopoly for approval or change of rates (the prices, rates of charges) or their limits.

26. The refusal bases in adoption of the request of the subject of concession to consideration are:

1) non-presentation of the documents specified in Items 17 and 19 of these rules;

2) discrepancy of the submitted documents to requirements of Item 23 of these rules;

3) provision of the documents containing unreliable information.

The refusal bases in acceptance to consideration of the request of the subject of concession for approval of rate (the price, rate of charge) as the emergency regulating measure are:

1) non-presentation of the documents specified in Item 21 of these rules;

2) absence at subject of concession of the approved normative technical losses, consumption rates of strategic goods which change in value is the reason of submission of the request.

27. Information which is trade secret is submitted the applicant marked "trade secret" and goes 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 department of authorized body, at the same time interested persons in case of submission of information specify to department of 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.

28. The project of rates (the prices, rates of charges) of the subject of concession is considered by department of authorized body within fifty five calendar days, in case of consideration of the request in the simplified procedure - within thirty calendar days from the moment of application on condition of representation of economically reasonable calculations according to the requirements established by the legislation of the Republic of Kazakhstan on natural monopolies and the controlled markets and these rules.

Projects of rates (the prices, rates of charges) on regulated services (goods, works) of subjects of concession for decision making as the emergency regulating measure are considered by department of authorized body within ten calendar days.

29. 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 concession together with the request represents the tariff estimate and projects of rates (the prices, rates of charges) on the regulated services (goods, works) rendered to them.

30. Department of authorized body carries out project appraisal of rates (the prices, rates of charges) and tariff estimates:

1) on the basis of the analysis of the proving documents and calculations submitted by the subject of concession with the request taking into account the provisions of the agreement of concession regulating procedure and conditions of forming of rates (the prices, rates of charges) and also the comparative analysis of indicators of activities of the subjects of concession who are engaged in similar type of activity;

2) with attraction for this purpose independent experts, state bodies, consumers and their public associations, the subject of concession which provided the project.

31. Department of authorized body requests the additional information from the subject of concession according to the subitem 5) of article 7 of the Law.

In case of non-presentation by the subject of concession of the information required in the terms established by department of authorized body, or their representation not in full department of authorized body does not consider the declared costs when forming rates (the prices, rates of charges).

32. Department of authorized body submits the project of rates (the prices, rates of charges) offered by the subject of concession for discussion when carrying out public hearings.

33. Department of authorized body by results of the carried-out expertize makes the decision on approval of rates (the prices, rates of charges) with indication of the term of its action.

34. Effective period of rates is established for the period no more than it is provided on realization by the subject of concession of investing program (project) and agreement of concession.

35. The decision of department of authorized body on approval of rates (the prices, rates of charges) on regulated services (goods, works) of the subject of concession is drawn up by the order of the head of department of authorized body and goes department of authorized body to the subject of concession no later than thirty five calendar days before their introduction to action.

At the same time the decision on approval of rate (the price, rate of charge) in the simplified procedure is drawn up in the form of the order of department of authorized body and goes to the subject of concession not later than fifteen calendar days before introduction of the approved rate (the price, rate of charge).

36. The subject of concession informs consumers information on introduction 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 concession performs the activities.

About introduction of rate (the price, rate of charge) in the simplified procedure the subject of concession informs consumers through official mass media not later than ten calendar days before introduction it in action.

37. The subject of concession within five calendar days provides information on the consumer notification fact on introduction of rates (the prices, rates of charges) in department of authorized body.

Appendix 1

to Rules of forming and approval of rates (the prices, rates of charges) on regulated services (goods, works) of subjects of the natural monopolies performing the activities for agreements of concession

See Appendix 1 (15Kb In original language)

Appendix 2

to Rules of forming and approval of rates (the prices, rates of charges) on regulated services (goods, works) of subjects of the natural monopolies performing the activities for agreements of concession

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 concession
_____________________________________________________
name of type of regulated services (goods, works)
as of ____________ 20 ___ years


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.
tenge









1

Material costs, everything, including.











1)

Raw materials and materials

-//-









2)

purchased products

-//-









3)

FUEL AND LUBRICANTS











4)

fuel











5)

Energy











2

Expenses on compensation, everything, including.

-//-









1)

Salary of production personnel











2)

Social tax

-//-









3

Depreciation

-//-









4

Repair, everything, including.











Warning!!!

This is not a full text of document! Document shown in Demo mode!

If you have active License, please Login, or get License for Full Access.

With Full access you can get: full text of document, original text of document in Russian, attachments (if exist) and see History and Statistics of your work.

Get License for Full Access Now

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info

Effectively work with search system

Database include more 50000 documents. You can find needed documents using search system. For effective work you can mix any on documents parameters: country, documents type, date range, teams or tags.
More about search system

Get help

If you cannot find the required document, or you do not know where to begin, go to Help section.

In this section, we’ve tried to describe in detail the features and capabilities of the system, as well as the most effective techniques for working with the database.

You also may open the section Frequently asked questions. This section provides answers to questions set by users.

Search engine created by SojuzPravoInform LLC. UI/UX design by Intelliants.