THE ORDER OF THE CHAIRMAN OF THE AGENCY OF THE REPUBLIC OF KAZAKHSTAN ON REGULATION OF NATURAL MONOPOLIES

of July 17, 2013 No. 213-OD

About approval of Rules of approval of limit 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) of Item 1 of article 14-1 of the Law of the Republic of Kazakhstan of July 9, 1998 "About natural monopolies" and the subitem 2) of Item 3 of article 16 of the Law of the Republic of Kazakhstan of March 19, 2010 "About the state statistics" and the subitem 254) of Item 17 of the Regulations on the Ministry of national economy of the Republic of Kazakhstan No. 1011 approved by the order of the Government of the Republic of Kazakhstan of September 24, 2014 I ORDER:

1. Approve the enclosed Rules of approval of limit 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 Agency of the Republic of Kazakhstan on regulation of natural monopolies, according to appendix to this order.

3. To department of strategic planning, summary analysis and international cooperation of the Agency of the Republic of Kazakhstan on regulation of natural monopolies (Martynenko A. V.) provide in the procedure established by the legislation state registration of this order in the Ministry of Justice of the Republic of Kazakhstan.

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 accordance with the established procedure its official publication in mass media;

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, local executive bodies of areas (the city of republican value, the capital).

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.

Approved by the Order of the Chairman of the Agency of the Republic of Kazakhstan on regulation of natural monopolies of July 17, 2013 No. 213-OD

Rules of approval of limit of rates (the prices, rates of charges) and tariff estimates on regulated services (goods, works) of subjects of natural monopolies

Chapter 1. General provisions

1. Rules of approval of limit of rates (the prices, rates of charges) and tariff estimates on regulated services (goods, works) of subjects of natural monopolies (further - Rules) are developed according to the Law of the Republic of Kazakhstan of July 9, 1998 "About natural monopolies" (further - the Law) and other regulatory legal acts in the field of natural monopolies.

2. These rules determine approval procedure of limit of rates (the prices, rates of charges) and tariff estimates on regulated services (goods, works) of subjects of natural monopolies (further - the Subject).

3. The project of limit of rate (the prices, rates of charges) and tariff estimates on regulated services (goods, works) is created by Subjects taking into account parameters (indicators) provided in the project of investing programs (projects) of subjects of natural monopolies.

4. In these rules the following concepts are used:

1) the basic tariff estimate - the tariff estimate for the first year of introduction of limit of rates (the prices, rates of charges) of the Subject created according to requirements of the Special 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 (further - the Special procedure), the Chairman of the Agency of the Republic of Kazakhstan approved by the order on regulation of natural monopolies of April 25, 2013 No. 130-OD (it is registered in the Register of state registration of regulatory legal acts for No. 8480);

2) the predicted tariff estimate - the tariff estimate the next years of the long-term period created taking into account indicators of social and economic development of the Republic of Kazakhstan (inflation);

3) the tariff income - the income of the Subject from rendering regulated services (goods, works) on the limit of rates (the prices, rates of charges) approved by authorized body according to Item 7 of article 18 of the Law;

4) adjustment of the tariff estimate and (or) limit of rate - adjustment of indicators of the tariff estimate and (or) limit of rate without increase in the approved limit of rate;

5) authorized body - the state body performing management in spheres of natural monopolies;

6) department of authorized body - Committee on regulation of natural monopolies, protection of the competition and rights of consumers of the Ministry of national economy of the Republic of Kazakhstan;

7) territorial subdivision of department of authorized body - territorial subdivision of department of the authorized body performing management in spheres of natural monopolies;

8) transfer of electrical energy - technologically connected actions directed to transfer and (or) distribution of electrical energy on power networks.

Other concepts and terms used in these rules are applied according to the legislation of the Republic of Kazakhstan on natural monopolies.

5. Forming of limit of rates (the prices, rates of charges) is performed based on separate accounting of the income, costs and the involved assets by each type of regulated services (goods, works) and in general on other activities of the Subject.

6. The costs considered when forming of the predicted tariff estimate on regulated services (goods, works) shall correspond to the legislation of the Republic of Kazakhstan on financial accounting, tax and other legislation of the Republic of Kazakhstan taking into account indicators of the forecast of social and economic development of the Republic of Kazakhstan (inflation).

7. The predicted indicators of the tariff estimate are based on determination of the tariff income of the Subject for the long-term period.

The tariff income is estimated separately for the every year entering the long-term period. On the basis of the tariff income for the entire period the weighted average rate (the price, rate of charge) is calculated.

The tariff income is determined proceeding from the predicted amounts of costs for rendering regulated services (goods, works), period expenses, and also admissible profit level.

8. In case of decision making of authorized body by department in the form of the emergency regulating measures of the requirement of Items 22, of 23, of 26, 29 these rules do not expatiate on approval of limits of rates (the prices, rates of charges).

9. During action of limit of rates (the prices, rates of charges) the Subject annually no later than May 1 provides in department of authorized body information according to the subitem 11) of article 7 of the Law in form, according to appendix 1 to these rules, and places it on the Internet resource or directs for placement on Internet resource of department of authorized body according to part two of Item 35 of these rules.

10. During action of limit of rates department of authorized body does not reduce limit of rates (the prices, rates of charges) if the Subject lowered costly part of limit of rates (the prices, rates of charges). Directs the means received from cost reduction (the resulted cost optimizations or applications of more effective methods and technologies of provision of regulated services), the Subject to creation new, expansion, recovery, updating, support, reconstruction and modernization of production assets, at least fifty percent of the underused part of the costs pledged in the tariff estimate which resulted from economy of costs in connection with application of more effective methods and technologies, holding actions for decrease in normative technical losses or reducing amounts of the rendered regulated services in the reasons which are not depending on the subject of natural monopoly or by results of holding competitive (tender) procedures.

11.  No. 566 is excluded according to the Order of the Acting Minister of national economy of the Republic of Kazakhstan of 24.07.2015

12. Approval of limits of rates for every year is allowed.

Chapter 2. Procedure for representation and adoption of the request for approval of limit of rates (the prices, rates of charges) on regulated services (goods, works) of Subjects

13. The subject submits to department of authorized body the request in any form for approval of limit of rates (the prices, rates of charges) in hundred eighty calendar days prior to its introduction in action.

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