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外国工程企业如何参与哈萨克斯坦工程项目
发布时间：2022-02-23
（作者：Duman Akhmetov; 赵东锋; 赵鑫臻; 李仪）


引言

哈萨克斯坦是中国中亚地区最大贸易伙伴；是"一带一路"沿线国家当中最大投资国；也是我国工程企业在境外参与工程建设项目数量最多的国家之一。赵东锋律师团队多年来参与了多家中国企业在哈萨克斯坦的工程建设项目的法律与合约工作。本篇短文由赵东锋律师团队与俄语区法律合作伙伴共同撰写，旨在为拟走进哈萨克斯坦工程市场的我国工程企业提供些许提示，以期更好地在当地开发和实施项目。


Construction has always been considered a rather complicated type of business. Nevertheless, the fact thatthe construction business in Kazakhstan is currently in a stage of steady growth is known to everyone. Especially the construction market of Kazakhstan has become attractive for foreign construction companies, and in recent years there have been trends in the growth of the potential of the housing construction industry in the country.

工程建设一直以来被视为是一种非常复杂的经济行为。尽管如此，哈萨克斯坦的建设工程行业正在稳步增长。哈萨克斯坦的建设工程市场吸引了诸多外国工程企业的参与。近年来，哈萨克斯坦的工程建设在房建方面的增长凸显。


To start the activities of any foreign company, be it construction company or otherwise, it is very important to determine in advance the conditions for carrying out your business on the territory of another state. Foreign construction companies in Kazakhstan are subject to the same rules and conditions of work that are mandatory for local companies. For a foreign construction company to carry out its activities in Kazakhstan, it is necessary to think through all the stages of the project in advance.

无论是外国工程企业还是其他商业类型的外国实体，他们在东道国开展业务时，很重要的一点是事先了解其在东道国境内开展业务的条件。在哈萨克斯坦，外国工程企业与当地工程企业应遵守相同的强制性规则，应满足相同的强制性条件。对于在哈萨克斯坦开展业务的外国工程企业而言，应预先对项目实施的全过程做通盘考量。


In this article, we propose to consider some key issues regarding foreign construction companies tocarry out construction activities in Kazakhstan, mainly starting with the establishment of a branch (or representative office) and obtaining appropriate permits and licenses.

本文中，我们向外国工程企业参与哈萨克斯坦实施工程项目需要注意的事项，主要是关于外国企业设立分支机构分公司（或代表处）和获得必要的许可和资质。


We should start with the issues on forms in which foreign companies can carry out their activities in the territory of Kazakhstan. One of the main stages of the export of construction services in Kazakhstan is the need to register a structural subdivision of a legal entity , in the form of branch or representative office, in Kazakhstan. Local construction companies usually operate in the form of a Limited Liability Partnership (LLP) or the form of a Joint-Stock Company(JSC).

我们首先介绍外国公司在哈萨克斯坦能够开展工程业务的组织形式。外国公司在哈萨克斯坦承揽建设工程项目的关键步骤之一是在该国境内注册分公司或者代表处。哈萨克斯坦当地工程企业通常采用有限合伙（Limited Liability Partnership - LLP）或者股份有限公司（Joint-Stock Company – JSC）的组织形式。


A foreign company may operate on the territory of the Republic of Kazakhstan through a branch, or have a representative office to protect its interests. This is the only way it can have the opportunity to engage in construction activities in Kazakhstan, using her previous construction experience in other countries.

外国公司可以在哈萨克斯坦境内设立分公司或代表处。利用外国公司在哈萨克斯坦境外积累的工程经验，在哈萨克斯坦设立分公司或代表处是外国公司能够有机会在哈萨克斯坦从事工程建设行为的唯一方式。


To comply with the formalities of obtaining the necessary permits for construction activities, in some cases, it is enough for a company to obtain a business identification number (BIN) – a unique number generated for a legal entity (branch and representative office) carrying out activities in the territory of the Republic of Kazakhstan, and open an account in one of the local banks.

为了遵守取得建设工程行为的必要许可，在很多情况下，外国公司需要商业注册号（BIN）（该注册号是外国公司法律实体（分公司和代表处）的唯一注册号），并且需要在哈萨克斯坦当地银行开立账户。


One of the grounds for a foreign company to receive a BIN provided for by the Code of the Republic of Kazakhstan "On Taxes and Other Mandatory Payments to the Budget" is the opening of a current account in one of the local banks. To do this, a foreign company should apply to the tax authority at the location of the bank where it intends to open a current account, with an application and notarized documents attached (constituent documents of a foreign company, a document confirming state registration, and tax registration in the country of registration of a foreign company). After that, the tax authority issues a registration certificate in the prescribed form, in which the BIN is indicated. After receiving the certificate, a foreign company can apply to one of the local banks to open a current account. The list of documents and the terms of opening a current account vary depending on the selected bank.

根据哈萨克斯坦《税款和其他强制性预算付款法》的规定，外国公司取得该国商业注册号（BIN）的前提条件之一是在当地银行开立账户。为此，外国公司需要向开户银行所在地的哈萨克斯坦税务部门提交申请书和相关公证文件，包括外国公司的章程、外国公司已在母国注册的证明文件、外国公司在母国的税务登记文件。接下来，哈萨克斯坦税务部门向外国公司出具规定格式的登记证书，该登记证书上注明商业注册号（BIN）。外国公司可持该登记证书向当地银行申请开立账户。哈萨克斯坦境内各个银行对于申请开立账户所需文件、资料的要求各有不同，外国公司需要根据选定的当地银行的具体要求准备相关文件、资料。


The peculiarity of the procedure for opening and registering a branch of a foreign company in Kazakhstan is the need to legalize the company's constituent documents, translate them into Kazakh and Russian, as well as to submit a legalized (apostilled) extract from the trade register or other document confirming that the foreign legal entity creating the branch (representative office) is a legal entity under the legislation of a foreign state, and a document confirming tax registration. After-tax registration, upon receipt of a certificate of state (accounting) registration, it is necessary to open a bank account, as well as, if desired, to make a seal, and start activities.

若外国公司在哈萨克斯坦登记、设立分支机构，则需要公证认证外国公司的公司章程，将之翻译为哈萨克斯坦语和俄语，并且提交一份公证认证（海牙认证）的商业登记证明或者其他证明文件，证明外国公司在母国法下构成一个法人实体，以及税务登记的证明文件。外国公司在哈萨克斯坦境内设立的分公司完成哈萨克斯坦税务登记后，需要持国家（会计）登记证书开立银行账户，制作印章（如果需要），然后就可以在哈萨克斯坦开展商业活动了。


Moving to questions regarding licensing of construction activities, it should be noted that licensing in Kazakhstan is a state method for exercising control in the field of design, overhaul and maintenance, reconstruction and construction of buildings and structures. Licensing in Kazakhstan serves as an administrative barrier to prevent incompetent developers from entering the market of Kazakhstan who do not have the necessary skills and abilities and can harm the life, health and safety of people.

对于建设工程行业所需资质的事宜，需要注意的是，哈萨克斯坦通过颁发资质证书的方式对房屋和结构的设计、维修、维护、重建、施工实施监管。通过工程资质颁发这一行政手段，哈萨克斯坦将能力不足的开发商排除在建设工程行业之外，避免不合格的开发商�：诘娜松�、健康和安全。


To engage in construction activities or design in Kazakhstan, a branch of foreign company or local company should obtain permission from government authorities. Such a permissive document is a license. It is necessary to receive it if the type of activity that the company is going to engage in is specified in the relevant legislative acts, regardless of whether the company is going to work in Kazakhstan or is implementing any short-term project.

无论是外国公司驻哈萨克斯坦分公司还是当地公司，只要在哈萨克斯坦境内进行建设工程施工或设计工作，均应获得政府部门的许可，而该许可文件即为资质证书。无论是在哈萨克斯坦境内承揽建设工程业务还是实施短期项目，公司均应获得哈萨克斯坦法律规定的相应资质证书。


With the adoption of the Law of the Republic of Kazakhstan "On permits and notifications", which entered into force on 20 November 2014 (the "Law on permits"), a clear list of licensed activities, including construction, design, and survey activities, is now contained in the above-mentioned Law. The license and (or) the appendix to the license can be issued both in paper and electronic form.

2014年11月20日，哈萨克斯坦《许可与通知法》（“《许可法》”）生效，其明确规定了施工、设计、勘察业务需要取得相应资质。哈萨克斯坦签发的资质证书和（或）附件包括纸质版本和电子版本两种形式。


The Law on permits does not provide for the possibility of recognizing licenses for construction works issued by licensing authorities of foreign states. However, such a procedure is provided for by the Agreement on the mutual recognition of licenses for construction activities issued by the licensing authorities of the member states of the Commonwealth of Independent States (Moscow, 27 March 27). Thus, according to Article 2 of the Agreement the licensors of the state parties mutually recognize the licenses issued by them for certain types of construction activities, for which they have an equivalent procedure for issuing licenses, by issuing and issuing a corresponding national license to the licensee.

《许可法》未规定哈萨克斯坦承认外国政府机构签发的建设工程资质证书，但是，哈萨克斯坦作为独联体成员国，需要遵守《相互间承认独联体各成员国机构授予的建设工程资质的条约》（莫斯科，1997年3月28日）。根据该条约第2条的规定，对于独联体各成员国采用相同的资质授予程序的建设工程业务，独联体各成员国的资质授予机构承认其他成员国机构授予的建设工程资质。


Thus, it turns out that for foreign companies of the member states of the Commonwealth of Independent States, the same requirements apply as for Kazakhstani companies. In this regard, if a foreign company is not a resident of the CIS countries or if the terms of the Agreement are not respected, then obtaining a license in the Republic of Kazakhstan is mandatory.

因此，独联体成员国的公司和哈萨克斯坦当地公司适用相同的要求。如果外国公司的母国并非独联体成员国，或者不适用《相互间承认独联体各成员国机构授予的施工资质的条约》的规定，则此类外国公司必须在哈萨克斯坦申请并取得建设工程资质。


Licenses are issued by the authorized body in the field of architecture, construction, and urban planning. Documents for obtaining licenses are submitted to local Public Service Centers(PSC) or the State Department of State Architectural and Construction Control of Akimats of regions, Nur-Sultan, and Almaty cities.

哈萨克斯坦的建筑、施工和城市规划部门负责授予资质。地方公共服务中心（PSC）或者努尔苏丹、阿拉木图及其他地区的州建筑和施工控制局是资质申请文件的受理机构。


Licenses that are issued for project activities and construction and installation work are divided into three categories depending on the level of responsibility; when choosing a category, it is important to know that a newly created company (usually in the form of an LLP) will be able to obtain a license only for the third category.

项目和施工安装作业的资质基于责任等级划分为三个等级；需要注意的是，新成立的公司（通常是有限合伙公司）只能获得第三等级的资质。


To obtain licenses for the second and first categories, a potential license recipient should have experience in implemented projects. Even if the founder of the newly created company is a well-known design or construction company (which already has its portfolio and a list of completed projects), its previous experience cannot be recognized as the experience of the newly created company. The only exception is companies whose founders have more than 30 (thirty) years of experience (in any country).

如果申请第二等级或第一等级的资质，申请人应具备相关项目的经验和业绩。对于新成立的公司而言，除非此类公司的发起人的从业时间超过30年（不限国家），否则即使公司发起人是知名的设计或施工企业，该发起人的过往经验和业绩也不能作为新成立公司的经验与业绩。


The only way out for the founder (whether resident or non-resident) to use his previous work experience(both in Kazakhstan and outside) to obtain a license is to create its branch in Kazakhstan. This option is most acceptable for foreign construction and design companies that have decided to enter the market of Kazakhstan. The branch will be able to obtain a license for the parent company by providing the necessary documents on its behalf in Kazakhstan.

对于发起人（无论是哈萨克斯坦当地居民或非居民），如果想利用以往的工作业绩（哈萨克斯坦境内或境外），其唯一方式是在哈萨克斯坦设立分支机构。因此，绝大多数外国施工和设计企业选择以设立分支机构的方式来开拓哈萨克斯坦市场。分支机构可以代表母公司向哈萨克斯坦有关部门提交必要文件以申请和取得资质。


To simplify this procedure, real estate services are currently provided in electronic format on the e-government web portal. The use of these services allows you to save time on administrative procedures at all stages of opening and doing business in Kazakhstan in the field of construction and design.

为了简化行政程序，哈萨克斯坦政府在电子政府门户网站上提供电子化的不动产服务，缩短了哈萨克斯坦境内施工和设计行业从业者办理相关行政手续的周期。


If the company wants to hire other foreigners to work in the branch, then they will need to obtain a permit, according to the rules for attracting foreign labor.

如果公司雇用外籍员工在分支机构工作，则应按照雇用外籍员工的法律法规取得许可证。


Permission to attract foreign labor is issued for four categories of employees:

哈萨克斯坦为四类外籍员工颁发许可证：

  1. the first category – managers and their deputies;

    第一类– 经理及副职；

  2. the second category is heads of structural divisions who meet the qualification requirements established by professional standards, the qualification directory of positions of managers, specialists and other employees, standard qualification characteristics of positions of managers, specialists and other employees of organizations;

    第二类是符合职业标准资质要求、《领导、专家、其他工作人员职称手册》以及《单位领导、专家及其他工作人员职务标准技能评定》的部门主管；

  3. the third category is specialists who meet the qualification requirements established by professional standards, the qualification directory of positions of managers, specialists, and other employees, standard qualification characteristics of positions of managers, specialists, and other employees of organizations;

    第三类是符合职业标准资质要求、《领导、专家、其他工作人员职称手册》以及《单位领导、专家及其他工作人员职务标准技能评定》的专家；

  4. the fourth category is qualified workers who meet the qualification requirements established by professional standards, the Unified Tariff and Qualification Directory of Jobs and Professions of Workers, tariff, and qualification characteristics of professions of workers.

    第四类是符合职业标准资质要求、《工人工种及职业技能工资统一指南》以及《工人技能工资评定》的合格工人。


It is very important at an early stage of the project to develop a contracting strategy (determine the types of contracts and contractors, establish the sequence of conclusion and relationship of contracts) to manage risks and complete the investment project on time and efficiently. In Kazakhstan, the most common use of the Red Book (construction contract) and the Silver Book (turnkey construction, sometimes called EPC contracts - engineering, procurement, construction).

从风险管理和投资项目按期顺利竣工的角度来讲，在项目前期就确定签约战略（确定合同类型和承包商，制定签约顺序，明确合同关系）是非常关键的。哈萨克斯坦境内工程项目最常用的合同范本是红皮书（施工合同）和银皮书（EPC合同）。


According to Kazakh law, the contract must contain the essential terms of the contract, without reaching an agreement on which the contract is not concluded.

根据哈萨克斯坦的法律，合同必须包含必备条款。如果必备条款没有或没有达成一致，合同不成立。


In relation to a work contract, the essential conditions are:

工程合同的必备条款是指：

  1. Determination of the specific work to be performed under the contract;

明确合同项下的具体工作；

  1. The initial and final terms of the work.

工程的开工日期和竣工日期。

 

Thus, it must be borne in mind that if the parties do not agree in the FIDIC Contract on the subject of contract work, as well as the initial and final terms of their implementation, then, under Kazakh law, such a contract will be considered not concluded.

因此，如果合同各方当事人在FIDIC合同中未就合同标的、工程的开工日期和竣工日期达成一致，则此类合同在哈萨克斯坦法下属于未成立的合同。





Thus, we have reviewed the main points of activities carried out by foreign construction companies in the territory of the Republic of Kazakhstan. Everyone knows that the construction business in our country is currently in a stage of steady growth. According to forecasts, this favorable trend for the industry will continue in the foreseeable future, especially since the payback of initial investments in construction is now only a year on average.

以上是我们就外国工程企业如何在哈萨克斯坦从事工程项目提出的几个主要关注事项。众所周知，哈萨克斯坦的建设工程市场处于稳步增长阶段，而且根据预测，这一趋势在未来一段时间内还将持续下去，尤其是在建设工程项目的投资回报周期平均仅为1年的情况下。


Despite all the seemingly bureaucratic wires for organizing business in Kazakhstan, nevertheless, taking into account the fact that the construction sector of the Republic of Kazakhstan has an attractive climate for foreign companies, as well as subject to a thorough study of the local market and compliance with national legislation, all this ultimately allows foreign construction companies to carryout their activities in our country without any hindrance.

尽管在哈萨克斯坦开展商业活动似乎会受到官僚主义的影响，但哈萨克斯坦建设工程行业对外国公司仍然很有吸引力。如果外国公司深入研究哈萨克斯坦市�。袷氐钡胤桑蛲夤こ唐笠到换崦媪偃魏纹渌璋�。







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