Analytical report on the results of an internal analysis of corruption risks in the activities of the state institution "Department of Culture of Akmola region" for 2021.
Kokshetau city May 23, 2022
In accordance with the Law of the Republic of Kazakhstan "On Combating Corruption", the Order of the Chairman of the Agency of the Republic of Kazakhstan for Civil Service Affairs and Anti-Corruption dated October 19, 2016 No. 12 "On approval of Standard Rules for internal analysis of corruption risks", in order to conduct an internal analysis of corruption risks, the department established a working group.
The period of the analysis of corruption risks: from May 1 to May 31, 2022.
Analyzed period: from January 01, 2021 to May 23, 2022.
Internal analysis of corruption risks was carried out in the following areas:
1) identification of corruption risks in regulatory legal acts;
2) identification of corruption risks in organizational and managerial activities.
The regulatory legal acts affecting the activities of the unit identify discretionary powers and norms that contribute to the commission of corruption offenses.
Organizational and managerial activities are understood as the following issues::
1) personnel management, including staff turnover;
2) conflict of interest settlement;
3) provision of public services;
4) implementation of permissive functions;
5) implementation of control functions;
6) other issues arising from the organizational and managerial activities of the unit.
1.1 Identification of corruption risks in regulatory legal acts affecting the activities of the department.
Corruption risks have not been identified in the NPA.
2.1. Personnel management, including staff turnover.
During the study of the information provided, it was found that the staffing of the department is 13 units (net turnover – 2, reduced – 2, brought to disciplinary responsibility 2).
When studying the provided orders on awarding employees of the department, the facts of the provision of preferences by the management in the distribution of the bonus fund were not established. Employees are awarded bonuses on public holidays with an equivalent distribution of the bonus amount. All orders have a corresponding order on the encouragement of the head of the department.
The department has established and approved a commission for awarding employees with the inclusion of ordinary employees in its composition.
Appointment to subordinate organizations.
According to the regulations of the department, 11 cultural organizations (6 state-owned enterprises, 5 state institutions) are subordinate to the departmental subordination.
The Department carries out competitive selection, appointment and certification of heads of subordinate organizations. Competitive procedures are regulated by the Rules of admission to the civil service and holding a competition for the vacant position of a civil servant, approved by the Order of the Ministry of Health and the SR of December 25, 2015 for No. 1017.
Regarding the certification and mandatory competitive replacement of vacant positions for state-owned enterprises, (theaters, philharmonic society, which have the form of a municipal state enterprise). Thus, according to the Rules of appointment and certification of the head of a state enterprise, as well as approval of his candidacy approved by the Order of the Ministry of Internal Affairs of February 2, 2015 for No. 70, only competitive replacement of vacant positions for managers and certification after each subsequent three years of tenure as the head of the enterprise is provided. The department has a competitive commission for filling vacant positions for managers and passing certification, as well as a commission for passing certification by cultural organizations every 5 years.
Recommendation No. 1: To the Department, send a letter to the relevant ministry on the issue of making changes to the NPA.
2.2. Conflict of interest settlement.
During the analytical work, the personal files of employees were studied for compliance with anti-corruption restrictions and the joint work of close relatives. The facts of non-compliance with restrictions or the joint service of close relatives in the department have not been established.
In order to comply with anti-corruption restrictions during the period of public service, the department conducts additional control. Thus, the department periodically sends requests to the NAO State Corporation "Government for Citizens" and state revenue agencies for compliance with anti-corruption restrictions by employees.
For reference: the branch of the NAO GC "Government for Citizens" in the Akmola region – has information regarding the presence or absence of a share in the authorized capital of commercial organizations (for example - KH, FH); the Department of State Revenue in the Akmola region - information on the occupation of entrepreneurial activity (registration of sole proprietors, etc.).
2.3 Provision of public services.
In accordance with the regulation, the Department provides for the provision of 3 public services:
An unsettled issue is the provision of a certificate for the export of art objects that do not have cultural value across the state border.
The Department provides a state service for the issuance of a permit document - a certificate for the right to temporarily export cultural property, i.e. this service is used exclusively for the demonstration of cultural property at exhibitions.
For reference: archaeological finds (including ancient coins), ancient and rare books, documents and publications, postage stamps, tax stamps and similar stamps issued separately or in collections issued fifty or more years ago, ancient and unique musical instruments, etc. belong to material cultural values.)
A certificate (conclusion) is required during inspection items when moving across the state border. According to Article 35 of the Law
"On Culture" the export of cultural values outside the Republic of Kazakhstan is prohibited, except in cases of temporary exhibitions, touring activities, restoration work and scientific research, presentations, exhibitions and international cultural events, as well as other cases established by law.
Meanwhile, in the Law "On Culture", local executive bodies lack the competence to issue certificates (conclusions) and identify art objects as cultural values.
This function is not assigned to collegial bodies (in the form of expert councils at the MIO). The lack of competence to define objects as tangible cultural values creates corruption risks both in the activities of the department and in the activities of the border and customs service, forms an administrative barrier for entrepreneurs, artists to export art objects for sale abroad.
As an alternative, the issuance of certificates by local executive bodies can be successfully implemented in electronic format on the basis of a license.
Recommendation No. 2: The Department should send a letter to the relevant department about the inclusion in the Register of Public Services of the procedure for issuing a certificate for the export of art objects that do not have cultural value and the development of an approved mechanism.
2.4. Permissive functions
The permitting function is implemented as part of the provision of public services through the E-license portal.
2.5. Implementation of control and supervisory functions
The presence of gaps in legislation in the implementation of control and supervisory functions.
2.5.1. During the internal analysis, it was established that a number of legislative acts and Regulations have assigned control and supervisory functions to the Management in the areas of core activities. However, in practice, their implementation is not carried out for a number of reasons, the main of which are conflicts in regulations, as well as the moratorium on inspections and preventive control and supervision with visits from January 1, 2020 to January 1, 2023.
In accordance with Article 13 of the Law "On the Protection and Use of Objects of Historical and Cultural Heritage", State control in the field of protection and use of objects of historical and cultural heritage is carried out in the form of inspections and preventive control in accordance with the Business Code. State control is carried out for:
- the use and maintenance of historical and
cultural monuments of local significance;
- carrying out scientific and restoration works on historical and cultural monuments of local significance and archaeological works.
The checklist and risk assessment criteria were approved
by the joint Order of the ISS dated June 14, 2016 for No. 162 and MNE dated June 23, 2016 No. 277. "On approval of risk assessment criteria and checklists in the field of protection and use of objects of historical and cultural heritage".
It should be noted that the competence of the MIO for the organization of preventive control was provided for by the introduction of amendments to the checklists on May 06, 2020 in connection with the adoption of the Law "On the Protection and Use of objects of Historical and Cultural Heritage", adopted on December 26, 2019. Taking into account the above, no preventive control was carried out due to the moratorium.
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Recommendation No. 3: The Department should send a letter to the relevant ministry on amendments to the NPA.
2.6. Other functions
State Creative Order (hereinafter – GTZ)
For reference: the state creative order is a state–funded volume of cultural services for children and youth, determined according to the methodology of per capita normative financing of the state creative order and placed with suppliers regardless of their forms of ownership, departmental subordination, types and types.
It should be noted that the lack of integration of the platform with the information systems of government agencies leads to reasonable risks of admission of unscrupulous suppliers.
Thus, according to the Rules for placing a state creative order in creative circles for children and youth and their functioning, when applying for participation in the GTZ, documents are submitted, information about which is contained in information systems under the jurisdiction of the Ministry of Justice, Finance, and Health.
When considering applications, the management staff does not have the opportunity to double-check for authenticity of compliance, which creates risks, including corruption.
Currently, a joint order has been signed "On the implementation of a pilot project for the integration of IS of the Ministry of Education and Science and the Ministry of Justice with non-state IS".
According to paragraph 2 of the order "....at the end of the pilot project until December 31, 2022, " if there is a service for the protection of personal data of the ICRIAP RK, integration will be implemented.
There is currently no integration.
Recommendation No. 4: The Department should send a letter to the relevant department about accelerating integration.
conclusion:
- The Management should develop and approve an action Plan in accordance with the recommendations no later than 7 working days.
- Management, within 6 months from the date of signing the certificate based on the results of external analysis, to monitor the implementation of recommendations, including at the central level (according to the Action Plan);
- Management, make an analysis in Easy Project.
Head of the Department A. Sabitova