Analytical report of the internal analysis of corruption risks conducted in the state institution "Department of State Architectural and Construction Control of the Akimat of Kostanay region" in the first half of 2021
Kostanay, Al Farabi ave., 112 06.05.2021
Guided by the order of the head of the State Institution "Department of State Architectural and Construction Control of the Akimat of Kostanay region" (hereinafter-the Department of GASK) dated April 27, 2021 No. 45 o/d in order to reduce corruption risks, the Working Group of the Department conducted an internal analysis of corruption risks in the departments of the GASK Management, namely, in the department of the State Architectural and Construction Inspection, the department of licensing and certification, and the department of financial and legal work.
Department of the State Architectural and Construction Inspection:
In accordance with paragraph 12 of Article 68 of the Law of the Republic of Kazakhstan "On Architectural, Urban Planning and Construction Activities in the Republic of Kazakhstan "(hereinafter referred to as the Law), prior to the start of construction and installation work, the customer is obliged to notify the bodies exercising state architectural and construction control about the start of construction and installation work in accordance with the procedure established by the Law of the Republic of Kazakhstan "On Permits and Notifications".
The need to submit a notification is also regulated by the Law of the Republic of Kazakhstan "On Permits and Notifications".
The procedure for submitting notifications is regulated by the Order of the Minister of National Economy of the Republic of Kazakhstan dated January 6, 2015 No. 4 "On Approval of notification forms and Rules for receiving notifications by State Bodies, as well as on the definition of State bodies that receive notifications", according to which the Notification can be submitted in paper and electronic form through the state information system " E-license»
We believe that the alternative possibility of filing a notification creates prerequisites for the discretionary powers of officials, namely, it provides an opportunity for the official to determine the type and content (in whole or in part) of the management decision made at his discretion.
The use of the state information system of permits and notifications and the state electronic register of permits and notifications restricts the contacts of service provider officials with service recipients, which in turn eliminates the corruption component, which also includes discretionary powers.
Licensing and Certification Department:
I. Analysis of the Order of the Acting Minister of Industry and Infrastructure Development of the Republic of Kazakhstan dated April 1, 2020 No. 175 "On Approval of the Rules for the Provision of Public Services in the Field of Issuing Licenses in Architectural, Urban Planning and Construction Activities and on Amendments and Additions to Certain Orders of the Minister of National Economy of the Republic of Kazakhstan" (hereinafter-the Rules).
Documentary confirmation.
According to clause 8 of Appendices 1 to the Rules for the Provision of Public Services "Issuance of a license for survey activities", "Issuance of a license for design activities", " Issuance of a license for construction and installation works» the list of documents required for the provision of public services is indicated.
According to which, for the issuance of licenses, a form of information on compliance with the qualification requirements is filled out with documentary confirmation of the presence of an engineering and technical employee in the state, which are part of the requested subspecies of the licensed type of activity and the presence of minimum material and technical equipment.
According to Article 14 of the Law of the Republic of Kazakhstan dated April 15, 2019 "On Public Services", one of the requirements for the content of a subordinate regulatory legal act defining the procedure for the provision of public services is the content of the list of documents required for the provision of public services.
At the same time, the Rules do not specify an exhaustive list of documents, which is a documentary confirmation of the availability of material and technical equipment.
In this connection, for example, as a confirmation of the availability of material and technical equipment, applicants attach accounting certificates, certificates of the director on the availability of equipment on the balance sheet, which are a list of equipment certified by the signature of the director of the LLP without confirmation in the form of an appendix of those. passports.
However, verification of this information by obtaining information from an information system is not possible due to the lack of integration.
This gap may lead to an unjustified refusal, because there will be no reference to a certain point of the Rules. Moreover, the absence of a list of documents contradicts Article 14 of the ZRK "On Public Services".
II. Analysis of the Order of the Acting Minister of National Economy of the Republic of Kazakhstan dated December 9, 2014 No. 136 "On Approval of the unified Qualification Requirements for the implementation of licensed architectural, urban planning and construction activities" (hereinafter-the Order).
Minimum material and technical equipment.
In accordance with the Order, one of the qualification requirements for the applicant to engage in survey, design activities, as well as construction and installation works, is the presence of a minimum material and technical equipment on the right of ownership and (or) lease, including a minimum set of equipment, control and measuring devices, machines and mechanisms.
The availability of minimum material and technical equipment is determined depending on the technical requirements for the performance of construction and installation works, depending on the technical requirements for the declared works of the subspecies of the licensed type of activity.
However, there are no regulatory legal acts that allow setting requirements for the minimum material and technical equipment for obtaining the right to engage in the above-mentioned activities.
Currently, there is not only a list of documents confirming the availability of technical equipment, but also a list defining its minimum level.
Production base.
In accordance with the Order, licensees for carrying out survey activities, design activities and construction and installation works must have:
production base on the right of ownership (economic management or operational management) and (or) lease for a period of at least one year (with state registration in the legal cadastre), equipped with:
1) administrative and industrial buildings or premises necessary for the performance of the declared types of work, a subspecies of the licensed type of activity.
2) workplaces organized in accordance with the working conditions
At the same time, there are no specific, at least of a recommendatory nature, regulatory documents on the composition of production bases (buildings, premises), depending on the types of work.
In this regard, there is no common understanding of the requirements for granting licenses, which often leads to a misunderstanding between the service provider and the service recipient. Also, the service provider has difficulty in providing a reasoned justification for the impossibility of issuing a license.
III. Analysis of the Order of the Minister of National Economy of the Republic of Kazakhstan dated November 27, 2014 No. 114 "On Approval of the Rules for Certification of Experts engaged in Expert Work and Engineering services in the field of architectural, urban planning and construction Activities" (hereinafter - the Rules).
According to Appendix 1 to the Rules for the provision of the state service "Certification of experts certification of experts performing expert work and engineering services in the field of architectural, urban planning and construction activities", the following list of documents is required:
application in the form of an electronic document, certified by the applicant's EDS, of the established form;
identity document-to identify the identity of the service recipient;
electronic copy of the diploma of higher professional education (if you have an academic degree and academic title, an electronic copy of the supporting document);
electronic copy of the employment record;
It follows from the above that the document confirming the expert's work activity is the employment record book.
However, we believe that this list of documents is insufficient to determine the length of service of the expert on the following grounds:
1) So, for example, in accordance with paragraph 9 of the Rules, persons with higher professional education in the field of construction and experience as an expert for at least three (at least five) years are allowed to be certified as experts of the author's (technical) supervision of objects of the first level of responsibility.
Author's (technical) supervision is mandatory at all construction sites and is an important component of the construction organization process. In this connection, we believe that the requirements imposed on the applicants should be more fully documented.
According to subclause 4) p . 2. expert-an individual who performs certain types of expert work and engineering services in the field of architectural, urban planning and construction activities.
The entry in the employment record book confirms the presence of work experience, but cannot be a confirmation of the experience of an expert in the implementation of engineering services at construction sites, since it is possible that the expert (or the employer organization) during the period of the certificate, the experts could not participate in the construction process of the objects.
In this connection, the expert could not get the necessary experience in working at the objects of the second and third level of responsibility.
Based on the above, we believe that in addition to confirming the work experience, it is necessary to confirm the availability of the necessary work experience in accordance with the profile of the work on the existing certificate.
We believe that such confirmation can be provided by the acts of acceptance of the constructed object for operation, on which the applicant provided engineering services.
2) According to Article 35 of the Labor Code of the Republic of Kazakhstan, the document confirming the labor activity of an employee may be any of the following::
1) employment record;
2) an employment contract with the employer's mark on the date and basis of its termination;
3) extracts from the acts of the employer confirming the emergence and (or) termination of the employment relationship on the basis of the conclusion and (or) termination of the employment contract;
4) extracts from the payroll statement for employees;
5) track record (list of information about the work, work activity of the employee), signed by the employer, certified by the seal of the organization (if any);
6) extracts from the unified accumulative pension fund on the listed mandatory pension contributions;
7) information from the State Social Insurance Fund on the social contributions made;
8) an archived certificate containing information about the employee's work activity;
9) a court decision that has entered into legal force on the establishment of a legal fact confirming the existence of an employment relationship.
In accordance with the Rules, the service recipient agrees to the use of information that constitutes a legally protected secret contained in information systems.
On the basis of the above, we propose to provide for the possibility of obtaining a certificate of the applicant's pension contributions through the service for obtaining certificates by third parties on the web portal of the "electronic government".
Department of Financial and Legal Work:
In the organizational and managerial activities of the GASK Department, the direction of personnel management was subjected to an anti-corruption analysis for the 1st half of 2021:
The full-time number of GASK Management at the beginning of the 1st half of 2021 was 18 units, the actual full – time number is 14.
There are 4 vacant positions: 1 vacancy of the head of the department of the State Architectural and Construction Inspection, 1 vacancy of the chief specialist of the Department of the State Architectural and Construction Inspection, 1 temporary vacancy of the chief specialist of the Department of the State Architectural and Construction Inspection, 1 temporary vacancy of the chief specialist of the Department of financial and legal work.
Turnover was 2 units, chief specialist of the Department of financial and legal work (Suleimenov E. K.), head of the department of the State Architectural and Construction Inspection (Klyshev K. Kh.) (Suleimenov E. K. resigned in connection with the transition to another state position, Klyshev K. Kh.resigned at his own request). According to the results of the competition, Shonov R. N. was accepted for the position of chief specialist of the Department of Financial and legal work.
According to the order of the Department of the Agency for Civil Service Affairs of the Republic of Kazakhstan for the Kostanay region on the elimination of violations No. 2139000000200012/00009 dated February 12, 2021, the chief specialist of the Department of Financial and Legal Work Kanapin D. N. was brought to disciplinary responsibility in the form of"remarks". Based on the report on the results of the internal audit of March 5, 2021, for improper performance of their official duties, the head of the Department of financial and legal work Agaeva S. G. brought to disciplinary responsibility in the form of"remarks".
Conclusions and recommendations:
All of the above indicates that there are contradictions between the norms of normative legal acts, and therefore there is a need to bring these norms into compliance.
Currently, much attention is paid to the quality of public services. Often, State bodies are faced with imperfect legislation in the field of public services, which is expressed in the absence of clear regulation of actions or procedures, legislative gaps, the presence of conflicting norms and the breadth of discretionary powers.
Note: The GASK Administration constantly monitors regulatory legal acts in the field of public services. Earlier, the Department sent information about these problems to the authorized body for architecture, urban planning and construction - the Committee for Construction and Housing and Communal Services of the Ministry of Internal Affairs of the Republic of Kazakhstan.
Members of the Working Group:
Madiev S. Zh.__________________________ "__" ____________ 20__ years
Kospanov B. S. _________________________"__" ____________ 20__ years
Agaeva S. G.______________________________ "__" ____________20__ years
Sadvakasov M. N.._________________________"__" ____________ 20__ years
Duisenbayeva G. D. ________________________"__" _____________ 20__ years