ANALYTICAL INFORMATION
on the results of internal analysis of corruption risks in the activities of the state institution "Office of the mayor of Tekeli"
Tekeli 29 July 2020
INTRODUCTORY PART
By order of the acting head of akim of Tekeli city (the office) from July 15, 2020 No. 92-p "On conducting internal analysis of corruption risks in the activities of the office", in the period from 15 July to 29 July 2020 conducted an internal analysis of corruption risks. The internal analysis covers the period of operation of the Device from December 2019 to July 15, 2020.
The office operates on the basis of the Regulations approved By the decree of the mayor's office of the city of Tekeli dated September 18, 2019 No. 278. (hereinafter - the position).
The mission of the Office according to the Regulations is to ensure the activities of the akimat and akim of the city of Tekeli.
In accordance with the Rules for internal analysis of corruption risks approved by Presidential decree No. 12 of October 19, 2016, an internal analysis was conducted in the following areas:
IDENTIFICATION OF CORRUPTION RISKS IN REGULATORY LEGAL ACTS AFFECTING THE ACTIVITIES OF THE OFFICE:
- Constitution Of The Republic Of Kazakhstan;
- Law of the Republic of Kazakhstan "on local public administration and
local government in the Republic of Kazakhstan»;
- Civil Code Of The Republic Of Kazakhstan;
- Law of the Republic of Kazakhstan " on anti-corruption»;
- Law of the Republic of Kazakhstan "on the procedure for consideration of appeals
individuals and legal entities»;
- Law of the Republic of Kazakhstan " on administrative procedures»;
- Law of the Republic of Kazakhstan "on state property»;
- Law of the Republic of Kazakhstan "on public procurement»;
- Law of the Republic of Kazakhstan " on housing relations»;
- Code of the Republic of Kazakhstan " on marriage( matrimony) and family»;
- Law of the Republic of Kazakhstan "on public service»;
IDENTIFICATION OF CORRUPTION RISKS IN THE ORGANIZATIONAL AND MANAGERIAL ACTIVITIES OF THE DEPARTMENT
The staff of the state institution "Office of the mayor of Tekeli" is 16 units, there are no vacancies.
All employees of the akim's office meet the qualification requirements of their positions. The composition of the disciplinary and competition commissions is approved in accordance with the legislation of the Republic of Kazakhstan.
There are no contradictions between the personal interests of persons holding public office and their official powers, in which personal interests may lead to improper performance of their official powers.
When conducting an internal analysis of corruption risks in terms of staff turnover, no risks were identified.
The rules for training, retraining and advanced training of civil servants, approved by decree of the President of the Republic of Kazakhstan dated December 29, 2015 No. 152, provide that civil servants of the "B" corps undergo advanced training at least once every three years.
When conducting an internal analysis of corruption risks in terms of compliance with the frequency of professional development of administrative civil servants is not established.
In accordance with article 12 of the Law of the Republic of Kazakhstan "on anti-corruption", the consent of the persons specified in paragraph 1 of this article to accept anti-corruption restrictions is recorded by the personnel management services (HR services). According to paragraph 4 of article 12 of the Law, non-acceptance of anti-corruption restrictions by the persons specified in paragraph 1 entails refusal to accept a position or dismissal from office (dismissal from office), their non-compliance in cases where there are no signs of a criminal act or administrative offense is the basis for their termination of public service or other relevant activities.
During the analysis of the facts of non-acceptance of anti-corruption restrictions by the staff of the office, it was not revealed.
In accordance with paragraph 46 Of the rules for imposing disciplinary penalties on civil servants, approved by decree of the President of the Republic of Kazakhstan dated December 29, 2015 No. 152 (hereinafter – the Rules), internal investigations are appointed by an act of an authorized person and are conducted by the personnel management service (HR service). If necessary, other civil servants are involved in conducting an internal investigation, and the conduct of an internal investigation may be assigned to other structural divisions with the involvement of an employee of the personnel management service (HR service). In other words, an employee of the personnel management service must participate in conducting an internal investigation.
In accordance with paragraph 60 of the Rules, the Secretary of the disciplinary Commission is a representative of the personnel management service (HR service), who is determined by the head of the personnel management service.
At the same time, in accordance with paragraph 47 of the Rules, persons who are members of the Commission are not involved in conducting an internal investigation.
It is established that according to the staff schedule of the state institution "office of the mayor of the city of Tekeli" in the Department of the unified personnel management service, there is only 1 employee (head) who participates in the conduct of official investigations and is a member of the disciplinary Commission as a Secretary. This fact indicates the appearance of a conflict of interest.
The leadership of the town akim's apparatus has repeatedly raised the issue of allocation of additional staffing for the division of unified services of HR, sent letters to the head of akim of Almaty region. However, the issue remained unresolved.
We recommend that you take measures to allocate an additional staff unit for the Department of the unified personnel management service.
On the imposition of disciplinary penalties on civil servants.
In accordance with paragraphs 82 Of the rules for imposing disciplinary penalties on civil servants, approved by decree of the President of the Republic of Kazakhstan dated December 29, 2015 No. 152, the disciplinary penalty may be lifted before the expiration of six months, if the administrative civil servant has not committed a new offense and has shown himself as a conscientious employee.
Paragraph 84 of the Rules provides that the early removal of a disciplinary sanction is made by the authorized person who imposed it in coordination with the National Commission, ethics Commission, Regional personnel Commission, ethics Council or disciplinary Commission.
In accordance with paragraph 85 of the Rules for early removal of a disciplinary penalty, the direct head of the administrative civil servant who was subject to the penalty makes a corresponding submission to the authorized person. In the case where the immediate supervisor is the authorized person, the corresponding representation is submitted by the office of personnel management.
In the public institutions of the city administration, with the exception of the state institution "Department of employment and social programs of Tekeli city", "Department of housing and communal services and housing inspection of Tekeli city", "the Department of economy and budget planning of Tekeli city", the staffing of the post of Deputy head and head of sector is not provided. For specialists, the direct Manager is an authorized person. Therefore, in this case, the head of the Department of the unified personnel management service must make a submission for early removal of a disciplinary sanction from civil servants. The head of the ESUP Department does not work directly with these employees and cannot judge whether they have shown themselves to be conscientious employees or not.
In the current situation, when making a submission about early removal of a disciplinary penalty, the head of the ESUP Department may be biased. Thus, when the personnel management service makes a submission about the early removal of a disciplinary penalty, corruption risks may arise.
We recommend: make proposals to the authorized body on amendments To the rules for imposing disciplinary penalties on civil servants.
According to the register of public services the Office provides the following public services:
- Registration of the birth of a child, including making changes, additions and corrections to the civil status records;
- Registration of death, including making changes, additions and corrections to civil status records;
- Registration of marriage (matrimony), including making changes, additions and corrections to the civil status records;
- Registration of the dissolution of marriage (matrimony), including making changes, additions and changes to the civil status records;
- Registration of changes to the surname, first name, patronymic, including making changes, additions and changes to the civil status records;
- Registration of the establishment of paternity, including making changes, additions and changes to the civil status records;
- Registration of adoption, including making changes, additions and changes to the civil registry;
- Recovery of the records of acts of civil status;
- Cancellation of civil status records;
- Issuance of repeated certificates or certificates of registration of acts of civil status.
During the analyzed period, the Apparatus provided - registration of a child's birth, including making changes, additions and corrections to civil status records - 333 state services; registration of death, including making changes, additions and corrections to civil status records – 233 state services; registration of marriage (matrimony), including making changes, additions and corrections to civil status records – 100 state services; registration of the dissolution of marriage( matrimony), including changes, additions and changes in civil status records-41 state services; registration of changes in surname, first name, patronymic, including changes, additions and changes in civil status records – 6 state services; registration of establishing paternity, including changes, additions and changes in civil status records - 30 state services; registration of adoption, including making changes, additions and changes to civil status records – 1 state service; restoration of civil status records-2 state services; cancellation of civil status records-0 state services; issuance of repeated certificates or certificates of civil status registration – 233 state services. There were no refusals to provide public services. There are no complaints about the provision of public services.
According to paragraph 1, paragraph 1 of article 23 of the Law of the Republic of Kazakhstan "on public services", information on the procedure for providing public services is provided by placing public service standards at the locations of service providers and State corporations.
During the analysis, it was found that in the building of the PSC of the city of Tekeli, where a specialist in civil registration is located, there is a Board for information.
The discretionary time and of the powers of administrative barriers have not been identified.
During the analysis, it was found that when providing the state service "Registration of marriage (matrimony), including making changes, additions and corrections to civil status records", in accordance with paragraph 8 of Annex 13 to the Rules for organizing civil status acts, making changes, restoring, canceling civil status records approved by Order of the Minister of justice of the Republic of Kazakhstan dated February 25, 2015 No. 112, foreigners additionally provide a certificate of marital legal capacity. And according to paragraph 2 of article 228 of the Code of the Republic of Kazakhstan "on marriage( matrimony) and family", if the applicants insist on state registration of marriage (matrimony), despite the absence of the above certificate, this marriage (matrimony) is registered, which creates conditions for corruption risks.
We recommend: to initiate a proposal to the authorized body to exclude this possibility from paragraph 2 of article 228 of the Code of the Republic of Kazakhstan "on marriage (matrimony) and family".
In the course of the analysis, it was found that there were no violations of deadlines in the provision of public services.
The analysis showed that in the provision of public services by the Apparatus, the risk of direct contact with the service recipient is present, since two types of public services : registration of establishing paternity, including making changes, additions and changes to civil status records, and registration of adoption, including making changes, additions and changes to civil status records, receiving and issuing the finished result of the service, are carried out without alternative through the office of the service provider. Also, when providing public services: registration of marriage (matrimony), including making changes, additions and changes to civil status records, when accepting documents through the PSC, there is no application form for making changes, additions and corrections in the database, which creates conditions for corruption risks.
Recommend: when providing public services through the office of the service provider, strictly adhere to the current legislation, not allowing the demand for unforeseen documents and strictly comply with the terms of public services.
During the analysis, it was found that the Apparatus issued a certificate that one of the parties evades filing a joint application for the dissolution of marriage (matrimony) to the local Executive body, for the court .
During the analyzed period, the Device issued 15 certificates.
The analysis found that this function is not regulated, which creates conditions for corruption.
The following documents are requested for issuing the certificate by the Device:
- Application addressed to the chief of Staff;
- A copy of the certificate of marriage (matrimony).
In addition, the analysis showed that the above function has the characteristics of a public service, since there is an applicant, a set of documents and the final document.
Recommended: in order to exclude the causes and conditions that contribute to the occurrence of corruption, we recommend initiating a proposal to the authorized body to include the above certificate in the register of public services.
Licensing functions have not been identified.
The akim of Tekeli in the period from December 2019 to may 2020, has carried out public procurement on the basis of the budget and the approved annual plan of public procurement in the manner and form specified by rules of the public procurement order of the MF RK dated December 11, 2015 No. 648.
In December 2019 was signed 7 contracts from one source on the basis of PP.42 clause 3, article 39 purchase of homogeneous goods, where the annual volume of such goods in monetary terms does not exceed one hundred times the monthly calculation index, works and services if the annual amount of such homogeneous work and services in value terms does not exceed periodlate of monthly calculation index, and for akim of cities of regional importance, villages, rural districts shall not exceed three one thousand fold of monthly calculation index, established for the corresponding financial year by the law on the Republican budget; Law of the Republic of Kazakhstan dated December 4, 2015 No. 434-V "on public procurement»
Purchase by price proposals request 1объявление, the number of applications received was 1, the agreement was signed from the same source on the failed procurement rules implementation of state zakupok paragraph 3 p. 41 If during the term of granting of quotations submitted only one price proposal of potential supplier, public procurement automatically web portal is recognized as invalid and the organizer carries out the state purchases by way from one source of a potential supplier, who submitted this price offer.
From January to may 2020 was signed 90 contracts from a single source on the basis of PP.42 clause 3, article 39 purchase of homogeneous goods, where the annual volume of such goods in monetary terms does not exceed one hundred times the monthly calculation index, works and services if the annual amount of such homogeneous work and services in value terms does not exceed periodlate of monthly calculation index, and for akim of cities of regional importance, villages, rural districts shall not exceed three one thousand fold of monthly calculation index, established for the corresponding financial year by the law on the Republican budget;
6 ads, in 3 ads the contract was concluded from a single source for failed purchases on the basis of the rules for public procurement of paragraph 3 of clause 41 If only one price offer of a potential supplier is submitted during the period of submission of price offers, such public procurement is automatically recognized as failed by the web portal and the organizer performs public procurement from a single source from the potential supplier who submitted this price offer.
Procurement by tender method 1 contract.
From a single source on paper 17 contracts on the basis of clause 4, clause 3, article 39 of the purchase of goods, works, services due to force majeure, including localization and (or) elimination of consequences of emergency situations, for localization and (or) elimination of especially dangerous or exotic animal diseases, quarantine objects, alien species detected for the first time in the territory of the Republic of Kazakhstan, for carrying out activities in quarantine zones and unfavorable points for especially dangerous animal diseases, in the centers of spread of quarantine objects, emergency phytosanitary measures, to eliminate accidents at electric power facilities, communication life support systems, railway, air, water transport facilities, treatment facilities, oil pipelines, gas pipelines, and the need for urgent medical intervention, as well as in the event of breakdowns, failure of communications, mechanisms, aggregates, spare parts and materials in transit that require immediate recovery; Law of the Republic of Kazakhstan dated December 4, 2015 No. 434-V "on public procurement".
No corruption risks were identified in public procurement.
It is recommended: when conducting public procurement, strictly adhere to the legislation in the field of public procurement, minimize direct contact with potential suppliers. Initiate a proposal to the authorized body to exclude from the law the possibility of concluding contracts by the customer using a single source method.
In accordance with paragraph 1 of article 38 of the Law of the Republic of Kazakhstan "on local government and self-government in the Republic of Kazakhstan", information and analytical, organizational, legal and material support of the activities of the akim is provided by the akim's office. In this regard, there are risks of misrepresenting the instructions of the mayor for their own selfish purposes.
It is recommended to: initiate a proposal to the authorized body on amendments to the legislation on the clear regulation of the functions of civil servants of the akim's office, including the head.
The main corruption risk is the low salary of civil servants of Executive bodies financed from the relevant local budget. Thus, the average salary of civil servants of the office of the mayor of the city of Tekeli is 145 000 tenge.
It is recommended to: initiate a proposal to the authorized body to increase the salary of civil servants.
Alternative proposal: by reducing the number of staff units-the Deputy mayor and three heads of state institutions, by combining state institutions, leaving the salary Fund to provide for legally possible allowances for civil servants.
The analysis of violations of the requirements of the Law of the Republic of Kazakhstan "on the procedure for consideration of appeals of individuals and legal entities" has not been established .
So, during the analyzed period, the Apparatus received 552 requests, 82 of them from legal entities, 470 from individuals, 379 of them on paper, 173 in electronic form, and 143 in person.
FINAL PART
1) Initiate a proposal to the authorized body to make amendments to the Standards of public services on civil registration;
2) Initiate a proposal to the authorized body for the allocation of an additional staff unit;
3) Initiate a proposal to the authorized body to amend the Rules for imposing disciplinary penalties on civil servants;
4) Take the necessary control measures to prevent violations of the Law of the Republic of Kazakhstan "on anti-corruption»;
5) Strictly comply with the requirements of current Standards for public services;
6) in order to exclude the causes and conditions that contribute to the occurrence of corruption , we recommend initiating a proposal to the authorized body to include the above certificate in the register of public services;
7) Initiate a proposal to the authorized body with a proposal to amend the legislation in the field of public procurement;
8) Initiate a proposal to the authorized body with a proposal to amend the Law of the Republic of Kazakhstan "on local government and self-government in the Republic of Kazakhstan»;
9) Initiate a proposal to the authorized body to increase the salary of civil servants;
10) Initiate a proposal to the authorized body to reduce the number of staff of the akimat of the city of Tekeli, leaving the salary Fund;
11) Strictly comply with the requirements of the Law of the Republic of Kazakhstan "on the procedure for consideration of appeals of individuals and legal entities»;
12) the Staff should develop a Plan for the implementation of the recommendations specified in the Analytical report by August 20, 2020, indicating the terms of execution, responsible persons and terms for providing interim information on implementation to the Department of the Agency of the Republic of Kazakhstan for civil service Affairs and anti-corruption in the Almaty region. (Implementationofrecommendationsshouldnotexceed 6 months);
13) the Working group within 6 months from the date of signing the certificate on the results of internal analysis of corruption risks to monitor the implementation of recommendations.
Group members:
Acting Manager
Office of the mayor of Tekeli ______________ D. B. Sembayev
Orlova E. P. _________________
Sembayeva A. _______________
Aganov A. _____________
Novoselova S. G._____________