On approval of the Rules of conducting monitoring of management efficiency of state property, including enterprises and legal entities with state participation

New Unofficial translation

Resolution No. 1546 of the Government of the Republic of Kazakhstan dated December 4, 2012

      Unofficial translation

      In accordance with paragraph 2 of Article 196 of the Law of the Republic of Kazakhstan dated March 1, 2011 On State Property, the Government of the Republic of Kazakhstan hereby RESOLVES:

      1. To approve the attached Rules of conducting monitoring of management efficiency of state property, including enterprises and legal entities with state participation.

      2. To invalidate Resolution No. 998 of the Government of the Republic of Kazakhstan dated July 24, 2001 “On implementation of integrated monitoring system of functioning and effectiveness of the management of state property, and also objects in which the state has a share of ownership” (Collected Acts of the President and the Government of the Republic of Kazakhstan, 2001, No. 27, Art. 347).

      3. This resolution shall take effect on March 10, 2013 and is subject to official publication.

      Prime Minister of the Republic of Kazakhstan S. Akhmetov

  Approved by
  Resolution No. 1546
  of the Government
  of the Republic of Kazakhstan
  dated December 4, 2012

Rules of conducting monitoring of management efficiency of state property, including enterprises and legal entities with state participation 1. General Provisions

      1. These Rules of conducting monitoring of management efficiency of state property, including enterprises and legal entities with state participation (hereinafter - the Rules), are developed in accordance with paragraph 2 of Article 196 of the Law of the Republic of Kazakhstan dated March 1, 2011 On State Property ( hereinafter - the Law) and establish the procedure of organizing and conducting monitoring of management efficiency of state property, including enterprises and legal entities with state participation.

      2. Monitoring of management efficiency of the state property, including enterprises and legal entities with state participation (hereinafter -monitoring), is a system of basic and periodic operational monitoring and analytical tracking of qualitative and quantitative condition of state property, including technological, financial and economic activities, legal characteristics of state enterprises and legal entities with state participation for the purpose of timely identification of happening changes, forecasting of further development and working out recommendations for prevention and elimination of the consequences of negative processes in their activities.

      3. Monitoring is an integral part of the system of state forecasting and regulation of sustainable economic development in accordance with the strategic interests of the country, performs information and analytical functions of sustaining economic security on the basis of the current legislation and within the unified state policy.

      Note of RCLI!
      This wording of paragraph 4 shall be enforced upon expiry of ten calendar days after the date of its first official publication - for towns of district subordinance, villages, townships, rural districts with the population of more than two thousand people in accordance with Resolution No. 251 of the Government of the Republic of Kazakhstan dated 10.05.2018 (as in force until 01.01.2020 for towns of district subordinance, villages, townships, rural districts with the population of two thousand people or less, see the archive version dated 04.24.2013 of Resolution No. 1546 of the Government of the Republic of Kazakhstan dated 04.12.2012).

      4. Monitoring reveals the condition and development tendencies of state-owned enterprises and legal entities with state participation, also condition of the state property, including that which is in trust management, property lease (rent), concessions impacting preservation and consolidation of the resource and energy base of the economy of the country and the regions. Analytical information on condition and development tendencies of state-owned enterprises and legal entities with state participation, state property, including in trust management, property lease (rent), concessions obtained subsequent to monitoring, shall be directed to the Government of the Republic of Kazakhstan, the authorized body for state planning:

      on republican property - by the authorized body for state property management;

      on municipal property - by the local executive body of the oblast, city of republican status, the capital;

      on communal property of local self-government - by the administration of the akim of the town of district subordinance, village, township, rural district.

      Analytical information shall be directed by the authorized body for state property management, oblast, district authorized bodies, akim of the town of district subordinance, village, township, rural district, to the interested state bodies.

      Footnote. Paragraph 4 as amended by Resolution No. 251 of the Government of the Republic of Kazakhstan dated 10.05.2018 (order of enforcement see p.2).

      5. These Rules shall extend to state enterprises, joint stock companies and limited liability partnerships with the state participation, including national management holdings, with the exception of the National Wealth Fund, national holdings, national companies of which the state is a shareholder, state bodies, individual and legal entities who are a party to agreements on trust management, property leases (leases), concessions (hereinafter – party to the agreement), independent experts, consultants, consulting organizations involved in monitoring (hereinafter - independent experts).

      6. The purpose of monitoring is to ensure socioeconomic interests of the state.

      7. The main objectives of monitoring are:

      1) comprehensive analysis of management efficiency of the monitoring objects in production, technical, technological, financial, economic, legal, environmental and other parameters and holistic assessment of the state property in terms of predictability of its development in accordance with the national economy interests;

      2) analysis of the fulfillment of obligations and terms of agreements of concession, trust management, property lease (rent) of state property objects;

      3) identification of problems and development of recommendations for further development of objects of monitoring of the state property management efficiency;

      4) expert evaluation of the development prospects of equipment, technology of monitoring objects and their impact on the condition of the regions;

      5) formation and maintenance of the electronic database of monitoring objects;

      6) building favorable conditions for sustaining economic growth of the state, minimizing the degree of vulnerability of the economy to possible negative factors, and facilitating the inflow of investments into the national economy.

      8. The following basic concepts shall be used in these Rules:

      1) district authorized body - an executive body financed from the local budget, authorized with disposal right;

      Note of RCLI!
      Paragraph 8 is supplemented by subparagraph 1-1) for towns of district subordinance, villages, townships, rural districts with the population of more than two thousand people in accordance with Resolution No. 251 of the Government of the Republic of Kazakhstan dated 10.05.2018 (for towns of district subordinance, villages, townships, rural districts with the population of two thousand people or less enforced from 01.01.2020).

      1-1) authorized body for communal property of local self-government - the office of the akim of the town of district subordinance, village, township, rural district;

      2) single operator in the field of state property accounting (hereinafter - a single operator) - a legal entity determined by decision of the Government of the Republic of Kazakhstan, entrusted with the task of implementing a uniform technical policy in the organization and accounting of state property;

      3) oblast authorized body - an executive body financed from the local budget, authorized to dispose of regional communal property;

      4) electronic report - a report on monitoring results prepared with the use of software “Uniform reporting system” and signed by an electronic digital signature of an independent expert issued by the national certification center.

      Footnote. Paragraph 8 as amended by Resolution No. 251 of the Government of the Republic of Kazakhstan dated 10.05.2018 (order of enforcement see p. 2).

2. Monitoring organization procedure

      Note of RCLI!
      This version of paragraph 9 shall be enforced upon expiry of ten calendar days after the date of its first official publication - for towns of district subordinance, villages, townships, rural districts with the population of more than two thousand people in accordance with Resolution No. 251 of the Government of the Republic of Kazakhstan dated 10.05.2018 (current version until 01.01.2020 for towns of district subordinance, villages, townships, rural districts with the population of two thousand or less people, see the archive version of 04.24.2013 of Resolution No. 1546 of the Government of the Republic of Kazakhstan dated 04.12.2012).

      9. By types of state property, monitoring of republican and communal property shall be carried out, and by levels of local government and self-government, monitoring of oblast, district communal property and communal property of local government shall be carried out.

      Footnote. Paragraph 9 as amended by Resolution No. 251 of the Government of the Republic of Kazakhstan dated 10.05.2018 (order of enforcement see p. 2).
      Note of RCLI!
      This version of paragraph 10 shall be enforced upon expiry of ten calendar days after the date of its first official publication - for towns of district subordinance, villages, townships, rural districts with the population of more than two thousand people in accordance with Resolution No. 251 of the Government of the Republic of Kazakhstan dated 10.05.2018 (current version until 01.01.2020 for towns of district subordinance, villages, townships, rural districts with the population of two thousand or less people, see archive version dated 04.24.2013 of Resolution No. 1546 of the Government of the Republic of Kazakhstan dated 04.12.2012).

      10. Monitoring of objects shall be organized:

      1) on republican property – by the authorized body for state property management;

      2) on oblast communal property – by oblast authorized body;

      3) on district communal property – by district authorized body;

      4) on communal property of local self-government – by the office of the akim of the town of district subordinance, village, township, rural district.

      To conduct inspection of the monitoring objects, collection and analysis of information, and development of recommendations, the authorized body for state property management, oblast, district authorized bodies, administration of the akim of the town of district subordinance, village, township, rural district shall involve independent experts determined in accordance with the Law of the Republic Kazakhstan dated December 4, 2015 On Public Procurement.

      The rights and obligations of independent experts shall be governed by the relevant public procurement contract.

      Footnote. Paragraph 10 as amended by Resolution No. 251 of the Government of the Republic of Kazakhstan dated 10.05.2018 (order of enforcement see p. 2).

      11. The objects of monitoring of management efficiency of the state property (hereinafter -monitoring objects) shall be:

      1) state enterprises;

      2) legal entities with state participation, including joint-stock companies and limited liability partnerships with state participation, including national management holdings, with the exception of the National Wealth Fund, national holdings, national companies of which the state is a shareholder (hereinafter - legal entities with state participation);

      3) all types of property that is in state ownership, including in trust management, property lease (rent), concession.

      12. Monitoring work shall be carried out at the expense of budget funds.

      13. Monitoring results shall be entered in the register of state property (hereinafter - the register) in the form of an electronic report.

      Footnote. Paragraph 13 as amended by Resolution No. 391 of the Government of the Republic of Kazakhstan dated 04.24.2013 (shall be enforced upon expiry of ten calendar days after the first official publication).
      Note of RCLI!
      This wording of the first item of paragraph 14 shall be enforced upon expiry of ten calendar days after the date of its first official publication - for towns of district subordinance, villages, townships, rural districts with the population of more than two thousand people in accordance with Resolution No. 251 of the Government of the Republic of Kazakhstan dated 05/10/2018 ( current version until 01.01.2020 for towns of district subordinance, villages, townships, rural districts with the population of two thousand people or less; see the archive version dated 04.24.2013 of Resolution No. 1546 of the Government of the Republic of Kazakhstan of 04.12.2012).

      14. For the purpose of monitoring organization the authorized body for state property management, oblast, district authorized bodies, office of the akim of the town of district subordinance, village, township, rural district shall:

      Note of RCLI!
      This version of subparagraph 1) of paragraph 14 shall be enforced upon expiry of ten calendar days after the date of its first official publication - for towns of district subordinance, villages, townships, rural districts with the population of more than two thousand people in accordance with Resolution No. 251 of the Government of the Republic of Kazakhstan dated 05/10/2018 (current version until 01.01.2020 for towns of district subordinance, villages, townships, rural districts with the population of two thousand people or less; see archive version of 04.24.2012 of Resolution No. 1546 of the Government of the Republic of Kazakhstan dated 04.12.2012) .

      1) determine the list of monitoring objects of the republican, oblast communal and district communal property, communal property of local self-government, frequency and timing of inspections;

      2) provide rationale for budgetary allocations for the monitoring work;

      3) form an interdepartmental Commission with involvement of interested state bodies to develop technical specifications for the monitoring;

      4) provide methodological support and coordination of the monitoring activities.

      Footnote. Paragraph14 as amended by Resolution No. 251 of the Government of the Republic of Kazakhstan dated 10.05.2018 (order of enforcement see p.2).

3. Procedure of monitoring

      Note of RCLI!
      This wording of the first passage of paragraph 15 shall be enforced upon expiry of ten calendar days after the date of its first official publication - for towns of district subordinance, villages, townships, rural districts with the population of more than two thousand people in accordance with Resolution No. 251 of the Government of the Republic of Kazakhstan dated 05/10/2018 (current version until 01.01.2020 for towns of district subordinance, villages, townships, rural districts with the population of two thousand or less people; see the archive version dated 04.24.2013 of Resolution No. 1546 of the Government of the Republic of Kazakhstan dated 04.12.2012).

      15. For the purpose of monitoring organization the authorized body for state property management, oblast, district authorized bodies, administration of the akim of the town of district subordinance, village, township, rural district shall:

      1) request and receive information from monitoring objects on production, technical, technological, financial, economic, environmental, legal and other parameters of the monitoring objects' activity, required for making a reliable and objective analysis;

      2) request and receive from the central and local executive bodies of the Republic of Kazakhstan and other interested state bodies and legal entities, regardless of their departmental affiliation, the documents and information necessary for analyzing the management efficiency of the monitoring objects;

      3) request from state enterprises and legal entities with state participation, parties to the agreement regular and selective reporting on fulfillment of the terms of the agreements on trust management, property leases (rents) and concessions, investment programs of legal entities with state participation;

      4) conduct systematic monitoring of the condition and development tendencies of state enterprises and legal entities with state participation, collection and analysis of information on monitoring objects in order to timely identify and neutralize factors that adversely impact the preservation and strengthening of the resource and energy base of the economy of the country and the regions, unified and independent communication and energy systems, sustainable economic growth maintenance;

      5) by February 25 of the year following the reporting year, submit analytical notes, reference literature and recommendations based on the monitoring results to the Government of the Republic of Kazakhstan, interested state bodies, also state enterprises and legal entities with state participation;

      6) maintain electronic database on monitoring of management efficiency of the monitoring objects.

      Footnote. Paragraph 15 as amended by Resolution No. 251 of the Government of the Republic of Kazakhstan dated 10.05.2018 (order of enforcement see p. 2).

      16. State-owned enterprises and legal entities with state participation shall submit to the authorized body for state property management or regional authorized body, or the district authorized body and / or its authorized representatives with the relevant confirmed powers, all the required information for reliable and objective analysis of the management efficiency in paper and electronic form.

      Note of RCLI!
      Paragraph 16 is supplemented by the second part for towns of district subordinance, villages, townships, rural districts with the population of more than two thousand people in accordance with Resolution No. 251 of the Government of the Republic of Kazakhstan dated 10.05.2018 (for towns of district subordinance, villages, townships, rural districts with the population of two thousand people or less, shall be enforced on 01.01.2020).

      For reliable and objective analysis of the management efficiency, all the required information shall be presented in paper and electronic form by state enterprises to the office of the akim of the town of district subordinance, village, township, rural district and / or its authorized representatives with the relevant confirmed powers.

      Footnote. Paragraph 16 as amended by Resolution No. 251 of the Government of the Republic of Kazakhstan dated 10.05.2018 (order of enforcement see p. 2).

      17. The monitoring shall contain:

      1) basic comprehensive surveys of state enterprises and legal entities with state participation, as well as state property, including in trust, property lease (rent), concessions, conducted at least once a year on the risk management system basis;

      2) periodic operational collection of information on the activities of state-owned enterprises and legal entities with state participation, also condition of state property, including in trust, property lease (rent), concessions intended for the current update of basic monitoring data on the activities of objects in the time between basic comprehensive surveys of the monitoring objects.

      Collection of this information shall be carried out by request both from the monitoring object itself and from the central executive bodies, their departments and local executive bodies.

      Basic comprehensive surveys of the monitoring objects shall include:

      1) collection and system analysis of information on production, technical, technological, financial, economic, environmental and legal parameters of the monitoring objects;

      2) evaluation of management efficiency of the monitoring objects, forecast of changes in the condition in order to develop recommendations for the prevention and countering of negative processes that pose a threat to the economic security of the state;

      3) expert assessment of the outlook for development of engineering, technology of legal entities with state participation; state property, including in trust, property lease (rent), concessions;

      4) provision of state bodies with the necessary information on the monitoring objects’ condition, tendencies and forecasts of their development.

      18. Monitoring shall include the analysis of:

      1) the state of resources, technology of the main and auxiliary production;

      2) financial and economic activities;

      3) investment activities of concessionaires, trustees and co-owners of organizations having this obligation;

      4) environmental protection and rational use of natural resources;

      5) personnel and social policy;

      6) legal issues: compliance of the activities with the organization’s charter, agreements on trust management, property leases (rent) and concessions;

      7) fulfillment of obligations and terms of the agreements on trust management, property leases (rent) and concessions.

      19. Monitoring shall be carried out in the following order:

      Note of RCLI!
      This version of subparagraph 1) of paragraph 19 shall be enforced upon expiry of ten calendar days after the date of its first official publication – for towns of district subordinance, villages, townships, rural districts with the population of more than two thousand people in accordance with Resolution No. 251 of the Government of the Republic of Kazakhstan dated 05/10/2018 (current version until 01.01.2020 for towns of district subordinance, villages, townships, rural districts with the population of two thousand people or less; see the archive version dated 04.24.2013 of Resolution No. 1546 of the Government of the Republic of Kazakhstan dated 04.12.2012) .

      1) no later than ten working days before the start of the object survey, the authorized body for state property management or the regional, district authorized bodies or akim of the town of district subordinance, village, township, rural district, shall notify the heads of state enterprises and legal entities with state participation, as well as the party to the agreement on the conduct of the survey, indicating independent experts with whom agreements for conducting the survey have been concluded and the list of information for scrutiny;

      2) monitoring shall be conducted by a task force formed by independent experts with whom the agreements have been signed to conduct a survey of the monitoring object, proceeding from the industry sector and specifics of the monitoring object’s activity. The task of the expert group is to collect and analyze information on legal, technical, technological, environmental, investment, financial and other areas of the monitoring object. Respective experts shall conduct a visual inspection of production, buildings, structures, basic equipment, machinery and mechanisms. Upon completion of the information collection and its initial analysis, the task force shall prepare a report for its subsequent analysis;

      3) a systematic analysis of the materials obtained in the examination shall be carried out, including:

      preliminary analysis, performed at the stage of collecting materials and preliminary processing by comparing expert data on all sections and correlation with statistical reporting data;

      general technical and economic analysis of the activities of state-owned enterprises and legal entities with state participation, which shall integrate an interconnected set of indicators of state-owned enterprises and legal entities with state participation, as well as the state property condition, including in trust, property lease (rent), concessions;

      identification of all existing problems for each analysis unit;

      economic and legal analysis with the development of recommendations for monitoring facilities and respective state bodies, in which, basing on the performance indicators of state-owned enterprises and legal entities with state participation, information on the condition of state property, including in trust, property rental (lease), concessions, and identified problems in accordance with applicable law recommendations shall be developed to improve management efficiency of public enterprises and legal entities with state participation - monitoring objects;

      Note of RCLI!
      This version of subparagraph 4) of paragraph 19 shall be enforced upon expiry of ten calendar days after the date of its first official publication - for towns of district subordinance, villages, townships, rural districts with the population of more than two thousand people in accordance with Resolution No. 251 of the Government of the Republic of Kazakhstan dated 05/10/2018 (current version until 01.01.2020 for towns of district subordinance, villages, townships, rural districts with the population of two thousand people or less; see the archived version dated 04.24.2012 of Resolution No. 1546 of the Government of the Republic of Kazakhstan dated 04.12.2012) .

      4) Upon survey of the monitoring object and analysis of its activity, independent experts who conducted the survey shall draw up a report and primary materials, submitted:

      in paper form, to the authorized body for state property management or oblast, district authorized bodies or office of the akim of the town of district subordinance, village, township, rural district;

      in electronic report form to the register with a scanned copy of the paper report attached to it, signed and sealed by an independent expert;

      5) within five working days from the date of receipt of the electronic report, the single operator shall send a notification to the independent expert on inclusion of the electronic report in the register or on the ground for refusing to accept it.

      The ground for refusing to accept the electronic report shall be non-compliance by the independent expert of the requirement specified in part three of subparagraph 4) of this paragraph of the Rules.

      Footnote. Paragraph 19 as amended by Resolution No. 251 of the Government of the Republic of Kazakhstan dated 10.05.2018 (order of enforcement see paragraph 2).

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