Features of institutional autonomy of the Kazakhstan’s universities

Características de la autonomía institucional de las universidades de Kazajstán

Saniya Nurgaliyeva
East Kazakhstan State University, Kazakhstan
Saule Zeynolla
“Economy” department Al-Farabi Kazakh National University, Kazakhstan
Ulday Tulenova
DosmukhamedovAtyrau State University, Kazakhstan
Zhamila Zulkarnayeva
Sh. Ualikhanov Kokshetau State University, Kazakhstan
Gulden Yespolova
Sarsen Amanzholov East Kazakhstan State University, Kazakhstan
Zeinolla Saule
Academy of Public Administration under the President of the Republic of Kazakhstan in Almaty, Kazakhstan

Features of institutional autonomy of the Kazakhstan’s universities

Opción, vol. 34, no. 85-2, pp. 302-336, 2018

Universidad del Zulia

Received: 16 December 2017

Accepted: 22 February 2018

Abstract: The article purpose is to study the development of institutional autonomy of Kazakhstan’s higher education institutions. The methods of the comparative analysis, system and logical analysis, the method of information synthesis are used during this research. The research results show that the difference between an ideal form of autonomy of Kazakhstan’s universities and real autonomy of the higher educational institutions is indistinct. There is no clear consensus about what level of financial and academic autonomy is desirable. Roles of key components in the field of the academic management are not clearly determined yet.

Keywords: the higher education, institutional autonomy, academic autonomy, financial autonomy, organizational autonomy.

Resumen: El artículo estudia el desarrollo de la autonomía institucional de instituciones de educación superior de Kazajstán, mediante los métodos de análisis comparativo, el sistema y análisis lógico y el método de síntesis de la información. Los resultados muestran que la diferencia entre una forma ideal de autonomía de las universidades de Kazajstán y la autonomía real de las instituciones de educación superior es indistinta. No existe un consenso claro sobre qué nivel de autonomía financiera y académica es deseable. Los roles de los componentes clave en el campo de la gestión académica aún no están claramente determinados.

Palabras clave: la educación superior, autonomía institucional, autonomía académica, autonomía financiera, autonomía organizacional.

1. INTRODUCTION

The Republic of Kazakhstan after entering into the Bologna Process reforms the structure of the higher education system according to the European standards. Despite some progress Hartley et al.(2016), the main problems still remain in realization of the principles of the Bologna Process. They are shown in delays in the creation of a complete national system of qualifications and also in providing full autonomy to higher educational institutions. The state program of educational development of Kazakhstan (further – SPED) for 2011- 2020 recognizes many of these problems and sets specific goals and tasks of their decision: since 2015 autonomy was given to the national universities, since 2016 - to national higher educational institutions, since 2018 it is planned to give it for other higher educational institutions" (The Decree of the President of the Republic of Kazakhstan, 2010).

According to this document, the principle of autonomy extends to all Kazakhstan educational institutions, and not only to state universities that should be considered as the undoubted advantage of the program. Nevertheless, the main document - the Law of the Republic of Kazakhstan "On education" of July 27, 2007 # 319-III do not have the definition of the concept "autonomy" that in itself reduces the level of guarantees for the independence of educational institutions, including state universities (Zaidullina and Demyanova, 2017).

The questions of management, trust and interrelation between the higher education and the state are additional problems which, in case of its preservation, will be an obstacle in a way of progress. For the last decade, there were some steps in the direction of bigger institutional autonomy. Such autonomy is necessary when the higher education is fully ready to react to the changing requirements of economy and society of Kazakhstan (Review of national policy in the field of education, 2017).

Despite a wide range of publications Nurgaliyeva et al. (2017), Nurgaliyeva (2017), Bilyalov (2018), Akhmetzhanova (2018) and other relevant works on the theme of our research (Mosunov (2018), The higher education in Kazakhstan (2018), The Kazakhstan’s higher education in the context of Bologna Process (2014), Hartley et al. (2015), Sagintayeva and Kurakbayev (2015), many questions, concerning theoretical justification of autonomy of HEI1s (of Kazakhstan taking into account foreign experience, did not become the subject of the in-depth research in the country yet. The analysis of the condition of Kazakhstan’s HEIs is not full as far as the questions of institutional autonomy remain poorly studied; there are no basic domestic researches of Kazakhstan’s researchers who are familiar with problems of higher education from within.

The results received at the analysis of the materials and collected by the authors of the research, make the contribution not only to national science, but also are of great interest to foreign researchers because:

  1. 1. 1) Monitoring and the analysis of the condition of institutional autonomy at Kazakhstan’s HEIs was based on emphasizing of the main measurements of university autonomy and expert consideration of value for each indicator, characterizing this measurement. Bases of these methods were developed by the European University Association (EUA). EUA by means of these methods carries out monitoring and the analysis of the condition of institutional autonomy in the countries which universities are members of the

    European organization (Tuan, 2017).

    2) The research results realize a new stage of foreign development in the theory of the determination of lawful and real (valid) autonomy. This development is based on materials of the last researches on the theory of the main and procedural autonomy of the universities which were carried out by the authors on the basis of original empirical materials, as there are no basic domestic researches of Kazakhstan’s researchers who know the problems of higher education from within.

    3) These results can be used abroad for studying of global problems on institutional autonomy of HEIs for expansion of decentralization and flexibility of management, the latest international tendencies, devoted to studying of the international experience in the area of institutional autonomy.

2. MATERIALS AND METHODS

This research is directed to the analysis of the current situation of institutional autonomy of Kazakhstan’s HEIs, its features, prospects of institutional autonomy, limits of the powers and effective solutions in HEIs of Kazakhstan.

The legislative base in the field of higher education of the number of foreign countries was studied for the purpose of the identification of legal mechanisms for providing autonomy of HEIs. The analysis of the legislative base of the different countries was supported with studying of experience of the higher education separate systems (case-study), which were succeeded in this matter. The secondary data processing of high-valid researches was carried out; the consultations of large experts in this area were studied and analyzed as well.

The methods of the comparative analysis, system and logical analysis, the method of synthesis of information were used in carrying out of the research.

According to this research, we analyzed the scientific literature in the field of institutional autonomy of Kazakhstan’s universities in the recent years. We obtained data for the research from documents of Kazakhstan’s researchers (articles of journals, conference materials and government documents in Kazakh, Russian and English languages). We also tried to determine the main stages of institutional autonomy development of Kazakhstan’s education universities from 1997 to 2017. Further, Kazakhstan’s government plans to continue this process in the next years (till 2020).

There were developed the recommendations about the transition of Kazakhstan’s HEIs to the autonomous regime of activity as result of the carried-out work.

3. LITERARY REVIEW

Studying of autonomy in the context of the higher education has long-term history and, today there is no standard definition of institutional autonomy. All complexity of the concept formulation about the autonomy of HEIs is consisted in none of the lack of theoretical practices in this branch, and it is rather in many various definitions. So, throughout all history of studying, the autonomy was considered by various scientists in the context: academic autonomy or academic freedom Ashby and Anderson, (1966), Berdahl (1990), Brubacher (1967), managerial autonomy Volkwein and Malik(1997), institutional autonomy Estermann et al. (2011), autonomies of HEIs (Ordorika, 2003; Moses, 2007).

The definitions, offered by supporters of this approach, mean that autonomy represents the independence of HEIs in the solution of the questions, referred to their competence which circle is established by the law. According to which the Jadot's Law can serve as the most striking example of this approach, where it was said that: "The autonomy level, which is possessed by HEI, is inversely proportional to the number of the normative documents, regulating the sphere of the higher education" (Neave and Van Vught, 1994).

“Institutional autonomy - as a value”: Smaller (2015) and Reinders (2010) adhered to the similar point of view, claiming that the autonomy of the universities is the necessary condition of existence of the universities, the value providing their full functioning. “Institutional autonomies - as freedom of the academic community” (Lane, 1977). This definition is one of the most widespread in the scientific environment. According to this approach, the autonomy of HEIs comes down, mainly, to freedom of representatives of the academic community – students, the teaching staff and the certain interested groups, such as administration of HEI.

“Institutional autonomy - as the financial independence of higher education institutions” is considered in works of Penneman et al. (2000) and Felt and Glanz, (2003). The division into spheres of activity is the main principle of classification of varieties of institutional autonomy. So, Trick (2015) suggests to mark out "organizational, academic and financial autonomy" in the structure of institutional autonomy. It is also necessary to note that this type of classification is the most widespread in relation to the American system of higher education. The Lisbon declaration of 2007 marks out four types of institutional autonomy of HEIs: academic autonomy, financial autonomy, organizational autonomy, personnel autonomy.

Generalizing works of many experts and analysts, it is possible to conclude that the integrated conceptual definition and classification of institutional autonomy does not exist.

From the above, it is possible to draw the conclusion that conception about autonomy, in relation to the sphere of the higher education, is formed proceeding from the existing norms and orders which were developed in the management system of each concrete state, university traditions, the level of cultural development, science and education.

Within our research, the institutional autonomy is determined by possibility of higher education institutions freely (without any control from the outside) to make decisions in three main fields of activity.

  1. • Managerial.

    Managerial autonomy consolidates the elements of personnel autonomy and assumes the presence at HEI of the possibilities: selection and inclusion in the structure of the governing body of external members; formations of internal structure (schools, faculties, departments, institutes, etc.); creations of independent legal entities; independent development of procedures and selection criteria and dismissal, determination of the terms of power for senior officials (administrative board); selection and placement of personnel (official requirements, procedures of selection, salary, conditions of promotion and dismissal of employees).

    • Academic.

    The academic autonomy is determined by ability of higher education institution independently: to define the regulations of admission and the number of enrolled students in HEI; to determine the contents of the academic programs and training language; to create and close training programs in specialties; to choose mechanisms and agencies for ensuring the quality of training.

    • Financial.

    Financial autonomy is determined by the right of higher education institution for formation of the reserve and preservation surplus of the state financing; determination of training payment; borrowing and investing in financial markets; issuance of equities and bonds; possession and disposal of the lands and structures which are had at the university.

4. THE RESULTS

4.1 Managerial autonomy

Today in Kazakhstan the Boards of trustees function in 66 HEIs. However, unlike similar councils in the leading HEIs of the world, the Boards of trustees of the domestic universities have no real powers in the management of HEI, and only render assistance to the management of HEIs in the management process. According to the results of the analysis of regulations about the Boards of trustees of 38 HEIs RK, the foreign citizens can be a part of members of the Board of trustees as well. In general, the ratio of internal and external members, as a rule, is not regulated.

Admission to this or that position of the academic personnel is carried out by HEI on the basis of competitive selection, according to the qualification requirements which are announced beforehand in the media, approved by the order No. 338 of the Minister of Education and Science of RK of July 13, 2009. It is signed the labor contract with the teacher who undergone competitive selection. Academic personnel are classified as civil servants and appointed to the position either on the basis of the competition (for 3 years) or according to the order of the rector of HEI (for 1 year). This status is fixed in the article 50 "Status of the pedagogical employee" in the Law of RK "On education". According to the Professional code of ethics (Article 51 of the Law "Rights, duties and responsibility of the pedagogical employee") the pedagogical employee is obliged to follow rules of pedagogical ethics, to respect the honor and dignity of the students, pupils and their parents or other lawful representatives.

Table 1 generalizes the recommendations of the OECD review of 2007 which are contained in the report of 2007 with short assessment of current state for 2017.

Table 1
The implementation of recommendations of OECD / World Bank of 2007
Recommendations of OECD of 2007 The implementation (2017)
All higher educational institutions (HEIs), which have the accreditation, must have the right for autonomy and also make own decisions on the introduction of new courses of the programs for baccalaureate and postgraduate programs, the content of course, examinations, training standards and certain changes in standards. Autonomy in the field of creation of the training program was expanded in extreme volume in the baccalaureate program and postgraduate training, however the majority of recommendations was not realized.
All higher education institutions have to create management boards with a prevalence of external members in addition to their scientific or academic councils; the leading councils have to appoint rectors in order to increase the effective management of higher education institutions and to bring educational institutions of Kazakhstan into accord with the advanced practice in the developed countries. There were created the Supervisory boards for some state educational institutions, however, the majority of recommendations were not realized.
All higher education institutions must have the right for determination of the salary and conditions for teaching staff, the management of own budgets and submissions of the analysis of incomes on higher education institution. In spite of the fact that some educational institutions have the relative freedom of the determination for the teaching staff salary, the majority of recommendations were not realized.
Accreditation of higher education institutions has to be independent of the Ministry of Education and Science of the Republic of Kazakhstan. Accreditation begins to replace the attestation, operated by the Ministry of Education and Science of the Republic of Kazakhstan, however, this process is at a stage of development and its independent character remains under doubt.
Role of the Ministry of Education and Science of the Republic of Kazakhstan in the management of higher educational institutions and also control over them have to be reduced to the minimum possible level. Changes of the role of the Ministry of Education and Science in the management of higher educational institutions were insignificant. Nazarbaev University got the status of "the independent university", however, the level of the state control still remains essential.
Source: The review of national policy in the field of education (2017)

The decade between the OECD review / the World Bank of 2007 and the OECD current review of higher education in Kazakhstan can be characterized as the activity period, directed to the implementation of the recommendations of the review of 2007 in the management sphere. However, it did not lead to fundamental changes in the relations of higher educational institutions and the state. There were created the trustee and supervisory boards in the state educational institutions, however, their role is almost completely limited to providing consultations, so it means that councils play an important advisory role only in several HEIs.

The table 2 shows data researches of the Information and Analysis Center on organizational autonomy in Kazakhstan’s HEIs.

Table 2
Data on organizational autonomy in Kazakhstan’s higher education institutions
The indicator of organizational autonomy Kazakhstan
The procedure of choice of the rector position (0% - is regulated by external public authority, 100% - are regulated at the institutional level) 50%
Criteria of the choice for the rector position (0% - criteria of the choice for rector are fixed in the Normative legal act (NLA), 100% - the choice for rector position is regulated at the institutional level) 80%
Dismissal of the rector (0% - is regulated by external public authority, 100% - are regulated at the institutional level) 60%
Term of office of the rector (100% - the term of office of the rector is not registered in the NLA) 100%
External representatives in collegial management bodies (100% - higher education institutions determine the external representatives in the structure of collegial management bodies) 37,5%
Creation of the academic structural divisions (100% - higher education institutions have the right independently to create structural divisions) 75%
Creation of legal entities (100% - higher education institutions have the right independently to create legal entities) 50%
Source: (Akhmetzhanova, 2016)

4.2 Academic autonomy

In respect of the academic autonomy in Kazakhstan there is an observed division of HEIs into HEIs with the special status and "usual" HEIs. The existence of the special status provides wide academic, financial and managerial autonomy, according to point 17-1 article 1 of the Law "On Education". As of 2011, 10 Kazakhstan’s higher educational institutions functioned with the special status (the Decree of the President of the Republic of Kazakhstan, 2001). The status of the autonomous educational institution was provided to the Nazarbaev University by the Law of the Republic of Kazakhstan of January 19, 2011 No. 394-IV "On the status "Nazarbayev University", "Nazarbayev Intellectual Schools" and "Nazarbayev Fund". While the academic activity of other higher education institutions of Kazakhstan is rigidly regulated by the legislation. Similar regulation of the most part of HEIs of Kazakhstan does the system of higher education bureaucratic and nonflexible. Thus, from the point of view of the academic autonomy, there are observed essential distinctions between two systems. At the same time it should be noted that there are no accurate legislatively-established criteria of providing the special status to HEIs. So, according to the point 12 of article 4 of the Law RK "On Education", the special status is provided to "the separate organizations of education, making an outstanding contribution to education, training and professional formation of the personality". However, there are no qualitative or quantitative methods for determination of "the outstanding contribution" of the university.

The lower level of the academic autonomy in Kazakhstan still limits the possibilities of the citizens to participate in partner programs and joint projects. The process of recognition of the test credits between HEIs has difficulties. It is the interfering factor for mobility of employees, students and HEIs in Kazakhstan and beyond its limits. The Kazakhstan’s universities are not competitive in the international ratings of mobility which are one of the key factors influencing the choice of the country for training among foreign students. Besides, as a rule, the low level of material and technical base, service and infrastructure in the Kazakhstan’s higher educational institutions, their limited ability for providing the training in English language and also the limiting conditions for getting visa – all this has a negative effect on the competitiveness of the Kazakhstan’s system of higher education. The lack of full data on the condition of internationalization interferes with the achievement of progress in many of these areas.

4.3 Financial autonomy

Within the research of 2007 of the financing system of the higher education in Kazakhstan, conducted by the World Bank and OECD and also “the Road map” program (Nazarbayev University, the Higher school of education, 2014) for 2013-2014, there were determined the group of the main financial questions which are remained relevant for this research (table 3).

Table 3
The implementation of recommendations of OECD / World Bank of 2007
Recommendations of OECD / World Bank of 2007 The implementation (2017)
To increase the share of the public expenditures on education in GDP. There were no essential changes.
As much as possible to increase efficiency and objectivity of influence of the voucher system, to increase the budget of tertiary education with the subsequent increase in the proportion of the total number of students. There were no essential changes.
To provide, at least, 20% from the state budget for the education sector and also to provide, at least, 15% of the budget for system development of the higher education. There were no essential changes.
To increase funding for researches, the majority part of which has to be provided for research groups and projects on the competitive basis, with independent assessment by experts of the scientific offers. New approaches to conducting scientific competitions with the use of expert assessment were created. However, the financing of the research and development in Kazakhstan, despite some recent growth, still remains very insignificant in comparison with the majority of other countries.
To separate vouchers and scholarship subsidies for education by the creation of a special scholarship fund for the involvement of students in training programs of the high national or regional priority. This recommendation was not realized, however, it was created the new program (“Serpin”) for student supporting from areas with high unemployment rate in training in the regions with the shortage of well trained workers.
To allow the state higher educational institutions to function according to the same management rules as in private educational institutions, and also to receive the sum, corresponding to education subsidies and other state subsidies in the form of the grant which can be used for regulation of the financial situation. It is not realized.
To provide equal rules of the taxation for all higher educational institutions. The status is not determined.
To require all higher educational institutions to operate the own resources by means of standard and transparent financial practices, and also to prepare annual financial statements which will be checked independently. In spite of the fact that several educational institutions were transformed to more flexible organizational-legal form a joint-stock company, the general financial system of management did not undergo essential changes.
To enter provisions (the concomitant exemption from obligations, the interest rate of subsidies, etc.) for the solution of the question about the availability of the new commercial scheme of the student's credits to the needing students. It is not realized.
To study the possibilities of mechanisms on the flow of revenue of a conditional system of the student's credits which can be, in principle, more effective and objective than the new commercial scheme. There were no essential changes.
For ensuring equitable distribution of public resources at the level of the higher education it is necessary to create the reliable information management system for the purpose of the collection of information about key personal and social features of the students (social economic origin, gender, rural / city, ethnic origin, etc.) which will be used for the analysis of the public expenditures and the direction of the correcting measures in the field of policy. Data by training remain ambiguous and unreliable.
Source: The review of national policy in the field of education (2107)

Table 4 presents the research data of the Information and Analysis Center on Financial Autonomy in Kazakhstan’s higher education institutions.

Table 4
Data on financial autonomy in Kazakhstan’s higher education institutions
The indicator of financial autonomy Kazakhstan
Duration of the cycle of public financing (100% - state financing lasts more than 1 year) 66,6%
Type of public financing (100% - the higher education institution regulates independently the use of state financings) 20% (article by article )
Crediting possibility (100% - higher education institutions can obtain the credits without coordination with external body) 66,6%
Possession and disposal of immovable property (100% - higher education institution operates independently the movable and immovable property without coordination with state body) 16,6%
Possibility of preservation of surplus (100% - the higher education institutionpreserves surplus by results of financial year) 16,6%
Determination of the training cost for national students (baccalaureate) (0% - training in higher education institution is free of charge, 50% - the higher education institution establishes the training cost in coordination with the state body, 100% - the higher education institution establishes the training cost independently) 40%
Determination of the training cost for foreign students (baccalaureate) (0% - training in higher education institution is free of charge, 50% - the higher education institution establishes the training cost in coordination with the state body, 100% - the higher education institution establishes the training cost independently) 40%
Determination of the training cost for national students (magistracy) (0% - training in higher education institution is free of charge, 50% - the higher education institution establishes the training cost in coordination with the state body, 100% - the higher education institution establishes the training cost independently) 40%
Determination of the training cost for foreign students (magistracy) (0% - training in higher education institution is free of charge, 50% - the higher education institution establishes the training cost in coordination with the state body, 100% - the higher education institution establishes the training cost independently) 40%
Determination of the training cost for national students (doctoral studies) (0% - training in higher education institution is free of charge, 50% - the higher education institution establishes the training cost in coordination with the state body, 100% - the higher education institution establishes the training cost independently) 40%
Determination of the training cost for foreign students (doctoral studies) (0% - training in higher education institution is free of charge, 50% - the higher education institution establishes the training cost in coordination with the state body, 100% - the higher education institution establishes the training cost independently) 40%
Source: (Akhmetzhanova, 2016)

As the results of numerous researches in the field of institutional autonomy show, the legislative fixing of autonomy is not always demonstrated by the actual increase in freedom of higher education institutions in various fields of activity.

5. DISCUSSION

According to the research result, it should be drawn the conclusion that the slow rates of progress in the direction of institutional autonomy are observed in Kazakhstan. So, the authors of the research established the following:

5.1 Managerial autonomy

Foreign experience. There are three main models of appointment for external members of the board of trustees: on the appointment of representatives of HEI, authorized body and collegial decision-making. The most widespread is the combined model when representatives of HEIs and authorized body have the right to appoint the equal number of external members on the board of trustees of HEI.

Kazakhstan experience. The decision on inclusion of external members in the structure of the boards of trustees of the Kazakhstan’s HEIs is facultative and it is accepted at the level of HEI. According to the results of the analysis of regulations about the boards of trustees of 38 HEIs RK, the foreign citizens also can be a part of members of the board of trustees. In general, the ratio of internal and external members, as a rule, is not regulated.

Foreign experience. The decision on the internal structure of HEI is made, mainly, at the institutional level by bodies of collegial management of HEI: academic senate, board of trustees.

Kazakhstan experience. Structural divisions of the higher educational institution are established by HEI and carry out the activity on the basis of the rules, approved by authorized body and the Charter of HEI, and their number and character are established by the council of the educational organization, proceeding from the set of specialties, the specializations of this HEI and also a number of the students and teachers.

Foreign experience. The appointment of the administrative personnel is also carried out at the level of HEIs; however, there are often imposed requirements for observance of generally established rules for employee appointment.

Kazakhstan experience. Appointment of administrative personnel in Kazakhstan’s HEIs, as well as in the countries abroad, is carried out at the level of HEIs provided that candidates meet the qualification requirements.

Foreign experience. The administrative board of HEI (the rector/president, vice-rectors, and deans of faculties) is determined, as a rule, by an elective way of collegial bodies of management of the educational organization.

Kazakhstan experience. Direct control of the higher educational institution is exercised by its head, appointed by the founder of HEI if the other is not provided by the legislation of the Republic of Kazakhstan. The contract with the head of HEI can be terminated by the founder unilaterally ahead of schedule at an inadequate execution by him of his functions. Deputy heads of the educational organization are appointed by the head of this organization in coordination with the authorized body of management (or founders) if the other is not provided by the legislation of the Republic of Kazakhstan.

Foreign experience. It is observed the tendency towards abolition of the status of the budgetary employee of the university employees. Domestic experience - the staff of Kazakhstan’s HEIs has the status of the budgetary employees as well as in many European countries.

5.2 Academic autonomy

Foreign experience. There are marked out the three mechanisms of determination of qualitative and quantitative criteria for student admission, criteria for student admission are determined independently by HEI, authorized body in the field of higher education, or by coordination of HEI with authorized body. The last way of student admission is the most widespread.

Kazakhstan experience. Kazakhstan’s state strictly regulates Regulations of the student admission according to the programs of a bachelor degree and magistracy. As for the number of students, the state determines the number of students whose training is carried out at the expense of the state educational grant, but in determining the number of students on the fee- paying basis, the HEIs are almost autonomous, except for the need of observance of the general Regulations of the student admission (points on UNT not less than 50).

Foreign experience. In the majority of the countries of the world HEIs are not limited in independent determination of content of training courses and the choice of language training.

Kazakhstan experience. The rules existing in Kazakhstan on the development of contents for programs of training allow to draw the conclusion that Kazakhstan’s HEIs remain limited in the possibility of independent determination of the content of the training programs, offered by them. According to the current legislation, the organizations of the higher and postgraduate education can carry out the activity on state (Kazakh) and Russian dialects, and if it is necessary and according to the possibilities – in other languages.

Foreign experience. Opening of new training programs, as a rule, requires the corresponding permission of the authorized body, whereas for their closing similar approval is not required. Kazakhstan experience. The existing volume of rules limits the possibilities of HEIs on opening of training programs by HEIs that correspond to the all-European trend towards the regulation of the procedure for opening of training programs. Regarding the opening of training programs, the academic autonomy of HEIs is limited to the approved Classifier of the specialties of the higher and postgraduate education of the Republic of Kazakhstan of March 20, 2009 No. 131-od. In particular, HEIs have the right to carry out educational activities only for the specialties appearing in the Classifier.

Foreign experience. HEIs of the majority of the countries of the world are deprived of the possibility of the independent choice of the mechanism and agency on ensuring quality.

Kazakhstan experience. Mechanisms and bodies of ensuring quality in the Kazakhstan’s HEIs are regulated by normative documents. In particular, it concerns the state licensing and attestation. At the same time, according to point 4 of article 59 of the Law RK "On Education", the organizations of education which undergone institutional and specialized accreditation in accreditation bodies are exempted from the procedure of the state attestation for the accredited educational training programs (specialties) for the term of accreditation. This situation has equal relation and to the international accreditation. At the same time, it should be noted that Kazakhstan’s HEIs are given the possibility for the choice of foreign accreditation bodies.

5.3 Financial autonomy

Foreign experience. There was given the possibility for HEIs of practically all studied countries on the formation of reserves of financial means while there has imposed a large number of restrictions on preservation of surplus of public financing.

Kazakhstan experience. Kazakhstan’s state universities, also as well as around the world, have the possibility for the formation of the reserve capital from independently earned means. However, conditions of formation of the reserve capital in Kazakhstan’s HEIs functioningin form 316 of the state enterprise, volume, and the purposes of use of reserve means are regulated at the legislative level.

Foreign experience. There are three main models of determination of the amount of payment for training when the cost of training is determined by HEI, authorized body, or the decision on the amount of payment is made jointly. The most widespread is the third way.

Kazakhstan experience. According to the state educational standard, state universities determine the amount of payment for training according to the specialties and forms of training in coordination with the authorized body in the field of education. The HEI signs the contract on the paid basis for providing paid educational services, which is developed on the basis of the standard contract for rendering educational services with students. At the same time, the expenditures in full for one student under the contract on providing paid educational services in Kazakhstan’s HEIs, irrespective of form of ownership, cannot be less than the size of the educational grant.

Foreign experience. The absolute majority of HEIs of foreign countries are given the right of attraction of financial loans. The right of HEIs for issue of own securities was not widely adopted yet. Also vesting with the right of investment of available funds for the educational organizations was not become the standard rule among HEIs of the world.

Kazakhstan experience. In Kazakhstan, the sources of educational financing along with the budgetary financing, income from rendering paid services and donations can be credits of the financial organizations. As for investment of means in the financial markets, the present possibility is not given to Kazakhstan’s HEIs.

Foreign experience. The property right of HEIs to the lands and structures, and also the possibility of implementation of any financial transactions with them are limited in more degree than other financial opportunities of HEIs. The reasons for it are the cultural value of buildings, features of the social and economic structure of the countries.

Kazakhstan experience. The questions on the state property (among them the fixed assets, and also real estate of the state universities) are regulated legislatively. The property rights of the Kazakhstan’s HEIs depend, mainly, on their legal form. State universities in Kazakhstan, despite the fact that whether they are created in the form of the state enterprises (on the right of economic or operational management), public institutions or non-profit joint-stock companies with the dominating share of the state participation, are deprived of the possibility for implementation of any financial transactions with the lands and buildings which have the HEI, except for their rent.

In spite of the fact that development of institutional autonomy of Kazakhstan’s HEIs in general corresponds to worldwide tendencies as show results of numerous researches in the field of institutional autonomy, the legislative fixing of autonomy does not always demonstrate the actual increase in freedom of HEIs in various fields of activity. Proceeding from the research results, is the fact is also obvious that the effective mechanism for ensuring flexibility of the universities, their abilities to innovations and business, which are necessary in the conditions of the highly competitive environment, are the providing institutional autonomy to HEIs. However, Kazakhstan lags behind the international trend on replacement of the centralized state control and regulation of the government forms which emphasize the importance of policy, establishment of the national purposes, the decentralized institutional management and use of financial policy (for example, financing of productivity) in order to guarantee a timely response of institutes to the priorities of the state policy.

6. CONCLUSION

The research results allow to draw the following conclusions:

  1. 1. 1) The concept of autonomy of higher educational institutions becomes harder and harder due to the complex structure of this conception. That is why now the common point of view on autonomy degree, its parameters, types, spheres of application, requirements for regulation and the framework does not exist.

    2) It is necessary to approach responsibly to the use of foreign experience because it is characterized not only by other social and economic, but also the mental environment. Artificial introduction of the foreign educational models, including the autonomization of HEIs, can lead to the boomerang effect and substantially reduce the quality of domestic education.

    3) The carried-out analysis demonstrates that in recent years in the system of autonomy of the Kazakhstan’s universities there were considerable changes. The present institutional structure of public administration of higher education corresponds to the experience of most of the European countries which entrusted public administration by the higher education to the profile ministry. However, there are still considerable reserves for improvement of this system, in particular, weakening of directive management, delegation of administrative powers on lower levels of management and introduction of real autonomy of higher educational institutions. This problem became even more urgent, since 2010 in connection with the implementation of obligations within the Bologna Process.

The following recommendations are formulated on the basis of the conducted research:

Managerial autonomy of the Kazakhstan’s higher education institutions.

Recommendations about transition of Kazakhstan’s HEIs to managerial autonomy come down to the fact that management structure of domestic HEIs has to be modernized as at the institutional, and state level. Providing the managerial autonomy to HEIs assumes, first of all, deregulation of the state control, exercised by an authorized body concerning higher education institutes by means of introduction in a university environment of the system of corporate joint management. It assumes the strengthening of the role of the boards of trustees and division of administrative powers between the three agents of management – the Board of trustees, the Academic council and the rector.

Academic autonomy of the Kazakhstan’s higher education institutions.

Advancement of the online technologies in HEIs.

Skillful use of the advantages of the Internet will allow Kazakhstan’s HEIs to increase the quality of training, to expand access to the higher education and to create the brand of Kazakhstan’s higher education in the world. This step will allow to expand availability of higher education for the international students. It will create the possibilities for expansion of the academic autonomy by transfer to HEIs of larger control over the process and establishment of selection criteria of students.

Introduction of mechanisms of autonomous ensuring quality.

The most effective way of improvement of quality for the educational process is not regulation of all aspects of activity of HEIs, but the creation of stimulus for high-quality work of the staff of HEI. It is necessary to reform Kazakhstan’s legislation in the sphere of higher education in order to create equal conditions for its participants, to follow the all-European tendency of expansion of autonomy and to carry out the tasks, which are set in the state program of education development.

Financial autonomy of the Kazakhstan’s higher education institutions.

Recommendations in the field of providing financial autonomy to the Kazakhstan’s HEIs are concentrated around the need of an increase in the financial stability of a national system of higher education:

  1. - Creation and use of the target capital;

    - Strategic planning of educational fundraising. Fundraising is the process of attraction by the organization (mainly non-commercial) of money and other resources for implementation of socially important projects (programs, stocks) and supporting of socially important institutes, it is the key instrument for ensuring financial independence of HEIs. The correct planning of the process of attraction on financial resources by HEI allows to determine independently the purposes and directions of development, therefore, increases the level of its competitiveness.

Commercialization of researches as a source of income of HEIs. Business activity is the most reliable (and also the most favorable in the academic plan) way of attraction of financial resources. Management of the expenses of HEI on types of activity.

Financial stability of the higher education depends not only on the ability of HEIs to diversify financing sources, but also from the presence at HEIs of the full-costing system or the effective way of determination of the full prime cost of all types of the activity.

The results of the conducted research expand the existing scientific-theoretical representations in the field of institutional autonomy of the higher school that can serve as the reference point for further researches on problems of autonomy of HEIs.

The practical value of this research consists in: 1) the research conclusions can serve as recommendations in the work of independent experts and participants of educational policy of the Republic of Kazakhstan; 2) it is necessary to focus attention to the observance of instructions of the State program of educational development of Kazakhstan (SPED) for 2011-2020, creating conditions for providing of bigger autonomy to the universities. It is applicable also for wide use of the marked out indicators on each component of institutional autonomy for determination of the general level of autonomy of HEIs and management of it.

Determining of the research perspective, it should be noted that the suggested research does not exhaust all aspects of the considered problem. Future researches, can be concentrated on: 1) determination of the model of responsibility of the Kazakhstan’s universities with the condition, when the universities are operated on the basis of a model of the state control. In the world, there are various models of responsibility of the universities, where the most of which are proportional to social, political and economic conditions of each university environment. Other important researches could investigate: 2) legal and administrative aspects of autonomy of the universities in Kazakhstan.

Thus, there were essential changes in Kazakhstan’s higher education. Any country has no perfect system of autonomy of HEIs. Obtaining the right for management is not the answer, as well as should not be the purpose. The purpose has to be the development of effective management, that type of management, which systemically reacts to the arising changes in needs, requirements and expectations. Various systems and approaches to autonomy of HEIs have the advantages and shortcomings. Search of the ways of joint and effective management is the hard work. Kazakhstan deals with the solution of these tasks along with many other countries and in this regard, the Kazakhstan’s experience also has potential in informing other countries.

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Notes

[1] Health Effects Institute
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