Work packages

WP 1 Preparation

WP 2 Development of the model of autonomy

WP 3 Quality assurance plan

WP 4 Dissemination and Exploitation

WP 5 Management

Description

The Republic of Kazakhstan is engaged in a deep process of structural change of the governmental institutions, among them the higher education sector and the health sector.

Autonomy of higher education institutions is a complex concept. In EU the European University Association has developed a tool for measuring the degree of university autonomy based on four dimensions: financial, academic, organization, and staffing. EU countries apply different models of autonomy, depending on the individual countries’ traditions and political development.

There are today in Kazakhstan beliefs and expectations of increased university autonomy. But there is lack of knowledge about the different models of university governance that can be applied in the specific context of the country, a context marked by rapid change and the search for effective methods of organization of state institutions.

There is a need among university leaders and decision makers in the ministries to have greater insight into these dimensions of university autonomy and how they can be applied to get a national model of university governance that is adapted to the current reform process. The model (or models) should be sustainable and seen as legitimate of those who will use them.

A starting point is to adequately train project partners on the University Scorecard methodology, to then enable an appropriate data collection and analysis on the basis of EUA’s four-dimensional model. The goal is both to gather information and get a better understanding of the state of play in university governance in Kazakhstan and what autonomy means regarding organisational, financing, academic and staffing matters.

The objective of this Work package is to perform an analysis of the state of play, so that the discussion groups of the Work Package 2 have a common structured basis for developing a “desirable” model that fits the needs of the Kazakh sector and the development of recommendations / suggestions for a governance model suitable to the higher education sector of Kazakhstan, on the basis of the indicators of each of the four dimensions of the EUA University Autonomy Scorecard.

Tasks

It is important to find out the needs in the field of university autonomy in Kazakhstan. Focus areas and problems areas must be identified. For this reason, surveys and contacts will be used that involves the tertiary education institutions e.g. the public and private universities and the Ministries of Education and Health.
The preparation of the questionnaire will follow the EUA model, i.e. the four autonomy areas and the related indicators for each area. This will also help to introducing the four dimensions to the respondents of the institutions involved.

Deliverables/results/outcomes

1.1 Training seminar about University Autonomy Scorecard methodology.
Seminar in Brussels. Training package provided by EUA staff to the Kazakh project partners on:

  • how to adapt the University Autonomy Scorecard methodology to the approach and objectives of the project.
  • project event development (discussion groups, national event) based on ATHENA expertise principles for process & roadmap / action plan development

1.2 State of play of university governance in Kazakhstan: data collection and analysis

  • Development of necessary contact database to optimize response rate by identifying potential respondents in the institutions
  • Development of autonomy survey based on the four dimensions of the EUA Autonomy Scorecard
  • Dissemination of survey and monitoring of response rate, actions to increase response rate as necessary (targeted reminders, follow-up with potential respondents, dissemination activities to raise profile of the project and need to take part in survey).
  • Data analysis, identification of areas where autonomy is deemed most important and shortcomings of the current governance system

1.3 Suggestions and recommendations for university governance model (including structured guidance for the reform process)

Report – Development of recommendations / suggestions for a governance model suitable to the higher education sector of Kazakhstan, on the basis of the indicators of each of the four dimensions of the EUA University Autonomy Scorecard.

Development

Description

The project aims to create a common space for the exchange of ideas and visions about university autonomy. With help of the survey results and the analysis performed in WP1, and the input provided by the EU partners about university autonomy models in EU the Kazakh partners would contrast their expectations and the specific circumstances of the political process of governance reform in Kazakhstan. The EU perspective in the field can help to find feasible alternatives and to reach consensus about the basis for a model of university autonomy for Kazakhstan. The goal is to conduct constructive discussions between the universities and the Ministries of the different options. Opportunities and risks must be considered and the actual circumstances surrounding the implementation of concrete reform proposals must be analyzed.
The final objective is to agree upon a model of autonomy. The model can then be implemented on a pilot basis at the project partner universities. The partners will create a reference group to ensure sustainability of the results. The aim is to provide consulting to other universities during their implementation phase.

Tasks

  • Kazakh and European partners will work together using the results of the outcomes of WP1. EU partners will present the models of autonomy applied in the country they work in, EUA will provide expertise on the current state of play of university autonomy in Europe (overview of current trends, different models), to show the diversity of possible models and developments in the area of university governance.
  • Similarities and differences will be discussed as well as possible alternatives for increased autonomy of the Kazakh universities.
  • Development of a basic model (included alternative models for special areas, for example Medicine). The model should follow the EUA model, i.e. the four autonomy areas and the indicators for each area.
  • The model implements in the partner universities. Experiences gained during the implementation phase are documented and systemized to be used later under dissemination phase to other universities.
  • Development of information strategies for communication with the HEIs and stakeholders of the proposed reforms. Outlining of a draft timetable for the introduction of the reform. EUA will contribute to the development of learning material supporting institutional implementation of project recommendations through structured toolkits for this purpose.
  • Formation of the reference group to ensure sustainability of the results. Creation of the University Autonomy Implementation Consulting Group (AICG).

The figure below visualises the connection and rationale of the activities in WP 1, WP 2 and WP 4 for the achievement of the Project objectives:

Lead Organisation

Deliverables/results/outcomes

2.1 Discussion Group

Workshop in EU universities (Lund University, Sweden; University of Ljubljana, Slovenia; Lublin University of Technology, Poland). Kazakh and European partners together analyse the identified needs. EU partners will present the models of autonomy applied EU countries. EUA will provide expertise on the current state of play of university autonomy in Europe (overview of current trends, different models). Alternative scenarios for increased autonomy of the Kazakh universities are elaborated and presented in a report.

2.2 Development of a basic model (included alternative models for special areas, for example Medicine)

Seminar in Atyrau, Kazakhstan. Using the findings of the Discussion Group (WP 2.1.) a model of autonomy is decided together by the Partner universities and the Ministries, with participation of one EU Partner expert per Partner. Due to different situation in universities depending of respectively Ministry Education / Ministry of Health, the model can differ but will have the same structure.
The description of the autonomy model must be done according to the EUA Autonomy Tool methodology, giving the degree of freedom of decision in the areas of Financing, Academic, Organization and Staffing and using the indicators for each area.

2.3 Pilot implementation

The agreed model of autonomy is implemented in the Partner universities. The experiences gained during the implementation phase are compiled and systemized. The purpose is to use the information as a resource for the dissemination activity and the group of specialists in implementation of the model of university autonomy.

2.4 Communication and Information strategy

The work of the Discussion Group and the agreed model of university autonomy must be communicated to the universities. A strategy for effective communication of the information collected during the Pilot Implementation phase must be outlined. Elaboration of a Dissemination Plan for National exploitation of the project’s results. Exploration about the potential for possible dissemination to other Central Asian countries. Design of information materials, on paper and electronic.

2.5 Guidance material to support reform implementation at institutional level

The guidance material will provide practical elements to support higher education institutions in Kazakhstan in their efforts to implement the governance reform. The guidance material will be a response to the needs identified in the analysis and the discussions held in the project. They serve both as a compilation of good practice examples and as practical guidelines using the rich information EUA has gathered through its work on governance and funding with members and partners across Europe.
The material is mainly targeted at university leaders and managers engaged in reform processes at institutional level. They include questions to help structuring the reflection and the change process within universities. The material should also be of interest to public authorities and Ministries and inspire the development of policies supporting universities in the implementation.

2.6 Formation of the University Autonomy Implementation Consulting Group (AICG)

Meeting in Kazakhstan with participation of EU experts. Formation of a group of specialists in implementation of the model of university autonomy: The University Autonomy Implementation Consulting Group (AICG). A decision must be taken about the mission and tasks of the AICG, the scope of service activities the AICG can provide to Kazakh universities, financial provisions and physical location, etc. After end of the project the AICG operates with support by Ministries/Universities and uses the Guidance material developed in WP 2.5.

Quality plan

Description

Contents of the Quality Assurance process:

  • Formation of effective operative groups
  • Continuous communication with the responsible of each planned Activity.
  • Audit of budget and expenses.

A Quality Assurance Plan (QAP) shall be elaborated by the Management Team. The proposed
QAP will be discussed by all consortia partners and approved by the members.

The QAP will be monitored by the Management Team, corrective measures will be taken if
quality problems or deviations from the plan are detected.

Deliverables/results/outcomes

3.1 Elaboration of the Quality Assurance Plan

Meeting in KSMU in combination with Quick-off meeting.
A Quality Assurance plan (QAP) will be developed by the Management Team and discussed
and accepted by all partners. The QAP will be monitored by the Management team, which
will decide upon measures to be taken if quality problems occur.

3.2 Annual reports from Management Team regarding QAP

The result of the quality work shall be reported at the end of each year. It will be
based upon the reporting by the responsible of each planned Activity and the
evaluation by the Management Team of the work been performed during the
year by each Activity group.

Dissemination and Exploitation

Description

    1. A National Conference to make the agreed Autonomy Model known among Kazakh universities. Invitation to Central Asian universities for regional dissemination of the Model.
    1. Marketing of the service provided of the University Autonomy Consulting Group.
    1. Dissemination of the Guidance material

Tasks

    • To organize and marketing the Conference.
    • Advertisements shall be put in newspapers, magazines and on Internet about the results of the Pilot Implementation.
    • Sending of invitations to Kazakh universities about contacting the University Autonomy Consulting Group, including information on the service provided by the Consulting Group.
    • The results of the Communication and Information Strategy activity (WP2.4) and the Guidance Material developed in WP 2.5. will be used for dissemination purposes. Different methods and communication tools will be used, such as meetings, internet website, newspapers, brochures and posters.

Deliverables/results/outcomes

4.1 National Conference on University Autonomy

A National Conference to make the agreed Autonomy Model known among Kazakh universities. Invitation to selected Central Asian universities for regional dissemination of the Model.

4.2 Marketing and launching of the Autonomy Implementation Consulting Group

Official opening of the AICG office.
Information about the consulting service provided by the AICG shall be disseminated among the HEIs of Kazakhstan. This is one important tool for speeding the process of transition to increased university autonomy.
For increasing the exploitation of the project’s results and depending on the results during the first year, attempts can be made to widening the geographic scope of AICG to other Central Asian countries.

Management

Description

For effective management of the project, Partnership agreements will be developed and signed by the Coordinator and the Partners. Operational workpackages for all partners will be developed. The Coordinator will act as the leader of the overall management. Key persons from each Partner will be part the Management Team (MT). The MT will control the administrative and methodological aspects of the project activities, monitor and evaluate the phases of the project in terms of its declared objectives and, in correspondence with the Workplan, intervene for the resolution of any possible incoming problem. The MT will also be in charge with the quality control and monitoring.

Tasks

The MT will work with the following tasks:

      • Ensure respect for the responsibilities and obligations stated in the Grant Contract and in the
        Partnership Agreements, including the rules about eligibility of expenditures.
      • Fulfill the obligation to providing needed information to the EACEA and the acomplishment
        of the responsibilities assumed by each Partner of the Project.
      • Identify the guidelines for the management of the financial resources allocated to the
        Project, to ensure the respect of the European Commission procedures and requirements.
        Define the administrative procedures for the commitment, expenditure and accounting of
        funds, both for the general budget and the budget allocated to each Partner of the Project.
      • Identify the main strategies and guidelines for the running of the operations and coordinate
        their general implementation.
      • Define guidelines for implementation of the activities and the specific mandates (objectives,
        deliverables, procedures, duration) of the MT.
      • Regularly review progress made towards the achievement of the Project objectives and
        results through the approval of the:

        • Internal Monitoring and Quality Plan;
        • Internal monitoring, internal quality and external evaluation reports;
        • Interim and final reports to the European Commission on the implementation of the
          Project.
      • Decide on all the interventions required for improvement of the implementation of the
        Project and the reduction of the risks that may affect the achievement of the project
        Objectives and expected results.
      • Identifying new methodologies and strategies to achieve the results. Any eventual proposal
        will be presented to the EACEA concerning the Contract.

The resources for the activities are allocated by planned staff time for all Partners. During the
Project meetings time will be dedicated to Management items and issues.

Deliverables/results/outcomes

5.1 Kick-Off meeting. Management Team and Rules for the working group.

Kick-off meeting in Karaganda. The Management Team will be composed by a Project
Leader and representatives of the Partners.
Rules and agenda will be set up at the Start meeting.
Follow up of activities according to work plan, all financial expenditures and reporting.

План обеспечения качества

Описание

Содержания процесса по обеспечению качества:

  • Создание эффективных рабочих групп
  • Продолжительное общение с ответственными лицами за каждую плановую работу.
  • Аудит бюджета и расходов.

План по обеспечению качества (QAP) должен разрабатывать руководящий состав.
Предложенный QAP обсуждается всеми партнерами по консорциуму и подтверждается
членами.

QAP проверяется руководящим составом, в случае отклонения от плана или
возникновения проблем с качеством, будут приниматься коррекционные действия.

Задачи

  • Создание групп.
  • Установление хороших и стабильных каналов связи и культуры качественной
    связи внутри проекта. Аудит бюджета и расходов.
  • Установление QAP.

Итоги/результаты

3.1 Разработка плана обеспечения качества

Встреча в КГМУ вместе с начальной встречей. План обеспечения качества (QAP)
разрабатывается руководящим составом, а также обсуждается и принимается всеми
партнерами. QAP проверяется руководящим составом, который будет принимать
решения в случае возникновения проблем по качеству.

3.2 Ежегодный отчет от руководящей группы по QAP

Результат работы по качеству предоставляется в конце каждого года. Он основывается
на отчетах от ответственных лиц по каждой плановой работе, а оценку от руководящей
группы по работе каждая активная группа выполняет в течение года.

Распростронение и эксплуатация

Описание

      1. Национальная конференция для создания согласованной автономной модели,

 

      1. известной среди казахстанских университетов. Приглашение в университеты

 

      1. центральной Азии для областного распространения модели.
        Маркетинг услуг, предоставленных консультантной группой университетской

 

    1. автономии.
    1. Распространение материала по руководству.

Задачи

  • Для организации и маркетинга конференции.
  • Рекламу о результатах пилотной реализации необходимо поместить в газеты,
    журналы и интернет.
  • Рассылка приглашений в казахстанские университеты о взаимодействии
    консультантной группы университетской автономии, включая информацию об
    услугах, предоставленных от консультантной группы.
  • Результаты коммуникативной и информативной стратегии (РП2.4) и
    инструктивные материалы, разработанные в РП 2.5 будут использоваться в целях
    распространения. Будут использоваться различные методы и коммуникативные
    инструменты, такие как встречи, интернетные веб-сайты, газеты, брошюры и
    постеры.

Итоги/результаты

4.1 Национальная конференция по автономии университета

Национальная конференция для создания согласованной автономной модели,
известной среди казахстанских университетов. Приглашение в выбранные
университеты центральной Азии для областного распространения модели.

4.2 Маркетинг и запуск консультантной группы по реализации
автономии. Official opening of the AICG office.

Официальное открытие офиса AICG.
Информация об услуге консультирования, предоставленной от AICG, должна
иметь распространение среди ВУЗов Казахстана. Она представляет собой один
важный инструмент для ускорения процесса перехода на повышенную автономию
университетов.
Для увеличения эксплуатации результатов проекта и в зависимости от
результатов в течение первого года, могут предприниматься попытки по
расширению географического объема AICG в другие страны центральной Азии.

Управление

Описание

Для эффективного управления проектом, будут разработаны и подписаны
координаторами и партнерами партнерские соглашения. Будут разработаны
операционные рабочие пакеты для всех партнеров. Координатор выступит в качестве
лидера общего управления. Ключевые фигуры от каждого партнера будут составлять
часть руководящей группы (РГ). РГ осуществляет контроль за административными и
методологическими аспектами проектных работ, проверяет и оценивает стадии проекта
в отношении их объявленных задач, а также в соответствии с рабочим планом,
занимается решением любой возникнувшей проблемы. РГ также несет ответственность
за контроль качества и мониторинг.

Задачи

РГ работает со следующими заданиями:

  • обеспечивает соблюдение ответственностей и обязанностей, установленных в
    договоре о предоставлении гранта, а также в партнерских соглашениях, включая
    правила о соответствовании требованиям по расходам.
  • Выполняет обязательства для предоставления необходимой информации в EACEA
    (исполнительное агентство по образованию, аудиовизуальным средствам и культуре),
    а также сопровождение ответственностей, предложенных от каждого партнера проекта.
  • определять руководящие принципы для управления финансовыми источниками,
    выделенными для проекта в целях соблюдения процедур и требований европейской
    комиссии. Определить административные процедуры для обязательств, расходов и
    учета финансов, как для общего бюджета, так и для бюджета, выделенного для каждого
    партнера проекта.
  • определять основные стратегии и принципы для проведения работ и координации их
    общих реализаций.
  • определять принципы для реализации работ и особых мандатов (задачи, выполнения,
    процедуры, продолжительность) рабочей группы.
  • Постоянно проверять результаты достижений по задачам и результатам проекта
    посредством подтверждения от:

    • внутреннего мониторинга и плана обеспечения качества;
    • внутреннего мониторинга, отчета о внутреннем качестве и внешних оценках;
    • временных и финансовых отчетностей европейской комиссии по исполнению
      проекта.
  • принятие решений по поводу всех вмешательств, необходимых для улучшения
    реализации проекта, а также сокращения рисков, которые могут повлиять на
    достижение задач проекта и ожидаемые результаты.
  • определения новых методик и стратегий для достижения результатов. Любые
    случайные предложения относительно договора будут представлены в EACEA.

Источники для работ выделены плановым временем персонала для всех партнеров. В
процессе проекта, время для встреч будет посвящаться управленческим вопросам.

Итоги/результаты

5.1 Установочное совещание. Руководящая группа и правила для рабочей
группы.

Стартовые встречи в Караганде. Руководящая группа формируется главой проекта и
представителями партнеров.
Правила и программа действий будет установлена на стартовой встрече.
Следование работе согласно рабочему плану, всем финансовым расходам и отчетам.