1. Introduction and Purpose

  1. Introduction. Academic administrators, faculty, members of the Board, and the University President are responsible for sustaining integrity, honesty and fairness and to integrate these values into teaching, research, service and administrative practices. These values reflect ethical principles for faculty guided by the advancement of knowledge, acting as academic mentors for their students, respecting and collaborating with colleagues in an academic community, responsibly serving an academic institution, while exercising the rights and obligations of individual members of society. These principles encompass major concerns traditionally and currently important to academic life and academic community.
  2. Purpose. This Code of Conduct is a statement of shared governance for upholding the ethical, professional and legal standards used as the basis for daily and long-term decisions and actions. Each faculty member and administrator are individually accountable for actions and collectively accountable as a university community for upholding these standards of behavior and for compliance with all applicable laws and policies. It is the intent of this FCP to protect academic freedom, to help preserve the highest standards of teaching and scholarship, to ensure effective management based on KIMEP’s Core Values, and to advance the mission of the University as an institution of higher learning in a spirit of partnership and collaboration.

2. Privileges of Academic Administrators

Academic administrators are members of KIMEP faculty authorized by the President of KIMEP University to guide and administer all aspects of the academic program for KIMEP University. Further delegation of authority by the VPAA to other administrators and faculty members is communicated in writing. This authority includes the development of this Code of Practice and its application to academic life at KIMEP. In exercising this authority, the academic administrators are subject to guidance by Presidential and/or Board directives. This authority is expressed by:

  1. Allocating teaching and related activities, leading and managing academic programs and ensuring full compliance with quality assurance and accreditation requirements;
  2. Overseeing all academic personnel matters including: recruiting, appointment, and reappointment; submitting documents of termination and dismissal; conducting faculty evaluation, promotion and merit reviews; and preparing and approving faculty workload plans and long-range professional development plans;
  3. Preparing and revising, as necessary, academic program planning and evaluation.

3. Responsibilities of Academic Administrators

Administrators are expected to comply with legitimate orders, as set forth in the KIMEP FCP as well as relevant laws of the Republic of Kazakhstan which guide their work. Administrators manage and safeguard unit financial, physical, spatial, and technical resources, demonstrated in part by:

  1. Ensuring that departmental faculty or staff members are granted appropriate systems access and resources for the performance of their duties;
  2. Being evaluated and receiving satisfactory ratings from ongoing internal audits with no significant weaknesses noted or taking appropriate corrective action where needed;
  3. Maintaining a balanced budget;

Administrators also provide leadership by initiating and maintaining good managerial practices demonstrated in part by:

  1. Following the University’s administrative policies, procedures, and business practices;
  2. Establishing a system of checks and balances, including segregation of duties, for all administrative and business functions;
  3. Maintaining accurate equipment inventory;
  4. Reviewing faculty or staff member Leave of Absence (LOA) requests and all forms reviewed for student welfare, accuracy and compliance with policy with required signatures and approvals obtained;
  5. Providing a positive work environment to faculty and staff members based on well-defined and communicated expectations for administrative and business processes;
  6. Ensuring that all departmental faculty and staff are fully aware of their obligations to comply with university policies and procedures;
  7. Ensuring that faculty and/or staff members receive appropriate training when necessary and maintain the skills and knowledge necessary to carry out their work functions;
  8. Establishing internal procedures to ensure that monitoring and oversight are ongoing.

Administrators also ensure timely completion of all required reviews and reconciliations, including:

  1. Faculty teaching, merit reviews;
  2. College or unit reviews;
  3. Program reviews;
  4. Administrative reviews.

Administrators also limit the university’s exposure to inappropriate costs or charges by:

  1. Ensuring that all personnel and payroll actions are processed in a timely manner, minimizing risks of overpayment;
  2. Ensuring compliance with contractual or Republic of Kazakhstan regulations.

4. Privileges of Faculty

In support of the University’s purpose as an institution of higher learning, the major responsibility of the administration is to support and encourage faculty members’ teaching, learning, research, and public service. The University supports and encourages faculty members by granting specific rights, which are subject to due procedure, including:

  1. Free inquiry and exchange of ideas;
  2. Enjoyment of freedom of expression while respecting the privacy and security of other people;
  3. Opportunity to address any matter of institutional policy or action when acting as a member of the faculty;
  4. Presentation of any material relevant to the subject matter as defined in a course syllabus;
  5. Participation in the governance of the University, as provided in the academic policies and regulations of the University, including:
    1. Approval of course content and manner of instruction;
    2. Establishment of requirements for matriculation and for degrees;
    3. Appointment and promotion of faculty;
    4. Selection of Chairs of departments;
    5. Establishment of norms for teaching responsibilities and for evaluation of both faculty and student achievement;
    6. Determination of the forms of departmental governance;
    7. The right to be judged by one’s colleagues, in accordance with fair procedures and due process, in matters of promotion solely on the basis of the faculty members’ professional qualifications and professional conduct;
    8. The right to be judged by one’s colleagues, in accordance with fair procedures and due process in matters of discipline for the sole purpose of preserving conditions hospitable to teaching, learning, research, and public service;
    9. Formulation of rules and procedures for the discipline of students.

5. Responsibilities of Faculty

Academic freedoms bring academic responsibilities. Faculty members are expected to comply with legitimate orders, policies, standards and regulations, including those set forth in the KIMEP FCP as well as relevant laws of the Republic of Kazakhstan. The principal responsibilities of faculty include:

  1. Meeting their defined teaching, research, and service obligations;
  2. Pursuing excellence, intellectual honesty, and objectivity in teaching, in conducting research, in publishing research findings and in evaluating students and colleagues.

Administrator and faculty member decisions and actions are tested against these values. Even the appearance of misconduct or impropriety can be very damaging to the University. Administrators and faculty must strive at all times to maintain the highest standards of quality and integrity.

6. Maintain Confidentiality and Privacy

KIMEP administrators and faculty members may receive and generate on behalf of the University various types of confidential, proprietary and private information related to other faculty or staff members, students or related to third parties such as businesses. It is imperative that each administrator and faculty member maintain confidentiality pertaining to the use, protection and disclosure of such information and maintains the privacy of individuals connected with such information. Information on specific privacy policies and the signing of non-disclosure agreements may be obtained from the Office of Human Resources (HR).

7. Conflicts of Interest/Conflicts of Commitment

KIMEP administrators and faculty members are expected to direct their professional efforts and time to KIMEP University and its mission to provide education, research/scholarship and service. Outside professional activities, private financial interests or the receipt of benefits from third parties may cause an actual or perceived divergence between the University mission and an individual’s private interests. In order to protect KIMEP’s primary mission, faculty members with other professional or financial interests shall disclose them to their supervisors and follow established policies and procedures as described in the FCP.

8. Fairness and Respect

According to the KIMEP Core Values, KIMEP University administrators and faculty members will treat one another fairly and with respect. To encourage such behavior, the University prohibits discrimination and harassment and provides equal opportunities for all faculty and administrators and applicants regardless of any characteristic protected by law including: race, color, religious creed, national origin, ancestry, physical or mental disability, medical condition, marital status, veteran status, sex, age, sexual orientation, or gender identity. Where actions are found to have occurred that violate this standard the University will take prompt action to stop the offending unlawful conduct, prevent its recurrence and discipline those responsible. Specific policies and procedures in support of this standard can be found in the FCP.

9. Financial Reporting

10. Compliance with Laws

KIMEP University administrators and faculty members must comply with applicable laws of the Republic of Kazakhstan, regulations, and University policies and procedures. Managers and supervisors are responsible for teaching and monitoring compliance with policies and procedures. When questions arise pertaining to the interpretation or applicability of a policy, faculty and/or staff members have an obligation to contact the relevant office, which has oversight of the policy as identified in the FCP. All unresolved questions and/or interpretation of laws and regulations should be referred to the Legal Office. University-wide academic policy documents can be found in the FCP. Compliance with laws includes:

  1. Contractual Obligations. The acceptance of an agreement, including sponsored project funding, creates a legal obligation on the part of KIMEP University to comply with the terms and conditions of the agreement and applicable laws and regulations. Therefore, only individuals who have authority delegated by an appropriate University official can enter into agreements on behalf of the University.
  2. Environmental Health & Safety, including Workplace Health and Safety. Although KIMEP University is responsible for workplace health and safety, faculty and administrators must be committed to protecting the health and safety of every faculty, administrator and administrative/physical plant staff members by providing a safe workplace. The University will provide information and training about health and safety hazards, and safeguards. Community members must adhere to good health and safety practices and comply with all environmental health and safety laws and regulations.
  3. Non-University Professional Standards. Some professions and disciplines represented at the University are governed by standards and codes specific to their profession, such as attorneys and certified public accountants. Those professional standards generally advance the quality of the profession and/or discipline by developing codes of ethics, conduct, and professional responsibility and standards to guide their members. Those belonging to such organizations are expected to follow University policies and codes of conduct in addition to any professional standards. If a community member believes there is a conflict between a professional standard and University policy, they should contact the Office of Academic Affairs.
  4. Academic Policies and Procedures.

11. Use of University Resources

University resources must be reserved for business and academic purposes on behalf of the University. They may not be used for personal gain, and may not be employed for personal use except in a manner that is incidental and reasonable in light of the faculty or staff member’s duties. University resources include, but are not limited to, the use of university systems (e.g., telephone systems, data communication and networking services); the use of university equipment (e.g., computers and peripherals, University vehicles); the use of procurement tools such as purchasing cards; and the time and effort of staff, students and others at KIMEP University.

12. Reporting Suspected Violations

Approval of this Code of Conduct makes KIMEP faculty and administrators responsible for bringing suspected violations of applicable standards, policies, laws or regulations to the attention of the appropriate office (department, college, Academic Affairs or HR). Raising such concerns is a service to the University and does not jeopardize one’s position or employment. Confirmed violations will result in appropriate disciplinary action up to and including termination of employment or other relationships with the University. Violations of this Code of Conduct are managed through an enforcement process applicable to unacceptable academic administrator and faculty behavior. This process must be guided by standards of fairness and significant faculty involvement. It is expected that case adjudication, the lessons of experience and evolving standards of the profession will promote reasoned adaptation and change of this Code. Faculty and academic administrators may be subjected to disciplinary action under this Code, the Code of Administrative Offenses and the Labor Code of the Republic of Kazakhstan for any type of conduct, which, although not specifically enumerated herein, meet the standard for unacceptable behavior described in the FCP. Rules and sanctions that currently exist to cover such actions derive from sources external to this Code such as the Republic of Kazakhstan legal codes. In some circumstances, civil and criminal charges and penalties may apply in accordance with applicable legislation of Kazakhstan. The reporting suspected violations includes:

  1. Reporting to Management. Members of the KIMEP community should report suspected violations of this Code, applicable laws, regulations, or government contracts and grant requirements. This reporting should normally be made initially through standard management channels, beginning with the immediate supervisor. If for any reason it is not appropriate to report suspected violations to the immediate supervisor (e.g., the suspected violation is by the supervisor) individuals may go to a higher level of management within their college or academic unit. All faculty and academic administrators are expected to cooperate with committees or agents delegated with authority by the President’s Cabinet or Academic Affairs to investigate suspected violations of this Code.
  2. Other Reporting. All violations of laws or regulations should be reported internally in writing to University Legal Office. Violations that are academically related must also be reported to Academic Affairs.
  3. Confidentiality. Such reports may be made confidentially; although the more information that is given, including written statements of witnesses, the easier it will be to investigate the reports. Raising such concerns is a service to the University and does not jeopardize employment. Malicious and unfounded reporting will be treated as a violation of this Code and those persons giving such reports will be subjected to disciplinary action. Confirmed reports of malicious or unfounded reporting will result in appropriate disciplinary action up to and including termination from employment or other relationships with the University.
  4. Questions. Direct any questions regarding the intent or applicability of this Code to Academic Affairs and/or the University Legal Office.