Regulation about the Ombudsman at EI «Almaty Management University»
of March 3, 2017
1. GENERAL PROVISIONS
1. This Regulation on the Ombudsman (hereinafter - Regulation) in EI "Almaty management University" (hereinafter – EI) is developed taking into account the legislation of the Republic of Kazakhstan, the Charter of EI, the rules of pedagogical ethics of MES (hereinafter – Rules), in order to determine the order of appointment of the Ombudsman Institution (hereinafter - Ombudsman), its competence, tasks, functions and responsibilities.
2. The institution of the Ombudsman was established within the framework of initiatives, measures and actions taken by the Sole participant, the Board of Trustees and Commission on corporate (pedagogical) ethics in order to:
1) ensure observance by bodies, officials and pedagogical workers of EI of Rules;
2) strengthen measures to prevent and resolve corporate conflicts and conflicts of interest;
3) improve the image of EI.
3. The Ombudsman carries out its activities in accordance with the legislation of the Republic of Kazakhstan (hereinafter - Legislation), the Charter, Rules, these Regulation and other internal documents of EI.
4. The institution of the Ombudsman is a post and is reflected in the staffing table, organizational structure of EI, and also affects the staff number of EI.
2. PROCEDURE OF APPOINTMENT AND DISMISSAL OF THE OMBUDSMAN
5. The Ombudsman is appointed by the decision of the Board of Trustees of EI, adopted by a simple majority of the Board of Trustees members. The presence of the candidate (s) for appointment as Ombudsman at the specified meeting is mandatory.
6. The decision of the Board of Trustees on the appointment of the Ombudsman shall specify the period of work of the Ombudsman.
7. The Board of Trustees Members, the Sole participant can submit proposals on the candidature for appointment of the Ombudsman in the procedure established by the Legislation and the Charter of EI, regarding convening of meetings of the Board of Trustees.
8. The candidate for appointment as Ombudsman shall be subject to the following requirements:
1) higher education;
2) work experience not less than five years, including in EI - not less than 3 (three) years;
3) impeccable business reputation, as well as personal qualities such as honesty, perseverance, sociability, responsibility.
9. For each of the candidates, the following documents must be submitted to the Board of Trustees in electronic and paper form:
1) data on education, experience of work of the candidate according to Appendix to this Provision;
2) information on presence (absence) of affiliation to EI;
3) written consent of the candidate for appointment by the Ombudsman.
10. EI Rectorate has the right in its decision to express a vote of non-confidence on the Ombudsman and submit in the established order for consideration of the Board of Trustees of EI question about the termination of authorities of the Ombudsman. In the event of the above decision by the Rectorate, authorities of the Ombudsman shall be suspended until the date of the decision of the Board of Trustees of EI to terminate the authorities of the Ombudsman or to continue his / her authorities.
11. The Board of Trustees has the right to decide on the early termination of the authorities of the Ombudsman.
12. In the case of adoption by the Board of Trustees of EI decision on termination of authorities of acting Ombudsman without the appointment of a new Ombudsman, the Ombudsman, whose authorities are terminated, the documents are transferred by the act to the Secretary of the Board of Trustees for onward transmission to a newly appointed Ombudsman.
3. TASKS OF THE OMBUDSMAN
13. The tasks of the Ombudsman within his / her activities are::
1) ensuring compliance by bodies, officials and employees of EI with the Rules and, if necessary, explaining their provisions;
2) assistance to EI bodies and officials in work with messages about illegal activities in EI;
3) assistance to EI bodies and officials in prevention or settlement of labour disputes (Disputes).
4. FUNCTIONS OF THE OMBUDSMAN
14. To perform the task of ensuring compliance of EI bodies, officials and employees with the Rules and clarify their provisions, the Ombudsman performs the following functions:
1) monitor the implementation, observance by EI bodies and officials the Rules of EI and EI internal documents aimed at its implementation;
2) provision and organization of explanations to EI officials and employees issues related to the requirements of the Rules of EI, including through the organization of training seminars and trainings;
3) informing in writing EI bodies and officials on the violations revealed in EI in the field of pedagogical ethics;
4) participation in the development and periodic review of EI internal documents aimed at implementing the Rules;
5) monitoring and analysis of the existing practice, trends, prospects of development in the field of pedagogical ethics in the Republic of Kazakhstan, abroad and the provision of relevant analytical references, information, recommendations to heads of EI structural divisions, officials and bodies;
6) ensuring the introduction of practices for regular monitoring of the provisions of Rules and internal documents aimed at their implementation;
7) ensure the collection of acknowledgement sheets of the employees of EI Regulations, including the cases of changes or additions;
8) formation of reporting on observance of the Rules and internal documents of EI directed on their implementation, carrying out the analysis and providing recommendations to bodies, officials and workers on necessary measures for prevention of violations of internal documents and reduction of reputation risks.
15. To perform the task of assisting EI bodies and officials in dealing with reports of illegal actions in EI, the Ombudsman performs the following functions:
1) participation in development and regular review of internal documents on dealing with reports of possible or known facts of fraud, abuse and other illegal acts in the Institution (hereinafter-Messages);
2) registration and storage of Messages received by the Ombudsman, designation of the authorized person for consideration of Messages, coordination of the process of consideration and response to the Messages, assistance to the authorized bodies and officials in consideration of Messages, including participation in the procedure defined by internal documents of EI, in official investigations and in the preparation of relevant draft decisions, analysis and provision of reports and recommendations to bodies and officials of EI on the results of consideration of Messages;
3) monitor the implementation, observance by the authorized bodies and officials internal documents about work with Messages;
4) providing organization and clarification to EI officials and employees provisions of internal documents on handling of Messages, on organization and internal investigations, including organization of training workshops and trainings;
5) monitoring and analysis of the existing practice, trends, prospects of development in the field of work with Messages in the Republic of Kazakhstan, abroad and the provision of relevant analytical references, information, recommendations to EI heads of structural divisions, officials and bodies;
6) ensuring implementation of the mechanism for collection and confidential consideration of Messages in EI, promoting creation and effective use of channels of information exchange between EI and interested parties;
7) ensure the collection of acknowledgement sheets of EI employees with the requirements of internal documents about work with Messages.
16. To perform the task of assisting EI bodies and officials in prevention or settlement of Disputes, the Ombudsman performs the following functions:
1) participation in development and regular review of internal documents on Disputes in EI (hereinafter-Conflicts);
2) registration and storage of information about disputes submitted to the Ombudsman, designation of the authorized person to resolve Disputes, coordination of Dispute resolution process, assisting EI bodies and officials in Dispute resolution, including participation in official investigations and in preparing related draft decisions, participation in the role as mediator in resolving Disputes inside EI, and EI Disputes with third parties, conducting analytics and providing reports and recommendations to EI bodies and officials on necessary measures to reduce the risk of Disputes;
3) informing on potential and real Disputes the relevant bodies and officials of EI;
4) monitor implementation, observance by EI bodies and officials internal documents on the prevention and settlement of Disputes;
5) provision and organization of explanations to EI officials and employees on provisions of internal documents on prevention and settlement of Disputes, mediation, including organization of training seminars and trainings;
6) monitoring and analysis of existing practice, trends, prospects of development in the field of Dispute prevention and settlement in the Republic of Kazakhstan, abroad and provision of relevant analytical references, information, recommendations to EI heads of structural subdivisions, officials and bodies;
(7) ensuring the implementation of Dispute prevention and settlement mechanism.
5. RIGHTS AND DUTIES OF THE OMBUDSMAN
17. The Ombudsman has the right:
1) according to established procedure to request and receive from EI officials and structural divisions materials (information), in case of explanations necessary only for implementation of tasks and functions of the Ombudsman;
2) to participate in meetings of Scientific Council of EI, strategic sessions of EI, meetings of departments and other activities in the framework of management process in EI.
18. The Ombudsman must:
1) observe in his activities the norms and requirements of the legislation of the Republic of Kazakhstan, the Charter, this Regulation and other internal documents of EI;
2) keep confidential information about EI, its affiliates and employees, insider information that became known during the period of the Ombudsman's functions during his / her term of office, as well as within three years from the date of termination of his / her authorities;
3) twice a year report to the team and the management of EI on the work done, provide the Board of Trustees with information on the activities of the Ombudsman for each meeting.
6. RESPONSIBILITY OF THE OMBUDSMAN
19. The Ombudsman must act in accordance with the principles of honesty, independence, conscientiousness, confidentiality, justice, reasonableness, objectivity and impartiality.
20. The Ombudsman is responsible in the order established by the legislation of the Republic of Kazakhstan for:
1) confidentiality of information in accordance with the relevant agreement with EI;
2) losses caused to EI by his guilty actions (inaction).
21. During performing the functions of the Ombudsman in consideration of Messages or Disputes, in case of failure of an early settlement of a dispute and its transfer to a court or other non-judicial forms, authorities of the Ombudsman for this Dispute or Message shall terminate. The Ombudsman is not entitled to participate in any subsequent procedures. He cannot be brought in as a witness to testify in court on circumstances that became known to him in connection with the ongoing investigation or other measures, unless otherwise provided by the legislation of the Republic of Kazakhstan.