Ethics Committee

1. General Provisions

This Procedure defines the mechanism for filing, registering, reviewing, and resolving complaints, statements, and reports of violations of academic and corporate ethics, principles of sustainable development (ESG), anti-corruption legislation, human rights, and internal regulatory documents of K. Kulazhanov Kazakh University of Technology and Business (hereinafter referred to as the University).

The procedure is developed in accordance with the requirements of the quality management system ISO 9001:2015, ESG principles, the legislation of the Republic of Kazakhstan, and the internal documents of the University.

2. Who Can File an Appeal

The following are entitled to file a complaint or appeal:

students of all levels of education;
applicants;
teaching staff;
administrative and management personnel;
University employees;
alumni;
parents (legal representatives of students);
employers, partners, and suppliers;
other interested parties.

Appeals are accepted in both personalized and anonymous forms.

3. Grounds for Filing an Appeal

An appeal may be filed in cases of identified:

violations of the Code of Academic Integrity;
violations of the Code of Corporate Ethics;
corruption manifestations or conflicts of interest;
discrimination, harassment, bullying, or other forms of unethical behavior;
violations of the rights of students and employees;
violations of occupational health, safety, and environmental safety requirements;
violations of ESG and sustainable development principles;
abuse of official position;
other actions contrary to the legislation of the Republic of Kazakhstan and internal documents of the University.

4. Ways to File an Appeal

An appeal can be sent in one of the following ways:

Via E-mail

E-mail of the Ethics Officer / Compliance Service:

ethics@kaztbu.edu.kz

Via Online Form

On the University website under section:

"Sustainable Development (ESG)" → "Ethics and Compliance" → "File an Appeal"

In Writing

By post to the address:

37A Kaiym Mukhamedkhanov Avenue, Astana, 010000, Republic of Kazakhstan, K. Kulazhanov Kazakh University of Technology and Business

In Person

By contacting the responsible persons:

Ethics Officer, Compliance Officer, or the Internal Control Service of the University.

5. Requirements for Appeal Content

It is recommended to indicate in the appeal:

description of the circumstances and the essence of the appeal;
date, time, and place of the event;
information about the participants of the incident (if any);
available documents, photos, or other evidence;
contact details for feedback.

* The absence of certain information is not a ground for refusing to consider the appeal.

6. Procedure for Reviewing Appeals

Step 1

Registration of the Appeal

All received appeals are registered by the responsible department within 1 working day from the date of receipt.

Step 2

Confirmation of Receipt

If the appeal is not anonymous, a notification of registration of the appeal is sent to the applicant within 3 working days.

Step 3

Initial Assessment

The authorized person conducts a preliminary analysis of the appeal and determines: whether the issue falls within the competence of the University; whether an internal investigation is required; whether there are signs of violation of legislation, ethical norms, or ESG principles. The period for the initial assessment is up to 5 working days.

Step 4

Review of the Appeal

If necessary, a commission or working group is created with the participation of representatives of interested departments. As part of the review, the following may be conducted: request for additional information; study of documents; obtaining written explanations; conducting interviews and official audits. The period for reviewing the appeal is no more than 30 calendar days. If an additional check is necessary, the period may be extended, but by no more than 30 calendar days, of which the applicant is additionally notified.

Step 5

Decision Making

Based on the results of the review, one or more decisions are made: recognition of the fact of violation; adoption of corrective and preventive measures; referral of materials to competent authorities; application of disciplinary measures; closing the appeal in the absence of confirmed facts.

Step 6

Informing the Applicant

The applicant is provided with information about the results of the review of the appeal in an amount that does not contradict the requirements of the legislation of the Republic of Kazakhstan on personal data protection and confidentiality.

7. Guarantees of Confidentiality and Protection of Applicants

confidentiality of the review of appeals;

protection of personal data;

objectivity and impartiality of the review;

prevention of harassment, discrimination, or other negative consequences against persons who in good faith reported possible violations.

Any form of pressure on the applicant is considered a violation of the ethical standards of the University.

8. Monitoring and System Improvement

Information on received appeals is analyzed annually within the functioning of the quality management system and ESG management to:

identify systemic risks;
improve the quality of educational and management processes;
improve corporate culture;
prevent repeated violations;
increase transparency and accountability of the University's activities.

9. Responsible Department

The department responsible for receiving, registering, and coordinating the review of appeals is:
Compliance Service / Ethics Officer of K. Kulazhanov Kazakh University of Technology and Business

Tel. +7 (7172) 69-70-60

E-mail ethics@kaztbu.edu.kz

Address 37A Kaiym Mukhamedkhanov Avenue, Astana, 010000