90112 Kazakhstan SABER Country Report SCHOOL AUTONOMY AND ACCOUNTABILITY 2013 Policy Goals Status 1. Autonomy in Budget Planning and Approval Education budgets are decentralized to the municipal (Akimat) level and allow for school principals to submit budget requests, but the Finance Department of the Akimat has full discretion to allocate budget to schools. Parent councils have no inputs. Centralized pay scales are used for determining salaries and schools can raise additional funds from sub-national governments and other sources. 2. Autonomy in Personnel Management Salaries are relatively fixed by civil service rules or central guidelines but with bonuses allowed. The school principal controls the hiring and firing of teachers and non-teaching staff, and the municipal level, with some input from the MOES, appoints and dismisses principals. 3. Participation of the School Council in School Governance There are parent councils that participate strictly on a voluntary basis in school activities with no legal authority to voice opinion or to guide their participation. 4. Assessment of School and Student Performance Kazakhstan regularly assesses school and student performance and makes the results available publically, however, the policies for use of assessment results to improve pedagogical practices and/or make operational adjustments at the school level is lacking. 5. Accountability to stakeholders School performance and learning outcomes of standardized tests are public, but with no mandate to simplify or to explain the results. School accountability is hampered by the lack of power of parents over budgetary issues and school personnel and for weak linkages between student performance and teacher and school accountability. WORLD THE THE BANK WORLD BANK KAZAKHSTAN ǀ SCHOOL AUTONOMY AND ACCOUNTABILITY SABER COUNTRY REPORT |2013 Introduction supporting teaching and learning. The goal of this effort is to identify policy areas and actions that support In 2011, the World Bank Group commenced a multi- better alignment of managerial responsibilities at the year program to support countries in systematically school level, assessment of results, and use of examining and strengthening the performance of their assessments to promote accountability to increase education systems as part of the Bank’s new Education education quality and student learning. The application Strategy. 1 This evidence based initiative, called SABER of this SABER tool can be an important instrument for (Systems Approach for Better Education Results), is education system reform if used for planning and building a toolkit of diagnostics for examining education monitoring the enabling conditions for improving systems and their component policy domains against system performance. As such, it starts with the global standards, best practices, and in comparison with assumption that increased school autonomy and the policies and practices of countries around the improved accountability are necessary conditions for world. By leveraging this global knowledge, the SABER improved learning because they align teacher and tool fills a gap in the availability of data and evidence on parent incentives. 2 Within this context it is what matters most to improve the quality of education recommended that the SABER methodology used here and achievement of better results. to benchmark Kazakhstan’s school autonomy and accountability measures be considered an essential The objective of the Joint Economic Research Program component of an overall strategy for improving learning (JERP): Raising the Quality of Learning - System outcomes. Assessment and Benchmarking for Education Results is to enhance the Government of Kazakhstan’s policy and The paper is divided in the following way: (i) Section I institutional capacity towards evidence based decision presents the background on the education system in making for raising the quality of education. The Kazakhstan; (ii) Section II introduces the framework for objective will be achieved through the application of the analyzing school autonomy and accountability systems; SABER tool in three key areas of education quality: (iii) Section III provides an analysis of the situation in student assessments, school autonomy and Kazakhstan using the results of the SABER School accountability and teacher policies. This country study is Autonomy and Accountability tool; (iv) Section IV the second of the SABER case studies under this JERP provides policy recommendations for strengthening and presents the findings and policy recommendations school autonomy and accountability in Kazakhstan; and from the SABER-School Autonomy and Accountability (v) Section V presents the status of School Autonomy tool. and Accountability policy development in Kazakhstan in comparison to other countries. Autonomy and accountability are key components that can contribute to ensuring education quality in an I. Education in Kazakhstan education system. The purpose of this particular SABER assessment scale is to diagnose the extent of policy Education has always been a priority for the development for school autonomy and accountability Government of Kazakhstan. During the economic crisis within an education system for the purpose of which began immediately after independence in 1991, identifying weaknesses and strengths and to identify education suffered from cuts in spending that affected policy actions that can foster a better environment for primary completion rates and a decline in secondary enrollments. Strong economic growth driven by rising oil production significantly boosted Gross Domestic Product (GDP) between 2000-2008 and lowered poverty 1 The World Bank Education Sector Strategy 2020: Learning for All (2011), which outlines an agenda for achieving “Learning for All” in the developing world over the next 2 decade. Bruns, Filmer and Patrinos 2011 1 SYSTEMS APPROACH FOR BETTER EDUCATION RESULTS KAZAKHSTAN ǀ SCHOOL AUTONOMY AND ACCOUNTABILITY SABER COUNTRY REPORT |2013 levels to 13 percent. At the same time, the education regulated by the State Program of Education sector undertook reforms resulting in new curricula, Development 2011-2020 which aims to strengthen learning resources and teacher training. Today, education competitiveness and development of human Kazakhstan is an upper middle income country that has capital through access to quality education. While experienced high economic growth, with GDP growing education policy is the responsibility of the Ministry of at an annual rate of approximately seven percent in Education, the municipal level’s (Akimat) education 2010 (World Development Indicators, 2012). departments are responsible for delivery. Kazakhstan has now achieved near universal access to basic education, and the internal efficiency of the The structure of the Kazakh education system is system is high with 100 percent transition from primary displayed in Table 2. Primary education is the first stage to secondary levels and very low repetition. Gradually, of compulsory education and spans a period of four the investment in education has increased to 3.9 years. The majority of children enroll at age 7, but six percent of GDP (Table 1). year olds can be admitted by passing an entrance test. Secondary education starts at fifth grade and consists of Table 1: Selected education indicators two levels: basic comprehensive (grades 5-9) and senior comprehensive (grades 10-11). After basic 1 Public expenditure on education (2009) : comprehensive, students can continue to senior As % of GDP 3.9 comprehensive for two more years or enter technical As % of total government expenditure 17.6 vocational schools (colleges) for three years of study. 2 Distribution of public expenditure per level (%) - 2010 After completing secondary education students may Pre-primary 7.9 progress to higher education institutes and universities. General Education 53.1 Vocational Education 6.5 Table 2: School system structure Other education programs 23.3 Higher Education 9.2 Age Grade Level of Education Pupil/Teacher ratio in Primary 16.4 Pre-school education Percentage of repeaters in Primary 0.1 Primary to secondary transition rate 100 Pre- Kindergartens, crèches 5-6 Pre-primary Sources: 1-World Development Indicators, 2012; 2-Government of School (day nurseries) Kazakhstan, National Report on the Status of Education Secondary (complete) education Development, 2011. 6-11 1-4 Primary comprehensive Secondary The challenge for Kazakhstan is providing quality 11-16 5-9 Basic comprehensive Secondary education. PISA results show that 59 percent of Senior comprehensive, 16-18 10-11 Secondary students scored below the basic competency level in gymnasia math, 58 in reading, and 55 in the sciences. Better Technical vocational 16-19 10-12 Secondary student performance on PISA tends to be associated schools with greater school autonomy in decisions relating to Higher education resource allocation, curricula, and assessments, 19-22 13-16 Bachelor’s degree University particularly when schools operate within a culture of Universities, accountability (OECD, 2011). Diploma of Specialist academies, institutes Education in Kazakhstan is regulated by the National 22+ 17+ Graduate studies University Law on Education of 2007. This law determines the th Source: UNESCO World Data on Education, 6 edition, 2006-07. national education policy, the objectives and principles of education, the administrative structure, and the system of public and private schools. The Law also ratifies the administrative and financial decentralization of education institutions. In addition, education is 2 SYSTEMS APPROACH FOR BETTER EDUCATION RESULTS KAZAKHSTAN ǀ SCHOOL AUTONOMY AND ACCOUNTABILITY SABER COUNTRY REPORT |2013 II. The Case for School Autonomy and To be effective, school autonomy must function on the basis of compatible incentives, taking into account School Accountability national education policies, including incentives for the School autonomy and accountability are key implementation of those policies. Having more managerial components of an education system that ensure responsibilities at the school level automatically implies educational quality. The transfer of core managerial that a school must also be accountable to local responsibilities to schools promotes local stakeholders as well as national and local authorities. The accountability; helps reflect local priorities, values, and empirical evidence from education systems in which needs; and gives teachers the opportunity to establish a schools enjoy managerial autonomy is that autonomy is personal commitment to students and their parents beneficial for restoring the social contract between (Box 2). Benchmarking and monitoring indicators of parents and schools and instrumental in setting in motion school autonomy and accountability allows any country policies to improve student learning. to rapidly assess its education system, setting the stage for improving policy planning and implementation. The progression in school autonomy in the last two decades has led to the conceptualization of School- Box 2: What are School Autonomy and Based Management (SBM) as a form of decentralization Accountability? in which the school is in charge of most managerial School autonomy is a form of school management in which decisions but with the participation of parents and the schools are given decision-making authority over their community through school councils (Barrera, Fasih and operations, including the hiring and firing of personnel, Patrinos 2009). SBM is not a set of predetermined budget management, and the assessment of teachers and policies and procedures, but a continuum of activities pedagogical practices. School management under and policies put into place to improve the functioning of autonomy may give an important role to the School schools, allowing parents and teachers to focus on Council, representing the interests of parents, in budget improvements in learning. As such, SBM should foster a planning and approval, as well as a voice/vote in personnel new social contract between teachers and their decisions. By including the School Council in school community in which local cooperation and local management, school autonomy fosters accountability (Di Gropello 2004, 2006; Barrera, Fasih and Patrinos 2009). accountability drive improvements in professional and personal performance by teachers (Patrinos 2010). In its basic form accountability is defined as the acceptance of responsibility and being answerable for The empirical evidence from SBM shows that it can take one’s actions. In school management, accountability may many forms or combine many activities (Barrera et al. take other additional meanings: (i) the act of compliance 2009) with differing degrees of success (see Box 3). with the rules and regulations of school governance; (ii) Unless SBM activities contribute to system closure, they reporting to those with oversight authority over the school; are just a collection of isolated managerial decisions. and (iii) linking rewards and sanctions to expected results Therefore, the indicators of SBM that relate to school (Heim 1996; Rechebei 2010). quality must conform to the concept of a system, in which the presence or absence of some critical components within the system allow or preclude School autonomy is a form of a decentralized education system closure. system in which school personnel are in charge of making most managerial decisions, frequently in partnership with parents and the community. More local control helps create better conditions for improving student learning in a sustainable way, since it gives teachers and parents more opportunities to develop common goals, increase their mutual commitment to student learning, and promote more efficient use of scarce school resources. 3 SYSTEMS APPROACH FOR BETTER EDUCATION RESULTS KAZAKHSTAN ǀ SCHOOL AUTONOMY AND ACCOUNTABILITY SABER COUNTRY REPORT |2013 the assessment to promote accountability among all Box 3: Different paths to School-Based stakeholders (Bruns, Filmer and Patrinos 2011). When Management are fine as long as they allow for these three components are in balance with each other, system closure they form a “closed system.” In many countries the implementation of SBM has Defining a managerial system that can achieve closure is increased student enrollment, student and teacher conceptually important for school based management, attendance, and parent involvement. However, the since it transforms its components from a list of empirical evidence from Latin America shows very managerial activities to a set of interconnected few cases in which SBM has made a significant variables that when working together can improve difference in learning outcomes (Patrinos 2010), system performance. If an SBM system is unable to while in Europe there is substantial evidence close, are partial solutions effective? Yes, in a broad showing a positive impact of school autonomy on sense, in which schools can still function but their learning (Eurydice 2007). Both the grassroots-based degree of effectiveness and efficiency would be lower approach taken in Latin America, where the than if the system closes. In this regard, SBM can institutional structure was weak or service delivery achieve closure when it enforces enough autonomy to was hampered due to internal conflict, and the evaluate its results and use those results to hold operational efficiency approach taken in Europe someone accountable. where institutions were stronger, coincide in applying managerial principles to promote better This last conclusion is very important because it means education quality, but driven by two different modes that SBM can achieve system closure when autonomy, of accountability to parents and the community. One student assessment, and accountability, are in Latin America where schools render accounts operationally interrelated through the functions of the through participatory school-based management (Di school councils, the policies for improving teacher Gropello 2004) and another in Europe where quality, and Education Management Information accountability is based on trust in schools and their Systems (see Figure 1). teachers, (Arcia, Patrinos, Porta and Macdonald 2011). In either case, school autonomy has begun to transform traditional education from a system based on processes and inputs into one driven by results (Hood 2001). As components of a managerial system, SBM activities may behave as mediating variables: they produce an enabling environment for teachers and students, allowing for pedagogical variables, school inputs, and personal effort to work as intended. When do SBM components become critical for learning? The improper functioning of a school or a school system Source: Arcia and others 2011. can be a substantial barrier to success. The managerial Note: EMIS – education management information system. component of a school system is a necessary but insufficient condition for learning. One can fix some In managerial terms it is clear that the point of contact managerial components and obtain no results or alter between autonomous schools and their clients is some other components and obtain good results. What primarily through the school council (Corrales, 2006). combination of components is crucial for success are Similarly, school assessments are the vehicles used by still under study, but the emerging body of practice schools to determine their needs for changes in point to a set of variables that foster managerial pedagogical practices and to determine the training autonomy, the assessment of results, and the use of needs of their teachers. Both pedagogical changes and 4 SYSTEMS APPROACH FOR BETTER EDUCATION RESULTS KAZAKHSTAN ǀ SCHOOL AUTONOMY AND ACCOUNTABILITY SABER COUNTRY REPORT |2013 teacher training are determinant factors of teacher As of now, the empirical evidence from countries that quality (Vegas 2001). Finally, the role of EMIS on have implemented school autonomy suggests that a accountability has been well established and it is bound certain set of policies and practices are effective in to increase as technology makes it easier to report on fostering managerial autonomy, assessment of results, indicators of internal efficiency and on standardized test and the use of assessments to promote accountability. scores (Bruns, Filmer, and Patrinos 2011). Benchmarking the policy intent of these variables using SABER can be very useful for any country interested in Results on the Programme for International Student improving the performance of its education system. Assessment (PISA) suggest that, when autonomy and accountability are intelligently combined, they tend to SABER School Autonomy and be associated with better student performance (OECD, Accountability: Analyzing Performance. 2011). The experience of high-performing countries 3 on The SABER School Autonomy and Accountability tool PISA indicates that: assists in analyzing how well developed the set of • Education systems in which schools have more policies are in a given country to foster managerial autonomy over teaching content and student autonomy, assess results, and use information from assessment tend to perform better. assessments to promote accountability. There are five policy goals for school autonomy and accountability. • Education systems in which schools have more Below are the main indicators that can help benchmark autonomy over resource allocation and that an education system’s policies that enable school publish test results perform better than schools autonomy and accountability: with less autonomy. 1. School autonomy in the planning and • Education systems in which many schools management of the school budget 2. School autonomy in personnel management compete for students do not systematically 3. Role of the School Council in school score higher on PISA. governance 4. School and student assessments • Education systems with standardized student 5. Accountability assessment tend to do better than those without such assessments. Each of these indicators has a set of sub-indicators that make it possible to judge how far along an education • PISA scores among schools with students from system’s policies are in enabling school autonomy and different social backgrounds differ less in accountability. Each indicator and sub-indicator is education systems that use standardized student scored on the basis of its status and the results assessments than in systems that do not. classified as Latent, Emerging, Established, or Advanced: Latent Emerging Established Advanced     Reflects Reflects Reflects good Reflects policy not in some good practice, with international place or practice; some best practice limitations limited policy work engagement still in progress 3 Examples of high performing countries that have A Latent score signifies that the policy behind the implemented school-based management policies and indicator is not yet in place or that there is limited frameworks include the Netherlands, Canada, and New engagement in developing the related education policy. Zealand among others. An Emerging score indicates that the policy in place 5 SYSTEMS APPROACH FOR BETTER EDUCATION RESULTS KAZAKHSTAN ǀ SCHOOL AUTONOMY AND ACCOUNTABILITY SABER COUNTRY REPORT |2013 reflects some good practice but that policy 1. School autonomy in budget planning and development is still in progress. An Established score approval is Emerging indicates that the program or policy reflects good This policy goal focuses on the degree of autonomy that practice and meets the minimum standards but there schools have in planning and managing their budgets. In may be some limitations in its content and scope. An order to evaluate policy intent, the scoring rubric makes Advanced score indicates that the program or policy clear which areas should be backed by laws, regulations, reflects best practice and it can be considered on par and/or official rules in the public record. School with international standards. autonomy in the planning and management of the school budget is considered desirable because it can III. Kazakhstan’s Performance: A Summary increase the efficiency of financial resources, give of Results schools more flexibility in budget management, and give parents the opportunity to have more voice on A summary of the results of the benchmarking exercise budget planning and execution. for Kazakhstan are shown below, followed by a breakdown by indicator. School budgets in Kazakhstan are determined at the municipal level government (Akimat). School principals Summary. While education policy is the responsibility of prepare a budget at the beginning of each school year the Ministry of Education, the municipal level’s (Akimat) depending on the number of registered students, education departments are responsible for delivery. number of teachers needed for the upcoming year and Budgetary autonomy is Emerging. The Akimat allocates anticipated repairs, infrastructure and maintenance. As the school budget in accordance with resources the financial departments of the Akimats are working available and based on proposals prepared by the with limited resources, they have the sole discretion school principal. Personnel management is well and have no mandates for transparency in their Established. Salaries are relatively fixed by civil service decisions to reduce the budgets proposed by the rules or central guidelines but with bonuses allowed. principals. Therefore some schools might receive more The school principal controls the hiring and firing of funds than others which might create unequal teachers and non-teaching staff, and the municipal allocation of funds regionally (urban/rural) and at the level, with some input from the MOES, appoints and school level in the same district. dismisses principals. Overall, participation of parents in school governance is Latent. There are quasi-parent According to Republican and Regional Education councils that participate strictly on a voluntary basis in Legislation, school principals have the right to request school activities with no legal authority to voice opinion more funds from the Akimats and to solicit funds from or to guide their participation. School and student other sources such as donors and parents; however, assessment is Established. Kazakhstan regularly assesses donor contributions are subject to taxes. school and student performance and makes the results available publically, however, the policies for use of The pay scale for teaching staff is regulated by the assessment results to improve pedagogical practices Guidelines for Salary Payments for Teaching Staff and/or make operational (non-pedagogical) approved by the Decree #40 authorized by the Minister adjustments at the school level is lacking. Accountability of Education and in accordance with the Law on to stakeholders is Emerging as there are regulations in Education, Article 52. The school principals submit the place for complying with rules for financial, learning, justification of each teacher’s salary to the Akimat and school operations accountability, but not for according to the pay scale established by the MOES. reporting to oversight authorities or linking rewards and The pay scale allows for bonuses but does not include sanctions to compliance with rules or performance, rewards for performance. School principals also submit which is a mechanism to encourage stakeholders to be as part of the operational budget, the necessary non- accountable for following and performing at certain teaching staff requirements and their salaries as set by standard. MOES guidelines. 6 SYSTEMS APPROACH FOR BETTER EDUCATION RESULTS KAZAKHSTAN ǀ SCHOOL AUTONOMY AND ACCOUNTABILITY SABER COUNTRY REPORT |2013 if a school negotiates teachers’ salaries, as private 1. Legal authority over budget planning and approval is schools routinely do, it may be able to motivate Emerging teachers directly with rewards for a job well done. Indicator Score Justification The Akimat (municipal Kazakhstan allows schools autonomy in teacher Legal authority government) has sole appointment and deployment; however, Parent over discretion to cut or pay Councils do not play any role in this decision. It is the Emerging management of in full the proposed school principals who have the legal authority to hire  the operational operational budget and fire school teachers. Teachers are appointed in budget submitted by the accordance with the established list of required school principal. qualifications for a particular teacher’s grade that were School principals approved by government Decree #223 dated March 11, Legal authority submit as part of the over the operational budget 2005 and MoES Decree #40 with approval from the Emerging Ministry of Labor and Social Protection. Appointing management of justifications for the  non-teaching staff is at the full discretion of the school non-teaching non-teaching staff staff salaries salaries in line with principal in accordance with the core qualifications for central guidelines. non-teaching staff, MOES Decree #338. The current Following a centralized system for teaching and non-teaching personnel pay scale as a appointments works well. Parents have not been Legal authority guideline, school involved it is said, to avoid introducing any non- over the Emerging principals submit professional opinion to the hiring, transfer, or removal management of  justification of teacher’s of teachers. teachers’ salaries to the salaries municipal level finance The appointment of school principals for public schools department. is conducted on a competitive basis and handled by the Legal authority Schools can solicit Established Akimat regional department of education with to raise additional funds from additional funds  the Akimats, donors consultation provided by the MOES. The candidates list for the school and parents. is prepared by the regional department of education. Each candidate must have an interview at the MOES 2. School autonomy in personnel management is prior to the appointment. Once appointed principals Established can serve for an indefinite period. While there is no formal evaluation of performance, there are clear This policy goal measures policy intent in the criteria for passing an attestation process. This takes management of school personnel, which includes the place every three years for each school principal and is principal, teachers, and non-teaching staff. Appointing and deploying principals and teachers can be carried out by central and regional/local education centralized at the level of the Ministry of Education or it authorities. It is important to mention here that this is a can be the responsibility of regional or municipal formal attestation and is based on what is judged to be governments. In decentralized education systems the principal’s performance based on state education schools have autonomy in teacher hiring and firing norms. Principals for private schools are appointed by decisions. Budgetary autonomy includes giving schools the school founder or a committee of school directors. responsibility for negotiating with the staff and setting the salaries of its teaching and non-teaching staff and using monetary and non-monetary bonuses as rewards for good performance. In centralized systems, teachers are paid directly by the Ministry of Education or the Ministry of Finance under union or civil service agreements. As a result, in centralized systems schools have less influence over teacher performance because they have no financial leverage over teachers. Inversely, 7 SYSTEMS APPROACH FOR BETTER EDUCATION RESULTS KAZAKHSTAN ǀ SCHOOL AUTONOMY AND ACCOUNTABILITY SABER COUNTRY REPORT |2013 and only participate in non-monetary types of school- 2. School autonomy in personnel management is related activities. They are not involved in personnel or Established the finances of the school. There are no guidelines, Indicator Score Justification manuals or mandates that govern the organization of Autonomy in School principals have the councils, their open election of officers or their teacher legal authority to hire activities. There is no legal authority for Parent Councils Advanced appointment and  and fire school teachers. to voice an opinion or provide oversight on learning deployment inputs. They can make recommendations on learning decisions inputs, but there is no obligation by the school Parent councils do not administration or government to take it into Autonomy in participate in matters of consideration. non-teaching school personnel. This is staff Advanced to avoid any bias of appointment and  3. Role of the School Council in School Governance is parents regarding deployment Latent particular teachers and decisions Indicator Score Justification teaching methods. Autonomy in The Akimat regional The school principal has school principal Established department of education responsibility for planning Participation of appointment and  appoints principals for and preparing the budget. the School Emerging deployment public schools in The school council may Council in  decisions. consultation with MOES. have a voice on non-salary budget budget items at the school preparation 3. Participation of the School Council in school level but only as governance is Latent “recommendations”. Legal standing to have a The participation of the School/Parent Council in school Participation in Established voice, but no legal administration is very important because it enables financial  oversight authority on parents to exercise their real power as clients of the oversight. budget issues. education system. If the council has to cosign payments, Parent Councils have no it automatically has purchasing power. The use of a Participation in Latent legal right or voice in Personnel  detailed operational manual is extremely important in school level personnel Management this area, since it allows Council members to adequately management. monitor school management performance, help the Parent Councils have no principal with cash flow decisions, and become a formal instructions, Community Latent catalyst for seeking additional funds from the manuals, or mandates for participation in  organizing volunteers to community. The use of such manuals by the School school activities participate in school Council is thus a good vehicle for promoting increased activities. accountability and institutionalizing autonomy. No legal authority to voice Community Latent an opinion and no It is important to note that change management studies participation in  oversight on learning also have provided evidence that bringing stakeholders learning inputs inputs to the classroom. together to plan and implement meaningful activities No provision for the open Transparency in Latent also contributes to behavioral change in institutions, election of parent council Community  including schools. Collective school planning activities members or for their Participation can provide a mutual vision and shared accountability general assembly. of what parents and school staff can commit in terms of 4. Assessment of school and student support to the school. These processes provide an performance is Established enabling environment for better governance. School assessments can have a big impact on school In Kazakhstan, while many schools have community- performance because it encourages parents and based Parent Councils, they are not legally registered teachers to agree on scoring rules and ways to keep 8 SYSTEMS APPROACH FOR BETTER EDUCATION RESULTS KAZAKHSTAN ǀ SCHOOL AUTONOMY AND ACCOUNTABILITY SABER COUNTRY REPORT |2013 track of them. Measuring student assessment is another 4. School and student assessment is Established important way to determine if a school is effective in Indicator Score Justification improving learning. A key aspect of school autonomy is Existence and Schools are assessed on Advanced the regular measurement of student learning, with the frequency of an annual basis and  intent of using the results to inform parents and society, school results are made public. and to make adjustments to managerial and assessments pedagogical practices. Without a regular assessment of Recommendations are Use of school Emerging made to the local learning outcomes school accountability is reduced and, assessments for  education departments; with it, improving education quality becomes less making school they are not obligated to certain. adjustments share them with schools. Existence and Standardized student Kazakhstan has paid particular attention to education frequency of Advanced assessments are carried quality assessment and in doing so has envisaged a standardized  out annually. National System that includes institutional assessment student across all levels, independent external assessment, and assessments teacher performance assessment. The MOES website Use of MOES sends publishes aggregated information for transparency and standardized recommendations based student on results to the local results are discussed in an annual national report on the Emerging assessments for education departments; status of education development although information  pedagogical, they are not obligated to is somewhat limited and only includes consolidated operational, and share them with schools. data that impede thorough analysis of results for personnel further policy changes. Taking into account that only 53 adjustments percent of the population in Kazakhstan uses the Limited data on Internet, other media sources should be used to publish Publication of Established assessment at an the assessment results to inform the broader public. student  aggregated level is The system provides for class assessment for all grades; assessments published on the MOES standardized student assessment at grades 4 and 9; website. external assessment (Unified National Test); and international assessment by participating in TIMSS and 5. School accountability to stakeholders is PISA. School and student assessment are carried out Emerging regularly each year. However, the usage of results of the assessments to inform the improvement in quality Accountability is at the heart of school-based of teaching and learning and holding those responsible management. The systemic connection between in account is emerging. This is an area where the budgetary and personnel autonomy, parent country could focus to further advance the supporting participation in the financial and operational aspects policies for assessment, but overall policies are of a school, and the measurement of learning established. outcomes are all aimed to reinforce accountability. Only by being accountable to parents can educational quality be sustainable. The following indicators below address aspects of accountability that can be implemented within the framework of school-based management. Kazakhstan has an emerging policy framework in place to begin enabling accountability to stakeholders, but it does not yet reach stakeholders close to the school level. It sets up regulations for complying with the rules for financial, operational, and learning accountability, but does not yet build in policies for oversight and 9 SYSTEMS APPROACH FOR BETTER EDUCATION RESULTS KAZAKHSTAN ǀ SCHOOL AUTONOMY AND ACCOUNTABILITY SABER COUNTRY REPORT |2013 linking rewards and sanctions to compliance and operations but not for reporting performance outcomes. The aggregation of school and and linking rewards to student performance results are public and this is good operating performance. for transparency on system performance as a whole. There is no mandate for Guidelines for the use of the results to adjust and Degree of Latent simplifying and learning  explaining results of the improve the system and simplification and accountability student assessments to dissemination of local results so they are easily the public. understood by parents and communities would help to improve accountability. IV. Enhancing education quality: Policy 5. Accountability to stakeholders is Emerging recommendations for Kazakhstan Indicator Score Justification Guidelines for There are no guidelines Kazakhstan has made progress in decentralizing parts of Latent its education system. Improving school autonomy and the use of results on the use of results of  accountability would help the country consolidate its of student student assessments to assessments improve outcomes. decentralization policies. The results of the MOES is charged with benchmarking of school autonomy and accountability Analysis of gathering and analyzing policies indicate the following areas for potential policy Emerging school and the data, but there are changes:  student no provisions for performance disseminating the 1. Budget (emerging) analysis. The authority provided to the school principal to Schools can submit a budget request, but sub- propose a budget to the Akimat level allows for Emerging planning based on real resource needs at the school Collaborative national authorities are  level but without much guarantee of receiving the budget planning not required to take it into account in proposed amount. A recommendation would be to transferring resources. provide more transparency and flexibility to the process There are regulations in for final review of the proposals and budget allocation Degree of place for financial decisions taken at the Akimat level. The government’s Emerging accountability, but not plan to pilot a per-capita model for budget allocation financial  for reporting to those could assist in providing transparency and allow further accountability at with oversight and for the central level control in budget planning at the school level, leaving linking rewards based on less discretion for final allocation at the Akimat level. compliance. There are regulations in To avoid creating a gap in learning between rural and Degree of place for financial urban areas, the per-capita finance model should financial Emerging accountability, but not account for compensating the negative effect of social accountability at  for reporting to those variables. Several Eastern European countries have the regional/ with oversight and for developed per capita financing formulae that factor in municipal level linking rewards based on variables such as geographic location, school size, compliance. minority schools, etc., (Alonso and Sánchez, 2011). There are regulations in place for financial Additionally, to facilitate budget management at the Degree of Emerging accountability, but not financial school level, a next step could be to provide authority to  for reporting to those accountability at the school principal to manage non-teaching with oversight and for the school level expenditures in consultation with parent councils using linking rewards based on compliance. government guidelines. This provides for better Degree of Emerging Regulations for accountability to stakeholders bringing the circle into accountability in  accountability in school closer alignment: autonomy – assessment – school operations are in place, accountability. 10 SYSTEMS APPROACH FOR BETTER EDUCATION RESULTS KAZAKHSTAN ǀ SCHOOL AUTONOMY AND ACCOUNTABILITY SABER COUNTRY REPORT |2013 2. Autonomy in Personnel Management (established) 3. Role of School Council on School Governance Kazakhstan does very well by decentralizing the hiring (latent) and firing of teachers to the school principal. One Policy makers and program planners should be aware of suggestion for allowing better alignment with the inherent tensions that deepening autonomy and assessment and accountability is to more closely accountability can bring in order to manage them associate teacher and principal evaluation of properly and sequence their introduction. Relations performance to hiring, promotion, and rewards between parents, principals, and teachers can be practices. Bulgaria 4 is an example of a country fostered and culminate in a more active role of parents undertaking such school autonomy reforms in in supporting the school. Change management personnel management, see Box 3. 5 Budgetary experience and evidence has shown this a gradual autonomy includes giving schools responsibility for process. negotiating and setting the salaries of its teaching and non-teaching staff and using monetary and non- To start, it is recommended to improve the existing monetary bonuses as rewards for good performance. If Parent Councils which are formed by class and multiple a school negotiates teachers’ bonuses or salaries, as councils exist within one school, to a school-level private schools routinely do, it may be able to motivate Council that would have a representational mix of teachers directly with rewards for a job well done. parents from across the classes. An example of this type of parent council exists in Mexico, called Padres de Box 3: The Bulgaria School Autonomy Experience: Familia. Each class nominates parents to represent Setting Salaries and Linking Performance to Pay them on the Parent Council at the school level. They are mandated by law and elect officers among the In Bulgaria the government instituted school parent representatives. autonomy reforms in 2007-08 shifting away from a system where central government managed inputs It is also recommended to provide a legal framework for and lacked outcome measures. In the new system, the participation of the upgraded Parent Councils with school principals in Bulgaria manage all funds some guidance on election of officers or committee allocated to the school and determine individual heads for the council and their operating rules. This teacher’s remuneration. Within two years of the could begin to facilitate greater accountability on what reform, teacher salaries were gradually increased is happening at the school level and provide a more and four salary grades were established based on structured feedback mechanism for administrators education levels and years of experience and concerning student learning needs, school performance, seniority. Differentiated teacher pay was also and facilities in the local context. It may also prove introduced based on performance and hard work. beneficial for administrators and teachers as The principal makes this differentiation based on a community members could have special skills for raising centrally defined framework and specific criteria funds and managing or contributing to volunteer determined at the school level. Additionally, while projects that enhance the school and learning current legislation neither requires nor discourages environment. the use of student assessment data for differentiating teacher’s pay, principals are 4. School and Student Assessment (established) increasingly using student assessment test results It is recommended to improve policies on the usage of for that purpose (The World Bank, 2010). results of school and student assessments to inform and plan necessary pedagogical, curriculum or instructional materials changes at the school level. This information 4 Spain and the United Kingdom are also examples of could also be utilized more effectively for countries providing autonomy to the school to hire and fire improvements or targeting of teacher training. teachers; Hong Kong for autonomy in setting salaries. 5 While there have been studies from both developed and developing countries that show benefits of pay for performance, the literature is still inconclusive in this area and the practice may be challenging to implement in econometrically sound way. 11 SYSTEMS APPROACH FOR BETTER EDUCATION RESULTS KAZAKHSTAN ǀ SCHOOL AUTONOMY AND ACCOUNTABILITY SABER COUNTRY REPORT |2013 5. Accountability (emerging) developed teacher policies and have no more than one misalignment between decentralization and It is recommended to extend the policy framework to information or parental influence. include oversight mechanisms and the linking of rewards and sanctions to compliance and performance. There is a clear need to focus on improving several Establish guidelines for the use of the assessment policy areas at the same time in order to further results for making effective adjustments to aspects of advance holistic education reforms. They must be the system. This will help to ensure better education linked and reinforced through: quality and allow stakeholders to know what those 1) Accountability mechanisms – rewards and recommendations are in order to better contribute to sanctions; and/or monitor those who are responsible for the 2) A solid vision of where the system is headed – adjustments. Establish policy for local districts to good stewardship; and package education results for their schools and the 3) Feedback loops so that developments and recommendations received for improvement in simple lessons in one policy area are fed into and inform terms that are easily understood by teachers, parents others. and communities to improve accountability. The lack of clear rewards and sanctions, good system stewardship, and strong feedback loops, creates a V. International Comparison of danger that a country develops efficient “islands” of Kazakhstan’s Level of School Autonomy activity while remaining trapped in a low achievement and Accountability with other countries. environment. Table 3 presents the status of School Accountability and Quality of Learning – linkages with teachers and school Autonomy policy development in Kazakhstan alongside based management. It has been recognized that a selection of OECD and Asian countries. The SABER- teacher policy and incentives are closely linked to SAA classification system does not rank countries quality of learning. The ability of schools to employ and according to any overall scoring; rather, it is intended to retain good teachers is related to the degree of school share information on how different education systems autonomy and the decentralization of the hiring address the same policy challenges. The Netherlands process. In order to provide policy makers in Kazakhstan and Finland are home to some of the world’s most with guidance on how to improve education quality, it is comprehensive and developed SAA policies and they useful to look at the policies involving the teaching both achieve a benchmarking of “Established” or profession that are in need of improvement. The “Advanced” in all five policy goals. success or failure of these policies is also dependent on the relative autonomy of schools, and whether the Improving education quality – the right policy mix. In complementary information and accountability order to improve education quality it is not just a mechanisms exist to ensure learning outcomes. matter of providing additional resources; it also requires achieving the right policy mix. This is often difficult since Effective decentralization – information and policies and practices fit together to form the education accountability. Moving decision-making away from system as a whole, and if one component is weak, it can central government and closer to the school level, undermine the whole system. The system may also fail increases the importance of information systems. With if policy components are misaligned. added responsibility at decentralized levels comes the associated need for greater accountability. Alignment Generally we see that higher performing economies between the degree of autonomy and the existence of tend to have fewer misalignments between key policy information is crucial for decentralization to be components than lower performing economies. This effective. held true when comparing a group of European and Asian economies. For example, South Korea, Singapore, Through assessment of the East Asian countries, we Japan, Malaysia and Thailand have relatively well- note that South Korea, Vietnam, Malaysia and Thailand 12 SYSTEMS APPROACH FOR BETTER EDUCATION RESULTS KAZAKHSTAN ǀ SCHOOL AUTONOMY AND ACCOUNTABILITY SABER COUNTRY REPORT |2013 allow school directors to manage their own budgets an imbalance since the degree of accountability to (good degree of autonomy), but they also have a stakeholders is only at the emerging stage combined census-based assessment to hold schools accountable with a latent degree of school council participation in (balanced assessment and accountability). Lao and school governance. Cambodia, on the other hand, provide schools with the same level of budgetary autonomy, but do not have an By allowing more local control over school operations, assessment system that is officially designed for school SBM fosters a new social contract between parents and results. This suggests a misalignment. Indonesia, teachers by improving communication and increasing Shanghai (China), and Mongolia, decentralize even local cooperation and local accountability. further and allow schools to hire and fire teachers, but none of these economies have an assessment that Balancing parental influence, the strength of holds teachers accountable. For these five cases institutions and quality of teachers. Decentralizing an therefore, there is an apparent misalignment between education system weakens the influence of the central the degree of autonomy and the information required authority. To offset this, the influence of clients, in to hold schools accountable. Other economies such as particular parents, is important, especially when Singapore, China, the Philippines and Japan have a more institutions at the local levels are weak. centralized system so the issue of information is less Decentralization can help get clients closer to the applicable. providers of education, ensuring better access to pedagogical and managerial methods aligned with their As with Kazakhstan, several of the Asian economies are needs. However, such an approach, if taken to at the Established and Advanced stages related to their extreme, may result in a fragmented education system assessment policy goals. This suggests that, with only a where standards may be reduced and local community little effort, as is the case in Kazakhstan, these values may become too parochial to benefit society at economies could introduce and utilize results from large (Ritzen, et.al. 1997). The lesson is that parents do these assessments, which would enable them to not need to be the center of accountability if there are compare the educational performance of their schools, already well-running institutions that complement students, and teachers, and foster accountability teachers of good quality. throughout the school system. School Councils in Europe where there are strong Accountability as a condition for improving teacher formal institutions that have taken decades to develop, quality. Although there is little formal evidence that take mostly an advisory role, leaving school teacher quality improves as a direct result of school- management to the professionals. The Netherlands is based management, there is a compelling argument an example of this. In the Dutch system, school that increasing school accountability is a necessary operations are highly decentralized with professional condition for improving teacher quality. Kazakhstan in School Boards responsible for school operations. The comparison with the other countries in Table 3 is entire organization of the school system is based on emerging relative to their established policies for checks and balances, where accountability is accountability. Each of the comparator countries also paramount. In the last 30 years in the Netherlands there generally achieves better results on international has been a gradual move towards more parent-teacher assessments. interaction, and parents have begun to participate in the Advisory Council to the School Board in all schools. The implementation of School Based Management The School Board remains the main actor that oversees (SBM) can increase the support that parents and school one school or several schools and their operations. councils give to good teachers; for example through Lower performing schools are found in areas supervised salary and non-salary incentives and by setting the right by voluntary one-school School Boards. conditions to attract the best candidates into the teaching profession (Arcia et al, 2011a). While Conclusions. The available empirical evidence Kazakhstan has done well to reach an established shows that it takes about eight years before school degree of autonomy in personnel management, there is autonomy and accountability start affecting learning 13 SYSTEMS APPROACH FOR BETTER EDUCATION RESULTS KAZAKHSTAN ǀ SCHOOL AUTONOMY AND ACCOUNTABILITY SABER COUNTRY REPORT |2013 outcomes (Barrera, Fasih and Patrinos 2009). The most officers and duties can be done with relative ease, little successful combination of managerial components is cost (participation of the council is usually a voluntary still being studied, but an emerging body of practice commitment) and high yields. Packaging results of points to a set of variables that foster managerial school and student performance at a more autonomy, the assessment of results, and the use of the disaggregated level so it is useful to local assessment to promote accountability among administrators, principals, teachers and parents assists stakeholders (Gertler et al, 2007). the system to have a better dialogue and understanding of performance and therefore make effective By applying the policy recommendations offered in adjustments more easily when needed at the school Section IV and enabling their implementation in the level. This enables better accountability and can foster coming years, Kazakhstan should be able to build upon better motivation for teachers to deliver high quality the strengths of the existing policy framework that have education. Performance also improves when there are come to light from this assessment as well as to clear rewards and consequences or sanctions. concentrate more attention to areas that show weaker policies related to school autonomy and accountability Approaching policy reform. The production of an (Section III where Kazakhstan scored as Latent) with the enabling environment requires both administrative and goal of having better managed schools with higher parental engagement processes, which can be guided performance. For example, more focus on Policy Goal 3 by autonomy, assessment and accountability policies, – Participation of the School Council in School programs and resources from the education system. Governance -- which has a latent rating could see early Managing administrative elements with change benefits over the next eight years beginning with the management processes can successfully contribute to upgrading of the quasi-parent councils that currently the broader goals of school autonomy and only function as classroom parent committees on an ad- accountability to improve the quality of learning in hoc basis with no guidelines. Setting the policy Kazakhstan. framework for a school-level parent council with Table 3: Comparison of Countries SAA Policy Level of Development Goals Kazakhstan Netherlands Finland Thailand Indonesia 1. Autonomy in Emerging Established Established Established Established Budget Planning      and Approval 2. Autonomy in Established Established Established Latent Emerging Personnel      Management 3. Participation of Established Latent Established Advanced Established the School      Council in School Governance 4. Assessment of Advanced Established Advanced Advanced Advanced School and      Student Performance 5. Accountability Emerging Established Established Established Established to Stakeholders      Overall Emerging Established Established Established Established 14 SYSTEMS APPROACH FOR BETTER EDUCATION RESULTS KAZAKHSTAN ǀ SCHOOL AUTONOMY AND ACCOUNTABILITY SABER COUNTRY REPORT |2013 Better Education Results (SABER). Human Development Definitions Network, The World Bank, Washington D.C. School Council refers to an institutional body that may Arcia, Gustavo, Harry Anthony Patrinos, Emilio Porta, include parents, community members, teachers, and and Kevin Macdonald. 2011. “School Autonomy and the school director/principal. There may be School Accountability in Context: Application of Benchmarking Councils at the school level for each school; School Indicators in Selected European Countries.” Systems Councils that oversee several schools; or School Approach for Better Education Results (SABER). Human Councils that oversee all schools in a municipality. In Development Network, The World Bank, Washington some countries this institution may be called a School D.C. Board or a School Management Committee. Parent-Teacher Association is similar to School Council Barrera, Felipe, Tazeen Fasih, and Harry Patrinos, with but a School Council is a more institutionalized body Lucrecia Santibáñez, 2009. Decentralized Decision- than a Parent-Teacher Association in terms of the Making in Schools. The theory and evidence on School- authority delegated to it. In countries where School based management. The World Bank, Washington D.C. Councils do not exist but Parent-Teacher Associations are widespread, they could be considered similar to Government of Kazakhstan. 2007. Law on Education . School Councils. July 27, 2007. School Principal is the person with the responsibility of Government of Kazakhstan. 2011. National Report on managing the school on a day-to-day basis. In other the Status of Education Development. countries that person may be referred to as a School Director, HeadMaster/Mistress, or HeadTeacher. Government of Kazakhstan. 2010. National Report on the Status of Education Development. Oversight refers to the job of checking that a process of system is working well. Government of Kazakhstan. 2010. State Program of Education Development, 2011-2020. Acknowledgements Ministry of Education of the Republic of Kazakhstan. Angela Demas, Sr. Education Specialist, Education Core Qualifications for Teaching and Other Staff. Department, Human Development Network of the Ministerial Decree #338. September 13, 2009. World Bank wrote this report. Aliya Bizhanova, Consultant, provided data collection, verification with National Center of Educational Statistics and government counterparts, and technical comments. Assessment. Scherezad Joya Monami Latif, Sr. Education Specialist, of the Human Development Department, Europe and Organization for Economic Cooperation and Central Asia Region, coordinated data collection and Development (OECD). 2008. Education at a Glance. provided technical comments on the draft version of OECD Indicators. Paris. the report. OECD. 2011. School Autonomy and Accountability: Are References They Related to Student Performance? PISA in Focus. Alonso, Juan Diego and Alonso Sánchez. 2011. Reforming Education finance in Transition Countries: Six Patrinos, Harry ed. 2012. “Strengthening Education Case Studies in Per Capita Financing Systems. The World Quality in East Asia” Systems Approach for Better Bank, Washington, D.C. Education Results (SABER) East Asia Pilot. The World Bank, Washington, D.C. Arcia, Gustavo, Kevin Macdonald, Harry Anthony Patrinos, and Emilio Porta. April 27, 2011. “School The World Bank. June25, 2010. A Review of the Bulgaria Autonomy and Accountability.” Systems Approach for School Autonomy Reforms. Europe and Central Asia 15 SYSTEMS APPROACH FOR BETTER EDUCATION RESULTS KAZAKHSTAN ǀ SCHOOL AUTONOMY AND ACCOUNTABILITY SABER COUNTRY REPORT |2013 Region, Human Development Department. The World Bank, Washington, D.C. UNESCO-IBE. 2006/07. World Data on Education, Kazakhstan, 6th edition. 16 SYSTEMS APPROACH FOR BETTER EDUCATION RESULTS KAZAKHSTAN ǀ SCHOOL AUTONOMY AND ACCOUNTABILITY SABER COUNTRY REPORT |2013 www.worldbank.org/education/saber The Systems Approach for Better Education Results (SABER) initiative produces comparative data and knowledge on education policies and institutions, with the aim of helping countries systematically strengthen their education systems. SABER evaluates the quality of education policies against evidence-based global standards, using new diagnostic tools and detailed policy data. The SABER country reports give all parties with a stake in educational results—from administrators, teachers, and parents to policymakers and business people—an accessible, objective snapshot showing how well the policies of their country's education system are oriented toward ensuring that all children and youth learn. This report focuses specifically on policies in the area of School Autonomy and Accountability. This work is a product of the staff of The World Bank with external contributions. The findings, interpretations, and conclusions expressed in this work do not necessarily reflect the views of The World Bank, its Board of Executive Directors, or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. The boundaries, colors, denominations, and other information shown on any map in this work do not imply any judgment on the part of The World Bank concerning the legal status of any territory or the endorsement or acceptance of such boundaries. THE WORLD BANK 17 SYSTEMS APPROACH FOR BETTER EDUCATION RESULTS