The reality of internal inspection and management of internal inspection in the universities under the Ministry of Education and Training In recent years, the affiliated universities, i
Trang 1MINISTRY OF EDUCATION AND TRAINING
VIETNAM INSTITUTE OF EDUCATIONAL SCIENCES
NGUYEN THI LE
MANAGEMENT OF INTERNAL INSPECTION
IN THE UNIVERSITIES UNDER MINISTRY OF EDUCATION AND TRAINING
Specialty: Educational management
Code: 9 14 01 14
SUMMARY OF PhD THESIS IN EDUCATION SCIENCE
HANOI - 2020
Trang 2THE PROJECT IS COMPLETED AT:
VIETNAM INSTITUTE OF EDUCATIONAL SCIENCES
Scientific supervisors:
1 Assoc Prof Dr TRAN THI THAI HA
2 Assoc Prof Dr NGUYEN VAN QUANG
The thesis can be found at:
- National library of Vietnam;
- Library of Vietnam Institute of Educational Sciences
Trang 3No 29-NQ/TW and promulgated the Action Plan of the education sector, which clearly states that: “ … Improve the quality and efficiency of administrative and specialized inspection at all education and training levels; promote inspection and examination for educational activities… ”
In universities, the internal inspection is an important and reliable information channel for school principals and management levels in universities, supporting managers to promptly detect a positive individual to praise and disseminate and take necessary disciplinary measures for violations On such basis, the requirements are established for the management of internal inspection Specifically, it is necessary to manage the internal inspection in association with good implementation of the functions of planning, organization, direction and inspection of internal inspection, thereby, adjusting the internal inspection, proposing solutions to improve the quality of internal inspection in the universities, satisfying the university management requirements in the current context
1.2 The reality of internal inspection and management of internal inspection in the universities under the Ministry of Education and Training
In recent years, the affiliated universities, in collaboration with the Ministry
of Education and Training, have well implemented the inspection in universities, regularly organized training courses to improve professional qualifications for the inspection managers and the staff specialized in inspection as well as inspection collaborators regarding on: The role of educational inspection for the fundamental and comprehensive innovation of education and training; resolution of complaints and denunciations in current higher education institutions; handling letters and receiving citizens in universities; thematic inspection and examination on
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enrollment, training and quality assurance conditions in universities; post-inspection
in universities; professional inspection, training supervision and inspection, exams monitoring in universities, etc
However, despite the achievements, over the past years, the internal inspection in the universities under the Ministry of Education and Training has revealed shortcomings to be overcome The inspection implementation still has difficulties, specifically, mistakes in the education arise in a diverse and complex manner while the handling sanctions are still inadequate and too weak to deter; The inspection conclusions are slowly and non-fundamentally given and the coordination in inspection between the Inspectorate of the Ministry of Education and Training and the Inspectors of universities is still limited, etc In addition, the management of internal inspection in the universities under The Ministry of Education and Training has many limitations, such as: The management of internal inspection is not really scientific and the inspection objectives, programs and contents are not comprehensive and flexible; the inspection and supervision are still loose; specific plans are inadequate and irregular Experience in internal inspection management is limited, etc
Stemming from the above reasons, the topic "Management of internal
inspection in the universities under the Ministry of Education and Training" is
selected for research in order to improve the quality of the Internal Inspection in universities in the current context of educational innovation and university autonomy
2 Purpose of the study
Based on the theoretical and practical studies on the Internal Inspection and the management of internal inspection in the universities under the Ministry of Education and Training, the thesis proposes measures to manage the internal inspection in the universities under the Ministry of Education and Training, thereby contributing to improve the quality of the management of internal inspection in universities to satisfy the requirements of educational innovation and university autonomy today
3 Object and subject of the study
3.1 Object: Internal inspection in universities
3.2 Subject: Management of internal inspection in the universities under
the Ministry of Education and Training in the current context
4 Scientific hypothesis
Internal inspection in the universities under the Ministry of Education and Training is an important content of university management The inspection promotes democracy, strengthen the legislation, detect and handle manifestations
of bureaucracy, corruption, waste and law violations in management activities However, over the past time, the management of internal inspection in the universities under the Ministry of Education and Training has limitations in the planning, implementation, direction, inspection and evaluation of inspection
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results, as a result, the inspection quality is not guaranteed and practical requirements for internal inspection in universities today are not met Therefore, the application of management functions for management of internal inspection in activities through the proposal of measures to ensure the consistency, practicality and feasibility will contribute to improving the quality of internal inspection in universities in the current context of educational innovation and university autonomy
5 Tasks of the study
5.1 Studying the theoretical basis of the management of internal inspection
in universities
5.2 Surveying and evaluating the current situation of internal inspection in
the universities under the Ministry of Education and Training
5.3 Proposing measures for management of internal inspection in the
universities under the Ministry of Education and Training to meet the requirements of educational innovation and university autonomy in the current context
5.4 Testing the proposed measures of internal inspection management in
the universities under the Ministry of Education and Training
6 Limitations of the study scope
6.1 Limitation of the study subject
The thesis identifies the main subjects that implement the measures to
manage the internal inspection in the universities under the Ministry of Education and Training, namely the President of the university, the Heads of Department/Board of Internal Inspection in the universities under the Ministry of Education and Training
6.2 Limitation of the study location
The thesis focuses on the study of the internal inspection management in the universities under the Ministry of Education and Training, specifically, 10 affiliated universities in all three regions of the North, Central and South
6.3 Limitation of the surveyed object
The thesis surveyed 520 objects including: The University presidents, Managers of departments/boards of internal inspection, professional staff, collaborators of internal inspection and lecturers and employees at 10 universities under the Ministry of Education and Training
7 Approach and study methods
7.1 Approach: systematic approach; functional approach; practical
approach
7.2 Study methods: Theoretical study method; practical study method;
information processing methods; test method
8 Defended points
8.1 Internal inspection and management of internal inspection in universities
are considered as a sharp tool of state management in the sector of higher education, which contributes to enhancing the validity and efficiency of state management in
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inspection in the universities under the Ministry of Education and Training in recent years have also revealed many limitations in the direction and organization for development of contents, process, evaluation and coordination in implementation of the stages of internal inspection, therefore, there is a significant impact on the quality of internal inspection in universities before the requirements of the context of educational innovation and university autonomy
8.3 The consistent implementation of measures for management of
internal inspection in the universities under the Ministry of Education and Training will overcome the limitations and improve the quality of internal inspection as well as the quality of higher education in the current context
9 New contributions of the thesis
The thesis contributes to supplement and enrich the theories about the management of internal inspection in universities; Detect and clarify the current situation of internal inspection and management of internal inspection in the universities under the Ministry of Education and Training; Propose and confirm the effectiveness of measures of internal inspection management in the universities under the Ministry of Education and Training in the current educational innovation context On such basis, the universities have the basis to orientate for improvement and innovation of the methods of internal inspection management in order to improve the quality of internal inspection, thereby contributing to good management of the universities in the current context
10 Structure of the thesis
In addition to the introduction, conclusion and recommendation, the thesis includes 3 chapters:
Chapter 1 THEORETICAL BASIS OF MANAGEMENT OF INTERNAL INSPECTION AT THE UNIVERSITIES IN THE CURRENT
EDUCATIONAL INNOVATION 1.1 Overview of the study
According to the analysis of theoretical and practical studies in the world and in the country, there are many studies on internal inspection and management
of internal inspection in State administrative agencies, universities by scientists such as: Jon S.T Quah, Power, Thomas Chan, Braiotta, Brian Fidler, Sotiria Grek, Martin Lawn, Jenny Ozga và Christina Segerholm, Henk Blok, Joe Christopher,
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Nguyen Huy Hoang, Phan Van Sau, Le Doan Minh Duc, Ha Huu Phuoc, Nguyen Cao Ngoc Thao, Nguyen Nhat Khanh, Vo Tan Dao, Ho Quang Chanh, Dau Cong Hiep, Thai Thu Trang, Vu Ngoc Giao, Ho Thu An, etc In fact, there have been many studies on internal inspection and management of internal inspection in State administrative agencies, universities in general However, there are few studies on the Internal Inspection and the Management of Internal Inspection in the universities under the Ministry of Education and Training The thesis topic:
"Management of Internal Inspection in the universities under the Ministry of Education and Training" was selected to be studied in order to improve the
quality of internal inspection management in universities to meet the requirements
of educational innovation today
1.2 Educational innovation, higher education innovation and requirements for internal inspection in universities
1.2.1 Educational innovation
On November 4th, 2013, at the 8th Conference, the 11th Central Committee
of the Communist Party of Vietnam issued Resolution No 29-NQ/TW on
fundamental and comprehensive innovation of education and training, meeting the requirements of industrialization and modernization in the socialist-oriented market economy and international integration The resolution identifies the goals
of the innovation including creation of a fundamental and comprehensive change
in the quality and efficiency of education and training; better meeting the task of construction and defence of the Socialist Republic of Vietnam and the people's learning needs
1.2.2 Higher education innovation
In order to promote the higher education innovation in our country, over the past time, many legal documents have been issued aimed at meeting the requirements
of higher education innovation in the current international integration In which, it is attached great importance to grant the autonomy to the university in all aspects: Professional autonomy; autonomy in the apparatus and personnel; Autonomy in finance and assets, etc From the empowerment of financial autonomy and self-responsibility for higher education institutions, the opportunities are given for higher education institutions to improve the activeness and initiative in the university management and administration as well as autonomy in the management of financial revenues and expenditures of the university, etc
1.2.3 Requirements for internal inspection in universities in the current educational context
In the current context of educational innovation, the requirements for educational inspection in general, educational inspection in universities in particular constantly enhance innovation in thinking, methods of inspection management and implementation; Managers, staff, collaborators in charge of inspection should improve their professional qualifications, professional ethics, act as an example in law
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observance, get a sense of responsibility, integrity, honest, fairness and objectiveness; have a healthy lifestyle, strong political bravery and qualifications that satisfy the training standards prescribed by the Education Law and the requirements of the inspection task in the new situation
1.3 Internal inspection in universities
1.3.1 Concept of internal inspection in universities
1.3.1.1 Inspection, examination and education inspection
a) Concept of inspection: According to Clause 1, Article 3 of the 2010 Law on
Inspection: Inspection is the activity of consideration, evaluation and handling according to the sequence and procedures prescribed by law of the competent state agency for the implementation of policies, laws, tasks and powers of agencies, organizations and individuals State inspection includes administrative inspection and specialized inspection
b) Examination: According to the Vietnamese dictionary, the examination
means: "considering the current situation to give comments and assessments" It can
be understood that this is a regular task of individuals (managers) who are assigned the inspection task to "review" the actual operational situation of individuals, organizations in the agency or unit to give comments and assessments on the reality
of the activities of such individuals and organizations in accordance with the rules and regulations of the agency or unit, thereby, proposing the reasonable handling measures
c) Similarities and differences between inspection and examination:
- Similarities between inspection and examination
- Differences
d) Concept of educational inspection: Educational inspection is the
exercise of the inspection right within the scope of state management of education, in order to ensure law enforcement, promote positive factors, prevent and handle violations, protect interests of the State, legitimate rights and interests
of organizations and individuals in the education sector Educational inspection is organized according to the decentralization from the central to grassroots level
1.3.1.2 Concept of internal inspection in universities
a) Internal inspection: Internal inspection is the job of competent agencies,
organizations and individuals in the unit, specifically performing inspection towards individuals and organizations of their own units to ensure compliance with the internal rules and regulations of the unit as well as the compliance with current relevant laws
b) Internal inspection in universities: Inspection in universities, also known as
internal inspection in the universities, is an inspection activity implemented by the inspectors specializing in education, specifically, the authority of the inspector of the Ministry of Education and Training and internal inspector of the University to perform the assigned functions and tasks in accordance with the law and education
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sector The internal inspection in the university has the function of advising and assisting the President of the university to implement the inspection and examination within the scope of the principal's management, in order to ensure the law enforcement and the implementation of the unit's tasks
c) Characteristics of internal inspection in universities
Internal inspection in universities mainly focuses on the inspection and control
of the observance of legal policies, regulations of the university of individuals and organizations in the university related to the fields in which the school is in charge The objects of internal inspection are individuals, organizations located in the university, under direct management of the Principal and relevant departments
1.3.2 Role of internal inspection in universities
The internal inspection in universities plays a very important position It is an essential function of management, a tool to serve the leadership and management of the school president The internal inspection in the university is always associated with management and it is a content of management The inspection promotes democracy, strengthen legislation, detect and handle manifestations of bureaucracy, corruption, waste and law violations in management activities
1.3.3 Goals of internal inspection in universities
The goal of internal inspection in the university is towards a healthy educational and training environment, for the goal of a wealthy people, strong country, just and civilized society Making positive contributions to the country's educational innovation as well as common contributions to the current national innovation and international integration
1.3.4 Contents of internal inspection in universities
The contents of internal inspection in universities include: 1) Inspection of the implementation of goals, plans, programs, contents, methods; 2) Inspection of the implementation of educational objectives, plans, programs, contents and methods; professional regulations, exam regulations, diploma and certificate issuance, etc; 3) Inspection of the implementation of laws related to the organization and activities of the units, organizations and individuals of the school, etc
1.3.5 Forms of internal inspection in universities
- Inspection according to the program, the predetermined plan;
- Unscheduled inspection
1.3.6 Methods of internal inspection in universities
There are many methods to conduct internal inspection in universities, in which the common methods include: Direct inspection by making inspection decisions, sending inspectors to conduct inspection and survey of inspected subjects; recognizing the reality, inspecting and verifying the practical activities which take place in the unit of inspected subject, requesting the inspected subject to report and explain the fact; comparing management documents, legal documents, etc
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1.4 Management of internal inspection in universities
1.4.1 Concept of internal inspection management in universities
1.4.1.1 Concept of management: Based on the point of view of scientists:
Harold Koontz, Tran Kiem, Nguyen Quoc Chi, Nguyen Thi My Loc, etc, it can be shown that: "Management is a process of oriented impact of the management subject on managed object for effective exploitation and use of the potentials and opportunities of the managed object to achieve management objectives in a volatile environment”
1.4.1.2 Functions of management:
1.4.1.3 Management of internal inspection in universities
The management of internal inspection in the universities is the purposeful and planned impact of the management subject on the process of internal inspection, organization and control of this process in line with the requirements of the inspection, supporting individuals, units and organizations in the university to well implement the legal policies on education and related legal policies, resolve complaints, denunciations and prevent corruption within their functions and tasks according to legal regulations, meeting the requirements of the national educational innovation and development of education
1.4.2 Contents of internal inspection management in universities
1.4.2.1 Planning internal inspection in universities
1.4.2.2 Organizing internal inspection in universities
1.4.2.3 Directing internal inspection in universities
1.4.2.4 Inspecting the implementation of internal inspection plan in universities
1.4.3 Subject of internal inspection management in the university
1.4.3.1 President of the university
1.4.3.2 Head of the department/board of internal inspection in the university
1.5 Factors affecting the management of internal inspection in universities
1.5.1 Subjective factors: University president; management staff,
professional staff, inspection collaborators and lecturers, staff of the university; the university's facilities used for implementation of internal inspection; political organizations and departments in universities, etc
1.5.2 Objective factors: Policy of the Party, the laws of the State and
regulations of the education sector on the internal inspection in universities; Policy regimes, budget sources and investment costs for private sector in universities; Awareness and support of relevant ministries and branches on the internal inspection in universities, etc
1.6 Introduction of the internal control model under the COSO framework
Internal control can be understood as the dominant process of the management subjects (managers, leaders of the unit) over the managed object
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(members of the unit) This process is established within each unit to ensure compliance with the internal rules, regulations of the unit and relevant current laws in order to achieve the planned objectives The internal control under the COSO internal control system (the COSO framework) consists of five basic components: 1) control environment; 2) risk assessment; 3) control; 4) information and communication; 5) supervision
Conclusion of Chapter 1
The management of internal inspection is the oriented influence process of the internal inspection management subject on the managed object, directing the stages in the process of internal inspection, contents of internal inspection, results
of internal inspection towards achieving the goal of internal inspection, meeting the educational innovation requirements in our country today The contents of the internal innovation management in the universities under the Ministry of Education and Training includes: Inspection planning, inspection organization, inspection direction, and inspection of the implementation of internal inspection
in universities Adopting the management function to improve the quality of internal inspection in universities to meet the requirements of current educational innovation and university autonomy
Factors affecting the management of internal inspection in universities include many subjective and objective factors such as: Qualification and experience
of internal inspection management in universities; awareness and sense of managers, professional staff, inspection collaborators, lecturers, and university staff; facilities used for implementation of internal inspection in the university; the policies of the Party, the laws of the State and regulations of education sector on the internal inspection in universities; policy regimes, investment budget for private sector in universities; the attention and direction unity of the Ministry of Education and Training to the affiliated universities regarding on internal inspection in the universities; the impact from the negative side of the market economy mechanism
on international inspection in universities, etc
Chapter 2 CURRENT SITUATION OF INTERNAL INSPECTION
MANAGEMENT IN THE UNIVERSITIES UNDER
MINISTRY OF EDUCATION AND TRAINING
2.1 An overview of the universities under the Ministry of Education and Training in the thesis's survey (10 universities)
2.2 Organization for survey of current situation of internal inspection
in the universities under the Ministry of Education and Training
2.2.1 Purpose of the survey: The survey of internal inspection in the
universities under the Ministry of Education and Training is aimed at developing a practical basis to propose measures for internal inspection management in the universities under the Ministry of Education and Training
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2.2.2 Content of the survey: Surveying the current situation of internal
inspection in the universities under the Ministry of Education and Training Surveying the current situation of internal inspection management in the universities under the Ministry of Education and Training Evaluating the responsiveness of internal inspection in the universities under the Ministry of Education and Training Surveying the current situation of factors affecting the internal inspection management in the universities under the Ministry of Education and Training Evaluating the successes, limitations and causes of current situation of internal inspection management in the universities under the Ministry of Education and Training
2.2.3 Method of the survey: The thesis uses the scientific research
methods to survey, including: questionnaire investigation, document retrospective, interview, mathematical statistics and data processing
2.2.4 Scoring and rating scale
NO Assessment criteria Scoring method Assessment standard
1 Good, significantly influential 4 3,254,0
2 Fair, significantly influential 3 2,53,24
3 Average, insignificantly influential 2 1,752,49
2.2.5 Location and sample of the survey
2.2.5.1 Location of the survey: The thesis was conducted in 10 universities
under the Ministry of Education and Training, in three regions: North, Central, and South
2.2.5.2 Sample of the surveyed object: The survey was carried out among
520 objects known as managers of internal inspection in universities; professional staff, specialists in charge of inspection in universities; inspection collaborators in universities; lecturers and staff in universities
2.3 Current situation of internal inspection in the universities under the Ministry of Education and Training
2.3.1 Awareness of the importance of internal inspection in the
universities under the Ministry of Education and Training
2.3.2 Current situation of implementation of the contents of internal
inspection in the universities under the Ministry of Education and Training
2.3.3 Current situation of implementation of internal inspection forms in
the universities under the Ministry of Education and Training
2.3.4 Current situation of implementation of internal inspection methods
in the universities under the Ministry of Education and Training
2.3.5 Current situation of the conditions and resources for internal
inspection in the universities under the Ministry of Education and Training
2.3.6 Summary of current situation of internal inspection in the
universities under the Ministry of Education and Training
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Amount % Amount % Amount % Amount %
4 Conditions and resources
to ensure the internal
inspection in universities
163 31,42 265 51,04 85 16,42 6 1,12 3,13 2
Overall average score 175 33,61 236 45,40 106 20,33 4 0,74 3,12
The survey results by questionnaires affirmed that internal inspection in the universities under the Ministry of Education and Training is evaluated to be performed at a fairly good level, with the overall average score ̅= 3,12 (min = 1, max = 4) The components of the process of internal inspection in the university are evaluated to be different by the survey participants, and ranked in order: 1- Contents of internal inspection in the universities (with ̅= 3.20); 2 Conditions and resources to ensure the internal inspection in universities (with ̅= 3,13); 3- Form of internal inspection in universities (with ̅= 3,09); 4- Method of internal inspection in universities (with ̅= 3,06)
2.3.7 Advantages and disadvantages when implementing internal inspection in the universities under the Ministry of Education and Training
2.3.7.1 Advantages: The contingent of inspectors has a high sense of
responsibility, professional capacity, professionalism, political qualities, and good morality, ensuring fulfillment of the assigned tasks; The close attention and direction of the Ministry of Education and Training, the Party Committee, the University Board and the coordination of functional departments, etc
2.3.7.2 Disadvantages: The role and authority of the Inspection
Department/Board are still limited, therefore, the verification after handling complaints and denunciations and urging the implementation of inspection and examination conclusions is often prolonged and difficult to be thoroughly resolved; The contingent in charge of internal inspection in the university include the school's staff, lecturers, and specialists, therefore, the assessment process becomes easy, leading to the regard and sympathy, etc
2.3.8 Responsiveness of internal inspection in the universities under the Ministry of Education and Training
The survey showed that the fair responsiveness of internal inspection in the
universities under the Ministry of Education and Training is 47,12% with 245/520