Chương III: Thông tư 12/2017/TT-BGDĐT Quy trình, chu kỳ kiểm định chất lượng giáo dục

Chapter III

PROCESS AND FREQUENCY OF EDUCATION QUALITY ASSESSMENT

Section 1. ASSESSMENT PROCESS, FREQUENCY, ASSESSMENT AND GRADING METHOD 

The process and frequency of education accreditation

1. The process of education accreditation shall be performed according to the following steps:

Internal assessment;

b) External assessment;

c) Verification of quality assessment result;

d) Recognition of conformance to education quality standards.

2. The accreditation shall be carried out every 5 years.

Assessment and grading method

1. The criterions of the standards for assessment of the quality of educational institutions promulgated in Chapter II of this Regulation shall be evaluated on a scale of 7 levels (corresponds to 7 points) as follows:

Level 1. Absolutely incompliant: Do not perform quality assurance to meet the requirements. Plans, documents, evidence or results are not available. Improvement should be made immediately.

b) Level 2. Incompliant, improvements need to be taken: Quality assurance with regards to fields requiring being adapted for the predetermined new criteria is at the planning stage or has failed to meet the stipulated requirement. Have little documents or proofs. Quality assurance activities are not performed regularly or performed poorly.

c) Level 3.  Not fully compliant. Minor corrective actions should be taken to become compliant: Quality assurance activities have been determined and performed but still need minor improvements to be fully compliant. There are documents but no clear evidence that they are fully implemented. The implementation of quality assurance activities is not yet consistent or has limited results.

d) Level 4. Compliant: Quality assurance actitivities are fully performed to meet the stipulated requirements. There are evidences that the performance is fully implemented. The results of quality assurance activities are as expected’

dd) Level 5. More compliant than expected: The quality assurance performance is more compliant than the expected requirements. There are evidences that the performance is being carried out effectively. The implementation of quality assurance activities shows good results and demonstrates positive improvement trends;

e) Level 6. Well compliant as a model of the country: The implementation of quality assurance adapted for meeting the requirements of the criterion is considered the best of the nation. There are evidences that performance is being carried out effectively. The implementation of quality assurance activities shows very good results and demonstrates very positive improvement trends;

g) Level 7. Perfectly compliant, reaching the level of the world's leading educational institutions: The performance of quality assurance adapted for meeting the requirements of the criterion is considered excellent, reaching the level of the world's leading educational institutions or considered the model for other educational institutions around the world to follow. There are evidences that the performance is being carried out in a creative manner. The implementation of quality assurance activities shows excellent results and demonstrates excellent improvement trends;

2. Grading method

The score for each criterion is the integer point corresponding to the standards specified in Clause 1 of this Article;

The score for each criterion is the average of the scores of the criterion in that standard, rounded to two digits after the comma;

The average score for the criterion specified in each section of chapter II of this Article is the average of the scores of the criterion in that section, rounded to two digits after the comma.

Section 2. INTERNAL ASSESSMENT

Article 31. Internal assessment steps

1. Establish the internal assessment panel

2. Make the internal assessment plan.

3. Collect, process, analyze the information and evidence.

4. Make the internal assessment report.

5. Storage and use the internal assessment report.

6. Carry out the activities after completing the internal assessment report.

Article 32. Internal assessment panel of the educational institution

1. The number of members of the internal assessment panel of an educational institution is an odd number. An internal assessment panel is attended by at least 11 members. Its establishment is decided by the Director or Principal of the educational institution (hereinafter referred to as Principal).

2. The president of the internal assessment panel is the Principal; the Deputy President is a Deputy Principal. Other members are representative of the school panel or the Board of Directors, the Science and Training panel; communist organizations, other organizations affiliated to the educational institution, the unit in charge of education quality assurance; the departments, the deans; representatives of lecturers and learners.

3. The panel includes a secretary panel, including staffs of units in charge of quality assurance and other relevant officials, in which the manager of the unit in charge of education quality assurance is the appointed Head. The specific work of the internal assessment panel is assigned to functional groups, which includes members of the internal assessment panel and the secretary panel. Each functional group shall include from 3 to 5 members, be in charge some criterions in the assessment of educational quality and managed by a member of the panel.

4. The internal assessment panel shall advise the Principal to carry out the internal assessment in accordance with this Regulation. The internal assessment panel works on the principle of democratic centralism and reaches agreements through discussions.

5. The internal assessment shall:

 Disseminate the policies on the internal assessment; introduce the internal assessment process, research, exchange experience of internal assessment, request relevant units and individual to cooperate;

b) Collect information and evidence, review the activities and compare the achievements with the set target of the educational institution; assess the extent of achievement, determine the pros and cons of the educational institution; suggest plans for improving and enhancing the quality;

c) Compare the achievement with the education quality assessment standards established by the Ministry of Education and Training and make the internal assessment report;

d) Announce the internal assessment report of the educational institution;

dd) Maintain and update the database of the internal assessment;

e) Suggest plans for improving and enhancing the education quality to the Principal.

6. The responsibilities of the members of the internal assessment panel:

The panel president is responsible for the activities of the panel, assigns tasks to each member, in which identifies the tasks to be performed that correspond to each evaluation criterion, the start and end dates, the primary responsible person and the coordinators; convene and preside the meetings of the panel; approve the internal assessment plan; direct the data and evidence collection; analyze and make the internal assessment report; resolve the issues arising during the internal assessment.

b) Other members of the panel shall perform the tasks assigned by the panel resident and take responsibility for them;

c) The deputy president shall operate the panel upon the delegation of the panel president and take responsibility for the delegated tasks.

7. The panel members must be provided with training in internal assessment techniques, including: the education quality assurance system; the process and frequency of education accreditation; the internal assessment guidance; the experience of internal assessment at home and overseas; the techniques of studying documents, interviewing, observing, discussing, investigating and making internal assessment report.

8. The internal assessment panel may request the Principal to hire experts to assist the panel in carrying out the internal assessment. The expert must hold a master’s degree or higher, be proficient in the education accreditation and assurance, internal assessment, and necessary techniques to carry out the internal assessment.

Article 33. The establishment of internal assessment plan

1. The educational institution shall make the internal assessment plan which is approved by the Principal - president of the internal assessment panel.

2. The internal assessment plan must specify:

a) The purposes and extent of the internal assessment;

b) The composition of the internal assessment panel;

c) The specific assignments of each panel members;

d) The internal assessment instruments;

dd) The information and evidence that need collecting;

e) The estimate of the resources on facilities, finance and time for mobilizing resources during the internal assessment;

g) The schedule: specifying the necessary time for deploying, and the schedule for doing specific activities during the internal assessment.

Article 34. Collection, process and analysis of the information and evidence

1. Based on the criteria in the standards for assessment of the quality of educational institutions, the internal assessment panel shall appoint its member to collect, process, analyze information and evidence before making the internal assessment report.

2. During the process of collecting information and evidences, the origin of them must be specified. Collected information and evidences, including documents concerning their origin, must be stored and the panel must make measures for protecting such information and evidences. The panel is encouraged to use information technology to perform the internal assessment, digitize collected information and evidences for update, storage and collation of evidences.

Article 35. Making the internal assessment report

1.  The internal assessment report must be presented in a concise, clear, accurate, objective manner in accordance with quality assessment criterion, including key components:

Database of the educational institution;

b) Level of compliance according to standards;

c) Internal assessment of quality assurance.

2. The draft internal assessment report must be circulated in the educational institution so that the managers, lecturers, teachers, employees, and students can read and comment for at least 10 business days.

3. The internal assessment report shall be finalized by the panel on the basis of comments from management staffs, lecturers, science staffs, staffs and learners. The Principal - president of the internal assessment panel shall approve the internal assessment report.

Article 36. Storage and use of the internal assessment report

1. The educational institution shall retain the approved internal assessment report together with the relevant documents during its compilation and completion.

2. The copies of internal assessment reports shall be kept in the library for references. For educational institutions of which information needs to be kept confidential as prescribed by the State, the Principal shall prescribe regulation on the use of the internal assessment report according to confidential regime.

Article 37. Carrying out the activities after completing the internal assessment report

1. The plan for improving the quality specified in the internal assessment report shall be implemented in order to improve and enhance the education quality.

2.  Sending the internal assessment report to the authority in charge of directly managing education institution together with Official Dispatch on consideration and support for the improvement and enhancement of the training program according to the action plans in the internal assessment report; and sending it to the Ministry of Education and Training (Department of Educational Testing and Accreditation).

3. Annually, the internal assessment report shall be updated (in the form of annual additional report) and retained in the library of the educational institution.

Section 3. EXTERNAL ASSESSMENT

Article 38. Process and procedures for external assessment registration

1. An educational institution may apply for the external assessment carried out by an education accrediting organization licensed by the Ministry of Education and Training after the approved internal assessment report has been announced in the internal educational institution for at least 20 business days. If the information of the educational institution must be kept confidential as prescribed by the State, the educational institution shall send the internal assessment report to the authority in charge of directly managing education institution in order to apply for the external assessment.

2. Every 5 years or at the request of the education authority, the educational institution must make an internal assessment report and apply for external assessment for approval of education quality standards.

3. Education accrediting organizations shall publicize the information on the calculation and level of funds needed for the internal assessment, external assessment report and the consideration of qualified educational institution on their websites so that educational institutions have grounds to select education accrediting organizations for assessment registration and monitoring of related parties.

Article 39. The contract for verification of internal assessment and external assessment between the education accrediting organizations and the educational institution

1. At the request of the educational institution, the education accrediting organizations shall conclude a contract on verification of internal assessment report with the educational institution. The educational institution shall send the internal assessment report and relevant documents to the educational quality assessment organizations for verification.

2. Within 20 business days from the date on which the contract is concluded, the education accrediting organizations shall verify the internal assessment report and send the verification result to the educational institution in following cases:

a) If the internal assessment report does not meet the requirements of format and content, the educational institution is required to complete the report;

b) If the internal assessment report meets the requirements, the external assessment may be carried out.

3. If the internal assessment report meets requirements, the education accrediting organizations and the educational institution shall conclude an external assessment contract.

4. The contracts between the education accrediting organizations and the educational institution shall comply with regulations of law on economic contracts.

Article 40. Establishment of external assessment commission

1. An external assessment commission, comprising at least 5 members, established under the decision of the Director of the education accrediting organization, in which at least 50% of the members have an education quality assessor's cards, includes:

a) The chief commissioner is a director of educational institution or hold equivalent of higher positions who is experienced in carrying out internal assessment and external assessment, has an education quality assessor’s card. The chief commissioner shall manage the activities of the commission;

b) The secretary has expertise in education accreditation and holds the Identity Card of the education quality assessor. The secretary shall assist the chief commissioner in carrying out the external assessment activities and drafting the documents of the external assessment commission;

c) The remaining members are officers from other educational institutions, State agencies in charge of education and training, socio-professional organizations, or employers corresponding to the disciplines of the assessed educational institution, who have education quality assessor’s cards or certificate of completion of assessor training courses as prescribed by the Ministry of Education and Training. The members shall perform the tasks assigned by the chief commissioner.

2. Members of the external assessment commission must:

a) Be qualified, ethical, honest, and objective; have good health to perform the assigned tasks;

b) Teach or participate in managerial educational activities for at least 10 years; in cases the members are employers, they do not have to teach or engage in managerial activities, but must have at least 5 years of experience of management;

c) Have labor contracts signed with the education accrediting organization;

d) Make a written commitment with the education accrediting organization that they have never worked for the assessed educational institution; have never contributed capital, purchased stocks and bonds; no family members (parents, spouses, children, siblings) are members in the board of directors of the assessed educational institution.

3. Before establishing the external assessment commission, the education accrediting organization must send the tentative list of the composition of the external assessment commission to the educational institution. The educational institution may request the education quality assessment organization to replace one or more members of the commission if there is evidence that such members have been in a conflict of interest with the educational institution, but may not suggest or recommend any particular individual for the external assessment commission.

If the educational institution does not give any opinion within 10 working days from the date on which the tentative list is received, the educational institution is considered to concur with the tentative list made by the education accrediting organization.

4. The external assessment shall be carried out after the education accrediting organization and the educational institution have signed the external assessment contract, and the external assessment commission is established as prescribed in this Article.

Article 41. The external assessment steps

1. Study the internal assessment documents:

The external assessment commission shall examine the internal assessment report and relevant documents of the educational institution; collect, process the information and evidence related to the education quality assessment standard.

2. Carry out the preliminary survey at the educational institution.

3. Carry out the official survey at the educational institution.

4. Draft the external assessment report and send it to the educational institution for seeking opinions:

The draft external assessment report must be agreed by at least 2/3 of the commission members;

b) The external assessment commission shall send the draft external assessment report to the educational institution for seeking opinions via the education accrediting organization within 15 working days from the date on which the educational institution receives the draft report.

5. Complete the internal assessment report:

a) Within 15 working days from the date on which the feedbacks from the educational institution is received or from the deadline for the educational institution to give opinions, the external assessment commission shall send a notice about the accepted and rejected opinions via the education accrediting organization. The reasons for rejecting opinions must be explained;

b) The external assessment commission shall complete the external assessment report, and then send it together with the relevant documents (if any) to the Director of the education accrediting organization. Then the education accrediting organization shall officially send the external assessment report to the educational institution and request the contract liquidation.

c) The members of the external assessment commission shall not freely supply information related to the work contents and assessment results of the assessment commission without the permission of the education accrediting organization or competent state management.

Article 42. Using the external assessment results

The external assessment results are the basis for the educational institution to implement the plan for improving and enhancing the education quality and for the education accrediting panel of the education accrediting organization to verify, consider and approve or disapprove the certification that the educational institution meets the educational institution standards.

Article 43. Responsibility of the educational institution for the external assessment

1. Prepare the documents and data related to the activities of the educational institution and other conditions for the external assessment.

2. Appoint a leader f the educational institution and a specialized manager to work with the external assessment commission.

3. Cooperate and consult with the external assessment commission about the internal assessment report examination result and the result of the survey carried out at the educational institution.

4. Within 15 working days from the date on which the draft external assessment report is received, the educational institution shall send a document to the education accrediting organization, specifying the agreement of disagreement on the draft external assessment report.

If the external assessment report is disapproved, the reasons and evidence must be provided. If the educational institution does not send any feedback after this deadline, it is considered to concur with the draft external assessment report.

5. Within 15 working days from the date of receiving the external assessment report sent by the education accrediting organization as prescribed under Point b, Clause 5, Article 41 of this Regulation, the educational institution shall send the education accrediting organization a written request for the certification of meeting education quality standards.

Section 4. VERIFICATION OF THE EDUCATION QUALITY ASSESSMENT RESULT

Article 44. The time limit and dossier of the verification of education quality assessment result

1. Within 6 months from the date on which the written request for consideration and recognition of the educational quality standard of the educational institution is received, the education accrediting organization shall hold a quality assessment meeting to verify the education quality assessment result.

2. The dossier on the verification of the education quality assessment result includes: the internal assessment report, the external assessment report, the written request made by the educational institution for the certification of meeting education quality standards; the written feedbacks from the educational institution on the external assessment report, the notification made sent by the external assessment commission to the educational institution of the acceptance or rejection of opinions; the report on the summary of the results of the internal assessment, external assessment and the summary of the issues that need discussing.

3. The secretary team shall assist the education accrediting panel in making the plan for verifying the education quality assessment result, preparing the verification dossier and sending the verification dossier to the panel members at least 15 working days before the panel meeting.

Article 45. The process of the verification of education quality assessment result

The verification of education quality assessment result shall be carried out by the education accrediting panel in the following order:

1. The panel meeting shall be convened and presided by the president or a delegated deputy president of the panel to perform the following tasks:

a) Listen to the summary of the results of the internal assessment, external assessment and the issues that need discussing;

b) Discuss the internal assessment result, the external assessment result and the draft resolution of the panel on the verification of the education quality assessment result;

c) Seeking recommendations of the panel to the educational institution about the rectification of the weaknesses, the improvement and enhancement of the education quality;

d) The panel shall ballot for the approval of the resolution on the verification of the education quality assessment result.

2. Within 10 working days from the date on which the verification result is available, the education accrediting organization shall send the educational institution the resolution on the verification of the education quality assessment result and the recommendations of the panel to the educational institution about the rectification of the weaknesses, the improvement and enhancement of the education quality.

3. If no course has been completed, the educational institution shall use the result of the verification of the education quality assessment for the improvement and enhancement of their education quality. If at least one course is completed, within 20 working days from the date on which the documents prescribed in Clause 2 of this Article is received, the educational institution must send a written feedback to the education accrediting organization on:

a) The agreement with the resolution and recommendations of the panel; requesting the education accrediting organization to consider and certify that the educational institution meets the education quality standards, and issue the education quality assessment certificate;

b) The agreement with the resolution and recommendations of the panel; the plan made by the educational institution for overcoming the weakness, improving and enhancing the education quality for the purpose of applying for the education accreditation in the near future;

c) The disagreement on part or the whole of the resolution and recommendation of the panel; requesting for the reconsideration from the education accrediting organization.

4. In the cases prescribed in Point a Clause 3 of this Article, within 10 working days from the date on which the written feedback sent by the educational institution is received, the education accrediting organization shall post the external assessment result, the resolution, and the recommendations of the panel on the website of the education accrediting organization. After 15 days from the announcement date, if there is no complaint is made, the education accrediting organization shall issue the education accreditation certificate to the educational institution; if complaints are made, the education accrediting organization shall review the entire process and the dossier on the verification of the education quality assessment result before deciding to issue or not to issue the education accreditation certificate to the educational institution.

For educational institutions of which information needs to be kept confidential as prescribed by the State, the external assessment results, the external assessment result, the resolution and recommendations of the panel shall be sent to the authority in charge of directly managing education institution at least 15 days before the education accrediting organization issues the certification for seeking assenting opinions.

5.  In the cases prescribed in Point b Clause 3 of this Article, the education accrediting organization must explain the resolution and recommendations of the panel at the request from the educational institution; provide consultancy, and assist the educational institution in improving and enhancing its education quality.

6. In the cases prescribed in Point v Clause 3 of this Article, the education accrediting organization shall reconsider the resolution and recommendations of the panel in the next periodic meeting as prescribed in Clause 1 of this Article, and take the next steps prescribed in this Article.

Section 5. RECOGNITION OF CONFORMANCE TO EDUCATION QUALITY STANDARDS

Article 46. Conditions for the recognition of conformance to education quality standards

1. At least one course is completed.

2. An external assessment is carried out and a written request sent to the education accrediting organization for the recognition of conformance to education quality standards is made. If the information of the educational institution must be kept confidential as prescribed by the State, the educational institution shall request that the external assessment result be sent to the authority in charge of directly managing education institution and apply for the certification of meeting education quality standards.

3. After being verified of the education quality assessment result, the average point of the educational institution of each standard in each section in Chapter II of this Regulation shall all reach at least 3.5 points and no standard has an average score below 2.0 points.

Article 47. Education accreditation certificate

1. According to the request made by the education accrediting panel, the Director of the education accrediting organization shall issue the education accreditation certificate to the educational institution that satisfies the conditions in Article 46 of this Regulation.

2. The education accreditation certificate is valid for 5 years from its date of issue.

At least 9 months prior to the expiration date of the education accreditation certificate, the educational institution shall conduct an internal assessment of the next cycle which clarifies the improvement of quality compared to the previous cycle and register with the education accrediting organization for continuing accreditation.

3. The education accreditation certificate is designed and printed by the education accrediting organization after its design is registered with the Ministry of Education and Training.

Article 48. Revocation of the education accreditation certificate

If the education accreditation certificate is unexpired and the State agencies in charge of education management devise a cheating in the process of assessment or the educational institution no longer satisfies the requirements of the education quality assessment standard, the State agency in charge of education management shall request the Director of the education accrediting organization to revoke the education accreditation certificate.

Article 49. Responsibility of the educational institution issued with the education accreditation certificate

1. Post the accreditation certificate on the website of the educational institution within 10 days after date on which the accreditation certificate is issued (not applying for the educational institutions need keeping confidential as prescribed by the State).

2. Report to the Ministry of Education and Training and the authority in charge of directly managing education institution the results of the education accreditation, the plan for improving and enhancing the education quality after being issued with the education accreditation certificate.

3. Sustain and develop the conditions for education quality assurance. Sustain and improve the certified education accreditation result during the validity period of the education accreditation certificate. If the quality is not sustained consistently with the certified result, depending on the nature and seriousness of the violations, the educational institution shall be warned or have the education accreditation certificate revoked.

4. Annually implement plans to improve and enhance the quality of education according to the recommendations of the education accrediting panel, report directly to the authority in charge of directly managing education institution on the results of quality improvement and the overcoming the weaknesses of the quality of education indicated in the external assessment report.

5. Register, make a mid-term review with the education accrediting organization and send the result to the Ministry of Education and Training and the authority in charge of directly managing education institution after 2.5 years from the date on which the education accreditation certificate is issued.

6. Carry out the assessment of the next cycle as prescribed in Clause 2, Article 47 of this Regulation.

Article 50. Responsibility of the education accrediting organization

1. Post the external assessment result, the resolution and the recommendations of the Council on the website of the education accrediting organization at least 15 days before the educational institution is issued with the accreditation certificate (not applying for educational institutions or training programs need keeping confidential as prescribed by the State).

2. Post the education accreditation certificate issued to the educational institution on the website of the education accrediting organization within 5 days from the date on which the education accreditation certificate is issued to the educational institution. This post must be retained on the website for at least 5 years. Announce the list of educational institution granted the education accreditation certificate.

3. Make a mid-term review with the educational institution after 2.5 years from the date on which the education accreditation certificate is issued.

4. Revoke the education accreditation certificate of the educational institution at the request of the State agency in charge of education management prescribed in Article 48 of this Regulation.

Article 51. Usage of the education accreditation result

1. The result of the accreditation of the educational institution shall be used as a basis for determining the quality of higher education, the position and prestige of the educational institution; exercising the right to autonomy and self-responsibility and is one of the criteria for competent agencies to consider investing funds, assigning tasks, stratifying, ranking, transferring autonomy and reorganizing the network of educational institutions.

2. The educational institutions participating in the accreditation in accordance with regulations and receiving the recognition of conformance to education quality standards are given priority by the competent agencies for development investment and entitled to higher autonomy. Credits accredited at such educational institutions are recognized and transferable.

3. Educational institutions participating in the accreditation but do not receive the recognition of conformance to education quality standards shall have limited autonomy. If there is no improvement for the next 3 years to meet education quality standards, such institutions will be subject to restriction or suspension of admission.