Quản lý hoạt động thanh tra nội bộ trong các trường đại học trực thuộc bộ giáo dục và đào tạo tt tiếng anh

MINISTRY 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


THE 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
Reviewer 1: ....................................................................

Reviewer 2: ....................................................................

Reviewer 3: ....................................................................

The thesis is defended at the Academy-level Doctoral Thesis
Examination Council held at Vietnam Institute of Education

Sciences, 101 Tran Hung Dao, Hanoi
At: ........ Date: ……/……. /2020.
The thesis can be found at:
- National library of Vietnam;
- Library of Vietnam Institute of Educational Sciences.


1

INTRODUCTION
1. Rationale
1.1. Internal inspection and management of internal inspection play an
important role in management at universities today.
In April 1957, at the Conference on the whole North inspection held in
Hanoi, President Ho Chi Minh gave advice to the inspection force, specifically,
he emphasized: “Inspector is the spy of superiors and a friend of inferiors". In the
Law on Inspection No. 56/2010/QH12 dated November 15th, 2010, it is stated
that: "Inspection is aimed at helping agencies, organizations and individuals to
strictly comply with legal regulations". In the sector of education and training, in
order to continue to raise awareness of the position and role of inspection in the
fundamental and comprehensive innovation of education and training; strengthen
the organization, improve the quality and efficiency of inspection, settle
complaints, denunciations, prevent and anti-corruption, etc, the Ministry of
Education and Training issued Circular No. 51/2012/TT-BGD&ĐT dated
December 18th, 2012 stipulating the organization and inspection of higher
education institutions. On July 25, 2014, the Ministry of Education and Training
issued Decision No. 2653/QĐ-BGD&ĐT on the implementation of Resolution
No. 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


2

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


3

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


4

the sector of higher education and training to meet the requirements of educational
innovation and university autonomy today. In universities, the internal inspection is
an important and reliable information channel for principals and managers in

universities, supporting university managers to promptly detect positive individuals
to praise and disseminate and take necessary disciplinary measures for the
violations of the law, the rules and regulations of the university.
8.2. However, the internal inspection and the management of internal
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,


5

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 selfresponsibility 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


6

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


7

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.


8

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


9

(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.


10

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
1
2
3
4

Assessment criteria
Good, significantly influential
Fair, significantly influential
Average, insignificantly influential
Not good, uninfluential

Scoring method Assessment standard
4
3,254,0
3
2,53,24
2
1,752,49
1
< 1,75

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


11

Tablet 2.10. Summary of current situation of internal inspection in the
universities under the Ministry of Education and Training
NO

Content

1 Contents of internal
inspection in universities
2 Form
of
internal
inspection in universities
3 Method
of
internal
inspection in universities
4 Conditions and resources
to ensure the internal
inspection in universities
Overall average score

Levels achieved
Good
Fair
Average
Fail
Amount % Amount % Amount % Amount %
-

̅

Rank

3,20

1

249 47,94 125 23,96 148 28,38

-

149 28,69 271 52,12 95 18,23

5

0,96 3,09

3

137 26,38 283 54,46 95 18,27

5

0,88 3,06

4

163 31,42 265 51,04 85 16,42

6

1,12 3,13

2

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: 1Contents of internal inspection in the universities (with ̅= 3.20); 2. Conditions
and resources to ensure the internal inspection in universities (with ̅= 3,13); 3Form 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


12

opinions (ranked first). The good responsiveness is 20,77% with 108/520
opinions and the average responsiveness is 23,46% with 122/520 opinions.
However, 45/520 opinions, accounting for 8.65%, evaluates that the
responsiveness of internal inspection has not met the requirements of inspection.
2.4. Current situation of the management of internal inspection in the
universities under the Ministry of Education and Training
Tablet 2.18. Summary of implementation level of internal inspection management
in the universities under the Ministry of Education and Training
NO

Levels achieved
Good
Fair
Average
Fail
Amount % Amount % Amount % Amount %

Content

Planning internal
inspection in universities
Organizing the internal
2

inspection in universities
Directing internal
3
inspection in universities
Examination of internal
4
inspection in universities
Overall average score
1

208 40.06 197 37.95 108 20.71

Rank

7

1.28 3.17

2

211 40.61 178 34.23 118 22.69 13

2.47 3.13

3

216 41.54 198 38.12 97 18.58

9

1.77 3.19

1

192 36.83 208 40.00 108 20.83 12

2.34 3.11

4

207 39.76 195 37.58 108 20.70 10

1.97 3.15

X
3.20

̅

3.19

3.17
3.13

3.15

3.11

3.10
3.05

Planning

Organization

Direction

Examination

Chart 2.5. Current situation of implementation level of internal inspection in the
universities under the Ministry of Education and Training
Through the survey results in Table 2.18 and the demonstration in chart
2.5, it shows that, in order for the internal inspection in the universities under the
Ministry of Education and Training to be effective, the President and other
departments participating in inspection in universities have applied many
different management measures. Specifically, the university presidents, according
to their management functions, implemented four measures to manage the
internal inspection. The level of implementation of measures for internal
inspection management in universities is evaluated to be performed at a fairly
good level, with the overall average score ̅= 3,15 (min = 1, max = 4). Among the
four contents of internal inspection in Universities, the inspection direction
including: Issuance of decisions on internal inspection in the universities;


13

Organization of the implementation of internal inspection in universities
according to the developed plan, etc is evaluated to be implemented at the best
level, with ̅=3.19 (ranked 1/4) and the lowest implementation level is the content
of: Examination of internal inspection in universities, with ̅= 3.11 (ranked 4/4).
2.5. Current situation of factors affecting the internal inspection

management in the universities under the Ministry of Education and Training
Table 2.21. Summary and evaluation of the impact of factors inside and outside
the university on the management of internal inspection in the universities under
the Ministry of Education and Training
Impact level
NO

Factors

Influential factors
1 inside
the
university
Influential factors
2 outside
the
university
Overall average
score

Profoundly
influential
Quan%
tity

Greatly
influential
Quan%
tity

Insignific-antly
influential
Quan
%
-tity

Uninfluential
Quan%
tity

̅

Rank

180

34.53

248

47.75

75

14.48

17

3.24 3.14

1

170

32.66

260

49.94

67

12.82

24

4.58 3.11

2

175

33.60

254

48.85

71

13.65

21

3.91 3.13

The survey results in the above-mentioned table shows that among the
factors affecting the management of internal inspection in the universities under
the Ministry of Education and Training, the factors inside the university have
more impacts than factors inside the university, with the average score ̅= 3,14
against ̅= 3,11.
In particular, the factors inside the university that are considered to have
the most influence on the internal inspection include: Awareness and
implementation capacity of the staff in charge of internal inspection in the
university; Orientation, competencies and directing opinions of the university
president on internal inspection in universities. Along with that, the factors
outside the university with the most impact on the internal inspection include: The
attention and direction unity of the Ministry of Education and Training to the
affiliated universities on internal inspection in the university; Policy regimes,
budget sources and investment costs for internal inspection in universities, etc.
2.6. Evaluation of current situation of the internal inspection
management in the universities under the Ministry of Education and
Training
2.6.1. Success and cause
In recent time, the management of internal inspection in universities has
been methodically performed in line with the process. Most universities developed


14

or adjusted the plan of internal inspection in a timely and specific manner; Each
university issued its own system of management documents and guidelines for
internal inspection, which always update and innovate the programs, contents,
methods and forms of inspection to meet the requirements of educational
innovation in general and educational innovation in universities in particular. The
internal inspection in universities is maintained in a regular and periodical manner,
including unscheduled inspection of teaching work; Inspection of the
implementation of the teacher's goals, plans, and curriculum, etc.
The above successes are attributed to the attention and guidance of the
Ministry of Education and Training, the Party Committee and the Leadership
Board in universities; the constant vigor and closeness of the Inspection
Department in universities, the constant innovation efforts of management staff,
inspection officers, and inspection collaborators in universities, etc.
2.6.2. Limitations and causes
The planning of internal inspection in the university is sometimes still
delayed, as a result, it fails to keep up with the requirements of quickness and
promptness in inspection work; Planning is still overlapped in terms of work
content and staff assignment. The direction of implementing the contents and
programs on internal inspection in universities is not specific and contents are still
general. The assessment of inspection results is not really scientific and objective
in some universities. The results have not given a true reflection on current
situation in a number of universities and affiliated departments, etc.
The cause of the limitations: The number of staff in charge of internal
inspection in universities over the past time is still limited. Most of them have no
proper profession in some universities. The role and authority of the Inspection
Department is still limited, therefore, the verification when handling complaints and
denunciations and urging the implementation of inspection and examination
conclusions is often delayed, and it is difficult to collect documents and evidences,
as a result, it is very difficult to thoroughly solve problems.
Conclusion of chapter 2

Through surveys and opinion polls of subjects who are managers,
inspection officers, inspection collaborators and lecturers and staff at universities
under the Ministry of Education and Training, the initial conclusions are given as
follows:
The internal inspection in the universities under the Ministry of Education
and Training is evaluated to be performed at a fairly good level and ranked
according to the order of implementation as follows: 1- Contents of internal
inspection in 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).


15

The contents of internal inspection management in universities are
evaluated by the subjects at a fairly good level. The level of implementation of
management contents is assessed as unequal and ranked according to the order: 1Directing the internal inspection in universities (with ̅= 3,19); 2- Planning the
special skills in universities (with ̅= 3,17); 3- Organizing the internal inspection
in universities (with ̅= 3,13); 4- Examining the internal inspection in universities
(with ̅= 3,11).
The management of internal inspection in the universities under the
Ministry of Education and Training in the current context of educational
innovation, opening up and international integration is affected by many factors
and the influential degree of factors on the internal inspection management is
different: 1- The impact of factors inside the university (with ̅= 3,14); 2- The
impact of factors outside the university (with ̅= 3,11). The above results of the
practical survey are the scientific basis to propose measures for management of
internal inspection in universities.
Chapter 3

MEASURES FOR MANAGEMENT OF INTERNAL
INSPECTION IN THE UNIVERSITIES UNDER
MINISTRY OF EDUCATION AND TRAINING
3.1. Orientation for the innovation of internal inspection in the
universities under the Ministry of Education and Training to meet the
current requirements of educational innovation.
3.1.1. Orientation for innovation of educational inspection in our
country today
3.1.2. Orientation for the innovation of internal inspection in the
universities under the Ministry of Education and Training today
3.2. Principles of proposing measures for internal inspection management
3.2.1. Principle of ensuring the goals
3.2.2. Principle of ensuring systematic, hierarchical and comprehensive
requirements
3.2.3. Principle of ensuring coordination and suitability with objects
3.2.4. Principle of ensuring practicality
3.2.5. Principle of ensuring feasibility
3.3. Measures for management of internal inspection in the
universities under the Ministry of Education and Training
3.3.1. Organizing to raise awareness for cadres, lecturers and staff of the
university about the importance of internal inspection in the universities under
the Ministry of Education and Training
The organization to raise the awareness of cadres, lecturers and staff of the
universities about the importance of internal inspection helps the universities to
effectively propagate and disseminate knowledge about the internal inspection of


16

the University to the cadres, lecturers, staff and the forces participating in the

internal inspection in the universities so that they have the scientific basis,
necessary understanding about the position and role of internal inspection in the
universities. The propaganda raises awareness of cadres, lecturers, and staff of the
universities about internal inspection, thereby, promoting the powerful synergy
from the forces participating in internal inspection in the universities.
3.3.2. Developing a plan of internal inspection in the universities under
the Ministry of Education and Training
The measure of developing a plan of internal inspection in the universities
under the Ministry of Education and Training helps university leaders to
proactively and well implement various contents of internal inspection, such as:
organizational structure, direction and examination of the implementation of
internal inspection plan. The planning will help the departments of the university
to participate in the internal inspection in order to implement specific plans for
internal inspection in the universities.
3.3.3. Fostering the capacity to perform internal inspection for the
contingent in charge of internal inspection in the universities under the
Ministry of Education and Training
The organization of fostering and training of knowledge and skills for the
contingent in charge of internal inspection in the universities of the Ministry of
Education and Training helps improve knowledge, skills, professional ability, and
ethical qualities for such contingent in universities, improving skills in handling
situations in inspection, receiving citizens, handling complaints and
denunciations, preventing corruption and waste in universities.
3.3.4. Fostering internal control capacity under the COSO internal
control system for the contingent in charge of internal inspection in the
universities under the Ministry of Education and Training
Over the past time, along with the attention and direction from the governing
body, the universities under the Ministry of Education and Training have given
many appropriate guidelines, policies and measures to improve the quality of
internal inspection in universities, including regular organization for fostering the

capacity of internal inspection implementation for the contingent in charge of
internal inspection in the universities. However, the issue on internal control
capacity under the COSO framework of the contingent in charge of internal
inspection in the university is new and has not received the proper attention before
the requirements of internal inspection in the university in the current new
international integration. Therefore, it is necessary to foster internal control capacity
under the COSO framework for the contingent in charge of internal inspection in
the universities of the Ministry of Education and Training in order to contribute to
improving the capacity of internal control as well as internal inspection for the
contingent in charge of internal inspection in the universities under the Ministry of
Education and Training today.


17

3.3.5. Strengthening the direction of internal inspection implementation
in the universities under the Ministry of Education and Training
During the internal inspection implementation in the universities under the
Ministry of Education and Training, the implementation direction of the university
leaders on the inspection plays a very important role. The direction shows the
ability of university leader, accordingly, the leader uses his/her management power
to influence the management objects in order to maximize their potential, direct
toward the general purpose of university inspection. Directing the implementation
of internal inspection in universities is the process in which the Steering Committee
of internal inspection affects, controls, issues and concretizes the inspection
decisions to the organizations and individuals assigned to perform the management
tasks; deploying, monitoring, adjusting and evaluating the efficiency of decisions in
the internal inspection.
3.3.6. Examination of the implementation of internal inspection plan and
feedback to improve the internal inspection in the universities under the

Ministry of Education and Training
Enhancement of the examination of the implementation of internal
inspection plan and provision of feedback for improvement of the internal
inspection in the universities under the Ministry of Education and Training is an
indispensable and important content of managers. The examination contributes to
increase the sense of responsibility of the departments in implementing the tasks of
internal inspection in universities. The examination of internal inspection
implementation is aimed at evaluating the efficiency of inspection, identifying the
advantages and shortcomings in the implementation of internal inspection, thereby
to make plans for suitable adjustment and supplement in order to timely improve
the quality of internal inspection in universities.
3.4. The relationship between the measures of internal inspection
management in the universities under the Ministry of Education and Training
In order to improve the quality of internal inspection management in the
universities under the Ministry of Education and Training, the thesis proposes 6
basic measures, however, in reality, there are certainly other measures that affect
the internal inspection management in universities, which are not mentioned in
the thesis. Each proposed measure has different positions, roles and functions,
however, they have a close relationship, mutual interaction and support to
improve the efficiency of internal inspection management in the universities
under the Ministry of Education and Training. Therefore, in the implementation
process, the inspection team or the officers in charge of internal inspection should
apply, coordinate in a smooth and harmonious manner, synchronize new
measures to reach a high consensus and achieve management efficiency. If each
measure is separated, the management efficiency will not be high and practical
effects shall not be created. Depending on the conditions of each school and each
period, specific requirements shall be given for measures application.


18

3.5. Testing the necessity and feasibility of measures of internal
inspection management in the universities under the Ministry of Education
and Training
Table 3.1. Scoring method and rating scale of the necessity and feasibility
of internal inspection management measures in the universities under
the Ministry of Education and Training
NO

Evaluation criteria

Scoring method

Evaluation standards

1
2
3
4

Very necessary, very feasible
4
3.25 4.0
Necessary, feasible
3
2.5 3.24
Less essential, less feasible
2
1.75 2.49
Unnecessary, unfeasible

1
< 1.75
Calculation method: Take average scores on the inspected object and make a
calculation tablet. Calculate the average score ̅ at the levels: Good ̅ =3,25  4,0;
Fair ̅ =2,53,24; Average: ̅=1,752,49; Weak: ̅ < 1,75 (min=1; max=4).
Table 3.5. Correlation between the necessity and the feasibility
of the measures of internal inspection in the universities under
the Ministry of Education and Training
NO

1

2
3

4

5

6

Management measures
Organizing to raise awareness for cadres, lecturers and staff
of the university about the importance of internal inspection
in the universities under the Ministry of Education and
Training
Developing a plan of internal inspection in the universities
under the Ministry of Education and Training
Fostering the capacity to perform internal inspection for
the contingent in charge of internal inspection in the

universities under the Ministry of Education and Training
Fostering internal control capacity under the COSO
internal control system for the contingent in charge of
internal inspection in the universities under the Ministry of
Education and Training
Strengthening the direction of internal inspection
implementation in the universities under the Ministry of
Education and Training
Examination of the implementation of internal inspection
plan and feedback to improve the internal inspection in the
universities under the Ministry of Education and Training
Overall average score

Necessary
̅ Rank

Feasible
̅ Rank

3.29

4

3.17

4

3.37

2

3.24

1

3.30

5

3.12

6

3.34

3

3.20

2

3.38

1

3.18

3

3.22

6

3.15

5

3.32

3.18


19

In order to confirm the relationship between the necessity and feasibility of
the measures of internal inspection management in the universities under the
Ministry of Education and Training, we utilize the Spiecman hierarchical
correlation formula. The calculation result r  +0,77 concludes that the above
correlation is pros and close, which means that the awareness level of measures of
internal inspection management in the universities under the Ministry of
Education and Training shall give a corresponding feasibility level.
3.40
3.35
3.30
3.25
3.20
3.15
3.10
3.05
3.00

2.95

Necessary
3.38

3.37

3.34
3.30

3.29
3.24

3.20

3.17

3.22
3.18

3.12

Method 1

Feasible

Method 2

Method 3

Method 4

Method 5

3.15

Method 6

Chart 3.1. The relationship between the necessity and the feasibility of measures
of internal inspection management in the universities under
the Ministry of Education and Training
3.6. Testing the measure: Fostering internal control capacity under the
COSO internal control system for the contingent in charge of internal
inspection in the universities under the Ministry of Education and Training
3.6.1. Test purpose
The test purpose is to verify the efficiency of the measure "Fostering the
internal control capacity according to the COSO internal control system for the
contingent in charge of internal inspection in the universities directly under the
Ministry of Education and Training" in improving the quality of internal
inspection management in the universities under the Ministry of Education and
Training.
3.6.2. Test hypothesis
If the management measure "Organizing the fostering of internal control
capacity under the COSO internal control system for the contingent in charge of
internal inspection in the universities under the Ministry of Education and
Training" is applied, the quality of internal inspection management will be
improved under the Ministry of Education and Training in the context of
educational innovation and university autonomy.
3.6.3. Test sample and location
The test in the thesis is carried out in the form of parallel testing, including

02 groups: a control group of 60 subjects (not applying the new management


20

method) and experimental group of 70 subjects (applying the new management
method). The tested subjects were managers, professional cadres, collaborators of
internal inspection, lecturers and staff of the universities under the Ministry of
Education and Training.
3.6.4. Test criteria and rating scale
Criteria 1: Assessment of the knowledge of the contingent of cadres in
charge of internal inspection in the universities under the Ministry of Education and
Training.
Criteria 2: Assessment of the skills of the contingent of cadres in charge of
internal inspection.
3.6.5. Test duration and stages
* Test duration: From February 2018 to February 2019.
* Preparation stage: Selecting the tested universities, determining the test
duration. Developing a test preparation toolkit including the samples of survey,
assessment, questionnaires to interview experts, managers, specialist, inspection
collaborators, lectures and staff participating in interview, etc.
* Test stage: Step 1: Evaluating the quality of internal inspection of two
control group and experimental group before participating in the test. Step 2:
Affecting the measure “Organizing the fostering of internal control capacity
under the COSO internal control system for the contingent in charge of internal
inspection in the universities under the Ministry of Education and Training” for
the experimental groups. Step 3: After the test, measure the quality of internal
inspection of the groups (control group and experimental group) by the test
evaluation forms. Compare the change through the obtained test results, thereby,
draw conclusions about the efficiency and feasibility of the test method.

3.6.6. Test result
3.6.6.1. Measurement results before the test
The survey results show that before the test, the current situation of the
knowledge of surveyed subjects, through 3 basic evaluation criteria, was at the
same level, without significant difference, showing the overall average score at
the fairly good level, with ̅ = 3,06 (control group) and ̅ = 3,08 (experimental
group). The mean deviation of the criteria is 0,02. The difference is more evident
in the criteria “Knowledge of the organization of internal control under the
COSO framework in the universities under the Ministry of Education and
Training”, with ̅ = 3,07 (control group) against 3,11 (experimental group),
deviation = 0.04.
Before the test, the current situation of the skill of surveyed subjects,
through 3 basic evaluation criteria, was at the same level, without significant
difference, showing the overall average score at the fairly good level, with ̅ =
3,03 (control group) and ̅ = 3,04 (experimental group). The mean deviation of the
criteria is 0,01. The difference is more evident in the criteria “Skill in organization


21

and implementation of internal control under the COSO framework”, with ̅ = 3,00
(control group) against 3,03 (experimental group), deviation = 0,03.
3.6.6.2. Measurement results after the test
Survey results show that after the test, there is a clear difference in
knowledge of surveyed subjects, showing the overall average score ̅ = 3,07
(control group) and ̅ = 3,12 (experimental group), with mean deviation between
the two groups at 0,05. The difference is evident in all 3 evaluation criteria with
deviation ranging from 0,02 to 0,08. In particular, the most obvious difference is
expressed in criteria “Knowledge of internal control management according to
COSO framework in universities”, with ̅ = 3,05 (control group) against ̅ = 3,13

(experimental group), deviation = 0.08, obtaining at a good level.
After the test, there is a clear difference in the skill of surveyed subjects,
showing the overall average score ̅ = 3,05 (control group) and ̅ = 3,10
(experimental group), with mean deviation between the two groups at 0,05. The
difference is evident in all 3 evaluation criteria with deviation ranging from 0,03
to 0,08. In particular, the most obvious difference is expressed in criteria “Skill in
organization and implementation of internal control under the COSO framework”,
with ̅ = 3,03 (control group) against ̅ = 3,11 (experimental group), deviation =
0,08, obtaining at a good level.
3.6.7. Test conclusion
Through the results of two measurements (before and after the test) of two
criteria related to the change of knowledge and skills of the contingent of cadres
in charge of internal inspection in the universities under the Ministry of Education
and Training and based on the change of results in the experimental group
compared with the control group, between two measurements in the experimental
group, the conclusion is given that: the measure of internal inspection
management through the test: “Fostering internal control capacity under the
COSO internal control system for the contingent in charge of internal inspection
in the universities under the Ministry of Education and Training” achieves high
efficiency in improving the quality of internal inspection management in the
universities under the Ministry of Education and Training in the current context of
educational innovation and university autonomy.
Conclusion of chapter 3
Based on theoretical studies and assessment of current situation of internal
inspection and management of internal inspection in the universities under the
Ministry of Education and Training, the thesis proposes 6 measures for
management of internal inspection in the universities under the Ministry of
Education and Training as follows: 1) Organizing to raise awareness for cadres,
lecturers and staff of the university about the importance of internal inspection in
the universities under the Ministry of Education and Training; 2) Developing a plan

of internal inspection in the universities under the Ministry of Education and


22

Training; 3) Fostering the capacity to perform internal inspection for the
contingent in charge of internal inspection in the universities under the Ministry of
Education and Training; 4) Fostering internal control capacity under the COSO
internal control system for the contingent in charge of internal inspection in the
universities under the Ministry of Education and Training 5) Strengthening the
direction of internal inspection implementation in the universities under the
Ministry of Education and Training; 6) Examination of the implementation of
internal inspection plan and feedback to improve the internal inspection in the
universities under the Ministry of Education and Training. Each measure is
presented in the sequence: purpose of the measure, content and method of
implementation, and conditions for implementing the measure. The proposed
management measures are aimed at meeting the requirements of educational
innovation and university autonomy.
The test results show that the proposed management measures are necessary
and highly feasible, consistent with the reality of internal inspection and the
management of internal inspection in the universities under the Ministry of Education
and Training, aiming at improving the quality and efficiency of university
management in the coming time in order to meet the requirements of educational
innovation, opening up and international integration today.
CONCLUSION AND RECOMMENDATION
1. Conclusion
1.1. Based on the summary and theoretical analysis of previous studies on
internal inspection and the management of internal inspection in universities, the
thesis identifies and uses a number of basic concepts to give opinions and
comments on the content of internal inspection management as well as the factors

affecting the internal inspection management in universities.
Management of internal inspection is the oriented affecting process of the
subject who manages the internal inspection on the managed object to achieve
target and the quality for the stages in the process of internal inspection, contents
of internal inspection, results of internal inspection, to meet the requirements of
educational innovation today. The contents of the internal inspection management
in the universities under the Ministry of Education and Training include:
Inspection planning, inspection organization, inspection direction and
examination of the implementation of the internal inspection in universities.
Adopting the management function to improve the quality of internal inspection
in universities in order to satisfy 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


23

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.
1.2. Through surveys and opinion polls of subjects who are managers,
inspection officers, inspection collaborators and lecturers and staff at universities

under the Ministry of Education and Training, the initial conclusions are given as
follows: The internal inspection in the universities under the Ministry of
Education and Training is evaluated to be performed at a fairly good level and
ranked according to the order of implementation as follows: 1- Contents of
internal inspection in 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).
The contents of internal inspection management in universities are
evaluated by the subjects at a fairly good level. The level of implementation of
management contents is assessed as unequal and ranked according to the order: 1Directing the internal inspection in universities (with ̅= 3,19); 2- Planning the
special skills in universities (with ̅= 3,17); 3- Organizing the internal inspection
in universities (with ̅= 3,13); 4- Examining the internal inspection in universities
(with ̅= 3,11).
The management of internal inspection in the universities under the
Ministry of Education and Training in the current context of educational
innovation, opening up and international integration is affected by many factors
and the influential degree of factors on the internal inspection management is
different: 1- The impact of factors inside the university (with ̅= 3,14); 2- The
impact of factors outside the university (with ̅= 3,11).
1.3. Based on theoretical studies and assessment of current situation of
internal inspection and the management of internal inspection in the universities
under the Ministry of Education and Training, we propose 6 measures for
management of internal inspection in the universities under the Ministry of
Education and Training as follows: 1) Organizing to raise awareness for cadres,
lecturers and staff of the university about the importance of internal inspection in
the universities under the Ministry of Education and Training; 2) Developing a plan
of internal inspection in the universities under the Ministry of Education and
Training; 3) Fostering the capacity to perform internal inspection for the
contingent in charge of internal inspection in the universities under the Ministry of

Education and Training; 4) Fostering internal control capacity under the COSO