Circular No. 05/2012/TT-BGDĐT Amending and Supplementing Certain Provisions of the Doctoral Training Regulation issued together with Circular No. 10/2009/TT-BGDĐT dated May 7, 2009, of the Minister of Education and Training.

CIRCULAR

Regarding the amendment and supplementation of certain Articles of the Doctorate Training Regulation

issued together with Circular No. 10/2009/TT-BGDĐT dated May 7, 2009

of the Minister of Education and Training

_________________________

Pursuant to the Education Law on June 14, 2005; the Law Amending and Supplementing Certain Articles of the Education Law on November 25, 2009;

Pursuant to Decree No. 75/2006/NĐ-CP dated August 2, 2006 of the Government detailing and guiding the implementation of certain provisions of the Education Law;

Pursuant to Decree No. 31/2011/NĐ-CP dated May 11, 2011 of the Government amending and supplementing certain Articles of Decree No. 75/2006/NĐ-CP dated August 2, 2006 of the Government detailing and guiding the implementation of certain provisions of the Education Law;

Pursuant to Decree No. 178/2007/NĐ-CP dated December 3, 2007 of the Government stipulating the functions, tasks, powers, and organizational structure of ministries and ministerial-level agencies;

Pursuant to Decree No. 32/2008/NĐ-CP dated March 19, 2008 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Education and Training;

At the proposal of the Director of the Department of Higher Education,

The Minister of Education and Training decides:

Article 1. Amending and supplementing certain Articles of the Doctorate Training Regulation issued together with Circular No. 10/2009/TT-BGDĐT dated May 7, 2009 of the Minister of Education and Training as follows:

1. Clause 1 of Article 7 shall be amended and supplemented as follows:

"1. Doctorate training admission shall be organized once or twice a year. The head of the training institution decides the number of admissions and the admission time for the following year, registering with the Ministry of Education and Training in August each year."

2. Replacing Appendix III in Circular No. 10/2009/TT-BGDĐT dated May 7, 2009 of the Ministry of Education and Training with Appendix III, IIIa, and IIIb attached hereto.

4. Meeting one of the following criteria:

“Article 9. Foreign language requirements for applicants

1. Applicants must have one of the following foreign language certificates or diplomas:

a) A foreign language certificate equivalent to level B1 or grade 3/6 and above according to the Common European Framework of Reference for Languages (Appendix III), within two years from the date of applying for doctoral candidate status, issued by an international testing center with authority or a domestic university training a corresponding foreign language major at the bachelor's level according to the equivalent B1 proficiency level specified in Appendix IIIa, with the format and requirements of the foreign language test as specified in Appendix IIIb;

b) A bachelor's degree diploma or a master's degree diploma obtained abroad;

c) A bachelor's degree diploma in a foreign language major.”

2. Based on the requirements of the doctorate training program, the head of the training institution shall specify the foreign language requirements for each specialty, including a second foreign language for applicants in the foreign language specialty.”

5. Clause 1 and Clause 3 of Article 11 are amended and supplemented as follows:

“1. At least three months before each admission period, the training institution must issue an admission announcement.”

5. Clause 2 of Article 19 shall be amended and supplemented as follows:

“2. Scientific research activities must align with the thesis objectives. The specialized unit and the scientific advisor are responsible for organizing and arranging material resources, experimental equipment, and a research staff to support the doctoral candidate in conducting research activities. The specialized unit, the scientific advisor, and the doctoral candidate are responsible for the honesty, accuracy, novelty of the research results of the thesis, and compliance with intellectual property regulations in Vietnam and internationally.”

6. Article 20 shall be amended and supplemented as follows:

“Article 20. Doctoral Thesis

The doctoral thesis must be an original scientific research work of the doctoral candidate, contributing to theoretical and practical aspects in the field of study or providing new solutions with value in developing and increasing scientific knowledge in the field of study, creatively solving issues in the field of science or economic and social practice.”

7. Clause 5 and Clause 7 of Article 21 shall be amended and supplemented as follows:

“5. Doctoral candidates who fail to meet the requirements of the courses, doctoral seminars, or comprehensive review papers set by the training institution will not continue as doctoral candidates. Those without a master's degree may transfer to complete a master's program and obtain a degree if accepted by a master's training institution.”

“7. The head of the training institution shall specify the organization of teaching, evaluation of course performance, doctoral seminars, and comprehensive review papers for doctoral candidates; conditions for doctoral candidates to continue their training upon completion of courses and comprehensive review papers.”

8. Article 22 shall be amended and supplemented as follows:

“Article 22. Foreign Language Proficiency of Doctoral Candidates Before Defending Their Thesis 

Prior to defending their thesis, doctoral candidates must possess one of the following certificates or diplomas:

1. Possess a foreign language proficiency certificate equivalent to level B2 or level 4/6 and above according to the Common European Framework of Reference for Languages (Annex III), within one year from the date of submitting the thesis defense application to the training institution, issued by an authorized international testing center or a domestic university that trains the corresponding foreign language major at the bachelor's degree level according to the equivalent proficiency level B2 framework specified in Annex IIIa, with the format and requirements for the foreign language test as stipulated in Annex IIIb.

2. Possess one of the diplomas prescribed in point b, c, clause 2, Article 9 of this Regulation.”

9. Clause 5, Article 23 shall be amended and supplemented as follows:

“5. The head of the training institution shall consider and decide to allow the defense of the thesis before the deadline when the doctoral candidate completes the training program and meets the conditions for thesis defense as prescribed in clause 2, Article 31 of this Regulation.”

10. Point d, clause 1, Article 25 shall be amended and supplemented as follows:

“d) Possess foreign language proficiency to serve specialized research and international scientific exchange;”

11. Clause 4 and clause 5, Article 25 shall be amended and supplemented as follows:

“4. Each scientific advisor may not accept more than two doctoral candidates enrolled in the same year across all training institutions. Full professors may simultaneously advise up to five doctoral candidates; associate professors or doctoral scientists may simultaneously advise up to four doctoral candidates; doctoral holders may simultaneously advise up to three doctoral candidates across all training institutions, including co-advised doctoral candidates and those who have exceeded their training period but are still within the permitted time to return to the training institution to request thesis defense as stipulated in clause 7, Article 23 of this Regulation.

5. Within five years from the date of assigning the task of advising doctoral candidates, if a scientific advisor has two doctoral candidates who fail to complete their thesis due to professional reasons, they will not be assigned to advise new doctoral candidates.”

12. Point d, clause 12, Article 29 shall be amended and supplemented as follows:

“d) The decision on admission, original grade sheet, thesis defense application files at various levels, file for awarding the doctoral degree, decision on awarding the doctoral degree, and the original record of graduation certificates are documents to be permanently stored and preserved at the training institution. Admissions, training, and other documents are to be stored and preserved for five years after the student graduates. Research papers, special topic reports, and comprehensive reviews of doctoral candidates are to be preserved and stored until the doctoral candidate graduates. The destruction of expired documents shall be carried out in accordance with current regulations.”

13. Clause 2, Article 30 shall be amended and supplemented as follows:

“2. The doctoral dissertation shall not exceed 150 pages of A4 paper, excluding appendices, of which at least 50% of the pages should present the research results and arguments of the doctoral candidate. The structure of the doctoral dissertation includes the following parts and chapters:

a) Introduction: briefly introduce the research work, the reason for choosing the topic, purpose, object, scope of research, scientific and practical significance of the topic;

b) Overview of the research issue: analyze and evaluate related research works closely related to the thesis topic that have been published domestically and internationally, identify remaining issues that the thesis will focus on solving, determine the objectives, content, and research methods of the topic;

c) Content and research results (one or more chapters): present theoretical foundations, theories, and scientific hypotheses; research methods; research results and discussion;

d) Conclusions and recommendations: present new findings, conclusions drawn from the research results; recommendations for further research;

đ) List of publications resulting from the research topic;

e) List of references cited and used in the dissertation;

g) Appendices (if any).”

14. Clause 7, Article 30 shall be amended and supplemented as follows:

“7. The main content and research results of the dissertation must be reported at specialized scientific conferences; published in at least two articles in peer-reviewed specialized scientific journals recognized by the State Council of Professor Titles and included in the list of scientific journals designated by each training institution for each field of study. It is encouraged for doctoral candidates to publish articles in reputable international scientific journals listed at the address http://science.thomsonreuters.com/mjl/ or proceedings of international scientific conferences published by reputable international publishers.”

15. Point a, b, clause 2, Article 31 shall be amended and supplemented as follows:

“a) Having completed the thesis, the training program, and the requirements prescribed in Articles 17, 18, 19, 20, and 22 of this Regulation within the prescribed timeframe;

b) The thesis meets the requirements prescribed in Article 20 and Article 30 of this Regulation and the regulations of the training institution. The thesis can be written and defended in a foreign language when the training institution has the capacity to establish a thesis evaluation board in that foreign language.”

16. Clause 2, Article 32 shall be amended and supplemented as follows:

“2. The thesis evaluation board at the training institution consists of seven members with academic titles, holding a doctoral science degree or doctoral degree, knowledgeable in the field of the research topic, including at least two scientists from outside the training institution. The board includes a Chairperson, Secretary, two reviewers, and board members. Each member of the board shall only undertake one responsibility within the board. It is encouraged to invite outstanding foreign scientists or Vietnamese scientists abroad to serve as reviewers in the board.”

17. Clause 1, Article 35 shall be amended and supplemented as follows:

"1. The thesis evaluation board at the school or institute consists of seven members, of which no more than three members belong to the training institution. Members of the board are scientists holding the title of professor or associate professor, having a doctoral degree in science or a doctoral degree, possessing good moral qualities; having professional reputation; understanding the research issues of the thesis; having works related to the field of study of the graduate student published within three years from the date of being invited to join the board. The number of members holding the title of professor or associate professor must be at least two; doctoral degree holders must have received their degrees for at least thirty-six months as of the date of establishment of the board."

18. Supplement point d to Clause 2 of Article 36 as follows:

“d) The thesis evaluation board at the school or institute shall convene only after receiving at least fifteen reviews from scientists in the relevant field of study listed in the summary of the thesis and the comments of all members of the thesis evaluation board.”

19. Supplement point g to Clause 3 of Article 36 as follows:

“g) There are two dissenting opinions from board members regarding the thesis. In this case, the thesis is considered not to meet the requirements and does not need to be organized for defense.”

20. Add the following sentence to the end of Clause 5 of Article 36:

"The thesis evaluation board shall dissolve itself after completing the evaluation of the doctoral thesis of the graduate student."

21. Article 40 is amended and supplemented as follows:

“Article 40. Review of Training Process Records and Thesis Quality

1. At the end of each even month of the year, the training institution sends the Ministry of Education and Training a list of graduate students defending their theses in the previous two months (model attached in Appendix VI), along with the file of each graduate student including:

a) A copy of the decision establishing the thesis evaluation board at the institution and the thesis evaluation board at the school or institute;

b) A copy of the minutes and resolutions of all sessions of the thesis evaluation boards;

c) A copy of the independent reviewers' comments;

d) A page of information on new academic and theoretical contributions of the thesis in both Vietnamese and English;

đ) Summary of the thesis.

2. The review of training process records, thesis content, and quality shall be conducted in the following cases:

a) Random review: drawing samples from the files of defended theses reported by the training institution for review;

b) When there are complaints or reports about the training process records, thesis content, and quality.

3. The number of reviewed files and theses shall not be less than 30% of the total number of defended theses in the year of the training institution. Within ten working days from the date of receipt of the report from the training institution, the Ministry of Education and Training will review the report and issue a notification to the training institution regarding the cases that require review and the contents to be reviewed in each case.

4. Training process review files:

a) Graduate student application files as stipulated in point c of Clause 2 of Article 10 of this Regulation;

b) Evaluation and classification comments on graduate students when applying for admission by the Specialized Sub-committee, a summary of the evaluation results by the committee members, and the admission ranking results by the Admissions Board Secretariat as stipulated in Clauses 2, 3, and 4 of Article 14 of this Regulation;

c) Files requesting thesis defense at the school or institute of the graduate student as stipulated in Clause 2 of Article 33 of this Regulation;

d) Files implementing the procedure for selecting, soliciting, and processing independent reviewer comments on the thesis of the graduate student as stipulated in Clause 5 of Article 34 of this Regulation and the comments of independent reviewers;

đ) Files for awarding the doctoral degree to the graduate student as stipulated in Clause 3 of Article 43 of this Regulation;

e) Number of documents: 01 set.

5. Thesis content and quality review files:

a) Doctoral thesis with information about the graduate student, scientific advisor, and training institution removed;

b) Thesis summary with information about the graduate student, scientific advisor, and training institution removed;

c) Copies of articles publishing the research results of the thesis topic in specialized scientific journals;

d) Number of dossiers: three sets.

6. Review files shall be sent directly or through postal service to the Ministry of Education and Training. Within sixty working days from the date of receipt of complete review files, the Ministry of Education and Training will conduct the review of training process records, thesis content, and quality and issue a notification of the review results.

7. Training process records meet the review requirements if they comply with regulations on admissions, organization, and management of training, and the procedures for organizing thesis evaluations at various levels as stipulated in this Regulation.

8. Thesis content and quality are reviewed through independent assessments by three scientists, either domestic or international, holding the title of professor or associate professor, having a doctoral degree in science or a doctoral degree, understanding the thesis topic and research field of the graduate student, having published works in the field of the thesis topic within three years from the date of establishment of the board, having scientific integrity and objectivity. Thesis quality meets the review requirements if at least two opinions are in agreement.

9. In cases where there are complaints or reports about thesis content and quality, or if the thesis has at least two dissenting opinions from the independent assessors, the Ministry of Education and Training shall issue a decision to establish a thesis review board, entrusting the head of the training institution with the graduate student to organize a thesis review board meeting under the supervision of a representative of the Ministry of Education and Training.”

22. Article 41 is amended and supplemented as follows:

"Article 41. Thesis Review Board

1. The thesis review board consists of seven members, of which at least four members have not participated in the thesis evaluation board at the institution or the thesis evaluation board at the school or institute of the thesis under review. Members of the review board are scientists, either domestic or international, holding the title of professor or associate professor; having a doctoral degree in science or a doctoral degree; understanding the thesis topic and research field of the graduate student; having published works in the field of the thesis topic within three years from the date of establishment of the board; having scientific integrity and objectivity. The board includes a Chairperson, a Secretary, and members. The scientific advisor may not participate in the thesis review board."

2. Prior to convening the Evaluation Board meeting, each member of the Board shall provide comments on the urgency of the thesis topic, its alignment with the specialty; non-repetition of the topic, content, and research results with previously published works; honesty and transparency in citation; structure and presentation format; content, methodology, results, significance, reliability of the achieved results; new findings and arguments of the thesis; assessment of the thesis's successes and limitations, affirming the level of compliance with doctoral thesis requirements.

3. The Board shall convene only when at least six members are present, including the Chairman, Secretary, and members who have not agreed with the thesis (if any). The Evaluation Board is responsible for reviewing and assessing the content and quality of the thesis; clarifying the contents of complaints and accusations; the comments and conclusions of independent evaluators. The Board must record detailed minutes of discussions, exchanges, conclusions, and resolutions regarding the content and quality of the thesis. The thesis meets the evaluation requirements if at least five Board members present agree with it.

4. In cases where the thesis does not meet the evaluation requirements, the head of the training institution shall organize a dialogue meeting between the Evaluation Board and the thesis grading board at the university or institute under the supervision of a representative from the Ministry of Education and Training. The number of participants in both Boards must be at least twelve people, including the Chairmen, opponents, secretaries, and members who have not agreed with the thesis from both Boards.

5. The head of the training institution directly oversees the meeting, elects a secretary. Members of both Boards debate the content and quality of the thesis and vote to reassess it. The thesis meets the requirements if at least three-quarters of the present members agree. The outcome of the dialogue meeting is the final determination of the content and quality of the thesis.

23. Clause 1, 2, 3, and 4 of Article 42 shall be amended and supplemented as follows:

“1. For theses that meet the evaluation requirements but require amendments based on the recommendations of independent evaluators or the Evaluation Board, the thesis evaluation board at the university or institute, together with the supervisor and the graduate student, shall consider and decide on the points that need to be supplemented and corrected. After the graduate student completes the corrections, the Chairman of the thesis evaluation board at the university or institute shall check and confirm the details of the supplemented and corrected content, report to the head of the training institution to issue a doctoral degree certificate according to the requirements stipulated in Articles 43 and 44 of this Regulation.

2. For theses that do not meet the evaluation requirements:

a) If the doctoral degree has not been awarded, the graduate student may revise, supplement, and re-defend the thesis in accordance with Article 38 of this Regulation.

b) If the doctoral degree has already been awarded, the case will be handled according to current laws governing the issued degree.

3. For training process files that do not meet the evaluation requirements, based on the notification of the Ministry of Education and Training, the head of the training institution shall complete and perfect the file. If administrative violations are discovered, they shall be referred for handling according to current regulations on administrative penalties in the field of education.

4. Within two months from the date of receiving the notification from the Ministry of Education and Training about the evaluation results, the head of the training institution shall submit a report to the Ministry of Education and Training on the handling of the evaluation results as specified in Clauses 1, 2, and 3 of this Article, along with the defense report of the next period's graduate student (if applicable) according to Clause 1 of Article 40 of this Regulation.”

24. Clause 1 of Article 43 shall be amended and supplemented as follows:

“1. The training institution shall establish a file to apply for the issuance of a doctoral degree certificate for the graduate student when all of the following conditions are met:

a) At least three months have passed since the successful defense of the thesis before the thesis evaluation board at the university or institute;

b) The thesis has been revised and supplemented according to the resolution of the thesis evaluation board at the university or institute, which has been checked and confirmed by the Chairman of the Board, including cases stipulated in Clause 1 of Article 42 of this Regulation (if applicable);

c) The graduate student is not listed in the evaluation list announced by the Ministry of Education and Training as specified in Clause 3 of Article 40 of this Regulation. If an evaluation is required, the thesis must meet the requirements stipulated in Clauses 7 and 8 of Article 40 and Clause 3 of Article 41 of this Regulation;

d) The graduate student has submitted to the National Library of Vietnam one copy of the thesis, one summary of the thesis, and one CD containing the full text of the thesis and its summary (including the cover page), including theses defended under confidentiality and those in the fields of national defense and security.”

25. Add the following sentence at the end of Article 45:

“In cases requiring the evaluation of files and theses during the handling of complaints and accusations, the evaluation procedures shall be carried out according to the provisions of Clauses 4, 5, 6, and 9 of Article 40 and Article 41 of this Regulation.”

26. Supplement Clause 4 of Article 47 as follows:

“4. A supervisor who violates the provisions of Articles 25 and 26 of this Regulation shall be subject to the following measures depending on the severity of the violation: not being allowed to accept new graduate students, not being allowed to continue supervising current graduate students, or not being allowed to accept new graduate students for the next three years.”

Article 2. This Circular takes effect from April 2, 2012. All previous regulations contrary to this Circular are hereby abolished.

Article 3. The Director of the Office, the Head of the Higher Education Department, the Heads of relevant units under the Ministry of Education and Training, the Presidents of universities and academies, and the Deans of universities and Directors of scientific research institutes tasked with doctoral training are responsible for implementing this Circular./.