Circular No. 23/2016/TT-BGDĐT on the organization and operation of inspection for examination periods

CIRCULAR

Regulations on the organization and operation of examination inspections

Pursuant to the Law on Higher Education dated June 18, 2012;

Based on the Inspection Law dated November 15, 2010;

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 Law on Education; Decree No. 31/2011/NĐ-CP dated May 11, 2011 of the Government amending and supplementing certain provisions of Decree No. 75/2006/NĐ-CP dated August 2, 2006 of the Government detailing and guiding the implementation of certain provisions of the Law on Education; Decree No. 07/2013/NĐ-CP dated January 9, 2013 of the Government amending point b Clause 1 Article 1 of Decree No. 31/2011/NĐ-CP dated May 11, 2011 of the Government amending and supplementing certain provisions of Decree No. 75/2006/NĐ-CP dated August 2, 2006 of the Government detailing and guiding the implementation of certain provisions of the Law on Education;

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;

Pursuant to Decree No. 07/2012/NĐ-CP dated February 9, 2012 of the Government on agencies assigned to perform specialized inspection functions and specialized inspection activities;

Pursuant to Decree No. 42/2013/NĐ-CP dated May 9, 2013 of the Government on the organization and operation of educational inspection;

Considering the proposal of the Inspector General of the Ministry;

The Minister of Education and Training issues this Circular regulating the organization and operation of examination inspections.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

1. This Circular regulates the organization and operation of examination inspections including:

a) Entrance examinations for secondary schools, high school graduation examinations; entrance examinations for undergraduate, master's degree programs; final exams, semester exams, annual exams; foreign language and computer certification exams; student excellence exams;

b) Admission to junior high schools, senior high schools; admissions for undergraduate, master's, doctoral programs; graduation examinations for junior high schools, senior high schools, undergraduate, master's, doctoral programs;

c) The implementation and evaluation of graduation projects, thesis papers (collectively referred to as thesis papers) in universities, academies, colleges, scientific research institutes (collectively referred to as higher education institutions).

2. This Circular applies to the Ministry of Education and Training's Inspectorate (MOET Inspectorate); Provincial Department of Education and Training Inspectorates; higher education institutions and other educational institutions implementing educational programs under the management of the MOET; organizations and individuals related to examinations as prescribed.

Educational administrative agencies, higher education institutions, inspection teams, independent inspectors shall apply this Circular and relevant regulations to conduct inspections of examinations not specifically mentioned in Clause 1 of Article 8.

Article 2Examination inspection principles examinations

1. Compliance with legal provisions; ensuring accuracy, objectivity, honesty, transparency, democracy, and timeliness.

2. No overlap in scope, subjects, content, or time between different agencies performing inspection functions; not hindering the normal operations of inspected agencies, organizations, or individuals.

3. Combining the detection, prevention, and timely handling of violations of examination regulations with guidance on their implementation.

4. Close coordination between inspection activities and supervision; coordination between state inspection and internal inspection of higher education institutions.

Article 3. Purpose of examination inspection activities

1. Evaluating the implementation of examination, admission, graduation recognition, and thesis implementation and evaluation regulations by participating units, organizations, and individuals.

2. Preventing, detecting, and recommending the handling of violations of examination regulations; assisting educational administrative agencies and educational institutions in conducting examinations, admissions, graduation recognitions, thesis implementations, and evaluations effectively.

3. Promptly recommending measures to ensure that examinations proceed safely, seriously, and in accordance with regulations at all levels of educational administration.

4. Resolving or recommending the resolution of complaints and reports regarding examinations, admissions, graduation recognitions, thesis implementations, and evaluations.

5. Identifying weaknesses in management mechanisms, policies, and laws concerning examinations, admissions, graduation recognitions, thesis implementations, and evaluations to recommend corrective measures to competent state authorities.

Article 4. Forms of inspecting examination periods

1. Inspections of examination periods are conducted according to plans or unexpectedly.

2. Planned inspections are carried out according to annual plans approved by the Minister of Education and Training, the Director of the Department of Education and Training, the directors of national universities, regional universities, rectors/deans/directors of higher education institutions (collectively referred to as rector).

3. Unexpected inspections are conducted when signs of violations of laws on examinations, admissions, graduation assessments, implementation and evaluation of dissertations and theses are discovered; at the request for handling complaints, accusations, anti-corruption measures, or assigned by the Minister of Education and Training, the Director of the Department of Education and Training, the Rector.

Article 5. Time limits for inspection

1. Inspection activities of examination periods are carried out before, during, or after the completion of the examination period.

2. The inspection decided to be conducted by the Inspectorate of the Ministry of Education and Training shall be implemented in accordance with Point a, Clause 1, Article 16 of Decree No. 07/2012/ND-CP dated February 9, 2012 of the Government on agencies entrusted to perform specialized inspection functions and specialized inspection activities. The inspection decided to be conducted by the Inspectorate of the Department of Education and Training shall be implemented in accordance with Point b, Clause 1, Article 16 of Decree No. 07/2012/ND-CP.

3. The inspection decided to be conducted by the Rector shall not exceed 30 days; in complex cases, it may be extended but not more than 45 days.

4. The time limit for the inspection is calculated from the date of announcing the decision to inspect until the end of the inspection at the inspected location.

Chapter II

CONTENT OF INSPECTING EXAMINATION PERIODS

Section I

CONTENT OF INSPECTING EXAMINATIONS

Article 6. Inspecting preparatory work for examinations

1. The dissemination and issuance of directive documents to implement tasks by the Director of the Department of Education and Training, the Director of universities and academies, heads of educational institutions, and the Chairman of the Examination Board within their respective authorities, specifically:

a) Authority to issue documents, types of issued documents;

b) Scope of regulation and content of the documents;

c) Propaganda and dissemination of the contents of regulations and examination rules.

2. The establishment of examination board committees and training for members of these committees; announcement of examination schedules, test dates, and timetables:

a) Authority to issue decisions on establishing committees, number of committees, and committee names as prescribed;

b) Composition, number, standards, and conditions for committee chairpersons and members of the examination board;

c) Mobilization and organization of training for participants in examination work;

d) Publicizing information at the examination board, examination points, and examination rooms.

3. Receiving applications and implementing regulations for candidates:

a) Time, location, and method of issuing and receiving applications;

b) Guidance for candidates to complete application forms, valid and legal documents confirming academic results, preferential categories, exemption categories, bonus points, retained points, independent candidates, work experience, and other candidate conditions.

4. Preparation of material resources and examination questions for the examination period:

a) Number of examination points, examination rooms, lighting conditions, distance between candidates;

b) Isolation of examination areas and examination rooms from other areas; sealing unused examination rooms, deactivating unused communication devices, and internet signals in the examination area;

c) Preparation of funds and office supplies for the examination period;

d) Coordination plans with related units to organize the examination period and contingency plans;

e) Implementation of regulations on question setting, printing, copying, confidentiality, delivery, receipt, transportation, and protection of examination questions.

Article 7. Inspection of examination supervision work

1. The performance of responsibilities by the Chairman of the Examination Board, the Head of the Examination Team, the Head of the Examination Venue, and the Head of the Secretariat Team, and coordination in directing examination supervision work among teams:

a) Directing, assigning tasks, coordinating among forces, inspection and supervision plans of the Head of the Examination Team, the Head of the Examination Venue, and related teams;

b) Implementation of regulations on the use of communication devices, and quick reporting from examination venues and the Examination Board;

c) Arrangement of invigilators, supervisors, and related staff for each examination session;

d) Implementation of regulations on collecting excess examination papers;

đ) Handling violations by invigilators, related staff, and examinees by the Chairman of the Examination Board, the Head of the Examination Venue, and the Head of the Examination Team;

e) Inspections conducted by the Chairman of the Examination Board, the Head of the Examination Venue, the Head of the Examination Team, and related teams and the Examination Board;

g) Implementation of inspection recommendations after each examination session; implementation of directives from superiors and handling of unusual situations by the Chairman of the Examination Board, the Head of the Examination Venue, and the Head of the Examination Team.

2. Performance of duties by invigilators, secretaries, related personnel, and examinees:

a) Procedures for invigilators to perform their duties: numbering registration cards, calling names and verifying examinees' identities upon entering the examination room, signing answer sheets, signing rough drafts, procedures for opening examination papers, checking and comparing examinees' paper codes, sealing and handing over excess examination papers, collecting answer sheets, and handling examinees who violate examination rules;

b) Execution of duties by venue secretaries, supervisors, and other related personnel: receiving and storing answer sheets and examination papers, storage areas for examination papers and answer sheets, implementation of examination venue time schedules and signals; ensuring discipline in the examination area;

c) Compliance with examinees' responsibilities within the examination area and examination room, carrying and using recording, photographing, and audio-recording devices into the examination room.

Article 8. Inspection of marking work

1. Inspection of preparation for marking:

a) Composition of the Marking Team, number of marking officers for each subject, secretaries, phasing, re-marking, and spot-checking;

b) Preparation of physical facilities and conditions serving marking work, marking areas, number of marking rooms for each subject, phasing areas, answer sheet storage areas; assignment plan for tasks among marking team members;

c) Organization of training sessions on marking regulations, guidance on marking, and related documents for members of the Marking Team, Secretariat, Phasing Team, and related departments;

d) Implementation of phasing procedures, head phasing security, management of answer sheets (assignment, receipt, retention of answer sheets between marking secretaries, subject chiefs, marking officer 1, marking officer 2);

2. Inspection during marking:

a) Execution of responsibilities and duties by the Head of the Marking Team, marking secretaries, subject chiefs, marking officers, spot-checking officers, and related staff: task assignment within the Marking Team and Secretariat, coordination in performing tasks between secretaries and marking officers with subject chiefs; coordination among service and security forces during the marking process; handling of unusual situations; discussion and agreement on marking guidelines, answers, scoring criteria; number of jointly marked papers for each subject;

b) Execution of procedures for transferring answer sheets; two independent rounds of marking; arrangement of staff in marking rooms; recording information on marking sheets, agreeing on scores, handling marking results, handling spot-checking results; execution of procedures for marking multiple-choice tests.

3. Implementation of score entry procedures.

4. Organization of re-marking:

a) Formation and confidentiality of the list of leaders and members of the Re-Marking Team according to regulations;

b) Retrieval of answer sheets, retrieval of phasing, re-phasing, organization of re-marking according to regulations.

5. Identification of answer sheets showing unusual signs for handling such as proxy testing, swapping of answer sheets, and other negative behaviors not detected during supervision.

6. Implementation of directives from board leadership and inspection recommendations.

Article 9. Inspection of the guidance, urging, and organization of implementation by the Examination Board

1. The inspection plan and results conducted by the Chairman of the Examination Board.

2. The system of forms and minutes used during the examination preparation, supervision, and marking process.

3. The handling results of inspection recommendations and superior directives.

4. The resolution of complaints and accusations by the Chairman of the Examination Board.

5. The storage, publication, and public disclosure of examination results.

PART II

CONTENT OF INSPECTION FOR ADMISSION AND GRADUATION ASSESSMENT
GRADUATION ASSESSMENT

Article 10. Inspection of preparatory work for admission

1. The establishment and announcement of the enrollment plan:

a) Admission criteria and conditions;

b) Enrollment methods;

c) Quality assurance conditions for incoming students;

d) Enrollment procedures, application fees, and facilities serving the enrollment process.

2. Conditions ensuring the admission process:

a) The formation of the Admissions Committee and related boards: composition, number, and standards for participating staff;

b) Official documents permitting the establishment of training programs from competent state authorities;

c) Issuance of guiding documents for admissions within the authority's jurisdiction;

d) Criteria for determining quotas: full-time faculty, student capacity, floor area directly serving education, and other relevant conditions;

e) Preparation of facilities and funding for the admissions process.

Article 11. Inspection of the admission process

1. Implementation of regulations on admissions:

a) Announcement of admissions: content, time, and method of announcement;

b) Receiving and reviewing applications, updating, and publishing admission information through mass media;

c) Distribution and receipt of admission applications: application distribution and receipt times, methods of collection, collection locations, valid and legal documents confirming academic performance, priority, encouragement, retention, and work experience;

d) Application fees.

2. Determination of admission scores:

a) Procedures for determining admission scores; implementation of coefficient regulations in admissions; priority and special recruitment objects;

b) Public disclosure of admission results and lists of successful candidates;

c) Printing and sending admission notification letters, summoning successful candidates.

Article 12. Inspection of enrollment and verification of successful candidate files

1. Required and priority documents for initial enrollment of candidates.

2. Handling of late enrolling candidates.

3. Verification of successful candidate files.

4. Supervision and implementation of superior directives, inspection recommendations in the admission process; resolution of complaints and accusations by the principal.

5. Storage of admission files.

Article 13. Inspection of graduation assessment and recognition

1. Formation of the Graduation Assessment Board:

a) Authority to form the Graduation Assessment Board;

b) Composition and standards of board members.

2. Candidates eligible for exemption from certain subjects and the exemption procedure.

3. Candidates and conditions for special graduation recognition.

4. Retention of examination scores, priority points, and encouraging points.

5. Procedures for graduation assessment, issuance of temporary graduation certificates, and graduation diplomas.

6. Resolution of complaints and accusations during the graduation assessment process.

7. Implementation of information reporting and record-keeping systems.

Section III

CONTENT OF INSPECTION FOR ORGANIZATION AND IMPLEMENTATION
AND EVALUATION OF DISSERTATIONS AND THESES

Article 14. Inspection of conditions for organizing and implementing graduation theses and dissertations

1. The issuance of regulations by units on the organization and implementation of graduation theses and dissertations.

2. Conditions for organizing and implementing graduation theses and dissertations:

a) Completion of the prescribed study program.

b) Implementation of regulations regarding qualifying points and attendance.

c) Conditions and standards for thesis and dissertation advisors; time for organizing and implementing graduation theses and dissertations.

3. Procedures for selecting topics and assigning advisors.

4. Review and comparison with regulations concerning the professional qualifications of thesis and dissertation advisors and the field of the thesis or dissertation being or expected to be supervised.

5. Construction of research plans and implementation of graduation theses and dissertations by students and advisors; responsibilities for directing, advising, and organizing implementation by departments and specialized units.

6. Changes during the process of organizing and implementing graduation theses and dissertations.

Article 15. Inspection of the organization and evaluation of graduation theses and dissertations

1. Conditions for establishing a thesis and dissertation examination board.

2. Authority of the person deciding to establish a thesis and dissertation examination board; composition, number, professional qualifications, and field of participants in the thesis and dissertation examination board.

3. Form, location of meetings of the thesis and dissertation examination board.

4. Procedure and time for organizing thesis and dissertation examinations.

5. Grading, reporting, archiving, and handling complaints and accusations during the process of organizing and evaluating graduation theses and dissertations.

Chapter III

ORGANIZATION, RESPONSIBILITIES AND FUNDS FOR INSPECTION ACTIVITIES

Article 16. Development and issuance of annual inspection plans

1. The Inspector General of the Ministry of Education and Training shall take the lead in proposing inspections within the annual inspection plan of the Ministry.

2. The Inspector General of the Department of Education and Training shall take the lead in proposing inspections within the annual inspection plan of the Department.

3. The Head of the inspection department or full-time inspector in higher education institutions shall take the lead in proposing inspections within the annual inspection plan of the unit.

4. The inspection plan must include: Content of inspection, inspected objects, inspection time, and other necessary information according to Model No. 01-TTr issued together with this Circular.

Article 17. Responsibilities of management levels, inspection organizations, and authority to organize inspections for examination periods

1. Responsibilities of management levels:

a) The Minister of Education and Training approves the annual inspection plan and directs inspection activities for examination periods in accordance with the law;

b) The Director of the Department of Education and Training approves the annual inspection plan and directs inspection activities for examination periods under their jurisdiction in accordance with the law;

c) The Rector is responsible for approving the annual inspection plan and directing and organizing inspection activities for examination periods of the unit in accordance with the law;

d) Heads of state management agencies at all levels and heads of educational institutions are responsible for post-inspection actions and implementing inspection conclusions in accordance with the law.

2. Inspection organizations for examination periods:

a) The Inspectorate of the Ministry of Education and Training, the Inspectorate of the Department of Education and Training organize inspections in inspection teams or appoint independent inspectors in accordance with the law;

b) National Universities, regional universities; higher education institutions organize internal inspections in inspection teams.

3. Authority to organize inspections for examination periods:

a) The Inspector General of the Ministry of Education and Training decides to inspect and establish inspection teams for examination periods in accordance with the regulations; in cases where necessary, the Minister of Education and Training issues decisions to inspect and establish inspection teams;

b) The Inspector General of the Department of Education and Training decides to inspect and establish inspection teams for examinations, admissions, graduation, and the implementation and evaluation of graduation theses and dissertations within the jurisdictional area in accordance with the regulations; in cases where necessary, the Director of the Department of Education and Training issues decisions to inspect and establish inspection teams;

c) The Rector decides to inspect and establish inspection teams for examination periods within their own management;

d) The person issuing the inspection decision selects the content of the inspection according to this Circular, practical situations, and related regulations to determine specific content for each inspection.

Article 18. Duties and powers of the decision-maker for inspection, head of the inspection team, members of the inspection team, and persons assigned to perform independent inspection tasks for examination periods

1. The duties and powers of the decision-maker for inspecting examination periods shall be implemented in accordance with the provisions of Article 55 of the Inspection Law No. 56/2010/QH12.

2. The duties and powers of the head of the inspection team, members of the inspection team, and persons assigned to perform independent inspection tasks for examination periods shall be carried out in accordance with the provisions of Articles 53 and 54 of the Inspection Law No. 56/2010/QH12.

Article 19. Responsibilities of members of the inspection team and persons assigned to perform inspection tasks for examination periods

1. Members of the inspection team for examination periods shall fulfill their responsibilities accurately according to the content, objects, and deadlines recorded in the inspection decision, carry out tasks as assigned by the head of the inspection team, and establish complete inspection files in accordance with regulations.

2. Inspectors and persons assigned to perform inspection tasks for examination periods shall fulfill their responsibilities accurately according to the content, objects, and deadlines recorded in the inspection decision, and establish complete inspection files in accordance with regulations.

Article 20. Forces participating in the inspection team for examination periods

1. The forces participating in the inspection team of the Ministry of Education and Training are inspectors and civil servants from the Ministry's Inspectorate; in necessary cases, the Minister or the Chief Inspector may summon cooperating inspectors from civil servants of units under the Ministry, education inspectors from provincial Departments of Education and Training, and civil servants, staff members, managers, and full-time lecturers from higher education institutions.

2. The forces participating in the inspection team of provincial Departments of Education and Training are inspectors and civil servants from the Department's Inspectorate; in necessary cases, the Director or the Chief Inspector may summon cooperating inspectors from civil servants of the Department of Education and Training and educational cooperating inspectors of the Department.

3. The forces participating in the inspection team of higher education institutions are officers from internal inspection departments/offices, dedicated inspection officers, or officers, civil servants, staff members, managers, and full-time lecturers of the institution.

Article 21. Rights and obligations of inspected entities; obligations of educational management agencies at all levels, educational institutions, and related organizations and individuals

1. Inspected entities have rights and obligations as stipulated in Articles 57 and 58 of the Inspection Law No. 56/2010/QH12.

2. Educational management agencies at all levels, educational institutions, and related organizations and individuals have the obligation to create conditions for the inspection team and inspectors to work, meeting the requirements of inspecting examination periods as prescribed.

Article 22. Inspection procedures

1. The inspection procedures for examination periods shall be carried out in accordance with the provisions of Chapter III of Circular No. 05/2014/TT-TTCP dated October 16, 2014, issued by the Government Inspectorate on the organization, operation, working relations of the inspection team, and the procedural steps and formalities for conducting an inspection.

2. The Memorandum and Recommendation Record Form during the inspection process shall be in Model No. 02-TTr; the Working Minutes Form shall be in Model No. 03-TTr; the Report Form shall be in Model No. 04-TTr; the Examination, Admission, Graduation Recognition, Implementation Organization, and Thesis/Dissertation Evaluation Conclusion Form shall be in Model No. 05-TTr, all attached to this Circular.

Article 23. Funding for inspection activities of examination periods

1. The Ministry of Education and Training shall ensure funding for inspection teams and independent inspectors established by the Minister of Education and Training and the Inspector General of the Ministry of Education and Training.

2. The Department of Education and Training shall ensure funding for inspection teams and independent inspectors established by the Director of the Department of Education and Training and the Inspector General of the Department of Education and Training.

3. The Principal shall ensure funding for inspection teams established by the Principal.

4. Funding for the recruitment of inspection collaborators shall be implemented according to regulations on education inspection collaborators issued by the Minister of Education and Training.

Chapter IV

IMPLEMENTATION

Article 24. Handling of violations

1. If an agency, organization, or individual subject to inspection, or an agency, organization, or individual related to the inspection commits any of the following acts, they will be disciplined, administratively sanctioned, or criminally prosecuted depending on the nature and severity of the violation, and if damage is caused, compensation must be provided in accordance with the law:

a) Failing to provide information or documents, providing inaccurate, untruthful information or documents, appropriating, destroying evidence related to the inspection content;

b) Resisting, obstructing, bribing, retaliating against, persecuting individuals performing inspection duties or those providing information and documents for inspection activities, causing difficulties for inspection activities;

c) Slandering, defaming individuals performing inspection duties;

d) Offering a bribe;

đ) Failing to fulfill, fulfilling incompletely, or failing to fulfill their obligations and responsibilities recorded in the inspection conclusion or decision on handling the inspection in a timely manner;

e) Other acts violating the law.

2. If the person issuing the inspection decision, the Head of the Inspection Team, Inspectors, specialized civil servants assigned to perform tasks, inspection collaborators, or other members of the Inspection Team commit any of the following acts, they will be disciplined or criminally prosecuted depending on the nature and severity of the violation, and if damage is caused, compensation must be provided in accordance with the law:

a) Misusing inspection authority to engage in illegal acts, harassment, causing difficulties, or inconvenience to the inspected entity;

b) Conducting inspections beyond the scope, content, or authority specified in the inspection decision;

c) Intentionally making false conclusions, deciding or handling cases illegally, shielding individuals who violate the law;

d) Disclosing information or documents about the inspection content during the inspection process;

đ) Intentionally failing to detect or detecting illegal acts that require administrative sanctions, disciplinary actions, or criminal prosecution but not handling them adequately or failing to recommend such actions;

e) Altering, forging, modifying, destroying, or appropriating inspection files;

g) Accepting bribes or brokering bribes;

h) Other acts violating the law.

Article 25. Effectiveness

1. This Circular takes effect from November 28, 2016.

2. This Circular replaces Decision No. 41/2006/QD-BGDĐT dated October 16, 2006 of the Minister of Education and Training regarding the organization and operation of examination inspections.

Article 26. Responsibility for Implementation

The Chief of the Office, the Chief Inspector, Heads of units under the Ministry of Education and Training; Ministers, Heads of agencies at the ministerial level; Chairmen of Provincial People's Committees, Directors of Departments of Education and Training; Directors of universities and research institutes authorized to train doctoral candidates; Principals of universities and Heads of agencies and units related to this Circular are responsible for its implementation.