Circular No. 51/2012/TT-BGDĐT on the organization and operation of internal inspection at higher education institutions and vocational colleges.

CIRCULAR

Provisions on the organization and operation of internal inspection

 of higher education institutions and vocational college

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Pursuant to the Education Law dated June 14, 2005 and the Law amending and supplementing certain articles of the Education Law dated November 25, 2009;

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

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. 86/2011/NĐ-CP dated September 22, 2011 of the Government detailing and guiding the implementation of certain provisions of the Inspection Law;

The Minister of Public Security issues this Circular to provide for the handling, resolution of complaints and management of complaint resolution work in the People's Public Security.

The Minister of Education and Training issues the Circular stipulating the organization and operation of internal inspection of higher education institutions and vocational colleges.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

1. This Circular stipulates the organization and operation of internal inspection of higher education institutions and vocational colleges, including: Position, functions; principles, contents, forms of activities; organizational structure, tasks, authorities; standards, regimes for inspection officers; conditions ensuring inspection activities; responsibilities of heads of agencies, organizations, units and individuals related to the internal inspection activities of higher education institutions and vocational colleges.

2. This Circular applies to universities, academies, research institutes authorized to train at the doctoral level, university, college, vocational college (hereinafter referred to as school); units, organizations and individuals related thereto.

Article 2. Position, functions of internal inspection activities of schools

Internal inspection activities of schools are internal inspection activities that assist the Rector, President, Director (hereinafter collectively referred to as President) in identifying loopholes in the management mechanism of the school to propose measures to address them; preventing and detecting violations of laws, internal regulations, and rules of the school; assisting units, organizations, and individuals within the school in implementing educational policies and related laws; resolving complaints and grievances and preventing corruption within the scope of the school's functions and tasks as prescribed by law.

Article 3. Principles of internal inspection activities

1. Internal inspection activities are conducted by the Inspection Team or internal inspection officers according to the Inspection Team's operational regulations and under the direction of the President.

2. Inspection activities must comply with the law; ensuring accuracy, objectivity, honesty, transparency, democracy, and timeliness; not hindering the normal operations of units, organizations, and individuals being inspected.

3. When conducting inspections, the person issuing the inspection decision, the Head of the Inspection Team, and members of the Inspection Team must comply with the legal provisions on inspection and bear responsibility before the President and the law for their actions and decisions.

Article 4. Contents of internal inspection activities

1. Inspect the implementation of policies and laws on higher education and vocational college education.

2. Inspect the implementation of goals, plans, programs, contents, methods of education; professional regulations, examination regulations, issuance of diplomas and certificates; the implementation of regulations on textbooks and lectures; financial and asset management; scientific and technological activities and international cooperation; personnel work; the implementation of regulations on quality assurance conditions of the school.

3. Inspect the implementation of laws related to the organization and activities of units, organizations, and individuals affiliated with the school.

4. Carry out the task of receiving citizens, handling complaints and grievances in the school in accordance with the law on complaints and grievances.

5. Carry out the task of preventing and combating corruption in the field of education in accordance with the law on prevention and combating corruption.

Article 5. Forms of Internal Audit Activities

Internal audit activities are conducted in two forms:

1. Annual planned audits that have been approved by the Rector and notified in advance to the auditees and related units, organizations, and individuals;

2. Unscheduled audits conducted when signs of violations of laws are detected, at the request for handling complaints and reports, to prevent corruption, or as assigned by the Rector.

Chapter II

ORGANIZATIONAL STRUCTURE, DUTIES, AND POWERS OF INTERNAL AUDIT

 ORGANIZATIONAL STRUCTURE, DUTIES, AND POWERS OF INTERNAL AUDIT

Article 6. Organizational structure, duties, and powers of internal audit in universities, academies, research institutes authorized to confer doctoral degrees, colleges, and specialized secondary schools

1. Universities, academies, colleges, and specialized secondary schools with a scale of 10,000 students or more shall establish an Internal Audit Office.

The Internal Audit Office shall have a Director, Deputy Directors, and dedicated staff for auditing work. The appointment and removal of the Director of the Internal Audit Office shall be decided by the Rector. The appointment and removal of Deputy Directors of the Internal Audit Office shall be decided by the Rector upon the recommendation of the Director of the Internal Audit Office.

2. Universities, academies, colleges, and specialized secondary schools with a scale below 10,000 students; research institutes authorized to confer doctoral degrees shall establish an Internal Audit Office or assign dedicated staff for auditing work.

3. The Internal Audit Office (or dedicated staff for auditing work in schools without an Internal Audit Office) shall have the following duties and powers:

a) To develop an audit plan to be submitted to the Rector for approval and to implement the plan according to the provisions of the law;

b) To audit the implementation of laws and assigned tasks for organizations, units, and individuals under the management of the Rector;

c) To assist the Rector in performing the duty of receiving citizens, handling complaints and reports according to the law on complaints and reports;

d) To assist the Rector in performing the duty of preventing and combating corruption according to the law on prevention and combating corruption;

đ) To serve as the focal point to assist the Rector in coordinating with relevant agencies, organizations, and units regarding auditing work;

e) To report and summarize experiences in auditing work; citizen reception work; complaint and report resolution work; and anti-corruption work of the school as required by the Rector and higher-level auditors; to propose amendments and supplements to national policies and regulations on education;

g) To perform other tasks assigned by the Rector.

Article 7. Organizational structure, duties, and powers of internal audit in national universities and regional universities

1. Internal audit in national universities and regional universities (hereinafter referred to collectively as universities) shall be organized in a two-tier model:

a) Universities shall establish an Audit Board;

b) Member institutions shall establish an Internal Audit Office or assign dedicated staff for auditing work according to Articles 1 and 2 of Clause 6 of this Circular;

c) The Audit Board (Internal Audit Office) shall have a Chairman (Director), Deputy Chairmen (Deputy Directors), and dedicated staff for auditing work. The term of office, appointment, and removal of the Chairman (Director) and Deputy Chairmen (Deputy Directors) of the Audit Board (Internal Audit Office) shall be carried out according to the provisions of the law as with other boards (offices) of the unit.

2. The Internal Audit Office (or dedicated staff for auditing work in schools without an Internal Audit Office) shall have duties and powers as stipulated in Clause 3, Article 6 of this Circular.

3. The duties and powers of the Audit Board, the Chairman of the Audit Board, and the relationship between the Audit Board of the university and the Internal Audit Offices of member institutions shall be defined by the University President.

Article 8. Standards, duties, and authorities of internal audit staff

1. Standards:

a) Shall be civil servants, public officials, or employees who have signed indefinite-term labor contracts with the institution;

b) Possess good moral character, set a good example in complying with laws; have a sense of responsibility, integrity, honesty, fairness, and objectivity; lead a healthy lifestyle, respect public conduct rules;

c) Meet the standard training level as prescribed by the Education Law for each level of training;

d) Have knowledge of policies and laws; understand the auditing process, possess the ability to analyze, synthesize, and evaluate management activities at the facility; have the capacity to examine, conclude, and recommend measures for handling after audits.

2. Duties and authorities:

a) Carry out tasks assigned by the Head of the Audit Department (Office);

b) Recommend to the Head of the Audit Department (Office) matters within their duties, powers, and responsibilities to ensure the completion of assigned tasks, and propose issues arising during the audit process;

c) Report on the results of assigned tasks to the Head of the Audit Department (Office), and bear responsibility before the Head of the Audit Department (Office) and the law for the assigned tasks;

d) Participate in internal audit teams or independent audits upon request of the Rector. When participating in audit teams, dedicated audit staff shall have rights and responsibilities as stipulated in Clause 3, Article 10 of this Circular.

Article 9. Duties and Authorities of the Head of the Audit Office

In addition to performing the duties and authorities of internal audit staff, the Head of the Audit Office also has the following duties and authorities:

1. Lead the development of annual audit plans to be submitted to the Rector for approval and organize their implementation;

2. Assign tasks to Deputy Heads of the Office and audit staff under the Office;

3. Submit to the Rector for issuance of audit decisions;

4. Temporarily suspend or recommend the Rector to suspend illegal operations of organizations, units, or individuals under the Rector's management;

5. Recommend measures to address violations after audits;

6. Lead the preparation of regular and ad hoc reports as required by the Rector or higher-level audit agencies;

7. Perform other duties assigned by the Rector.

Article 10. Internal Audit Teams

1. Internal audit teams are established by the decision of the Rector. An internal audit team consists of an Audit Team Leader, Deputy Leaders (if necessary), and other members of the audit team.

2. Duties, authorities, and responsibilities of the Audit Team Leader:

a) Develop audit plans to be submitted for approval by the person issuing the audit decision;

b) Assign tasks to audit team members;

c) Organize and direct audit team members to implement the contents, scope, and deadlines specified in the audit decision;

d) Recommend to the person issuing the audit decision to apply measures within their authority to ensure the fulfillment of the audit team's tasks;

đ) Require audited entities to provide information, documents, and written explanations regarding issues related to the audit content;

e) Require institutions, organizations, or individuals within the school to provide information and documents related to the audit content;

g) Decide to seal the documents of audited entities if there is evidence of law violations and report to the person issuing the audit decision within 24 hours;

h) Temporarily suspend or recommend authorized persons to suspend the activities of entities within the school that cause serious damage to state interests, legitimate rights and interests of organizations, institutions, or individuals, and report to the person issuing the audit decision within 24 hours;

i) Recommend authorized persons to temporarily suspend the execution of disciplinary decisions, job transfers, or retirement for those collaborating with the audit team or being audited, if such actions hinder the audit process;

k) Supervise, urge, and manage audit team members during the audit process; apply measures within their authority to resolve recommendations from audit team members;

l) Lead the preparation of audit result reports and draft audit conclusions; report to the person issuing the audit decision on the audit results and bear responsibility for the accuracy, honesty, and objectivity of the report;

3. Duties, authorities, and responsibilities of audit team members:

a) Perform tasks as assigned by the Audit Team Leader, report to the Audit Team Leader on the plan for executing assigned tasks;

b) Require audited entities to provide information, documents, and written explanations regarding issues related to the audit content; require institutions, organizations, or individuals within the school to provide information and documents related to the audit content;

c) Recommend the Audit Team Leader to apply measures within their duties and authorities to ensure the completion of assigned tasks; recommend measures for handling other issues related to the audit content;

d) Report on the results of assigned tasks to the Audit Team Leader, and bear responsibility before the law and the Audit Team Leader for the accuracy, honesty, and objectivity of the reported content;

đ) Participate in preparing audit result reports;

e) Perform other tasks related to the audit when assigned by the Audit Team Leader.

4. Dedicated audit staff conducting independent audits shall fulfill the provisions stipulated in Clause 2 of this Article.

Chapter III

IMPLEMENTATION

Article 11. Treatment for internal inspection officers

1. The Head and Deputy Head of the Inspection Department (Office) shall enjoy position allowances equivalent to those of other Heads and Deputy Heads of Departments (Offices).

2. Full-time internal inspection officers at schools shall be entitled to salary, allowances, and benefits accorded to civil servants and employees of the school; they shall also receive additional allowances according to the internal expenditure regulations of the school; they shall be provided with opportunities for training and upgrading their professional knowledge and inspection skills; they shall be equipped with working tools; they shall be given time, material resources, and funding to complete their inspection tasks.

3. Civil servants, employees, and workers participating in internal inspection teams shall be entitled to treatment as stipulated by laws on education inspection volunteers.

Article 12. Work Relationships

1. Internal inspection organizations shall be directly under the direction of the School Principal, higher-level Inspectors, and specialized inspection guidance from the Inspectorate of the Ministry of Education and Training.

2. The Inspectorate of the Ministry of Education and Training shall provide guidance, training, and inspection supervision; it shall check and inspect the implementation of internal inspection regulations by universities and vocational colleges.

3. The University Inspectorate shall guide and direct the execution of annual inspection tasks, provide training; it shall inspect and check the implementation of plans and internal inspection activities of universities, colleges, and affiliated organizations and units.

4. The Inspectorate of the Department of Education and Training shall provide training; it shall inspect and check the implementation of plans and internal inspection activities of colleges and vocational colleges under the provincial People's Committee's management authority.

5. The internal inspection organization of the school shall cooperate with the same-level Trade Union Executive Committee to guide inspection work procedures for the school's people's inspection board as prescribed by law.

Article 13. Conditions Ensuring Internal Inspection Activities

1. Operating funds for internal inspections shall be allocated from the school's operating budget and other sources, and shall be designated as a separate expense item according to legal provisions.

2. Inspection Departments (Offices) shall be provided with office space, computer equipment, communication devices, and other necessary equipment for inspection work.

Article 14. Responsibilities of the Principal

1. Establishing an internal inspection organization or assigning full-time staff to ensure completion of internal inspection tasks; issuing specific regulations on internal inspection activities suitable to the school's conditions.

2. Based on the school's management requirements and the inspection agency's work program, the Principal shall direct the development and approval of internal inspection plans within direct management; supervise and urge the implementation of approved plans; decide on inspections, handle recommendations, and conclude post-inspection findings.

3. Ensuring personnel, policies, material resources, equipment, funding, and other necessary conditions for internal inspection activities; directing the resolution of complaints, accusations, and anti-corruption efforts.

4. Assigning civil servants, employees, and workers from subordinate agencies and units to participate in internal inspection activities.

5. Regularly meeting with managed inspection organizations regarding inspection work; promptly addressing difficulties and issues related to inspection work; handling overlapping activities in inspection and verification within their management scope.

6. Reporting regularly or urgently on inspection work to the Inspectorate of the Ministry of Education and Training and the direct supervisory agency as prescribed.

Article 15. Responsibilities of units, organizations, and individuals related to the inspection

1. Units, organizations, and individuals subject to inspection shall be responsible for implementing requests, recommendations, and decisions regarding the inspection, have the right to explain the content of the inspection, and have other rights and responsibilities as prescribed by relevant laws.

2. Units, organizations, and individuals possessing information and documents related to the content of the inspection must provide them fully and promptly according to the requirements of the decision maker of the inspection, the Head of the Inspection Team, the person assigned to perform the inspection tasks, the inspection collaborator, and other members of the Inspection Team, and bear responsibility for the accuracy and truthfulness of the provided information and documents; they also have other rights and responsibilities as prescribed by relevant laws.

3. Units, organizations, and individuals related to the inspection, upon receiving requests, recommendations during the inspection process, inspection conclusions, and post-inspection handling, shall be responsible for implementing them and responding in writing about the implementation of such requests and recommendations as prescribed by law.

4. Within their scope of duties and authority, units, organizations, and individuals related to the inspection shall be responsible for cooperating with internal inspections in preventing, detecting, and recommending the handling of violations of the law.

Article 16. Handling Violations

1. The decision maker of the inspection, the Head of the Inspection Team, the staff assigned to perform inspection tasks, and other members of the Inspection Team who commit any of the following acts shall be subject to disciplinary action or criminal prosecution at the discretion of the nature and degree of violation, and if damage is caused, they must compensate according to the provisions of 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;

d) Intentionally failing to detect or detecting acts that violate the law to the extent that administrative penalties, disciplinary actions, or criminal prosecution should be recommended but not implemented, not fully implemented, not recommended for handling, or not recommended for criminal prosecution;

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

g) Accepting bribes or brokering bribes;

h) Other acts violating the law.

2. Units, organizations, and individuals subject to inspection who commit any of the following acts shall be subject to disciplinary action or criminal prosecution at the discretion of the nature and degree of violation, and if damage is caused, they must compensate according to the provisions of 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;

3. Units, organizations, and individuals related to the inspection who commit any of the following acts shall be subject to disciplinary action, administrative fines, or criminal prosecution at the discretion of the nature and degree of violation, and if damage is caused, they must compensate according to the provisions of the law:

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

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

c) Illegally interfering with inspection activities; taking advantage of their influence to affect persons performing inspection tasks;

d) Offering, accepting, or brokering bribes;

e) Failing to implement, or not fully or timely fulfilling their obligations and responsibilities recorded in the inspection conclusion or decision on handling the inspection;

e) Other acts violating the law.

Chapter IV

IMPLEMENTING PROVISIONS

Article 17. Effective Date

1. This Circular takes effect from February 3, 2013.

2. This Circular replaces Decision No. 14/2006/QĐ-BGDĐT dated April 25, 2006 issued by the Minister of Education and Training on the organization and operation of inspection in higher education institutions and vocational colleges.

Article 18. Responsibility for Implementation

The Director of the Office, the Director of the Inspectorate, the Deputy Minister in charge of Higher Education, the Deputy Minister in charge of Vocational Education, the Heads of units under the Ministry of Education and Training; the Chairmen of Provincial People's Committees, the Directors of Departments of Education and Training; the Presidents of universities, academies, Institute Directors authorized to train doctoral level; the Rectors of universities, colleges, and vocational colleges, and the Heads of related agencies and units are responsible for enforcing this Circular.