Anti-corruption policies and practices in education sector...

Ethics and corruption in education

Workshop:

(Hanoi, Vietnam: 11-13 October 2010)

Anti-corruption policies and practices in education sector in vietnam: paving

the way for delivering results and monitoring progress

International Institutefor Educational Planning

An advanced training workshop on “Anti-Corruption policies and practices in Education Sector in Vietnam: paving the way for delivering results and monitoring progress” was held from 11 to 13 October 2010 in Hanoi, Vietnam. It was organised by the Belgian Development Agency (BTC), within the framework of cooperating arrangements between the Anti-Corruption Resource Centre (U4) and the International Institute for Educational Planning (IIEP-UNESCO).

The major aims of this workshop were: to identify the causes and consequences of most common forms of corruption in the sector, with an emphasis on the particularities of Vietnam; to share tools and strategies applied internationally to improve transparency and accountability in the sector, revisiting the failures and successes of those already employed by Vietnam; and to strengthen the commitment and work initiated within specific actors in the sector to move forward with an AC agenda that addresses the needs of the education sector in Vietnam. This report includes the various materials that were prepared and used for the Workshop, in particular: the plenary presentation outlines, as well as group work exercises. The appendix contains the list of participants.

U4 training workshop: ‘Anti‐Corruption policies and practices in Education Sector in Vietnam:

paving the way for delivering results and monitoring progress’ Hanoi, 11‐13 October 2010

AGENDA

Objectives for the workshop:

1. To identify the causes and consequences of most common forms of corruption in

the sector, with an emphasis on the particularities of Vietnam; 2. To share tools and strategies applied internationally to improve transparency and

accountability in the sector, revisiting the failures and successes of those already employed by Vietnam;

3. To strengthen the commitment and work initiated within specific actors in the

sector to move forward with an AC agenda that addresses the needs of the education sector in Vietnam.

Monday 11 October – Diagnosis of education sector: causes and consequences of most common forms of corruption 08.00‐8.30 Registration of participants a.m. Overview of the issue of corruption in the education sector 8.30‐8.40 Opening remarks by Mr. Dirk Deprez (Belgian Development Agency) 08.40‐09.30 Presentation: Mainstreaming anti‐Corruption work into different sectors:

challenges and key elements, by Ms. Alessandra Fontana (U4) Q & A

09.30‐11.00 Presentation: Corruption in education: definitions, conceptual framework,

mapping and impact on EFA goals, by Mr. Jacques Hallak and Ms. Muriel Poisson (UNESCO/IIEP)

Q & A

11.00‐11.30 Tea break

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11.30‐12.30 Presentation: Malpractices in the Vietnamese education sector: synthesis of existing reports and updating since the 7th ACD, May 2010, by Mr. Nguyen Van Thang (Transformation and Change Management Consulting Co) Q & A

12.30‐14.00 Lunch p.m. Overview ( to continue) 14.00‐15.00 Presentation: AusAID experience: Work on AC in the education sector in Laos

by Ms. Sounisa Sundara and Ms. Manithda Sithimolada (AusAID Laos) Q & A

15.00‐16.00 Panel discussion: Major opportunities for corrupt practices in Vietnam: what forms, what magnitude, what impact? facilitated by Mr. Jacques Hallak (UNESCO/IIEP)

• Representative from the MOET • Mr. Matthieu Salomon (Towards Transparency) • Ms. Thaveeporn Vasavakul (International consultant)

16.00‐16.30 Tea break p.m. Irregular fees 16.30‐17.30 Presentation: Assessing irregular fees and strategies for regulating them: the

potentials offered by an adequate use of report card surveys, by Mr. Jacques Hallak and Ms. Muriel Poisson (UNESCO/IIEP) Q & A

Day 1 expected output: Mapping‐out malpractices in the

Vietnamese education sector Tuesday 12 October – Transparency/Effective measures to tackle corruption: from legislation to implementation 08.30‐08.40 Summary of debates on day 1, by Ms. Alessandra Fontana (U4) 08.40‐09.00 Presentation: How to improve transparency and accountability in the

education sector, by Ms. Elsa Duret (BTC) Q & A

a.m. Teachers and educators codes of conduct 09.00‐09.45 Introduction to Vietnamese regulations: Vietnam’s code of ethics, current

practices on extra teaching and learning and future challenges by representative from the MOET

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09.45‐10.45 Presentation: Design and effective use of teacher codes of conduct: the international experience, by Mr. Jacques Hallak and Ms. Muriel Poisson (UNESCO/IIEP) Q & A

10.45‐11.15 Tea break 11.15‐12.30 Group work: How to make the Vietnamese code of ethics of educators a

useful tool? 12.30‐14.00 Lunch p.m. Quality assurance and accreditation 14.00‐15.00 Presentation: Academic fraud, quality assurance and accreditation: learning

from the past and challenges for the future, by Mr. Jacques Hallak and Ms. Muriel Poisson (UNESCO/IIEP) Q & A

15.00‐16.00 Group work: What measures to reduce corrupt practices in the management

of exams in Vietnam? 16.00‐16.30 Tea break 16.30‐17.30 Presentation: Non‐public institutions of higher education in Vietnam:

challenges for transparency and accountability, by Dr Pham Huy Dung (Thang Long University) Q & A

Wednesday 13 October: Accountability/Design and effective use of an monitoring and evaluation (M&E) framework for anti‐corruption progress in the education sector a.m. Monitoring corrupt practices 08.30‐08.40 Summary of debates on day 2, by Ms. Alessandra Fontana (U4) 08.40‐10.15 Presentation: Methodological tools to monitor corrupt practices: the

international experience with public expenditure tracking surveys (PETS), quantitative service delivery surveys (QSDS) and report cards and the experience in Vietnam, by Mr. Jacques Hallak and Ms. Muriel Poisson (UNESCO/IIEP) followed by Mr. Adam McCarty (Mekong Economics) Q & A

Day 2 expected output: Overview of measures and practices that can help promoting transparency and accountability

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10.15‐10.45 Tea break 10.45‐11.30 Presentation: Building an accountability framework: the use of ‘red flag’

indicators in the education sector, by Mr. Jacques Hallak and Ms. Muriel Poisson (UNESCO/IIEP) Q & A

11.30‐12.30 Group work: Which monitoring indicators to prioritize in the case of Vietnam?

Short introduction by Ms. Lien Thi Kim Nguyen (DfID) 12.30‐14.00 Lunch p.m. Access to information and social monitoring 14.00‐15.00 Presentation: Promoting social control: the importance of the right to

information in the education sector, by Mr. Jacques Hallak and Ms. Muriel Poisson (UNESCO/IIEP) Q & A

15.00‐15.45 Group work: How to make better use of the Vietnamese Circular on publicity

(07 May 2009) to monitor policy implementation and uncover corruption cases?

15.45‐16.15 Tea break 16.15‐17.15 Panel: All against corruption

• Representative from the MOET • Ms. Nguyen Kieu Vien (Towards Transparency) • Ms. Marie Ottosson (Embassy of Sweden)

17.15‐17.30 Distribution of certificates and closing remarks

Day 3 expected output: Guidelines for M&E framework for

measuring anti‐corruption progress in education

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Anti‐corruption: definitions and the concept of mainstreaming

U4 WorkshopAnti corruption policies and practices in the educationAnti‐corruption policies and practices in the education

sector in Vietnam: Paving the way for delivering results and monitoring progress

Hanoi, Vietnam11/10/2010

U4 Anti‐Corruption Resource Centre

2

How do we work at U4?

Promoting an informed approach to anti-corruption to bilateral development agenciesbilateral development agencies

Research T i iResearchTheme pages

TrainingOnline and in country

Helpdesk

Exclusive for partner agencies

Objectives of this session

Why• Consequences of corruption

are • What is corruption?

we• What are possible drivers (causes) ofcorruption?

M i i f AC ihere

• Mainstreaming of AC in sectors

Aim to develop a sharedunderstanding of corruption

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Programmes funded by development aid

Photos: World Bank

Consequences of corruption

E i I i i l• Economic

• Social

• Political

• Institutional

• Environmental

• For national security

Corruption is one of the Corruption is one of the largest obstacles largest obstacles to developmentto development

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What is corruption?

Corruption

Tipology

Definition

Abuse of public officefor private gain

Abuse of entrusted power for private gain

Systemic corruption

• Petty (administrative) corruption– Lower ranking civil servants

S ll t id b ib

Tipology

– Smaller amounts paid as bribes– Higher frequency– High social impact

• Political (grand) corruption– Higher ranking civil servants/ elected officials– Larger amounts/ other manifestations (fraud/nepotism...)– High economical impact for the stateHigh economical impact for the state

• State capture– Political and economic elites – Large amounts of money and influence of power – Manipulating / distortion of state policies and structures– High economic and political impact

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Grand corruptionGrand corruption

Systemic corruption

•• Public officePublic officedecisionsdecisions••Jobs and Jobs and ppromotionsromotions

$$$$$$Petty corruptionPetty corruption

Political Political

Explanations Explanations

What causes corruption ?

Drivers and Drivers and incentives of incentives of

corruption corruption

Economic Economic

Explanations Explanations

Social, cultural, Social, cultural, individual individual

l til tiexplanations explanations

Causes orCauses orConsequences?Consequences?

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Process of implicitly or explicitly incorporating AC efforts into sectors and cross cutting activities

What is AC mainstreaming?

Donor perspective:

•Traditional AC efforts toobroad

•Shared responsibilities (not only AC commissions)

Partner countryperspective:

• CSOs involvement in AC work

only AC commissions)

•Better understanding ofspecifities of power relationsestablished in sector

•Commitment to aideffectiveness

•Govt effort to spread AC (ie. In reaction to developmentsin the sector)

Mainstreaming in Vietnam’s AC Law

AC‐explicit policies AC‐implicit policies/crosscutting processes

Art 23: Enrollment, tests, Art 56: Administrative reformArt 23: Enrollment, tests, diplomas, use of state budget, tuition fees, aid to educational activities

Art 56: Administrative reform (simplification of procedures, decentralization)

Art 30: recruitment of civil servants (teachers)

Art 58: renovation of payment methods

Section 3:•on prohibited conducts (harassment make it difficult

MOET Action Plan on the implementation of corruption prevention and anti-corruption la (April 2006)(harassment, make it difficult

for those handling their matters…)•on drafting of codes of conducts for particular professional groups Art 66: Protect and reward those who denounce

law (April 2006)

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Main elemements of mainstreaming

Analysis(Corruption

)

Sector(education,

land, health…)

survey)

Setting Priorities

(MOET Action Plan)

MonitoringInternal

CSOs

AC MeasuresClear measurableindicators and responsibilities

Implementation

Resources and capacity building

Thank you

In Corruptjikstan…

1. A teacher of a rural school is a volunteer at the local community council and

responsible for managing voluntary contributions given by parents to the school. Every now and then, she diverts some of the contributions to pay for photocopying work necessary for the activities of the local council, that is currently underfunded to meet its needs in terms of activities. She never uses this contribution for her own benefit, but to the benefit of the local community council. The school where she teachers, however, lacks basic teaching materials and parents’ fees should contribute to compensate for that lack of resources.

2. An civil servant working for the procurement department at the Ministry of Education is involved in the purchasing process for renovation works in hundreds of new schools in the next 5 years. One of the bidders offers him a certain amount of money to have access to the list of companies participating in the tender process.

3. The responsable for the warehouse where the province stores educational materials reguarly takes a notebook and some pencils home for his niece. His niece is a primary school pupil and her parents are currently unemployed so they cannot afford school material.

4. A pupil brings a cake that his mother prepared as a thank you gift for his teacher in the last day of clases for the school year. The pupil has had a bad year with bad marks. The teacher accepts the cake. A few weeks later, the pupil’s family is informed he has failed and needs to repeat the school year.

Adapted from U4 Workshop “Corruption in the health sector”

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U4 training workshop:‘Anti‐corruption policies and practices in the education sector in Vietnam’

Hanoi, 11‐13 October 2010

CORRUPTION IN EDUCATION Definitions, conceptual framework, mapping and impact on EFA goals

Jacques Hallak & Muriel PoissonJacques Hallak & Muriel Poisson

© IIEP‐UNESCO

Introduction: recent examples Introduction: recent examples of corruption in educationof corruption in education

Brazil: teachers pay bribes to be recruited

2

p y

Ghana: illegal school fees and ghost personnel

France: violating tendering processes

Italy: selling exam questions in advance

Pakistan: fictitious schools, teachers, pupils

Hallak & Poisson © IIEP‐UNESCO

USA: many bogus e‐mail colleges

Vietnam: bribery for school entry and for marks

2

Integrity and GDP per capitaIntegrity and GDP per capita

3


Source: Davidsen et al.

Outline of the presentationOutline of the presentation

I. What is corruption?

4

II. Conceptual framework

III. Mapping of corrupt opportunities in education

IV. Impact of corrupt practices on achieving EFA


EFA

3

5

I.I. What is corruption?What is corruption?

© IIEP UNESCOHallak & Poisson

1. General definition of corruption1. General definition of corruption

Definition for all public sectors:

“The use of public office for private gains”

6

The use of public office for private gains

• diversion of funds from govt accounts• favouritism in personnel appointments

Definition for education:

“The systematic use of public office for private benefit whose impact is significant on access quality or equity in


whose impact is significant on access, quality or equity in education”

Where to draw the line between corrupt and honest behaviour?

4

2. Levels of corruption2. Levels of corruption

Grand corruption: high‐level officials and politicians

• very large amounts of money

7

y g y• high economic impact

Example: Procurement of education facilities

Petty corruption: public officers at all levels

• many small amounts of money• severe social impact, especially for the poor


Example: Undue fees charged

Continuum from grand to petty corruption

Example: Teaching profession in some Latin American countries

8

3. Internal/external factors 3. Internal/external factors contributing to corruptioncontributing to corruption

Internal factors External factors

• Absence of political will • Non‐transparent norms p• Political/economic/social structures in place

• Decline of ethical values (corruption as the norm)

• Low salaries in the public sector

• No ethical codes• Fungibility of budgets• Lack of external audit• Poor judiciary• Strong competition forj b

• Non transparent norms• Opacity of procedures• Monopoly and discretionary power

• No independent system of quality assurance

• Low salaries and lack of incentives

• No professional norms• Low management capacity

• Lack of absorption

Decentralization

School‐managt

Privatization

Use of ICTs

Corruption in

education

SWAP

Budget support

Rapid disbursement


jobs• Education as a ‘gatekeeper’ to jobs (importance of credentials)

• No right to information

capacity• Weak accounting/monitoring systems

• Lack of supervision/control

• Poor public information

Globalization

5

4. Definitions of corrupt practices4. Definitions of corrupt practices9

Form of corruption

Embezzlement Bribery Fraud Extortion Favoritism

Definition Theft of public resources by public officials

Payment (in money or in kind) given or

Economic crime that involves some kind of

Money and other resources extracted by

Mechanism of power abuse implying public officials kind) given or

taken in a corrupt relationship

some kind of trickery, swindle or deceit

extracted by the use of coercion, violence or threats to use force

implying ‘privatization’ and a highly biased distribution of state resources

Examples from the education sector

‐ Educational funds used for political campaigns

‐ Bribes paid to be recruited as a teacher‐ Bribes paid to

‐Ghost teachers‐ Paper mills and diploma

‐ Illegal fees collected to be admitted to school

‐ Recruitment of administrators based on their


Source: Adapted from Amundsen

p g‐ School funds diverted for private interest

pbe admitted to university

pmills ‐ Sexual

harassment for promotion

membership of a political party‐Good marks obtained due to favoritism

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II. Conceptual frameworkII. Conceptual framework


6

1. Scope: 1. Scope: need for a systemic need for a systemic approachapproach

11

Focus on institutions, procedures, mechanismsand not on individuals


2. A useful distinction2. A useful distinction

The education sector is both a subject and an object of corruption

12

corruption

It its instrumental in the design of strategies to reduce corruption in all sectors (both economic and social)*

It offers a broad variety of opportunities for corrupt practices in the use of resources allocated to the sector


Education against corruption

Education free of corruption

7

3. Mapping decisions and related 3. Mapping decisions and related activitiesactivities

13

Managementdecisions

Planningdecisions

Operationaldecisions

Private schoolLicensing & subsidies allocation

decisions

School mappingConstructionEquipment

Teacher & staff Recruitment, Promotion & Training

Specific Allowances & Fellowships to MOE personnel

Purchase & Distribution Textbooks, Materials, Equipment, Food

School budgetInvestment, Budget

decisions decisions

Policy natureBroad scopeLT effects

Limited scopeDaily decisionsST effects

Annual scopeST/MT effectsRecurrent Budget


Source: Saidi, 2000.

ProjectimplementationSub‐contracting

School enrolmentExaminationsDiplomas

Allocation & utilization

allocation, Project selection and implantation

Corrupt practices (CP)

4. Levels of occurrence and stakeholders4. Levels of occurrence and stakeholders14

*

Level of occurrence

Level of education

Actors involvedNature of exchange

• Ministry of • Primary • Private supplier‐ • Administrator‐st y oEducation

• Region‐district level

• School level• Classroom level

a yeducation

• Secondary education

• Higher education

► Distinction public/private education

ate supp eadministrator exchange

• School staff‐administrator exchange

• Student‐administrator exchange

d st atodriven

• Faculty‐driven• Non‐teaching staff‐driven

• Student‐driven► Locating agents with monopolistic


education► Distinction formal/non‐formal education

exchange• Student‐facultyexchange

• Student‐non‐teaching staff exchange

monopolistic powers

► Identifying ‘win‐win’/‘win‐lose’ situation

8

15

III. Typology of corrupt III. Typology of corrupt practices in educationpractices in education


1. Selected areas of 1. Selected areas of planning/managementplanning/management

Finance

Allocation of specific allowances

16


Construction, maintenance and school repairs

Equipment, furniture and materials

Teacher management

Teacher behavior


Transition of pupil/student cohorts

Institution accreditation

Information systems

9

2. Finance2. Finance17

Areas Corrupt practices

Finance • Opacity of flowsT i l d d / • Transgressing rules and procedures / bypass of criteria

• Inflation of costs and activities• Embezzlement


• Favoritism/nepotism• Bribes


(fellowships, subsidies, etc.)*

• Bypass of criteria• Discrimination (political, social,

ethnic, etc.)• Illegal fees

* Misconducts in finance* Misconducts in finance

Bangladesh: Illegal fees in eight districts amount to about BDT 20 million

18

about BDT 20 million

United Kingdom: embezzlement of school budget by a head teacher amounting to £ 500 000 in one LEA in 2003

Indonesia: Payment of ‘taxes’ to local officials in order to obtain the allowance or the scholarships granted


p g

Vietnam: in Vo Gap upper secondary school, out of 24income sources, 9 illegal (Vietnam Net, Oct. 06)

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* Indonesia: distorted allocation for * Indonesia: distorted allocation for rehabilitation rehabilitation

19

List of the schools not responding to the allocation criteria:


3. Construction, maintenance and repair3. Construction, maintenance and repair20


Construction, maintenance and h l i *

• Fraud in public tendering• Collusion among suppliers

E b lschool repair* • Embezzlement• Manipulating data• Bypass of school mapping• Ghost deliveries

Distribution of equipment, furniture

d i l

• Fraud in public tendering (payoffs, gifts, favoritism)C ll i li


and materials (including transport, boarding, textbooks, canteens and school meals)**

• Collusion among suppliers• Siphoning of school supplies• Purchase of unnecessary equipment• Manipulating data• Bypass of allocation criteria• Ghost deliveries

11

* School building projects in Vietnam* School building projects in Vietnam21

“Government Inspectors who checked 120 projects on building schools in provinces with total investment of VND 684 billion and Departments of Education and Training being the investment owners detected loss of VND 10,873 billion? Defaults stem mainly from stealing construction materials, exaggerated quantity bills for payment, prices, etc.)”.


Than Tra, 29/03/05

** Production & distribution of textbooks** Production & distribution of textbooks22

Background Forms of malpracticeExample

(Philippines)

• Deterioration of quality (textbooks and teaching materials are critical

At each stage of the book production and distribution chain:

• raw materials (papers): lack of

• Payoffs eat up 20 to 65% of textbook fundsmaterials are critical

determinants)• Non‐salary expenditures affected by budget cuts (including textbooks availability)

• Very low textbook/pupil ratio (sometimes less than 1/1 in Sub Saharan Africa)

• raw materials (papers): lack of transparency of purchase rules

• writing (authors): lack of clear policy on copyright (particularly in the public sector)

• production/printing: often supported by IFIs: distortion in procurement rules

• distribution and storage: using public/ private (monopolistic or/and informal

funds• Of the P100‐million pork barrel or Countrywide Development Fund legislators spent on supplementary materials in 1997, up to P65 million to bribes


)• IFIs concerns (including development banks)

• Lack of national book policies

p ( p /) networks; lack of transparent criteria for costing

• purchase: different formulae of financing (free/non free ; collection of funds; multi‐use of textbooks)

Particular difficulties for imported textbooks.

bribes• That amount could have bought a million more textbooks

12

4. Teacher management and behaviour4. Teacher management and behaviour23


Teacher appointment,

•Fraud in the appointment and deployment of teachers (favoritism, bribes, gifts)

transfer*, promotion, payment and training

•Discrimination (political, social, ethnic)•Falsification of credentials/use of fake diplomas•Bypass of criteria•Pay delay, sometimes with unauthorized deductions

Teacher behavior (professional misconduct)

•Ghost teachers•Absenteeism• Illegal fees (for school entrance, exams, assessment,

i i )


private tutoring, etc.)•Favoritism/nepotism/acceptance of gifts •Discrimination (political, social, ethnic)•Private tutoring (including use of schools for private purpose)

•Sexual harassment or exploitation•Bribes or favors during inspector visits

* Teacher * Teacher exchanges in Colombiaexchanges in Colombia

High demand for transfers to Bogota and other i l

24

capitals

Transfer process susceptible to corruption

Private agreement between teachers involving payment

Especially Bogota teachers about to retire: i i h d d d l


incentives to exchange and get advantageous deals

Source: Peña, 2004.

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5. Transition of pupil/student cohort5. Transition of pupil/student cohort25


Transition of il/ d

• Selling of informationpupil/student cohorts (academic fraud, examinations and diplomas, access to universities)

• Examination fraud (impersonation, cheating, favoritism, gifts)

• Bribes (for high marks, grades, selection to specialized programs, diplomas, admission to universities)

• Diploma mills and false credentials


p• Fraudulent research, plagiarism

“The most sensational mark bribery case in 2005‐2006 in Bac Lieu province revealed a network of mark bribery

ranging from teachers to managerial provincial officers, and amounted to hundreds of million of VND” (IPSS/NEU 2007)

6. Institution accreditation6. Institution accreditation26


Institution and program accreditation (distance delivery systems, transboarder education, etc.)

• Discrimination (political, social, ethnic)

• Bribes• Gifts• Bypassing quality assurance


criteria

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7. Information systems7. Information systems27


Information systems • Manipulating data• Selecting/suppressing

information• Irregularity in producing and

publishing information


• Payment for information that should be provided free

In summary…In summary… 28

Areas of planning/management Major opportunities for corrupt practices Impact on education

Finance •Transgressing rules and procedures• Inflation of costs and activities•Embezzlement

Allocation of specific allowances (fellowships, subsidies, etc.)

•Favoritism / nepotism•Bribes•Bypass of criteria

• Access• Quality• Equity• Ethics• Policy priorities

•Discrimination

Construction, maintenance and school repairs

•Fraud in public tendering•Embezzlement •Manipulating data•Bypass of school mapping

Distribution of equipment, furniture and materials (transport, boarding, textbooks, school meals)

•Fraud in public tendering•Manipulating data•Bypass of allocation criteria

Teacher management •Fraud in the appointment and deployment of teachers•Falsification of credentials/use of fake diplomas

Personnel behavior (professional misconduct)

•Ghost teachers•Absenteeism


misconduct)• Illegal fees•Favoritism/nepotism/acceptance of gifts •Private tutoring

Examinations and diplomasAccess to universities

•Selling of information•Examination fraud•Diploma mills and false credentials

Institution accreditation •Fraud in the accreditation process

Information systems •Manipulating data•Selecting/suppressing information• Irregularity in producing and publishing information

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IV. Impact of corruption on IV. Impact of corruption on

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IV. Impact of corruption on IV. Impact of corruption on the achievement of EFAthe achievement of EFA

“Corruption is a major drain on the effective use of resources for education


and should be drastically curbed”.

(Dakar, 2000)

1. Reduction of the resources 1. Reduction of the resources available for EFAavailable for EFA

Reduction of the sums available for education

Gh h d hi h b i l li i i

30

Ghost teachers and high absenteeism rates also limiting factors

Fewer items available because of the distortion of procurement rules

d h l f b


In some Indian states, the salaries of absent or ghost teachers may account for 15‐20% of payroll

costs (half of non‐salary running costs)

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2. Major obstacle for improving quality2. Major obstacle for improving quality31

Total number of teaching hours reduced significantly

Lack of consistency between textbooks and curriculaLack of consistency between textbooks and curricula

Textbooks not available in the classroom, of poor quality, etc.

Unauthorized reprints

OverpricingUnapproved

booksTotal

Quantity Amount* Quantity Amount* Quantity Amount* Quantity Amount*


y y y y

3,140,794 234,471 139,125 2,043 1,578,102 177,980 4,858,021 414,496

* In thousand Philippines pesos (50 pesos = 1 US$)Source:Unpublished document.

3. Reinforcement of inequalities3. Reinforcement of inequalities

Less resources available in priority areas (disparities in staffing, equipment, etc.)

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School meals free to the rich, not available for the poor; textbooks charged when they are supposed to be free, etc.

Unjustified credentials available to students who can afford to pay bribes


Reinforcement of inequalities at the expense of the mostvulnerable groups, i.e. the majority of groups targeted bythe pro‐EFA movement*

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Addressing corruption in education: Addressing corruption in education: Major challengesMajor challenges

Designing and implementing adequate diagnostic tools aimed at assessing distorted practices in the tools aimed at assessing distorted practices in the use of education resources

Designing and implementing strategies to improve transparency and accountability in education

To develop awareness of the magnitude and harmful consequences of corruption in education


consequences of corruption in education

Importance of this course…

1

Survey on “Present Corruption in Education”

1

11-10-2010

OVERVIEW

2

2

VN Education SystemDoctorate

(from 2-4 years) Master(2 years)

Age

24

U d h l

Professional school

(3 years)

Vocational training

University(from 4-6 years) College

(3 years)

21

18

15

Non -forma

l Educa

tion Sector

3Kinder garten

Preschool

Primary school (5 years)Lower secondary school (4 years)

Upper secondary school(3 years)

(3 years)

11

6

6

3

3 months

Related Regulations

Extra teaching and learning: PrimeExtra teaching and learning: Prime Minister’s Regulation (24/5/1993) allowing extra teaching and learning organized for students with poor achievements, excellent students, and students at the fi l f d i l l

4

final year of one education levelRegulation on no specialized schools and classes of selected students came into effect several years ago

3

Observations on Primary and Lower Secondary Education

Education targets at student’s comprehensiveEducation targets at student s comprehensive development, but assessment systems tend to focus on scholastic achievementProfessional orientation and specialization is quite new => everyone targets at “higher education”

5

education Parent’s role in children’s comprehensive development is quite inconsiderable Pressure in big cities is quite high

Objectives of the Survey

Overall objective:Overall objective:Surveying present corruption in education – then recommending more effective anti-corruption (AC) measures

Specific objectives:Surveying three opportunities of corruption: admission at every education level – extra teaching and learning – illegal feesIdentifying causes and consequences of the opportunities

6

Recommending more effective AC measures

4

Reasons to Choose Three Opportunities

Their strong social influenceTheir strong social influence Directly linked to society-school relationshipDirectly impacting attitude of parents, students and teachersStrongly impacting the poor – vulnerable people

Their considerable reflection by the public

7

y p

Scope of the Survey

Education level: Primary and lower secondaryEducation level: Primary and lower secondary educationSites: Three big cities

HanoiDa NangHo Chi Minh City

8

Ho Chi Minh CityPopulation:

Parents – key subject Teachers – for comparison and reference purposes

5

Survey Procedures

QuestionnairesQuestionnairesTwo questionnaire forms: for parents and teachersQuestionnaires are designed carefully in order to collect the most objective and honest data

SamplesSamples are selected randomly following standard procedures

Survey procedures

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Survey proceduresSupported by residential areasFollowing standard procedures

Duration: 1 – 10 May 2010

Survey Results

10

6

Responded Questionnaires

Parents TeachersParents Teachers

Hanoi 200 75

Da Nang 205 82

H Chi Mi h Cit 200 79

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Ho Chi Minh City 200 79

Total 605 236

1. Admission at Every Education Level (1)

Rate of students attending residentially non-statutory h lschools:

About 20% of students attend residentially non-statutory schoolsHanoi: 30%, Da Nang: 15-22%, Ho Chi Minh City: 10-15%

Reasons for choosing residentially non-statutory schools:

Varied, but three most common reasons are: school quality, distance to school and standard school

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distance to school and standard school

Support sources:60% of parents ask for support for their children’s admission to residentially non-statutory schools33% of teachers admit helping their acquaintances’ children to get admitted in residentially non-statutory schools

7

1. Admission at Every Education Level (2)

School entrance fees:Parents have to contribute different school entrance fees (both residentially statutory and non-statutory schools) such as: Construction, procurement, allowances for teachers of gifted classes/selected classes, etc.38% of parents whose children study in residentially non-statutory schools, and 5% of parents whose children study in residentially statutory schools admit asking someone to help their children be admitted to their school

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their children be admitted to their school

Parents’ psychology:Admission at every education level is a psychological burden for 42% of parents and a time burden for 26% of parents As many as 70% of parents believe that paying extra fees to help their children study in a good school is ordinary and it is what their acquaintances also do

2. School FeesParents and teachers admit parents’ contribution of different fees (legal and illegal fees)different fees (legal and illegal fees)

E.g. tuition fee, construction, school fund, class fund, PTA fund, uniform, textbookLegalized illegal fees mainly in the form of “voluntary” or PTA fund

Parents’ psychology:School fees put a psychological burden on 52% of parents

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p p y g pTime burden: 39%, Financial burden: 36%Contribution of illegal fees is ordinary: 46%Paying extra fees is an opportunities for families to further contribute: 56%

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3. Extra Learning – Extra Teaching (1)

Frequency of extra learning:Organized by schools: 44%; organized by teachers: 49%; organized by others: 36%On average 3.6 times/week, costing VND470,000/month/student

Teachers involved in extra teaching:Average extra income of VND1.9 million/month vs. their average salary of VND2.5 million/monthTeaching 3 times/week on average

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Teaching 3 times/week on average

3. Extra Learning – Extra Teaching (2)

Organized by schools and teachers:Excellent/good students: 45-49%Average students: 35 - 49%Poor average students: 25% (while they need extra learning most)

Parent’s psychology:Teachers admit organizing extra teaching and putting psychological impact: encouraging parents to feel secured 40

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psychological impact: encouraging parents to feel secured - 40-43%Parents admit that extra learning is a psychological burden (55%), time burden (45%), financial burden (53%)Parents admit that extra teaching is ordinary and their acquaintances also do so: 82-85%

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Parents’ Advice(% to agree with following advices) HN ĐN HCM Total

Ch i d h l ( lth h it 63 8% 69 3% 48 0% 60 4%Choosing a good school (although itresidentially non-statutory)

63.8% 69.3% 48.0% 60.4%

Paying extra fee to get admitted toresidentially non-statutory schools isreasonable

54.8% 46.0% 41.3% 47.4%

Extra learning is necessary 61.7% 74.0% 65.3% 67.1%Even paying extra fees to be admitted to 63.3% 57.7% 63.1% 61.4%

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p y gresidentially statutory schools is acceptableif they are good schoolsMore contributions should be made forschools (funds)

45.2% 52.2% 64.0% 53.8%

Following ordinary curriculum is notenough

66.2% 76.5% 73.7% 72.1%

Teachers’ Perceptions

Hanoi Da HCM TotalHanoi Da Nang

HCM City

Total

My curriculum is too heavy 42.7% 46.3% 49.4% 46.2%Many of my acquaintances (who areteachers) are involved in extra teaching

58.7% 51.2% 81.0% 63.6%

My salary is too low compared to mydemand

82.7% 81.7% 86.1% 83.5%

O l bl h k d h 25 3% 25 6% 19 0% 23 3%

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Only capable teachers are asked to teachextra classes

25.3% 25.6% 19.0% 23.3%

Incapable teachers still organize extraclasses

48.0% 52.4% 70.9% 57.2%

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Discussion and Recommendation

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DiscussionSurveyed corruption cases are basically petty corruptions

Small amounts of money compared to other corruptionsWidespread impact almost on every familyWidespread impact, almost on every family

Their social impact is quite severePsychological and time burden for familiesAttitude to accept fees/market mechanismConfidence in formal education systemPsychological impact on childrenDirect impact on the poor

They influence teachers’ professional attitude

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They influence teachers’ professional attitudeMany of their efforts are made for extra curriculum activitiesTeachers accept “distorted” behaviors (not completely illegal) – their ethical instruction for students is affected

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Reasons for Corruption – with regard to Parents

Parents’ over appreciation of their children’s learning achievement i di tiindications:

Scores vs. acquired knowledgeScholastic achievement vs. comprehensive developmentPsychological impact on children

Their belief that standard schools and extra learning help children get better developmentTheir uncertain confidence in formal education:

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Insufficient knowledge provision by formal educationExtra learning/contribution of illegal fees

Nonstop social pervasion:Parents feel pressure to be involved – encourage other parents – create higher pressure

Reasons for Corruption – with regard to Teachers

Income pressureIncome pressureSocial acceptance of “distorted” behaviors: extra teaching, extra fees, helping acquaintances’ children get admitted to schoolsPeer pressure concerning “distorted” behaviors“Everyone is doing so – I will be isolated if I oppose”

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Reasons for Corruption – with regard to Schools

Effectiveness/Impact of relevant policy:Schools “legalize” malpractices – taking advantage of parents and students’ psychology

Social pressure:Only a few cases are released by parents/the mediaThere is an absence of a school assessment system based on its compliance with admission, fee collection, extra teaching/learning policies

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policies

Pressure from school’s culture:Only a few schools set above behaviors as standard value –culture to develop their prestige“Distorted” behaviors are accepted or “ignored”

AC ApproachesSocial pressure on schools

Regular school assessment/ranking (parents “grading” schools)Regular school assessment/ranking (parents grading schools)Not only professional but also “cultural” competition among schools

Information disseminationTowards parents: Negative impacts of “racing for schools”, extra learning on children’s comprehensive development – relevant policies

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Towards teachers: “petty corruptions"Information provided by Division of Education and Training/school about “statutory admission”, extra learning conditions and types of fees

Social organizations’ roles

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By Sounisa Sundara and Manithda Sithimolada

IntroductionSounisa SundaraWork in basic education program, particularly the Education For All/Fast Track Initiative program, AusAID VientianeThe program supports GOL in SOQ, non‐formal education, school construction, school meals,…etc

Manithda SithimoladaWork in Scholarships program and EFA/FTI program, Education Sector, AusAID VientianeThe scholarship program provides 40 ADS and 18 English language training.

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Overview Laos is ranked 158th in the Corruption Perceptions Index in 2009 by Transparency International.

GoL’s Efforts on Anti‐Corruption in Laos: legislative and institutional efforts made. However, not much impact on corruption.

Root Causes of Corruption: pPoverty Culture of corruptionAid dependencyGreed and influence of Western value materialism

Forms of corruption in EducationCulture of bribery and commission

Using imposed procedures of the multilateral partners d ’t t b ib d i i i biddi doesn’t stop bribery and commission in bidding process e.g: ‐ Openly asking for commission

Leakage of resourcese.g. ‐ Distribution of textbooks

‐Malpractice for per diem payment

Mismanagement leading to corruptionMismanagement leading to corruptionProcurement malpracticee.g: ‐ Distorted budget by intentionally miscalculating

budget‐ Quotations and receipts mean nothing

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Forms of corruption in Education (Cont.)

Altering information in official documentsAltering information in official documentse.g: ‐ Changing date of birth in degree certificate

‐ Changing scores in a transcript of recordsLeakage of information e.g: ‐ University entrance examg yGiving fault information in order to get benefitse.g: ‐ Ghost teachers/officers

AusAID Vientiane’s measures for anti‐corruption (at policy level)Anti‐corruption plan is built‐in the Country StrategyStrategic approach on anti‐corruption: 1. Ensuring corruption features in development policy dialogue

2.Reducing opportunities for corruption by working with the Government of Laos to strengthen

t t government systems; 3.Where possible building constituencies for anti‐corruption reform;

4.Reducing corruption risks in Australia’s aid program

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Mainstreaming AC in the program

1. Supporting the Poverty Reduction Support Operation (PRSO) to monitor GoL expenditure on Operation (PRSO) to monitor GoL expenditure on education and to enhance the national audit capacity

2. Reducing aid dependency in education sector through supporting the Fast Track Initiative Program

3. Using credible multilateral systems for delivering and monitoring our education initiatives e.g. UNICEF, WFP, WB & UNESCO

Mainstreaming AC in the program(cont..)

A example of mainstreaming AC into our workEFA‐FTI USD65.5m program (pooled funding by AusAID (USD20m), WB (USD15.5m) & FTI CF ($30m)

There are risks that the funds are not used for the intended purposes, do not achieve value for money, and/or are not properly accounted for. the program will involve so much procurement of goods and services.

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Mainstreaming AC in the program (cont.)Measures: Measures: Saved the program from spending $9m on wish lists

during design process Earmarked funds to program areas we had influenceUse of the WB requirements for financial reportingThird‐party verification of financial managementThird party verification of financial managementFinancial Management LeaderInternal and external audit functionsImproved internal control proceduresEg. Payment control – central and provincial levels

Mainstreaming AC in the program (cont.)

Scholarships program s are implemented by MCMeasures to minimise impact of corruption to the program includes:

Enhancing the transparency of the selection process

D l i l h k d b l h i f i Developing tools to check and balance the information in the application process

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Thank You!Thank You!

U4 training workshop: ‘Anti-corruption policies and practices in the education sector in Vietnam’

Hanoi, 11-13 October 2010 Pham Van Tai – Vice Inspector of MoET

============================================== Major opportunities for corruptions in education: Modes scale and impacts

Corruption is generally associated with the history of development of the State. It is impossible to remove corruption practices from the State and its administration system. Corruption is a typical chronic disease of every state, an inborn shortcoming of power, and an unpreventable disease of every regime. As a sector under state management, education also encounters corruption. Corruption occurs only when there are opportunities and people in office and with power favoring private gains. Without these conditions, corruption cannot happen.

My presentation is to discuss a number of major opportunities for corruption in education sector in Vietnam: modes, scale and impacts on education development; MOET’s efforts to fight against corruption in education.

I. Major opportunities for corruption in education

The national education system consists of around 40,000 institutions, including preschools, primary and secondary schools, continuing education centers, professional secondary schools, colleges and universities with over one million teachers and other staffs, and 23 million students.

Educational institutions are in charge of delivering teaching and learning activities for students at all levels. During their performance, opportunities for corruption emerge, in particular:

• In teaching and learning activities, teachers attain certain powers over their students when they are involved in teaching and student assessment; consequently, students seem to be dependent on teachers. If they want to get good scores or want to transfer to the next grade despite their poor performance, they needs teachers‘ support. There come opportunities for malpractices such as student achivement distortion (selling and buying scores), permission on transfering students to the next grade, etc.

• Admission at the beginning of every level of education and admission to gifted schools or classes also generate opportunities for corruption. The fact that several disqualified students wish to pass entrance examinations at the beginning of every level of education or to get access to quality schools or

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classes leads to their seeking supports to realize their wishes and generates opportunies for corruptions among public officers.

• School activities require funding while Vietnam is facing a lot of difficulties and its limited state budget for education cannot afford them. Educational instutions need financial resources for improved infrastructure, learning equipment and facilities, promoted extra curriculum activities, sports and recreation activities to provide better learning environment at school. This requires more unregulated fees. However, sanctions for school fees and malpractices are not serious enough to stop overcollection of fees.

• Schools are also in charge of their staff, infrastructure and financial management. Shool managers are responsible for staff recruitment and appointment, capital construction, procurement and spending that provide various opportunities for corruption.

Corruption opportunites are available somewhere in educational activities. However, eventhough opportunities are out there, corruption will not occur or will not be serious if there exist strict laws, clear legal documents, and a strong monitoring system; or corruption will not occur if relevant people are well-behaved and are not interested in their personal benefits. Indeed, many public officers are not committed to corruption even though they are exposed to powers and material. In contrast, they make great efforts against corruption. Plenty of teachers devote their life to their teaching, even extra teaching without taking any fees from their students or thinking of their personal interest.

II. Impacts of corruption on education

Corruption leaves negative impacts on educational activities and hinders education development because corruption is the use of public office for private gains. Existence of corruption means that public material and money are put in some people’s hand, public officers’ ethics are deteriorated, and they will be dismissed if found.

Corruption in education causes substantial negative consequences in education (loss of sectoral reputaion, teachers; deterioration of education quality, and loss of public confidence) like in the following situations:

- Extra teaching and learning:

Teachers take extra teaching and learning as an opportunity to force students to attend extra classes for financial gains. As a result, extra teaching and learning

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malpractices are widely seen in some areas, especially in cities, towns and lowland provinces. Some teachers even move some parts of school curriculum to their private teaching classes in order to force students to attend extra classes for private gains.

Extra teaching and learning malpractices have considerable impacts on education; in particular, they worsens the image of teachers in students’ eyes. In order to encourage students to attend their classes, some teachers find all means to do that (e.g. moving parts of main curriculum to private classes; designing examination questions based on lessons learnt in extra classes; favoring students attending their classes while grading their papers, and even discriminating against those who do not attend their extra classes). Many students are forced to attend extra classes; many parents have to pay extra fees for their children’s education. Consequently, frustration emerges among parents and the society, affecting the integrity of honest teachers and the sector itself.

- Admission at the beginning of every level of education:

Corruption associated with admission at the beginning of every level of education occurs when students and their parents try to get admission to school despite their disqualification by all means such as distortion of profiles or malpractices in examination monitoring and grading (someone else rather than the student sitting an exam or providing support for the student during exams, selling and buying scores), or during unzoned school admission and access to standard schools, etc. Relevent officers try to find ways to support above cases for private gains.

Such modes and scale are widely seen at all level of education, causing breaches of sectoral regulations, violated teachers’ code of ethics, obstacles of stable educational development, deteriorated education quality, deteriorated ethics of teachers, unequality in education, and loss of social confidence in education.

- Fee collection

Overcollection of school fees causes serious social frustration. Inspections and malpractices found and solved show that common malpractices are unregulated tuition and admission fee collection (higher fees); creation of unregulated fees at the beginning of a school year or level of education; organization of fund raising in the name of the Parents‘ Association and social unions to ask for contributions from parents and students; malpractices in managing and using these funds. Especially, lack of transparency creates

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opportunities for some people to take advantage for private gains and parents have to contribute unregulated fees. Consequently, there emerges objection in the public, especially parents.

- Other corruptions in education can be listed. Although they are not common and cause little economic impact, they lead to negative social impacts, reduced public confidence in educational institutions, damaged reputation of teachers and administrators and obstacles of education development. They are falsification of credentials and scores, permission on transferring students to the next grade despite their disqualification, losses in construction investment, admission to unzoned schools, etc.

III. MOET’s efforts to deal with corruption

1. Reasons for corruption

Reasons for corruption in education can be devided into objective and subject ones, and they are summarized as follows:

First, enforcement of anti-corruption law and proposed solutions to corruption are not comprehensive and clear enough; formalism and lack of proactive and active behaviors against malpractices within institutions and among individuals are still existing.

Second, most of teachers live in difficult conditions with limited income and therefore do not feel secured, or they have to do something else such as extra teaching to raise their income. Some teachers and administers have limited management capacity and are not interested in self learning and training. Adverse effects of the market mechanism and difficult life are incentives to seek immediate gains; consequently, malpractices occur.

Third, there is a shortage of a comprehensive and integrated policies and legal documents, and current policies and legistlation fail to meet such demands as overlapping and unclear decentralization at macro level, attention to investment in education, unreasonable payoff policies and treatment mechanism for teachers and administers.

Fourth, inspection does not reach standard, especially inspection for anti-corruption and corruption discovery; a mornitoring system to ensure transperancy in insitutional performance is still absent.

2. Proposed solutions to corruption

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a) Advocacy of anti-corruption law:

MoET is interested in advocacy of anti-corruption law for teachers, adminsters and students to raise their awareness and responsibility in anti-corruption. Then they change their altitude and have positive anti-corruption behaviors. MoET also issues “Anti-corruption Strategy Action Plan by 2020” and “Action Plan to Promote Anti-corruption after the 7th Dialogue with International Donors”. The ministry, at the same time, also puts its plans to implement UN Convention against Anti-corruption.

b) Review and promulgation of sectoral guidelines on anti-corruption:

Some areas having great opportunities for corruption such as admission, teacher and administer recruitment, establishment of educational institutions, provision of licence to open a new training speciality, funding allocation, income management, extra teaching and learning, etc. are mentioned in specific regulations such as: Regulation on the implementation of publicity in educational institutions of the national education system; Regulation on the code of ethics of educators; Regulation on the code of ethics of primary school teachers; Regulation on the code of ethics for preschool teachers; Regulation on the code of ethics for secondary school teachers and many others. MoET has finished drafting a decree to manipulate and add a number of articles to Decree 49/2005/ND-CP by the Government that stipulates sanctions for administrative malpractices in education sector in the direction to raise financial sactions to a high enough level against malpractices in education.

c) Organization of large scale campaigns in the sectore

The measure is to raise people’s moral and responsibility in administration, teaching and learning of civil servants, teachers and students to prevent malpractices in the sector.

MoET directs institutions to organize the following campaigns “Learning and folliwing Ho Chi Minh’s moral sample”, “Saying no to cheating in examinations and false achievements in education” or “Two Nos”, “Every teacher as a moral, self learning and creative example”, and “Creating a friendly school with active students”. Enforcement is made to implement the regulation on three publicity, administrative reform, one-door policy, especially simplified administrative procedures for more effective performance of MoET’s functional agencies and educational institutions. Campaigns and movements help promote

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positive acitivities and limit and then gradually stop malpractices and corruption in the sector.

d) Enhanced anti-corruption inspection:

To ensure effective anti-corruption performance, MoET’s inspectors prepare an annual anti-corruption inspection plan based on guidelines provided by Government inspectors and integrates other issues into it such as implementation of Saving and Anti-Wastefulness Practice Law, Complaint and Denuntiation Law; they also comply with “Regulation on the implementation of publicity in educational institutions of the national education system”.

In addition, MoET’s inspectors prepare plans for inspections on administration and responsibility of leaders of institutions with a focus on the following areas: use of project funding, equitization of state-own enterprises, land use and management, construction investment, equipment procurement, administration, training provision, revenue and spending, and implementation of three publicity in educational institutions.

Moreover, MoET is also drafting a decree for submission to the Government that stipulates seniority mechanism for teachers and educational administers, and a decision for submission to the Government on keeping teaching allowances for teachers appointed to a management position. These show great concerns from the Government over interests and treatment mechanisms relating to teachers to partially raise their income and living standard.

The sector also complies with regulations on transparence in educational institutions according to Circular 09/2009/TT-BGDDT dated 07/5/2009 by the Ministers concerning “Regulation on the implementation of publicity in educational institutions of the national education system”. Accordingly, every school has to publicize their education service quality and real quality, conditions to ensure educational infrastructure quality, and revenue and spending. Examinations are also conducted for four areas as follows: Expenditure on education covered by local budget, collection and use of tuition fees, and building permanent schools and teacher’s houses. These are useful measures to ensure institutional transparency in management so that parents, students and the public are aware of and monitor institutional performance.

The above are major measures taken by MoET to provide anti-corruption directions in education sector. Anti-corruption in education is considered a significant and regular task of the whole sector and certain achievements have

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been made. The number of malpractices and corruptions has been reducing, especially in examination organization, admission, and training. Discovered corruption cases have been judged.

However, potential opportunities for corruption in education are still available; corruption is still found in the form of extra teaching and learning, admission at the beginning of every level of education, admission to unzoned schools, overcollection of school fees, etc. MoET continue to collaborate with relevant institutions at different levels and in different sectors to deal with malpractices and corruption in education.

Thank you very much.

25/10/2010

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An overview of causes, forms and effects of corruption in

education in Vietnam

U4 Training WorkshopA i C i P li i d P i i hAnti Corruption Policies and Practices in the

Education Sector in VietnamPanel on diagnosis of education sector: causes and consequences of

most common forms of corruption 11 October 2010 (Day 1)

Background

• 2005 Diagnostic Study / Communist Party Central Commission for Internal Affairs (Sida)Commission for Internal Affairs (Sida)– Education was not ranked in the 10th most corrupt sectors…– But “quality of education” was ranked 4th in the list of topics of

interest for citizens

• 2007 Dr Nguyen Dinh Cu report (DFID): typology of forms of corruption in education– Identified 9 forms of corruption through press review (including p g p ( g

paying bribes for admittance in a favorite school; for obtaining desired academic marks/scores; corruption through extra-class; informal fees and charges; corruption in selection, recruitment, promotion and rotation of teachers; cheat-cuts from procurement of teaching equipment and supplies; and cheat-cuts from education budgets…)

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Background (cont.)• 2008 research on Vietnamese media coverage of

corruption (UNDP)p ( )– Corruption in education in Vietnam was ranked 6th amongst the

most surveyed sectors (behind land, transports, public administration, construction and infrastructure and trade; and alongside with some sectors that seemed, from other research, more prone to corruption: such as taxation, customs, health)

• Increasing demanding population (Citizens Report Cards 2004 VHLLS 2008 )2004, VHLLS 2008…)– Overall population seems relatively satisfied by the education

system: people think services are improving– However they are worried by the challenges faced by the

education system and are less positive about improvements regarding corruption issue in education

Perceptions of Corruption

Source: Jim Anderson (WB) presentation at the last ACD roundtable - own estimates based on the 2008 VHLSS Governance Module. Presented in Vietnam Development Report 2010—Modern Institutions. Based on perceptions of those who had used the services only. In the case of the courts, this was a very small number of observations. See VDR 2010 for details.

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VHLSS 2008: improvements in satisfaction … but corruption remains a burden

Satisfaction with services Perceptions of Corruption

Source: J. Anderson (WB) presentation, op. cite. Estimates based on the 2008 VHLSS Governance Module. Presented in Vietnam Development Report 2010—Modern Institutions. http://www.worldbank.org/vietnam/baocaophattrien.

Note: Based on perceptions of those who had used the services only.

TI/TT study: an overview of the forms and incidences of corruption in education (Phase 1)

St d ’ bj ti i t f i• Study’ objectives: scoping stage, focusing on:• Public perceptions on forms and incidences;• Causes of corruption in education from public opinion;• Recommendations on further in-depth studies

• Literature (including international experiences, national policies, existing studies) and press reviews

• Direct in-depth interview stakeholders (total of 46 persons from Hanoi area), including:

• Education Gov. officers (8); school managers (2); school teachers (8); parents of children in 3 Hanoi secondary schools (24); member of parliament, experts, NGOs (4)

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11 main forms of corruption in education identified• Corruption in public investment projects in education, national

targeted programmestargeted programmes• Corruption in public procurement• Corruption in printing and publishing text books• Corruption for schools performance records and awards• Corruption in class teaching hours - to receive teaching allowances• Corruption in teacher recruitment & promotion • Corruption in securing good academic marks or scores, or success p g g ,

in exams• Corruption in enrolment into desired schools and/or classes• Corruption in teaching in extra-classes• Corruption in extra-fees collection• Corruption through misappropriation of money entitled to students

Some comments on the identified forms of corruption

• Overall: corruption in education in Vietnam does not differ from experiences from other developing countries

• Corruption in education has common forms with other sectors – but some specific forms also exist

• This typology does not pretend to be exhaustive (not representative) and to assess levels of these forms

• Different groups of stakeholders seem to have veryDifferent groups of stakeholders seem to have very different perceptions of the phenomena

• Unclear boundaries between victims and “corrupt” persons: most of the key stakeholders are both, at different times and in different situations

• Grand and petty corruption

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Main causes of corruption in education• Causes related to the existing mechanisms of education

managementmanagement– Weak institutional accountability (i.e ask-give mechanism)– Weak staff oversight– Insufficient legal framework (i.e regarding official/informal fees)– Lack of transparency (i.e in budget allocation)– Wrong performance incentives (for schools, teachers and students)– Limited public participation (i e Representative Parents Board)Limited public participation (i.e Representative Parents Board)– Poor pay of schools administrative staff and teachers

• Causes related to stakeholders behaviors– Wrong incentives for teachers (i.e market rule vs. public service)– Win-win situations– Lack of whistleblowing culture

Main effects of corruption in education

• Rising costs and inequalitiesCh ll i i l f t d ti– Challenges in universal free access to education

– Costs increase inequality of access – and fairness of the system (then overall meritocracy)

• Decrease of quality?– Different perceptions from stakeholders

But corruption influences schools staff teachers and– But corruption influences schools staff, teachers and students commitments – wrong incentives!

• Erosion of ethical norms– Impact on the atmosphere enabling good education– Issue of confidence of society in the education system

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Major Opportunities for Corrupt Major Opportunities for Corrupt j pp pj pp pPractices in Vietnam: Reflections Practices in Vietnam: Reflections

on Cases from the Health Care on Cases from the Health Care and Education Sectorsand Education Sectors

Thaveeporn Vasavakul, Ph.DThaveeporn Vasavakul, Ph.D

Key IssuesKey Issues

How corruption opportunities have specific How corruption opportunities have specific i t d b ti t d b tmeanings across sectors and between meanings across sectors and between

levelslevelsA hierarchy of corruption opportunities to A hierarchy of corruption opportunities to serve as a foundation for an accurate serve as a foundation for an accurate analysis of solutions.analysis of solutions.analysis of solutions. analysis of solutions.

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Structure of PresentationStructure of Presentation

1.1. Overview of factors promoting Overview of factors promoting t iti f t tit iti f t tiopportunities for corrupt practicesopportunities for corrupt practices

2.2. How to concretize the discussion at the How to concretize the discussion at the sector and unit levels: cases from the sector and unit levels: cases from the health care and education sectorshealth care and education sectors

1. Overview of Structural Conditions1. Overview of Structural Conditions

Institutional and organizational:Institutional and organizational:-- Complicated administrative proceduresComplicated administrative proceduresp pp p-- Discretion in decision makingDiscretion in decision making-- Lack of clear accountabilityLack of clear accountability-- Weak sanction mechanisms Weak sanction mechanisms -- Information asymmetryInformation asymmetryEconomic:Economic:-- Imbalance between demand and supply Imbalance between demand and supply -- Conflicts of interest Conflicts of interest -- BelowBelow--thethe--market pricingmarket pricing-- Supply monopolySupply monopolyCultural:Cultural:-- Lack of distinction between “price/fee”, “gift”, “tip”, and “bribe.”Lack of distinction between “price/fee”, “gift”, “tip”, and “bribe.”-- Absence of public interest ethics Absence of public interest ethics Political:Political:-- Maintenance of an existing monopolistic power structure or access through bribery.Maintenance of an existing monopolistic power structure or access through bribery.

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2.1 Case of the Health Sector (Based on 2.1 Case of the Health Sector (Based on ACD VI Report)ACD VI Report)

Situation: Different structural conditionsSituation: Different structural conditionsHanoi is the location of centrallyHanoi is the location of centrally--run health facilities but also has a wellrun health facilities but also has a well--developed developed sector of private providers. Health facilities in Hanoi are mostly crowded, serving sector of private providers. Health facilities in Hanoi are mostly crowded, serving

l f i i l l h fi d ll f i i l l h fi d l l l h lth f iliti t th i i ll l h lth f iliti t th i i lpeople of various income levels who find lowerpeople of various income levels who find lower--level health facilities at the provincial level health facilities at the provincial level inadequate.level inadequate. Despite the existence of private providers, patients have more Despite the existence of private providers, patients have more confidence in the specialized treatments available at public health facilities. Hanoi confidence in the specialized treatments available at public health facilities. Hanoi area health facilities rely on various sources of socialized income and price area health facilities rely on various sources of socialized income and price frameworks.frameworks.

Binh Duong runs provinceBinh Duong runs province--level hospitals.level hospitals. Overcrowding is not as serious as in Hanoi. Overcrowding is not as serious as in Hanoi. Public and private health care is separated. In Binh Duong, local private providers are Public and private health care is separated. In Binh Duong, local private providers are strong, if not direct, competitors to public sector health providers. The public and strong, if not direct, competitors to public sector health providers. The public and private sectors cater to different groups of patients; lowprivate sectors cater to different groups of patients; low--income patients go to public income patients go to public health facilities while middle and highhealth facilities while middle and high--income patients tend to go to private providers.income patients tend to go to private providers.

Ninh Thuan is a poor province but like Binh Duong, runs provincialNinh Thuan is a poor province but like Binh Duong, runs provincial--level hospitals. level hospitals. There is little public investment. A private health sector which provides more upscale There is little public investment. A private health sector which provides more upscale service exists, however middle and highservice exists, however middle and high--income patients tend to seek services in income patients tend to seek services in HCM City. HCM City.

2.1 Case of the Health Sector (cont.)2.1 Case of the Health Sector (cont.)

Corruption Risks:Corruption Risks:For the Hanoi area:For the Hanoi area:

++ Health workers motivated to maximize revenue at various stages of Health workers motivated to maximize revenue at various stages of medical provision including the use of medical equipment and the medical provision including the use of medical equipment and the prescription of drugs.prescription of drugs.+ Middle+ Middle--income patients (MIPs) motivated to “grease” or “speed” the income patients (MIPs) motivated to “grease” or “speed” the delivery of services. delivery of services.

In Binh Duong:In Binh Duong:+ Low+ Low--income patients cannot afford illegal payments to expedite services income patients cannot afford illegal payments to expedite services +Doctors’ absenteeism is likely. +Doctors’ absenteeism is likely.

In Ninh Thuan:In Ninh Thuan:-- Similar to Binh Duong, lowSimilar to Binh Duong, low--income patients do not offer informal payments income patients do not offer informal payments -- Doctor absenteeism is likely.Doctor absenteeism is likely.-- Owing to limited budgets, health providers are not tolerant towards the Owing to limited budgets, health providers are not tolerant towards the poor who cannot put up required deposits prior to hospital admission. poor who cannot put up required deposits prior to hospital admission.

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2.2 Access to Kindergarten2.2 Access to Kindergarten

Situation:Situation:Socialization of education and outSocialization of education and out--ofof--pocket paymentspocket paymentsG tG t l t d h l f f bli h ll t d h l f f bli h lGovernmentGovernment--regulated school fees for public schoolsregulated school fees for public schoolsStimulus funds for education infrastructureStimulus funds for education infrastructure

Corruption Risks:Corruption Risks:If there is a qualitative difference between schools, but no difference in If there is a qualitative difference between schools, but no difference in

school fees, parents make illegal “payments” to ensure access to school fees, parents make illegal “payments” to ensure access to quality schools (quality schools (chay truong)chay truong)

If there will be corrupt practices, they may take place between the If there will be corrupt practices, they may take place between the school and the parent; the parent and public officials; and/or theschool and the parent; the parent and public officials; and/or theschool and the parent; the parent and public officials; and/or the school and the parent; the parent and public officials; and/or the school and relevant authorities in the upper echelons enforcing school and relevant authorities in the upper echelons enforcing regulatory compliance.regulatory compliance.

2.2 Access to Kindergarten (cont.)2.2 Access to Kindergarten (cont.)

Factors determining corrupt practices:Factors determining corrupt practices:Parent calculationsParent calculations

+ Intensity of demand and alternatives of supply+ Intensity of demand and alternatives of supply+ Intensity of demand and alternatives of supply + Intensity of demand and alternatives of supply Structural conditions at the school level:Structural conditions at the school level:

+ Discretion of the school’s decision making power + Discretion of the school’s decision making power + Requirements and enforcement on class size (inst. & org. factors)+ Requirements and enforcement on class size (inst. & org. factors)+ Role of inspections and inspection compliance (inst. & org. factors)+ Role of inspections and inspection compliance (inst. & org. factors)

Social ConditionsSocial Conditions+ Presence or absence of a patronage network within the + Presence or absence of a patronage network within the bureaucracy and between public officials and citizens (social relations)bureaucracy and between public officials and citizens (social relations)+ Voices and opinions from other parents who might be affected from + Voices and opinions from other parents who might be affected from

d d h l ( blid d h l ( bli i t i t t l )i t i t t l )overcrowded schools (public overcrowded schools (public vs.vs. private interest value)private interest value)ValueValue

+ Relevant stakeholder definitions of “public interest”+ Relevant stakeholder definitions of “public interest”

5

ConclusionsConclusions

Levels of Corruption Levels of Corruption + how different factors have specific + how different factors have specific

impacts on specific public sector areasimpacts on specific public sector areas

Primary and secondary factorsPrimary and secondary factorsff+a hierarchy of corruption opportunities+a hierarchy of corruption opportunities

1



ASSESSING AND REGULATING ASSESSING AND REGULATING IRREGULAR FEESIRREGULAR FEES

Jacques Hallak & Muriel Poisson

© IIEP‐UNESCO

BackgroundBackground

Fees: adjustment variable in financing?

EFA d l i

2

• EFA and enrolment expansion• Decentralization and school autonomy• Financial constraints

School fee abolition initiative and the need to reduce inequities

Pressure to generate irregular fees


Pressure to generate irregular fees

2

OutlineOutline

I. Definition, typology and challenges

3

yp gy g

II. Methodologies to assess illegal fees

III. Meeting the challenges


4

I. Definition, typologyI. Definition, typologyand challengesand challenges


3

1. Legal and irregular fees: definitions1. Legal and irregular fees: definitions5

Direct fees: fees paid directly to the school or

Other fees: fees that involve payments to

school system (tuition, examination fees, activity or sport fees, building maintenance fees, school development fees, boarding fees)

commercial entities for books, supplies, uniforms, transportation, and meals/snacks and voluntary contributions made to PTAs or similar

i ti


organizations

Legal IllegalAuthorized Unauthorized

Irregular

% of primary school students % of primary school students receiving private tutoringreceiving private tutoring

6

b diCambodia 31% Kenya 69%

Egypt 58% Malta 50%

Hong Kong 45% South Korea 73%


India 39% Romania 32%

Japan 64% Taiwan 81%

4

2. Typology of fees2. Typology of fees7

% of households reporting expenditures on different categories of fees in primary education in selected countries. (Source: SFAU, 2009)


Main types of parents contributions to Main types of parents contributions to schools in Vietnam (in VND)schools in Vietnam (in VND)

8

e: PET

S 20

08, N

CG


Source

5

3. Causes for irregular fees3. Causes for irregular fees

Constraints on public financing

Low salaries of teachers and staff

9

Pressure for more enrolment

Lack of physical and didactic facilities

Teachers control student promotion

Exams have “a gate‐keeping function”

Competition among schools (league tables)


Competition among schools (league tables)

Changing rules and regulations

No explicit rules

4. Does monopoly cause illicit behaviour?4. Does monopoly cause illicit behaviour?10

Corruption = Monopoly + Discretion –Accountability

Illicit behaviour flourishes when agents:

Have monopoly power over their clients

Can exercise their discretion

Have weak accountability


This is true for schools imposing illegal fees

6

5. The risks attached5. The risks attached

Inequity in distribution: more resources to ‘rich schools’

L li f d d i di i f

11

Lower quality: funds are not used to improve conditions of schooling; to add income to teachers

Inadequate coverage: private institutions tend to locate where the contributive capacity is higher

Misuse of resources and corruption: promotion/transition of pupils/students and bribes; private tutoring to cover a


pupils/students and bribes; private tutoring to cover a share in the curriculum

12

II. Methodologies to assess II. Methodologies to assess irregular fees?irregular fees?

WARNING !


WARNING !

Stakeholders are usually reluctant to disclose information

related to irregular fees!

7

1. Household surveys in Uganda1. Household surveys in Uganda

13

Income 1995 Percent

Teachers’ salary payments by government 914 6 33%Teachers salary payments by government 914.6 33%

Capitation grants received by schools 58.3 2%Other government funding 147.1 5%Total government contribution 1,120.0 40%

Tuition collected 141.3 5 %Amount of tuition retained by schools 50.3 2 %PTA levies 1,032.7 36%

lHousehold


PTA salary payments 475.9 17%Total parent contribution 1,649.9 60%

TOTAL 2,769.9 100%

Source: Reinikka and Svensson, 1997

survey

2. Report Card, Bangladesh: sample2. Report Card, Bangladesh: sample

Survey conducted on 171 head teachers, 966 students and 966 guardians + 105 government

14

students and 966 guardians + 105 government, 40 non‐government, 14 satellite & 12 community primary schools

Primary schools selected by random sampling:

• Students of the 4th & 5th grades• Minimum 20 schools selected from each sub‐


district• 10 of those covered by the Government

‘Food for Education Programme’Source: Karim.S. et al., 2004.

8

2. Report Card, Bangladesh: results (2. Report Card, Bangladesh: results (ctdctd.).)

Ad i i i t i h l 8 6 BDT

15

Amount of illegal fees collected in 8 Upazillas:

Admission into primary schools 73 876 BDT

Entertaining government officers 435 049 BDT

First‐term examination fees 6 102 893 BDT

Second‐term examination 6 069 765 BDT

Annual examination 6 086 059 BDT


Total (including other fees) 19 849 000 BDT*

* US$ 350 000Source: Karim.S. et al. 2004

16

III. Meeting the challengesIII. Meeting the challenges


9

1. Publicize norms and standards*1. Publicize norms and standards*

Publicize norms and standards (by level of education) for raising fees to avoid corrupt practices (more transparency):

17

raising fees to avoid corrupt practices (more transparency):

By limiting the number of irregular fees

By imposing the maximum rates

By promoting self‐regulation through professional association

B di i i l d i l


By disseminating accurate, regular, and timely information

* The experience of Hong Kong* The experience of Hong Kong

Establish and maintain :

• a list of recognized irregular fees

18

g g• a list of schools with their system of fees

Campaign to educate parents on choice of a tutorial school

Warn operators and inform clients of their rights:

• information booklet, web site


,• list of registered tutorial schools (specifications,

premises, fees, offences)• list of unregistered schools (convictions)• stress on safety of premises

10

2. Compensatory measures for the poor2. Compensatory measures for the poor

Compensatory resources for the poor to address low contributive capacity

19

Equalization grants (practiced in most highly decentralized systems, e.g. USA)

Targeted grants to meet specific needs of underprivileged groups (as part poverty reduction strategies)*

Exemption of fees for lower socio economic


Exemption of fees for lower socio‐economic groups

* Targeting the most vulnerable in China* Targeting the most vulnerable in China

Regulatory principles of the Scholarship scheme of theGansu Basic project, China :

20

At least 70% of scholarship recipients should be girlsand at least 60% from ethnic minorities

In townships in which the enrolment rate is below 60%,half of the scholarship funds should be sued to supportchildren who never attended school


Only children from families with annual income of lessthan 300 yuan who have at heir disposal less than 300grams of grain per capita are eligible

11

3. Strengthening linkages between 3. Strengthening linkages between costs and resourcescosts and resources

Adequate service delivery, both in quantity and quality

21

requires proper costing and corresponding resources

Using cost norms as a basis for funding schools

Considering the value of “student basket”*

Acting gradually to take into account budgetary constraints


* Student basket in Lithuania* Student basket in Lithuania

Annual amount of resources to be spent for teaching one student (teachers’ salaries, teaching materials,

22

( , g ,management, pedagogical and social help)

Application to all public, municipal and state general education schools

In 2002: 1/3 of resources provided through the student basket; 2003: 2/3; 2004: full


12

23

4. Budget scrutiny in Victoria, Australia4. Budget scrutiny in Victoria, Australia

23

Standardizing and computerizing schools accounts: similar budget scrutiny processes, relying

t di d ti f fi i lon accurate recording and reporting of financial information through computerized accounting software

Routinizing control of school accounts: In Victoria, School councils scrutinize and approve the financial accounts on a monthly basis

External auditing of school accounts: The Auditor


External auditing of school accounts: The Auditor General, under the authority of the Audit Act 1994, has responsibility for the conduct of independent reviews and financial statement audits of public sector agencies, including schools

24

ConclusionConclusion

Need to take into account budget constraints

Irregular fees as a transitional mode of school financing?

In any case, need for proper regulation, and concern for equity

Transparency is key!


1

How to improve transparency and accountability in the education sector:

Road Map for 2020 in Vietnam

El D tElsa Duret, Budget Support AdvisorEducation sector

Outline

Conceptual framework for promoting transparency and accountability

Downward accountability: issues and progress in measuring student learning

2

outcomes

Upward accountability: what works to improve the delivery of quality education services

2

Corruption (potential) in educationUnofficial

Inputs(financial, human, material

resources allocated to schools)

Black Box of Processes

Outcomes(skills, knowledge)

Unofficial payments for

marks?

Unofficial payments for enrolment?

3

HR management corruption on State budgetState budget

(80-95% on recurrent spending)(Teacher recruitment & promotion,

teaching school/class allocation & extra hours, teaching allowances, etc.)

Procurement corruption on ODA investment projectsODA investment projects

(esp. on construction, teaching equipment,

textbooks)Wasteful spending/ high opportunity costs

Two approaches to reducing corruption opportunities in educationopportunities in education

Inputs(fi i l h Black Box of Outcomes

Improve efficiency of the production function

4

(financial, human, material resources

allocated to schools)Processes


Better measurement of outcomes

3

Outcomes

Inputs(financial, human,

material resources allocated to schools)

Black Box of Processes


5

standards and

transparency in outcomes

Building downward accountability

Measurement of Outcomes (1/3)Overview of Vietnam Assessment systemOverview of Vietnam Assessment system

Classroom assessmentContinuous assessmentPeriodical assessment (sem., year ass.)

ExaminationAdmission to Grade 10 examsSchool leaving exams (K12)-1 million student

12

Upper Secondary11

10

9

Lower Secondary8

7

6

School leaving exams (K12)-1 million studentUniversity & college entrance exams-1 million student

National surveysNational assessment on Grade 3+ 5 (primary)National assessment on Grade 6+9 ( LS)

International assessmentPISA 2012, PASEC (2010-2012), Pilot LAMP (2010-?)

6

5

Primary

4

3

2

1

4

Measurement of outcomes (2/3)Issues and ChallengesIssues and Challenges

Classroom assessments & exams are not standardized

National surveys in Math & Vietnamese have a low coverage are irregular are

12Upper

Secondary11

10

9 (2009)

Lower Secondary

8

7 Only source of

National surveys

7

coverage, are irregular, are program dependant (e.g. SEQAP) and are not fully institutionalized

Participation to international assessments is costly

PASEC (2,5); PISA (12 year old)

6 (2009)5 (pilot in 1999+2001+ 2007 + 2011+2014)

Primary4

3 ( pilot in 1999)

2

1

ycomparable data

on student learning

achievement

Measurement of outcomes (3/3)R d M t 2020Road Map to 2020

12

Upper Secondary11

10

9

Lower Secondary8

Plan to conduct national surveys of achievement periodically for Grades 5, 7, 9 and 11 in Math and Vietnamese and gradually expand to include other subjects.

8

7

6

5

Primary

4

3

2

1

Evaluation standards have been developed for all pre-tertiary education and schools will be evaluated against these at both local and national levels.

5

Inputs Black Box O t

Management

Inputs(financial, human,

material resources allocated to schools)

Black Box of

Processes


Level 1- Equitable allocation of h l

9

resources to schools

Level 2- Transformation of available resources into learning outcomes

Buildingupward

accountability

Equitable allocation of resources (1/6)Quality inputs approach: from national to minimum standardsQuality inputs approach: from national to minimum standards

National standards

Province

National standards (Mid 90s): by 2007 only 30% of schools have obtained NS label

Minimum standards

obtained NS label

Minimum standards (FSQL Pilot use in 2003)

6

Steady improvement of school resources …(2/6)Table 5 3 Summary of FII CalculationTable 5 3 Summary of FII CalculationTable 5.3. Summary of FII Calculation

No. Content groups Points 1 School organization and management; 262 Teaching staff; 27 3 Infrastructure, teaching and learning equipments; 254 Implementation of education socialization; 75 Education activities and quality. 15 Total 100

Table 5.3. Summary of FII CalculationNo. Content groups Points

1 School organization and management; 262 Teaching staff; 27 3 Infrastructure, teaching and learning equipments; 254 Implementation of education socialization; 75 Education activities and quality. 15 Total 100

and greater progress has been achieved di d t d d t di t i t (3/6)among disadvantaged and poorest districts (3/6)

Table 5.5. FSQL Input Index Nationwide and by Different Groupings1

Indicator FII (FSQL Input

Index)

Number of

Districts (2008)

Number of

Primary and

Secondary Schools

FII (2005)

FII (2006)

FII (2007)

FII (2008)

FII (2009)

Increase of FII (2005-2009)

SchoolsNationwide 677 15,610 65.0 67.8 68.9 69.6 70.9 5.9 Disadvantaged Districts

227 4,978 57.6 60.7 62.4 63.4 67.2 9.6

Advantaged Districts

246 5,528 71.5 74.1 75.1 75.4 74.7 3.2

Richest 133 2,649 69.1 72.5 73.1 73.4 72.2 3.1 Poorest 135 2,797 59.3 61.7 63.3 64.8 67.1 7.8

7

…but gaps persist in many basic resources in primary education (4/6)in primary education (4/6)

Bigger gaps are not among provinces or districts BUT among communes in VietnamThe poorest communities still tend to have the lowest amount of quality related resources (e.g. availability of t h ith hi h l l f d ti & t i iteachers with higher levels of education& training, instructional time)

key challenge as these children have fewer learning resources outside schools

Development of full day schooling is heterogeneous and based on cost-recovery (5/6)heterogeneous and based on cost recovery (5/6)

% of student in FDS : 43% (2003) – 59%(2008)The mode of adoption of FDS and the use of additional time vary across schoolsRural and disadvantaged areas lag behind: un-equalizing role of FDS so far

Table 5.15. Proportion of students in full day schooling

Nationwide Poorest districts 2004-2005

2005-2006

2006-2007

2007-2008

2008-2009

2004-2005

2005-2006

2006-2007

2007-2008

2008-2009

% of students with at least 30 periods per week 45% 49% 54% 56% 59% 14% 16% 21% 25% 30%

Source: MoET, Analysis of DFA Data in the School Year 2008-2009

Table 5.15. Proportion of students in full day schooling

Nationwide Poorest districts 2004-2005

2005-2006

2006-2007

2007-2008

2008-2009

2004-2005

2005-2006

2006-2007

2007-2008

2008-2009

% of students with at least 30 periods per week 45% 49% 54% 56% 59% 14% 16% 21% 25% 30%

Source: MoET, Analysis of DFA Data in the School Year 2008-2009

8

Private spending to cover tuition fees increase quality gaps (6/6)increase quality gaps (6/6)

% of education expenditure spent on tuition fees is correlated with income

-Q3/Q1 household: X7-Kinh/non Kinh: X5-urban/rural : X3

Tuition fees have increased over time: eg. for Q51998: 18 % of educational expenditure against 28.2 % in 2006 Tuition fees reflect access to higher quality education(incl. participation in FDS schools in primary)

Equitable allocation of resourcesRoad Map to 2020Road Map to 2020

All schools reach at least minimum standards through effective use of E-NTP (2011-2015)Setting up an efficient, equitable and sustainable policy framework for rolling-out FDS nation-wide (SEQAP) 2010-2015:

- Continue with the policy on ‘voluntary participation”- Implementation of SEQAP (support to 36 provinces and 1700disadvantaged schools to move to FDS)

2015 : 70% of all student in FDS (at least T30)

2020: 100% of all student in FDS (and more under T33, T35)

16

9

Effective transformation of inputs into outcomes (1/ What the data tell us ? (source HQEFA study)What the data tell us ? (source HQEFA study)The largest predictors of student achievement covers student and family background characteristics

However some teacher and school characteristics do matter

17

key education policy entry points

Student from EM appear especially affected by school/teacher quality instead of family background

Drivers of changes in the classroom (2/)Role of “effective teachers”Role of “effective teachers”

18

10

Drivers of changes in the classroom (3/)Role of “school management regime”

19

Effective transformation of inputs into outcomes Road Map to 2020Road Map to 2020

Focus on effective teachers: - Scale-up innovative teaching and learning

methodologies-- Teacher professional standards to include ATL

Focus on school mngt regime:Focus on school mngt regime: - Decentralization of authority and decision making

process at school level- Involvement of community in bottom-up planning process- School based funding formula

20

11

Thank youThank you

21

1

REGULATION ON THE CODE OF ETHICS OF TEACHERS AND EDUCATIONALTEACHERS AND EDUCATIONAL ADMINISTRATORS

Ministry of Education and Training

Contents

1. Code of Ethics2. Extra teaching and extra learning issues3. Future actions

2

I. REGULATION ON THE CODE OF ETHICS OF TEACHERS AND EDUCATIONAL ADMINISTRATORS

1. PerceptionsSome countries: by state administrators orSome countries: by state administrators or professional organizations. Identifying ethical and professional standards/values that sectoral staffs should follow. Viet Nam: Product of administrative/professional powersEthical approachppIdentification virtue (altitude, behavior) of staffs


2. Code of Ethics of Educators in Education Law of VietnamLaw of Vietnam

Educator’s prohibited behaviors :- Insult of the honor and dignity of students;- Fraud in admission, examination and student

assessment; - Distortion of curriculum;- Forcing students to attend extra classes for

financial purposes.

3


3. Recent policiesDecision 16/2008/QD-BGDDT dated 16/4/2008 by yMinister of Education and Training on the Regulation of the Code of Ethics of EducatorsObjective“It works a basis for educators to endeavor for self-training in order to fit a socially-acknowledged honorable teaching job, as one the basis for evaluation, classification and monitoring of teachers with an aim to enabling educators to possess firmly political braveryenabling educators to possess firmly political bravery, good quality and pure profession ethics, active self learning, continuously improved professional skills and teaching methods, standardized lifestyles and behaviors, to become a real example for students to follow”

I. QUY ĐỊNH ĐẠO ĐỨC VÀ ỨNG XỬ NGHỀ NGHIỆP GIÁO VIÊN, CÁN BỘ QUẢN LÝ CƠ SỞ GIÁO DỤC

3. Recent policiesDecision 16/2008/QD-BGDDT dated 16/4/2008 by Minister of Education

and Training on the Regulation of the Code of Ethics of Educatorsand Training on the Regulation of the Code of Ethics of EducatorsContents- Educators need to be dedicated and devoted to careers, to be fair in their professional activities, unceasingly improve their professional education and practice industriousness, thrift, integrity, justice. - Specific provisions on lifestyles and professional p p y paltitudes, dressing, relationship with others in their community and family- Prohibited practices: corruption, forcing students to attend extra classes for financial gains

4


3. Recent policiesCode of conduct of principalsCode of conduct of preschool, primary and secondary

school teachersObjectives- Teacher’s self evaluation

D l t f t h t i i d t i i- Development of teacher training and retraining curriculum

- Development of supportive policies


3. Recent policiesCode of conduct of preschool primary andCode of conduct of preschool, primary and secondary school teachers

ContentsA system of basic requirements on ethical and political values, lifestyle; knowledge, teaching methods to meet the needs of preschool, primary and secondary d ti th t b dj t d t i li ith ieducation that can be adjusted to go in line with socio-

economic conditions and education targets in different periods.

5


3. Recent policiesCode of conduct of preschoolIn practice

Teachers will be classified “poor” if they are committed to the following cases:- Insult of the honor and dignity of others;- Fraud in admission, examination and student assessment;

Distortion of curriculum;- Distortion of curriculum;- Forcing students to attend extra classes for financial purposes- Drug addiction or gambling or other social evils.


4.Some statisticsVarious cases of violation of the code of ethics ofVarious cases of violation of the code of ethics of teachers and administratorsIn 2007: 200 cases;In 2008: 122 cases;In 2009: 24 cases (12% of 2007).The number of insults of students’ dignity also reduces: 28 cases in 2008, 8 cases in 2009 (29% of the previous year).

6


5. Supportive measures(i) Organization of movements and campaigns in the sector( ) g p g

Directive 33/ 2006/CT-TTg dated 08/9/2006 by Prime Minister stipulating anti-malpractices and false achievements in education sector in cluding improved ethics of teachers and large campaigns - Organizing a movement on learning from and following an ethical sample of Hochiminh with an aim to enabling teachers and administrators to have profound understanding of the implication and values of the ethical sample of Ho Chi Minh; creating considerable changes in self-training and self-development to follow the ethical sample of Ho Chi Minh; improving ethical values such as p ; p gindustriousness, thrift, integrity, justice; avoiding ethical and political deterioration, lifestyle malpractices and other social evils.


5. Supportive measures(i) Organizing campaigns and movements in the sector ( ) g g p g

- Movement “Two Nos” (in school year 2006-2007 with two issues: saying no to cheating in examination and false achievment; in 2007-2008 with four issues: saying no to cheating in examination and false achievment , saying no to violation of the code of ethics of educators and saying no to permission on transfering disqualified students to higher level of education”); Movement “Every teacher as a moral self learning and- Movement “Every teacher as a moral, self learning and creative example”;Movement “Creating a friendly school with active students”.

7


5. Supportive measures(ii) Enhanced inspection and correction of violation of the code of ethics

of educatorsof educators- On 21/12/2007, Minister of Education and Training issued Decree 8077/CT-BGDDT on enhanced inspection and correction of violation of the code of ethics of educators- On 05/10/2009, MOET issued Document 8856/BGDDT-NGCBQLGD on inspection and correction of violation of the code of ethics of educators Contents: Violations of the code of ethics need to be stopped permanently byViolations of the code of ethics need to be stopped permanently by law and recovery should be made for their consequences; teachers who are devoted to their students, teaching and support disadvantaged students should be discovered timely and given relevant appreciation and awards.

II. Extra teaching and learning issues

1. EvidenceUnregulated teaching and learning- Unregulated teaching and learning,

- Students who do not attend extra classes getting bad marks in their tests (15 minute or 45 minute tests) or being unable to answer exam questions;- Organization of test preparation cources for year-end or level-end xams (unregulated)

8


2. Current situationExtra teaching:- Extra teaching:

+ Organized by schools: 44%+ Organized by teachers: 49%+ Organized by others: 36%- Extra learning+ On average, students attend 3.6 classes/week On average, students attend 3.6 classes/week + The rate is 45-49% as for good students, 35-49% as

for average students, 25% as for poor students


3. Causes

P d d ’ d l i d d- Parents and students’ awareness and altitude towards false achievement - Nonstop social pervasion- Disparities in education quality and infrastructure among schools - Financial burden on teachersFinancial burden on teachers- Pressure caused by colleagues and others

9

III. Future actions

1. The Code of ethicsKeeping a balance between teacher’s high demand and- Keeping a balance between teacher s high demand and limited living and working conditions

- Simplifying and streamlining regulations with clear objectives

- Spreading the application of the code of ethics of teachers, principals; concentrating on developing teacher and administrator training and retraining to helpteacher and administrator training and retraining to help them reach professional benchmarks

- Getting teachers involved in developing and complying with professional benchmarks

III. Future actions

2. Extra teaching and extra learning

- Advocacy of different aspects of extra teaching and learning for parents and teachers.

- Development of school culture, autonomy, accountability

- Enhanced school monitoring by the community and- Enhanced school monitoring by the community and social organizations

10

Thank you!

1



TEACHER CODES OF CONDUCTTEACHER CODES OF CONDUCT


© IIEP‐UNESCO

Acceptability of teacher attitudes and Acceptability of teacher attitudes and behaviours (IIEP Survey 2010)behaviours (IIEP Survey 2010)

2


2

Acceptability of teacher attitudes and Acceptability of teacher attitudes and behaviours (IIEP Survey 2010)behaviours (IIEP Survey 2010)

3


Outline of the presentationOutline of the presentation

I. Presentation of the codes

4

II. Design and enforcement by an autonomous entity (Hong Kong)

III. Design and enforcement by the education profession itself (Ontario)


3

5

I. Presentation of the codesI. Presentation of the codes


1. What is it about? 1. What is it about? 6

A code of conduct is a set of guidelines – a written document – produced by public authorities or by

professional organizations, which details the set of recognized ethical norms (or values) and professional

standards of conduct to which all members of a profession must adhere


profession must adhere

4

2. Objectives of the codes 2. Objectives of the codes

To promote a sense of professional identity among members of the profession

7

members of the profession

To enhance morale among members of the profession by formulating a set of recognised ethical standards to which all members of the profession should adhere

To provide self‐disciplinary guidelines for members of the profession by formulating norms of professional conduct


To obtain the community’s confidence in and support for the profession by emphasizing the social responsibilities of the profession towards the community

3. Content of the code3. Content of the code

Core values (ethics): integrity, honesty, truth, fairness, respect for others, that underpin the work of teachers

8

p , pStandards of conduct (behavior): commitments towards the pupils, parents, colleagues, employers and the profession, which should guide teachers in their daily activities*Professional norms (teaching) : Commitment towards the apprenticeship of pupils, professional knowledge,


the apprenticeship of pupils, professional knowledge, professional practice, continuous professionalization

5

9

Shall respect the learner’s right and dignity without prejudice to gender, place of origin, language, socio‐economic background etc

* Commitments toward pupils* Commitments toward pupils

economic background, etc.

Shall not favour or disadvantage certain students, in particular when marking scripts or correcting exams

Shall prohibit physical, verbal, psychological or sexual violence against a pupil in any form, coercive or consensual

Shall not take advantage of his/her professional


Shall not take advantage of his/her professional relationship with pupils for private gain.

Shall not divulge confidential information about pupils, except in very specific cases

4. Balance commitments/rights4. Balance commitments/rights

COMMITMENTS

A member of the profession:

RIGHTS

A member of the profession has the right

10

Shall not neglect his/her principal employment for the sake of personal interest

Shall not take advantage of his/her professional relationships with students for private gain

has the right :

To refuse to perform any non‐professional tasks which are irrelevant to his/her duties

To seek and to be fairly considered for any position with his/her qualifications

© IIEP‐UNESCOHallak & Poisson

p g

Shall not accept gratuities, gifts or favors that might impair professional judgment

with his/her qualifications

To be informed of evaluation procedures affecting himself/herself and to express his/her views

6

5. Planning the development of the code5. Planning the development of the code11

Source: P

oisson

, 200

9


6. “Useful instruments, not 6. “Useful instruments, not effectively enforced”effectively enforced”

CONSTRAINTS

limited access to the codes

SUGGESTIONSto simplify the codes and

12

limited access to the codesabsence of traininglow capacity to enforce the codeslittle knowledge of procedures for lodging complaints

p ymake them more relevantto facilitate access to the codesto strengthen mechanisms for dealing with complaintsto build ownership; etc


plack of “watchdogs”role played by teacher unionsno database on evidences of unethical practices; etc.

to build ownership; etc.

7

Problems for monitoring and control of Problems for monitoring and control of application of code (IIEP Survey 2010)application of code (IIEP Survey 2010)

13

The implementation of the code is notsupported by the law

The necessary resources were notmobilized

Insufficient sanctions are taken

The implementation of the code is notsupported by the public authorities

The implementation of the code is notsupported by the teachers

The implementation of the code is notsupported by the teachers unions

supported by the law


0% 10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

The general public ignores the proceduresfor filing a complaint

The complainants are afraid to file acomplaint

Too few sanctions are taken

with code without code

6. Two distinct models6. Two distinct models

14

1. Design and implementation by an autonomous body, e.g. Hong Kong

2. Design and implementation by teacher associations or colleges (auto‐regulation process), e.g. Ontario


8

II D i d II D i d f tf t

15

II. Design and II. Design and enforcementenforcementby an by an autonomousautonomous bodybody

‐‐Hong KongHong Kong‐‐


1. 1. Presentation of the Code for the Presentation of the Code for the Education profession of Hong KongEducation profession of Hong KongContext of the work undertaken by the Independent Commission Against Corruption (Hong Kong)

16

Commission Against Corruption (Hong Kong)

Report prepared by a visiting panel in 1982, suggesting the creation of a Hong Kong Teaching Service to foster professionalism

Preparation of the Code in 1990 by a Preparatory Committee with representatives of several educational organizations


Wide dissemination of the Code and integration of issues on professional conduct of teachers into various training courses (pre‐service and in‐service teacher training)

9

22. The Council of Professional Conduct . The Council of Professional Conduct (CPC) in Education(CPC) in Education

Established in: 1994

Obj i h d i h f i l

17

Objective: to enhance and monitor the professional conduct of teachers

Staff: 28 members: 14 teachers’ direct election + 11 elected among educational organizations + 3 appointed by the Department of Education (1 representative and 2 non‐education sector).


3 sub‐committees on: Code of Professional conduct ; promotion and publicity; case study (recommendation in case of dispute or alleged professional misconduct)

3. 3. Case handling proceduresCase handling procedures

1. Direct complaints/referred cases

18

2. Creation of a case panel of 3 members

3. Interview of the parties concerned

4. Preparation of a case study report (facts, inquiry process, findings, recommendations)

5 Reconciliation/judgement/punishment/release of the


5. Reconciliation/judgement/punishment/release of the findings of the case study (no disclosing of names)

Source: Saidi, 2000.

10

III. Design and enforcement III. Design and enforcement

19

by the education profession by the education profession ‐‐OntarioOntario‐‐


1. Context1. Context20

We recommend that a professional self‐regulatory body for teaching, the Ontario College of Teachers, be established,

“g, g , ,

with the powers, duties, and membership of the College set out in legislation.

The College should be responsible for determining professional standards, certification, and accreditation of teacher education programs.

Professional educators should form a majority of the


Professional educators should form a majority of the membership of the College, with substantial representation of non‐educators from the community at large.

”

11

2. College of teachers2. College of teachers

Standards of Practice and Ethical Standards used to accredit teacher education programs (16 requirements) in

21

accredit teacher education programs (16 requirements) in Ontario universities

A self‐governing mechanism and an integral process that provides an approach for monitoring professional misconduct (quality assurance)

Viewed as true system of accountability (road to integrity)


3. Prerequisites and conditions3. Prerequisites and conditionsPrerequisite and conditions satisfied:

Participatory process of consultation (6 months, 600 people)

22

people)Formal approval (College’s Governing Council)Gradual implementation: capacity building and information

Conditions and pre requisites partly complied with:Discipline committee determines allegation of incompetence or professional misconductI i i i i i l i ( i


Investigation committee investigates complaints ( 150 in 2003)But only some disciplinary actions are controlled by the profession (certification under the MOE)

12

Focus!Focus!WhatWhat power of sanction?power of sanction?

I H K th CPC h ti ll d i

23

In Hong Kong, the CPC has essentially an advisory role

Similarly, the Ontario Teachers’ Federation (Canada) has no power to revoke the registration of a teacher for misconduct (authority of the MOE)

On the contrary, the General Teaching Council in


On the contrary, the General Teaching Council in Scotland is entitled to cancel the registration of teachers (self‐regulatory body)

Pros and cons of the two modelsPros and cons of the two models24

PROs CONs

Quick to fixDesign and enforcement by an autonomous body

Useful in context where the education profession is not well organized

Centralized and authoritative approach

Participatory CostlyLow capacity of


Design and enforcement by the education profession

approachOwnership by the professionPromotion of ethics

sanctionRequires a minimum capacity by the profession to manage itself

13


Simplify the norms and make them as relevant as possible

Define clearly their objectives

25

y j

Promote ownership by involving the teaching profession in their design and implementation

Ensure their wide diffusion (establish social and professional control mechanisms for their enforcement)

Strengthen complaints systems *


g p y

Include the issue of professional conduct in pre‐service and in‐service teacher training

VISIT OUR PLATFORM ON CODESVISIT OUR PLATFORM ON CODES

26

Hallak & Poisson © IIEP‐UNESCOhttp://teachercodes.iiep.unesco.org

1



ACADEMIC FRAUD, QUALITY ACADEMIC FRAUD, QUALITY ASSURANCE AND ACCREDITATION IN ASSURANCE AND ACCREDITATION IN

TERTIARY EDUCATIONTERTIARY EDUCATION

J H ll k & M i l P iJacques Hallak & Muriel Poisson

© IIEP‐UNESCO

Introduction: few challengesIntroduction: few challenges

From 28 M students in 1970 to 144 M in 2006

Academic fraud

2

Academic fraud

From traditional HE institutions towards private, extra‐mural, distance, e‐education, etc.

Accreditation fraud

More than 2.5 million students enrolled in


transnational education; HE: 5th largest service sector of export in the US

Fraud in trans‐border education

2

OutlineOutline

I. Areas for potential malpractices

3

p p

II. Strategies to improve transparency and accountability (5 axes)


4

I. Areas I. Areas for potential for potential malpracticesmalpractices


3

1. Forms of academic fraud1. Forms of academic fraud5

Steps Malpractices

Examination

• Leakage or selling of exam questions• Test preparation (private tutoring)• Impersonation external assistance

development• Impersonation, external assistance• Substitution of scripts• Ghost examination centers

Marking of exams • Favoritism, nepotism, bribes

Recording results and issuing

• Manipulation of exam results• Issuance of fake degrees and


and issuing diplomas

• Issuance of fake degrees and credentials (diploma mills)

Use of results• Bribes to obtain admission to

university/fellowships/fee‐free seats

Research • Plagiarism, falsification of data, results

Academic fraud on the riseAcademic fraud on the riseUK: half of Britain’s university students are prepared to cheat in their exams by handling in essays bought off the internet

Vi t th % f th t d t t d h ti t

6

Vietnam: more than 95% of the students reported cheating at least once in a class; almost all the faculty and administrators admitted receiving payments to give higher grades or assist/guarantee a student admission to a university

USA: the State of Michigan lists 600 fake, unauthorized or substandard institutions

New South Wales: fake degrees are on sale from at least 40


Source: Observatory on Borderless Higher education, 2005; International Higher Education 2008

g 4sources in Australia

South Africa: it is estimated that 15 % of south Africans obtained their employment using bogus qualifications

4

HighHigh‐‐stake testing and fraud: stake testing and fraud: lessons from the USlessons from the US

Administrator and teachers cheating

7

Student cheating

Exclusion of low performance student from testing

Misrepresentation of drop out

Teaching to the test

Narrowing the curriculum


Narrowing the curriculum

Conflicting accountability rating

Source: Nicolas and Berliner, 2005.

2. Forms of fraud in accreditation & QA2. Forms of fraud in accreditation & QA8

Steps Malpractices

Definition of accreditation and QA

• Use on non‐transparent criteria• Fraudulent or bogus accreditation accreditation and QA

criteria• Fraudulent or bogus accreditation

agencies (accreditation mills)

Accrediting process

• Bribes to obtain successful certification/accreditation

• Non‐accredited institutions issuing accredited degrees

• Distortion in the application of the


Accreditation implementation and supervision*

• Distortion in the application of the accreditation criteria

• Circumvention of accreditation (franchising schemes)

• Profit‐making schools lying about their accreditation status

5

* Accreditation fraud in Ukraine* Accreditation fraud in Ukraine

Interviews conducted with 43 rectors, vice rectors, and administrators at 5 private universities showed h

9

that:

Successful licensing or accreditation applications, with few exceptions, require some form of bribery

Licensing, required only of private institutions, may involve a bribe of US$ 200 (about two months’ salary for a typical academic)


Source: Stetar et al., 2005

for a typical academic)

Accreditation may call for a 10 or 20 times greater “gratuity”

3. Fraud in trans boarder education3. Fraud in trans boarder education10

Steps Forms of malpractice

Applicants using fake credentials to d

Management of overseas students

gain admittanceBogus institutions not delivering the services they advertiseAgencies and courses without proper accreditation listed on official lists for international students


Franchising of overseas courses

Corrupt officers making money from issuing licenses and franchise rightsNumber of failing students minimizedPressure on teaching staff to adjust marking standards

6

Plagiarism scandal in Plagiarism scandal in an offan off‐‐shore university, Malaysiashore university, Malaysia

11

Australia's Education Minister raised concerns that a plagiarism scandal involving Malaysian students at an Australian run university would damage higher Malaysian students at an Australian‐run university would damage higher education exports worth billions of dollars.

Brendan Nelson urged Newcastle University to reopen a case in which it secretly re‐marked the assignments of 15 students who had been failed for plagiarism at a campus it runs in Malaysia. The 15 were initially awarded zero marks for using unattributed material from the Internet in an assignment, but their former lecturer claims the university overruled his decision because it was concerned about losing revenue from offshore students. The students at the university's graduate school of


Slowing down of international student recruitment?

revenue from offshore students. The students at the university s graduate school of business in Kuala Lumpur were subsequently issued pass marks, some of them receiving distinctions.

12

II.II.Strategies to improve Strategies to improve transparency and accountabilitytransparency and accountability


7

Axis 1. Transparent testing/admission Axis 1. Transparent testing/admission processesprocesses

Clear admission criteria and procedures

Outsourcing the management of exams (SSAC)

13

Outsourcing the management of exams (SSAC)

Reliable and transparent mechanisms for administering exams (confidentiality, security, anonymity), using computerized techniques

Strengthened links between eligibility and opportunities for access


Yet difficulties:

• Where to put the cut score?

• Allotment of scholarships/fee‐free seats

Kyrgyzstan: from exams to testsKyrgyzstan: from exams to tests

Since 2002, admission into universities is based on the National Scholarship Test (NST):

14

• Run by an Independent Testing Organization• Standardized multiple‐choice aptitude tests• Administered with strict security measures• Sheets are scanned and graded by computer

NST supported throughout the country:• Transparency: Nation wide objective

India: MOE proposing in 2010 a single

national entrance test

for universities

and


Transparency: Nation wide objective assessment of knowledge and skills

• Equity: Determine eligibility for scholarship• Quality: assess ability for access to HESource: Drummond, 2005.

and professional institutions

8

Axis 2. Neutrality of QA mechanisms Axis 2. Neutrality of QA mechanisms

Establishment of autonomous professional bodies, with fair representation of stakeholders

15

fair representation of stakeholders

Creation of independent organizations or private consulting companies for accreditation (Australia Quality Assurance Association)

Transparent standards for quality assurance (UNESCO‐OECD guidelines)


Yet difficulties:

• Selection and training of peer reviewers• Maintaining real autonomy from government

Australian Quality Assurance (AUQA)Australian Quality Assurance (AUQA)

Established under the Australian Corporations Law as a not‐for‐profit company

16

Manage a system of periodic audits of quality assurance arrangements relating to the activities of Australian universitiesMonitor, review, analyze and provide public reports on quality assurance arrangements in SAIs, on the processes and procedures of accreditation authorities,


and on the impact of those processes on the quality of programsReport on the criteria for the accreditation of new universities and non‐university higher education coursesSource: www.auqa.edu.au

9

Axis 3. Codes of practiceAxis 3. Codes of practiceApplicable to different sectors, professions and levels of education. At higher education, it can relate to:

• Quality assurance: crucial dimension

17

• Academic fraud: integrity of stakeholders• Other corrupt practices: management, tutoring, etc.• Accreditation: criteria and scoring (CHEA, QAA)

Yet difficulties:

• Lack of information• Weak enforcement


• Weak enforcement

Preconditions:

• Participatory procedures (design and maintenance)• Proper information system (content and penalties)• Training of key stakeholders

Research integrity code, 2010Research integrity code, 2010

Research Integrity

Definition

5. Authorship

6. Publication Credits

18

Principle

1. Honesty

2. Serious, Deliberate Dishonesty

3. Policies for Responding to

7. Conflict of Interest

8. Data Management

9. Data Interpretation

10. Adherence to Regulations

11 Public Advocacy


Serious Deliberate Dishonesty

4. Questionable Research Practices

11. Public Advocacy

12. Research Environments

13. Responsibility to Society

Source: Second World Conference on Scientific Integrity, 21‐24 July

10

Axis 4. Transparent management toolsAxis 4. Transparent management tools

Systematic use of ICTs to detect fraud (Philippines), check plagiarism (www turnitin com) administer exams

19

check plagiarism (www.turnitin.com), administer exams (Azerbaijan), curb the use of fake degrees through micro chips (India)

More efficient control mechanisms (University Grants Commission of India)

Increase the costs of corrupt practices in the


examination processes (China) and access to the labor market

Ontario: College of TeachersOntario: College of Teachers

Standards of Practice and Ethical Standards used to accredit teacher education programs (16

20

accredit teacher education programs (16 requirements) in Ontario universities

A self‐governing mechanism and an integral process that provides an approach for monitoring professional misconduct (quality assurance)

Investigation committee investigates complaints


(in 2003 about 150)

Viewed as true system of accountability (road to integrity)

11

Axis 5Axis 5. Ownership and access to information. Ownership and access to information

Reliable and user‐friendly information systems on HE and accrediting agencies (including foreign programs and i i i )

21

institutions)

Social control of service delivery by end‐users : powerful mechanism for detecting distorted practices

To exact public accountability through:

• better access to information of users (norms and l i di i i i )


regulations, directories, university accounts, etc.)• increased student mobilization (participatory surveys on

academic fraud)• establishment of whistleblowers or complaint

mechanisms

Development of onDevelopment of on‐‐line servicesline services

Publicization of recruitment fairs, courses requirements and help‐lines (South Africa)

22

Directories of courses of institutions accredited (Distance Education and Training Council)

Reliable and user‐friendly information systems on accrediting agencies (International Association of University Presidents)


List of unapproved accrediting agencies (www.michigan.gov)

12


Need to address academic and accreditation fraud

23

because it throws the doubt on the quality of diploma and degree holders

Need to reduce misuse of funds since it reduces the overall resources available to improve access, quality and equity issues at tertiary education level


1

Transparency in private universities and colleges

Prof. Dr. Pham Huy DungThang Long University

The private university sector

• Development of the private university sector in the RDV/SRV (1988 1994 2010)sector in the RDV/SRV (1988, 1994, 2010)

• Institutions/ teachers/ students2000 2005 2009

Number of institutionsPublic 145 243 326Private 30 34 77

Number of teachers (1000)Public 27,9 42 57,5Private 4,5 6,6 7,6

Number of students (1000)Public 795,6 1226,7 1547,4Private 103,9 160,4 245,8

2

Thang Long University

• Thang Long University Center (1998-1994)1994)

• Thang Long (Community) University (1994- 2005)

• Thang Long (Private) University (From 2005)2005)

Issues of Transparency and accountability

• Student expectation (open education package) G t l ti• Government regulations

• Institutional Convention

MOET supervisions

• Objectivity• Transparency

3

The 1998 problem of Thang Long University

• Problem:The Rector had no accountant– The Rector had no accountant

– Accounting implemented by a company close to the rector

• Solution– The Council of the University oblige the rector to have

the accountant for the universityy• Transparency:

– Corruption/ Violation of transparency or mistake?

Recommendations

• Cross inspection between the Board of Di t d th U i it C ilDirectors and the University Council

• MOET supervision• Open education package

4

Questions

• Change of (community) institutions to ( i t ) i tit ti f t(private) institutions for more transparency and accountability?

• What about “for-profit” and “not-for-profit” regulations?

• Open procedures for obtaining operation• Open procedures for obtaining operation licenses or delegation/ decentralization of power?

1

METHODOLOGICAL TOOLS TO



METHODOLOGICAL TOOLS TO MONITOR CORRUPT PRACTICES

PETS, QSDS and Report Cards

Jacques Hallak & Muriel Poissonq

© IIEP‐UNESCO

Monitoring corrupt practicesMonitoring corrupt practices

Combining different approaches :

2

Objective: public expenditure tracking surveys (PETS) and quantitative service delivery surveys (QSDS)

Subjective: perception of service delivery (report cards)


2

FactFact findingfinding versus perceptionversus perception3

I. Fact finding

Objective data (MoE/

Institutions)

PETS

II. ‘Perception’

Subjective data

(T h /S d )

• Organizational (management, central & local level)

• Human resources (‘ghost’ teachers, absenteeism, recruitment)

• Financing (financial statements of an activity/entity, budget, fund raising)


(Teachers/Student)

Participatory assessment

• Procurement (tendering)

OutlineOutline

I PETS QSDS report cards: definitions

4

I. PETS, QSDS, report cards: definitions

II. Methodological steps involved

III. Major findings: illustrative examples


3

5

I. PETS, QSDS, report I. PETS, QSDS, report cardscards: : definitionsdefinitions


1. Definition of Public Expenditure 1. Definition of Public Expenditure Tracking Surveys (PETS)Tracking Surveys (PETS)

Objective:

6

j

To locate and measure leakages and identify causes to propose remedies

Initiated in Uganda in 1996

Since then, several dozens of PETS implemented


worldwide: Cambodia, Ghana, Kenya, Mongolia, Namibia, Papua New Guinea, Peru, Tanzania, Zambia, etc.

4

2. 2. Definition of Quantitative Definition of Quantitative Service Delivery Surveys (QSDS)Service Delivery Surveys (QSDS)

Objectives:

7

To examine the efficiency of public spending in education; e.g. availability of textbooks per pupil in the classroom

To analyze the various dimensions of service delivery on the frontline (schools); e.g. number of teaching hours per week


Implemented in Bangladesh, Ecuador, India, Indonesia, Peru, etc., often in combination with a PETS

Example of combination Example of combination PETS/QSDS: the case of VietnamPETS/QSDS: the case of Vietnam

8

What are the sources of income at the school level?

How much of public funding reaches the service delivery “

How much of public funding reaches the service delivery institutions financing their actual expenditure?

What is the overall structure of the sub‐sector expenditure per level and activities?

What is the structure of expenditure at school levels like salaries, investments, i.e. resources available for

Hallak & Poisson © IIEP‐UNESCOSource: PETS 2008, NCG

discretionary expenditure for school improvement?

To what extent do public transfers allow non‐discretionary expenditure e.g. school level dependence on user charges and other contributions for school?” ”

5

3. Definition of report cards3. Definition of report cards

Objectives:

T id i i f db k i d

9

To provide quantitative feedback on user perceptions and knowledge on the quality, adequacy and efficiency of public services

To exact public accountability through the extensive media coverage and civil society advocacy that accompanies the process


Implemented in countries worldwide (Latin America, USA, Bangladesh, etc.)

10

II. II. MethodologicalMethodological stepsstepsinvolvedinvolved


6

1. Objectives and aims1. Objectives and aimsAgree on purpose and objectives through consultation of stakeholders:

Mi i t i d ti fi l i t

11

• Ministries: education, finance, planning, etc.• Donors• Civil society: PTA, teachers’ unions, etc.

Identify:

• Key questions and tentative answers*• Resource flow and rules for allocation

R l f bli d i t h l


• Roles of public and private schools

Take into account:

• Data availability• Local capacity to carry out the survey

* Question and tentative answers: * Question and tentative answers: PETS ZambiaPETS Zambia

Question: Why does school enrolment decrease, especially in poor communities despite increased

12

especially in poor communities, despite increased government funding?

Tentative answers:

• Discretionary funds (major part of government allocations) do not reach all schools

• Rule based funds reach all schools


• Rule‐based funds reach all schools

• Due to bargaining power, schools with wealthy parents get more discretionary funds per pupil

7

2. Questionnaires (2. Questionnaires (unitsunits of of analysisanalysis))13

PETS QSDS Report cards

MOERegions/provincesDistricts Schools*Households

Schools Classroom Households

SchoolsTeachersParent teacher associationsPupils

Audit of flow of Observation of Evaluation by target


Audit of flow of funds (external entity)

Observation of service delivery (external entity)

group(beneficiaries) of service delivery

* School survey questionnaire* School survey questionnaire14

Did the school receive any funding (money or in‐kind) from Central Government over the last 4 years? Y/N Allowance type Unit value

LunchDoes the staff receive salaries, allowances or any other kind of funding for staff (money or in‐kind) from Central Government? Y/N

Are salaries from Central Government received with delays? Y/NIf yes, how long (in months) is the typical delay?

TransportHousingTop‐upOther (Specify)

Does the staff receive in‐kind support from Central Government? Y/N

If yes what type of in kind support does


typical delay?

Does the staff receive allowances from Central Government? Y/NIf yes, for what type of allowances were moneys received?

If yes, what type of in‐kind support does the staff receive?

Questionnaires arealways field‐tested

8

3. 3. Sampling designSampling designSample survey methodology

Data collected on a sample of schools

Sample representative of all schools in the country

15

Avoid biased sample (with unusual schools)

To design a representative sample, use the stratification method

• Cost consideration• Helpful in documenting questions raised

D t i i th H d t h t d t d t t


Determining the size of sample

Head teachers, students and parents + government, non‐government, satellite and community primary schools

Preparing the sampling list

Random samplingEx. Students of the 4th & 5th grades. Minimum 20 schools selected from each sub‐district; other criteria

4. 4. Implementation of PETS/QSDS/RCImplementation of PETS/QSDS/RC

Checking of available data: school list complete? Reliable ?

T il li i d i i l Tests on a pilot sampling: time to administer, translate, produce

Recruitment of a multidisciplinary team: training of enumerators, supervisors

Survey implementation: data collection, management, analysis and synthesis writing of the final report


analysis and synthesis, writing of the final report

9

5. Data management5. Data management17

Preparation of a data user guide

Data collection (official letters, guidelines and manuals, daily routine)

Data entry and cleaning (quality controls)

To organize training on field testing and data entry (http://www.census.gov/ipc/www/cspro)


6. Training and planning6. Training and planning

Assess the capability of each staff

Go through pilot work done and discuss with each

18

g pindividual/pair

Test all aspects of the survey: duration, staff, sampling, supervision, communication

Organize one day review training and determine modification of questionnaire required


Prepare detailed implementation manual

Establish cost of work: staff, transport, communication, data analysis, etc.

10

* Key issues: Who can do it?* Key issues: Who can do it?

Roles of MOE officials and of entities in charge of data collection

19

data collection

Universities, research centres?

National institute of statistics?

NGOs?

Local or international consultants?


Capacity building objectives?

Who does the analysis?

20

III. Major III. Major findingsfindings: : illustrative illustrative examplesexamples


11

1. Analysis1. AnalysisRenew contacts as soon as analysis begins, with Government and other stakeholders to:

• Help to build govt ownership of the study

21

Help to build govt ownership of the study• Increase chances that recommendations following the

analysis will suit govt’s goals

For managers and policy makers, two complementary tasks:

• Analysis of leakage: locating and measuring (PETS)• Analysis of outputs and efficiency of service delivery (QSDS,

RC)


)• Analysis of causes to propose remedies

For researchers, other tasks:

• Equity analysis• Econometric studies, etc.

2. PETS: leakage of non2. PETS: leakage of non‐‐wage fundswage funds

Country Year Fund Sample Leakage

Ghana 1998 Nonwage 126 49 %

22

k.G a a 998 o age 6 49%

Peru 2001 Utilities 100 30 %

Tanzania 1998 Nonwage 45 57 %

Uganda 1995 Capit grt 250 87 %

Zambia 2001 Fixed grt 182 10 %

Zambia 2001 Discr. grt 182 76 %

Source: W

orld Ban

k


g 7

PETS VIETNAM

A PETS carried out in 2005/2006 in 4 provinces suggest that the leakage (unspecified expenditures) could be between 13 and 19% ?

12

2. PETS: leakage and enrolment2. PETS: leakage and enrolment

120

Uganda

40

60

80

100

Leak

age %

Série1

g


Source: World Bank.

0

20

1 2 3 4 5 6 7 8 9 10 11

Enrollment index

3. QSDS: e3. QSDS: efficiencyfficiency of teacher supplyof teacher supplyPNG 2002: decrease of the real teacher supply

24

10085

72 68

20

40

60

80

100


0Registered teachers

Minus “ghost

teachers”

Minus absent teachers

Minus schools closed “due to lack of

teachers”

13

Nber of countriesCorr. + Corr. ‐

Age 2 0

3. QSDS: correlation of teacher 3. QSDS: correlation of teacher absenteeism in 5 countriesabsenteeism in 5 countries 1 1

25

Salaries Age 2 0Education level 2 0School director 2 0

Control and disciplineSupervision 0 3Involvment in PTA 1 2

Working conditionsInfrastructure quality 1 4Isolation 1 1Multigrade classes 1 1Local recruitment 0 0


Intrinsic motivationLocal recruitment 0 0Tenure 0 0Continuous training 1 1

Contractual status Teacher contract 2 (sur 4) 0

1 Bangladesh, Ecuador, India, Indonesia, Peru

4. Report card: comparative 4. Report card: comparative study by PREALstudy by PREAL

26


14


To get a reliable diagnosis of supply, need to combine different types of surveys:

27

• PETS• QSDS• Report cards• Perception surveys• Others

Need to combine the results of various surveys


y(households, tests, etc.)

1

Vietnam Primary Education Public ExpenditurePublic Expenditure Tracking Survey (PETS 2007)

Preface

• The 2007 Vietnam primary education PETS l d b J Cl fPETS was led by Jens Claussen of Nordic Consulting Group (NCG)

• PETS is about improving the efficiency of state spending not revealingof state spending, not revealing corruption as such (“answer policy-relevant questions”)

2

PETS questions

• Who finances primary education in Vietnam?• Who spends the money?• Who spends the money?• How much reaches the service delivery institutions?• What is it spent on?• What is the structure of spending at school level?• Is public funding allocated equitably (pro-poor)?• Is the story different across provinces and

districts? Why?

PETS is…

• A tool (methodology) for answering many questions about the reality y q y(testing the theory) of financial flows.

• Where practice does not match theory it is rarely due to “corruption”.

• PETS also produces performance i di h l di iindicators to compare schools, districts, provinces.

3

PETS support PERs

• Public Expenditure Reviews are comprehensive but lack detail at thecomprehensive but lack detail at the school level.

• PETS look at the actual structure and levels of income (including private) and spending at school levels, examining p g gthe efficiency and effectiveness of spending at school level.

Main Sources of Information

4

IMPLEMENTATION

• Four MoF and four MOET staff joined NCG and MKE

• MKE implemented the survey, entering data on to computers for cross-checking of different sources (“triangulation”)of different sources ( triangulation ).

72% reaches the schools

5

RESULTS – Raise as many questions as they answer

Fees are important

6

Parent Contributions…

…were sometimes above regulations

7

Data varied across Provinces

Salaries are the main recurrent cost

8

Economies of Scale

Main Findings (1)

• Significant variations in (state and private) funding and spending across p ) g p gschools, districts, provinces.

• The poorest provinces, Lao Cai and Gia Lai received the most state funds per student.Th i h i H i Ph• The richest province, Hai Phong, spent less per student (economies of scale?)

9

Main Findings (2)

• 72% of primary education budget spent at school level (high internationally)( g y)

• Hai Phong and Dong Thap were “administration heavy” (25% of funds stayed at district level).

• Some schools have fewer teachers than are h d h l S di icharged to school accounts. Some districts,

for example, charged administrative staff as personnel expenditures at schools.

Main Findings (3)

• Average (surveyed) state spending per student was 87% of Treasury/BOET yrecords (schools should manage their own accounts).

• Private funding accounted for 14% of total primary education funding (sometimes counted as public revenue)(sometimes counted as public revenue)

• Much variation even within districts on structures of revenues and expenditures.

10

Corruption?

• Nothing obvious, nothing serious• Targeting poorest provinces workingg g p p g• Budget line confusions at BOET level• Private fees various and important

(urban) but only loosely follow regulations (problem?)

• Definitions: need centralisation • Variation even within-districts suggests

need to make school-level norms and procedures more consistent.

Policy Recommendations

• School level share in some districts should increase (performance (pindicator).

• Review and simplify private funding policies

• Review options for improved targeting f f dof state funds

• Research and clarify definitions (including of budget lines) to improve statistical reporting

11

PETS Recommendations

• Encourage academic analysis of PETS (and FSQL)( )

• Use annual PETS (samples) to develop small set of performance indicators (e.g. private funding share; school-level share; etc.)R h d i• Report has recommendations to improve survey and be cost-effective

Questions?For full PETS report e-mail:[email protected]

1



BUILDING AN ACCOUNTABILITY FRAMEWORK IN THE EDUCATION SECTOR

Jacques Hallak & Muriel PoissonJacques Hallak & Muriel Poisson

© IIEP-UNESCO

Introduction Introduction 2

Need for a comprehensive view of the implementation of the anti corruption plan for the education sectorof the anti‐corruption plan for the education sector

Need to ensure that different actors and stakeholders respect their commitment in its implementation

Need for an accountability framework


2

OutlineOutline

I. Definition and concepts

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II. Accountability framework for an integrated anti‐corruption strategy

III. Accountability frameworks applied to four key areas of management


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I. Definition and conceptsI. Definition and concepts


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1. Accountability models1. Accountability models

Bureaucratic / administrative: compliance with t t t d l ti

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statutes and regulations

Professional: adherence to professional standards and norms

Market: regulating quality assurance of institutions


Source: Anderson, 2004

2. Lines of accountability2. Lines of accountability6

Short and long routes of accountability

Relationships of accountability have five featuresaccountability have five features


Source: World Development Report, 2004.

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3. Targeting the process3. Targeting the process

For our purpose, four main targets, accountability to:

• Beneficiaries/users (students parents socio

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• Beneficiaries/users (students, parents, socio‐economic groups…)

• Officers at different layers of the education profession

• Officers at different layers of the administration

• Government Parliament political parties


• Government, Parliament, political parties

4. The rationale4. The rationale8

Red‐flags*, other warning signals

Broad sectoral assessment

Using tools e.g PETS, QSDS RC

Annual operational plan and budget

Broad sectoral assessment

Anti corruption action plan

Set of explicit targets

QSDS, RC, risk analysis


p p g

Set of related monitoring indicators

Related measurement tools

Input and output

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5. Awareness indicators5. Awareness indicators

One of the keys to success in detecting fraud is the possibility to spot anomalies also called ‘red flags’

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possibility to spot anomalies, also called red flags

Situations or occurrences within a program or

activity that can indicate susceptibility of corruption


In education, these may include…*

* Examples of awareness indicators* Examples of awareness indicators10

Areas ‘Red‐flags’

School building, rehabilitation

• Many sub‐contractors• Lack of clear contracts/ vague or no specification • Too short contracting processToo short contracting process

Equipment, textbooks, food

• Supply of inferior materials or less equipment• ‘Timeliness’ is not respected (meals must arrive in a timely, regular and

continuous way)

Teachers appointment

• Appointment of family/close friends

Teacher behaviour• Very high teacher/student ratio according to the ‘lists’• Low salaries, extravagant lifestyle of employees


Examinations & diplomas

• Teachers do not get paid for conducting examinations• Very high % of students pass the exams

Finance

• Lack or seldom internal and external control• Unusual transfers• Signing of cheques/credit card in the hands of only one person/not

controlled

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II Accountability framework II Accountability framework

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II. Accountability framework II. Accountability framework for an integrated antifor an integrated anti‐‐corruption strategycorruption strategy


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Creation and maintenance of regulatory systems

The ‘virtuous triangle’The ‘virtuous triangle’

regulatory systems


Encouragement of enhanced ownership

Strengthening management capacities

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1. 1. Creation and maintenance of Creation and maintenance of transparent regulatory systemstransparent regulatory systems

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Priority action areas Possible indicators

d f l d l l d f f b lNeed for clear norms and regulations, transparent procedures and an explicit policy framework

Explicit definition of responsibilities in the procedures of recruitment of teachers

Linking incentives to making accountable institutions and individuals

Precise criteria for targeting subsidiesFormula used for funding schools designed in a way that reduces room for manipulation

Standardization of procedures: financial, Common financial framework for all


p ,human resource management, procurement rules

primary schools adopted

Design of ethical standards and codes of conduct targeted at the education personnel (academic and administrative)

Progress in the adoption of the codeNumber of complaints registered

2. 2. Strengthening management Strengthening management capacities for greater accountabilitycapacities for greater accountability

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Priority action areas Possible indicatorsPriority action areas Possible indicators

Strengthening institutional capacities of MOE, DEO, schools, PTAs, etc.

Number of integrity task forces established in universities

Enhancing control mechanisms of the use of resources (internal, external)

Number of cases investigated by external auditors in education

Use of computerized information systems

Scope of EMISE‐procurement for school construction

k ll b f h l d d


Improving skills in management, accounting, monitoring and audit of different stakeholders according to needs

Number of school directors trained in budgeting

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3. 3. Enhancing ownership of the Enhancing ownership of the management processmanagement process

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Priority action areas Possible indicators

Supporting advocacy and information Number of warning posters Supporting advocacy and information campaign against corruption in education

Number of warning posters disseminated (in different languages)

Ensuring access to timely, reliable and relevant information by various stakeholders

Publication of the list of students who passed the end of secondary exam

Promoting peer‐monitoring, including self control by the profession

Increase in the number of joint management committees in schools


(with their own statutes)Frequency of school board meetings

Supporting the development of training programs against corruption in and out of school

Number of primary school teachers trained

III Accountability III Accountability

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III. Accountability III. Accountability frameworks applied to four frameworks applied to four key areas of managementkey areas of management


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1. Accountability framework: 1. Accountability framework: financingfinancing

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Area Aim Possible indicators

• Improving the • Audits conducted by

Financial system

p gmonitoring of the use of state funds in the education sector

• Improving NGO control over job ll ti d f

yexternal/internal control bodies indicate a drop in the number of cases of corruption uncovered from x per annum in base year yyyy to y per annum.

• Rise in the number of systematic audits performed b i il i t t i d


allocation and use of funds through participatory impact monitoring of state activities in education

by civil society groups trained for the task (e.g. parents/ teachers)

Source: GTZ, 2004.

2. Accountability framework: 2. Accountability framework: management of personnelmanagement of personnel

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I i D i th b f f

Managementof personnel

Increasing integrity withinthe personnel administration

• Drop in the number of cases of corruption uncovered per annum of at least x as compared to the peak level/the level in base year yyyy

• The percentage of all teachers accounted for by “ghost teachers” has dropped from ... % in base year yyyy to ... % (ascertained by checking


yyyy ( y gattendance lists in schools).

Source: GTZ, 2004.

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3. Accountability framework: 3. Accountability framework: procurementprocurement

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Procurementand tendering

Raising efficiency, transparencyand fairness of the tenderingprocedure

• Drop in the number of cases of corruption uncovered after orders have been placed of a minimum of x per annum as compared to the peak level/ the level in base year yyyy

• (Regular) surveys of companies that tendered and failed to win a contract indicate that a minimum of x % of


indicate that a minimum of x % of those surveyed consider the order‐placing procedures to be transparent and fair

Source: GTZ, 2004.

4. Accountability framework: 4. Accountability framework: student flowsstudent flows

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• The certification of • Drop in the number of cases of

Student flows

examination results is performance‐based

• The access to and right to remain in educational t bli h t i

pcorruption uncovered from x per annum in base year yyyy /from the peak to y per annum (control examinations)

• The results of control examinations confirm the results of the original examination in .... of .....cases.


establishments is based on appropriate learning achievements

Source: GTZ, 2004.

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In sum…In sum…Tools to document accountabilityTools to document accountability

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Areas Opinion surveys

Audits, PETS

QSDS Report cards

Finance X X XAllocation of specific allowances

X X

Construction, maintenance and repairs

X

Equipment, furniture and materials

X

Teacher management X X


Teacher management X XTeacher behavior X X XTransition of pupil/student cohorts

X

Institution accreditation X XInformation systems X X

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TRANSPARENCY IN ACTIONSocial control and participation


© IIEP‐UNESCO

IntroductionIntroduction

Increasing demand to go beyond judgments about compliance and accuracy in the management of education resources

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education resources

Look for alternative ways to evaluate expenditure and performance of government agencies

Inflation of information laws worldwide (top down versus bottom approaches)

Media more active in reporting on misuse of public funds


Media more active in reporting on misuse of public funds

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OutlineOutline

I Enforcing right to information laws

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I. Enforcing right to information laws

II. Involving stakeholders in procurement: the case of integrity pacts

III. Budget monitoring by CSOs


I A t i f ti I A t i f ti

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I. Access to information: I. Access to information: legal frameworklegal framework


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1. Regional concerns in Asia1. Regional concerns in Asia

Lack of information: management, costs, and output of schools

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schools

Few accountability mechanisms: goals set and hold students, parents, teachers, administration responsible for results

Low awareness of problems and weak demand for information


Lack of shared vision among stakeholders

2. Law on the right to information 2. Law on the right to information

Freedom of press and access to information key to transparency and accountability

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transparency and accountability

International experiences suggest:

• Need for a legal basis for the right to information

• Need for accompanying measures


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3. Legal prerequisite3. Legal prerequisite

Need for an adequate legal framework

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Circular No. 09/2009/TT‐BGDDT (Vietnam), May 2009

Article 2 (...). The publicity implementation of educational institutions to improve transparency, promote democracy, strengthen the autonomy and accountability in resources management and education quality assurance for themselves (...). Should be fully assured in contents, forms and time (...).


4. Accompanying measures4. Accompanying measures

Need for an accurate, timely and relevant information system (EMIS)

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Public information translated into local languages

Organising campaign of information dissemination to citizens

Budget and resources needed to support Law implementation

Staff training in information management and interaction with citizens and groups


Penalising misbehaviours regarding information management

Incentive/penalty mechanisms to encourage administrators to provide accurate information on time

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India: right to informationIndia: right to information

1996: a group of peasants and workers launched 40‐day agitation in Rajasthan, demanding right to

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information, using the slogan: “the right to know is the right to live”

National Campaign for People’s Right to Information with NGOs, bureaucrats, academics, lawyers and journalists

Objective: formulate and enact legislations at the


State and Central levels; support initiatives at local level

Right to information legislation (RTI) in Tamil Nadu, Goa, Rajasthan, Karnataka, Maharashtra, Assam, Delhi

India: right to information (India: right to information (ctdctd.).)Several difficulties:

Lack of awareness among educators/citizens

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Lack of awareness among educators/citizens

Government officials not following rules

Lack of freedom to introduce changes

Vested interests of politicians

Administrators not making changes

P l f lt f ( d ti )


Prevalence of a culture of secrecy (education)

Lack of ethics

Low levels of literacy of population

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India: right to information (India: right to information (ctdctd.).)Recommendations for improvements:

Involve the government, NGOs and other partners in

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Involve the government, NGOs and other partners in educating the citizens to use RTI

Train all government personnel on RTI Act, interpretation of laws, ethical behaviours

Time‐bound disclosure of all information of use to the public, including its regular update,

St th i f ti t (l f f


Strengthen information systems (low fees for providing information, including postage cost)

Incentives to officials providing information (a monetary fine per day )

Promoting social control: Promoting social control: integrated approachintegrated approach

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Legal framework

Right to information


Capacity building Awareness raising

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II. II. IntegrityIntegrity pactspacts


1. Definition of Integrity Pact1. Definition of Integrity Pact

Developed in the nineties by Transparency International; applied in 14 countries in various sectors

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applied in 14 countries, in various sectors

To help Governments, businesses and civil society to fight corruption in the field of public contracting

Mutual contractual rights and obligations to reduce the high cost and distortionary effects of corruption in education


Monitoring role for civil society

All activities in the contracting process concerned

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2. Main principles2. Main principles

To make public procurement transparent by binding both

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parties to ethical conduct

To create a space to discuss the selection criteria and the bidding documents with publishers

To find a mechanism to avoid conflicts of interests of members of the selection committee


Integrity pact for textbooks, Integrity pact for textbooks, ArgentinaArgentina

2003: the MEST asked an NGO to assist in the procurement process of more than 3 million

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procurement process of more than 3 million textbooks

The MEST and 48 publishing companies signed an Integrity Pact (IP) to eliminating any opportunities for bribery


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Integrity pact for textbooks, Integrity pact for textbooks, ArgentinaArgentina

65 publishing houses and associations took take i d b ( l i i i b i i d

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part in a debate (selection criteria, submission and eligibility of offers, contract award and contract implementation)

Each member of the Advisory Committee required to complete a statement (publications, public/private offices held, links with publishing


companies, royalties)

Half of the 19 CAN members excluded

Source: Arcidiacano, quoted by Meir and Griffin, 2005.

III Budget monitoring III Budget monitoring

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III. Budget monitoring III. Budget monitoring by CSOsby CSOs


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1. Definition of independent budget work1. Definition of independent budget work

Promoted by international organisations, e.g. The Commonwealth Education Fund (CEF) in various countries (India Pakistan Sri Lanka etc )

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(India, Pakistan, Sri Lanka, etc.)

Analysis of budgets and monitoring of spending conducted by civil society, allowing sustained participation in policy decisions to make them more transparent and accountable to the people they affect


Empowered civil society to advocate for increased allocations toeducation; lobby for improved transparency and accountability; andparticipate in budget planning with the government. (...). Madeorganisations aware of their political right to engage in the budget cycle.

Source:CEF, Pakistan case, 2007.

2. Main areas for action2. Main areas for action20

Budget preparation

Budget impactAdvocacy and

social control Needs of

Budget formulation

Audit of budget

social control

CSOs

Needs of communitites

Misuse of


Budget approval

Budget implementation

resources

Local priorities

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Budget work achievementsBudget work achievements

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Budget work achievements Bangladesh Ghana India Pakistan Sri Lanka

Tracked/InfluencedNational / X X X

Di t i t / X X / XTracked/Influencededucation budget District / X X / X

Local / X X / X

Exposed misuse of budget in media / X X

Taken public officials to court over misuse of funds /

Calculated costs of key policy reforms X

Worked with MP or parliamentary caucus X X X X

k d d b


Linked to campaigns on debt X

Challenged donors on their aid to education / / /

Questioned macro economic policies X /

Achieved X In progress / Source: Commonwealth Education Fund, 2007


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“Empowerment is the expansion of assets and capabilities of stakeholders (users, beneficiaries) to participate in, negotiate with, influence, control, and hold accountable institutions that affect their lives”


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Civil society and public participation:i l f l i k h ld ’essential for multi-stakeholders’

mobilisation in promoting transparency

U4 Training Workshop: “Anti-Corruption Policies and Practices in the Education Sector in Vietnam”the Education Sector in Vietnam

Panel on “All Against Corruption!” , Day 3, 13.10.2010

Nguyen Thi Kieu Vien – Towards Transparency TI National Contact in Vietnam

Overview

• Legislation foundation

• How civil society is engaged in promoting transparency and fight against corruption in education in Vietnam? Examples of existing initiatives related to improving transparency, and anti-corruption in the education sectorp

• Challenges and how to move forwards?

2

Legislation FoundationCurrent legal foundation is a good starting point: e.g.• Anti-corruption law 2005 (Art 15: Transparency in Finance and State

Budget; Art 23: Transparency in Education sector)

• Degree 47 (details and guides the implementation of Anti- corruption Law 2005): promulgating the roles and participation of the society and media)

• MOET Circular No.09/2009 promulgating regulations on the implementation of transparency measures in public education institutions

How Vietnamese civil society organizations and citizens engage?

Examples of initiatives with a focus on improving transparency, accountability and anti-corruption in the education sectors:

• From non-profit organizations: • Live and Learn;• Live and Learn; • Towards Transparency;

• Individual actions (teacher Do Viet Khoa, Mme. Duc…)• Emerging network to promote greater transparency in

education sector

3

How Vietnamese civil society organizations and citizens engage? (cont.) g g ( )

• “A transparent and sustainable society in youth’s hands”: initiated by the Centre of Live & Learn for Environment and Community, Vietnam Innovation Day winner 2009

• Objective: Awareness raising amongst youth and their role on promotion of a greater transparent society.

• Key achievements:• Key achievements:– Increased interest and greater attention by youth on “difficult and

sensitive” topic;– Translation from awareness to actions (“No extra classes!) – Spin-over effects from youth to other groups in the society.

How Vietnamese civil society organizations and citizens engage? (cont.)

Examples from Towards Transparency:• Education research: to identify forms of corruption in

Education sector (phase 1)

• Anti-corruption education: at 8 universities in Hanoi and HCM city, a pilot phase with Vietnam’s Youth Union (Nov/2010-Jun/ 2011)2011)

• Coalition, alliance and network building: • Participation in organization of the rountable workshop on

corruption in Education (May 2010)• Technical supports to local intiatives

4

How Vietnamese civil society organizations and citizens engage? (cont.) Not only organizations, but also individual actions.

Examples:

• Teacher Nguyen Viet Khoa: a revolutionary leader in education sector, publicly revealed corruption cases; his innovative and courageous actions has brought about significant impacts in the Vietnam’s education sector;;

• Mme. Le Hien Duc: former teacher, TI 2007 Integrity Award Winner, revealed cases in many sectors, including corruption in Education (enrolment into desired schools);

• But they face huge personal risks!

How Vietnamese civil society organizations and citizens participate? (cont.) p p ( )

For a CLEAN Education Network- (FACE):

An emerging informal network is an initiative ofeducators from the South, promoting internaltransparency practices within their schools andencourage others to do so.

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Challenges and how to move forwards?

Anti-corruption in education is not only a responsibility of the government and MOET, but of all of us!

• What will be mechanism for a greater public commitment? A wider and more active public engagement? The role of Parents associations? Students?

• How to better enhance multi-stakeholders’ collaboration for greater impacts?greater impacts?

• What about whistleblowers’ protection?• How to move from legislation to implementation? What will be

success indicators of the implementation of MOET’s circular No.09?

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Development Partners and Anti-Corruption in Education in Vietnam

Embassy of Sweden, Hanoi

presented by Marie Ottosson, Minister

Table of Contents1. Why anti-corruption in Education2. Our contribution to anti-corruption in

education3. What we have learnt?4. What we must do from now?


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Why anti-corruption in Education� Corruption in education affects each and

everyone of us!� Corruption in education is a threat to

sustainable development, the well-being and future of Vietnam !

� Corruption in education creates distrust of the whole society to the education system


whole society to the education system � Education has to be free from corruption!

DPs� contribution to ACResearch and Study Activitiesy

DialogueInformationExperience Sharing Four AC Pillars


Interventions

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DPs� contribution to AC in Education� Two studies have conducted by Government Inspectorate and

Transparency International on Education Quality and Corruption/anti corruptionCorruption/anti-corruption.

� Information and Experience sharing at the Roundtable Workshop on 20 May, 2010 by public and private universities, INGO, media, national and international education experts.

� The Anti-Corruption Dialogue on 26 May, 2010 to discuss with the Government on corruption issues (transparency and accountability) and policy recommendations;

� Interventions through project/programme/sector approach in


� Interventions through project/programme/sector approach in the education sector by the World Bank, ADB, Ausaid, EU, Belgium, INGOs, etc.

What we have learnt?� Education and training: the largest state budget item

(~15%-20% of State budget).� Management: weak accounting and monitoring systems,

greater opportunities for corruption.� High visibility and representation to the community level;

an attractive structure for patronage and manipulation.� 40,000 education units + 1 million teachers

� Decisions made by �gatekeepers� who control decisions ateach of these levels.


� Different views and perception on the extent, nature andcauses of certain corruption practices.

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What we must do from now?� Enforce the commitment and the laws/decrees including

sanctions and prosecution.� Remove incentives & opportunities for corruption ( for� Remove incentives & opportunities for corruption ( for

example, irregular fees)� Make the complaints mechanisms functional - enhance

channels to denounce misconduct and corruption;independent bodies to monitor; whistleblower protection

� Strengthen the accountability, performance assessment mechanism toward public service employees.


� Realise the participation and oversight / awareness from the civil society and media


Thank you for your attention !

IIEP/ITC 339 – Exercises Paris, 25 August 2010

Original: English

International Institute for Educational Planning 7‐9, rue Eugène Delacroix, 75116 Paris, France

Workshop: Anti‐corruption policies and practices in the education sector in Vietnam

Hanoi, Vietnam: 11‐13 October 2010

Group work

IIEP Project on: “Ethics and corruption in education”

© UNESCO‐IIEP 2010

© UNESCO‐IIPE 1

Group work 1

How can the use of Vietnamese code of ethics of educators be optimized?

Please read the following two documents before answering the questions below:

• the regulations on the code of ethics of educators • the regulations on extra teaching and learning

1. To your knowledge, do teachers know about the existence of the Code? To what extent has the code helped improve ethical behaviour in schools?

2. List three measures to be taken to enforce the implementation of the Code (information, training, incentives, etc.).

3. Refer more specifically to Article 6.5 of the Code, which explicitly refers to

the issue of private tutoring: to what extent is this article and the regulation on extra teaching respected? How could their application be improved?

© UNESCO‐IIPE 2

Group work 2

What measures are taken to reduce corrupt practices in the management of exams in Vietnam?

According to your experience: 1. What are the major types of examination fraud in Vietnam for each of the

following stages:

• Design • Administration • Marking • Admission of successful candidates to the next education level

2. What would be the respective advantages and disadvantages of

establishing an independent examination agency to fight examination fraud?

3. What would be the advantages and disadvantages of adopting standardized multiple‐choice tests?

4. What would be the advantages and disadvantages of processing

admissions to Universities automatically by computer?

© UNESCO‐IIPE 3

Group work 3

Which monitoring indicators should be prioritized in the case of Vietnam?

Please read the following document to answer the questions below:

• the Law on the prevention and combating of corruption in the Socialist Republic of Vietnam

1. In reference to Articles 23, 27, 30, and 40 of the Law, suggest a set of eight indicators to help monitor the progress made in the fight against corruption in the education sector.

2. For each of the indicators thus selected, specify how the information required can be collected.

© UNESCO‐IIPE 4

Group work 4 How can the Vietnamese Circular on publicity be enforced to monitor policy

implementation and uncover incidences of corruption?

Please read the following document to answer the questions below:

• the Circular promulgating the regulation on publicity implementation for educational institutions of the national education system

1. Among all the data to be disclosed under this Law, identify those that can

be most useful to (i) exert formal control over the use of resources, and/ or (ii) create social mobilization.

2. Suggest three main strategies to help promote the diffusion of this information to the service users so that they can exert adequate social control.

NATIONAL ASSEMBLY

Law Number 55/2005/QH11

SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness

LAW ON

THE PREVENTION AND COMBATING OF CORRUPTION OF THE SOCIALIST REPUBLIC OF VIETNAM

No 55/2005/QH 11 29th, November 2005

Pursuant to the 1992 Constitution of the Socialist Republic of Vietnam amended by Resolution 51/2001/QH10 dated December 25, 2001 by the National Assembly of XIth Legislature at its 10th Section;

This Law provides stipulations on prevention and combating of corruption.

Chapter 1

GENERAL PROVISIONS

Article 1. Scope of regulation

1. This Law shall provide for the prevention, detection and handling of persons who commit corrupt acts and the responsibilities of agencies, organizations, units, and/or individuals in the prevention and combating of corruption.

2. Corruption is an act committed by a person holding a position with power who has abused his or her position and/or power for personal benefit.

3. Persons holding responsible positions with power include:

a) Cadres, public officials and civil servants;

b) Officers, professional military personnel, military workers in agencies and/or units of the People's Army; operational commissioned and non-commissioned officers, technical–professional officers, non-commissioned officers in agencies and/or units of the People’s Police;

c) Leaders and managers in State owned enterprises, and leaders and managers who represent the state’s capital at enterprises;

d) Persons who are assigned to perform a task or an official duty with power when performing that task or official duty.

Article 2. Definitions

For the purpose of this Law, the following terms shall be defined as set out:

1. Corrupt asset means an asset obtained or originating from a corrupt act;

2. Disclosure means the publicizing of official information about a certain document, activity or content thereof by an agency, organization and/or unit;

3. Transparency in assets and income means the declaration of the assets and income of persons who have an obligation to declare and subject for examination and decision, if necessary;

4. Harassment means authoritarian or authoritative behaviour that causes trouble in the performance of a task or an official duty;

25. Personal benefit means a material and/or mental benefit that a person holding a position with

power obtains or may obtain through a corrupt act.

6. Agencies, organizations, and/or units include state agencies, political organizations, socio-political organizations, people’s armed units, public service delivery units, State owned enterprises, and other agencies, organizations, and/or units using state budget, capital or assets.

Article 3. Corrupt acts

1. Embezzlement;

2. Bribe-taking;

3. Abuse of position and power to misappropriate assets;

4. Abuse of position and power in the performance of a task or an official duty for personal benefit;

5. Abuse of power in performing a task or an official duty for personal benefit;

6. Abuse of position and power to exert influence on others for personal benefit;

7. Fraud in public service for personal benefit;

8. Giving bribes or acting as a broker for bribery by persons holding a position with power in order to perform the tasks of their own agency, organization, unit, or locality for personal benefit;

9. Abuse of position and power to illegally use state assets for personal benefit;

10. Harassment for personal benefit; and

11. Failure in the performance of tasks and/or public duties as the result of personal benefit;

12. Abuse of position and power to cover and conceal persons who commit acts violating the law for personal benefit; [or] unlawful interference with or creation of barriers for personal benefit to the monitoring, inspection, auditing, investigation, prosecution, adjudication, and enforcement of judicial decisions.

Article 4. Principles of dealing with corruption

1. All corrupt acts shall be detected, deterred and dealt with in a timely and strict manner.

2. Persons, regardless of their position, who commit corrupt acts, shall be treated in accordance with the provisions of law.

3. Corrupt assets shall be recovered and confiscated; and the corrupt person, whose corrupt act caused loss and damage, shall be liable to compensate and reimburse in accordance with the provisions of law.

4. A person who has committed a corrupt act but already voluntarily disclosed the act, actively mitigated the loss and damage caused by the unlawful act, and voluntarily returned the corrupt asset, might be considered for the application of a softer disciplinary measure or criminal sentence or for exemption from the criminal charge in accordance with the provisions of law.

5. The handling of corrupt acts shall be made publicly in accordance with the provisions of law.

6. A person who a committed corrupt act but retired, resigned from work or transferred to another position, shall still be responsible and sanctioned for the corrupt acts he or she committed.

Article 5. Responsibilities of competent agencies, organizations, units, and persons holding a position with power

1. Agencies, organizations, and/or units, shall, within the scope of their duties and powers, have the following responsibilities:

a) Organization of the implementation of legal normative documents on the prevention and combating of corruption;

3b) Reception and timely handling of reports, denunciations, and other information about corrupt

acts;

c) Protection of the legal rights and interests of persons who discover and denounce corrupt acts; and

d) Proactive prevention and detection of corrupt acts; the timely provision of information or documents; and compliance with requests made by competent agencies, organizations, and/or individuals in the process of detection and handling of a person committing a corrupt act.

2. The heads of agencies, organizations and units shall, within the scope of their duties and powers, shall have the following responsibilities:

a) Direction of the implementation of the provisions in Paragraph 1 of this Article;

b) Serving as an example of good behavior and integrity; periodically reviewing the performance of their functions, duties, and responsibilities in the prevention and detection of corrupt acts and handling of persons who committed corrupt acts; and

c) Being responsible and accountable for corrupt acts occurring in agencies, organizations or units under their management.

3. The person holding a position with power shall have the following responsibilities:

a) Performing his/her tasks and/or official duties strictly in accordance with the provisions of the law;

b) Serving as an example of good behavior and integrity; strictly complying with provisions of the Laws on the Prevention and Combating of Corruption, rules of behaviour, codes of conduct and principles of professional ethics; and

c) Declaring assets in accordance with the provisions of this Law and being responsible and accountable for the accuracy and honesty of that declaration.

Article 6. Rights and duties of citizens in the prevention and combating of corruption

Citizens have the right to detect and denounce corrupt acts; and have the obligation to cooperate with and assist the competent agencies, organizations, units, and/or individuals in detecting and handling persons who commit corrupt acts.

Article 7. Responsibility to cooperate of Inspectorates, State Audit, Investigating bodies, Procuracy, Courts, and concerned agencies, organizations, and units.

The Inspectorates, State Audits, Investigating bodies, Procuracy, and Courts shall, within the scope of their duties and powers, have the responsibility to coordinate with one another and with concerned agencies, organizations, and/or units to detect corrupt acts and handle persons committing those corrupt acts, and shall be accountable under the law for their conclusions and decisions in the process of inspection, investigation, audit, prosecution, and trying of corruption cases.

Concerned agencies, organizations, and/or units shall have the responsibility to create favourable conditions and coordinate with the Inspectorates, State Audits, Investigating bodies, Procuracy, and Courts in detecting and handling persons committing corrupt acts.

Article 8. Responsibility of the Vietnam Fatherland Front and its member organizations

The Vietnam Fatherland Front and its member organizations shall be responsible for encouraging the people to participate actively in the prevention and combating of corruption; detection, and proposing of competent agencies, organizations and individuals to handle persons who commit corrupt acts; and supervision of the implementation of the Law on the Prevention and Combating of Corruption.

Article 9. Responsibility of press agencies

4Press agencies shall have the responsibility to participate in the prevention and combating of

corruption, cooperate with competent agencies, organizations and individuals in the prevention and combating of corruption; and ensure the accuracy, honesty, and objectiveness of the information provided, as well as being liable for the content of the information so provided.

Article 10. Strictly prohibited acts

1. The acts stipulated in Article 3 of this Law;

2. Threatening, revenging, or persecuting persons who detect and denounce corrupt acts; and

3. Abuse of the denunciation of alleged corrupt acts to make a false denunciation against or slander other agencies, organizations, units, and/or individuals.

Chapter II

PREVENTION OF CORRUPTION

Section 1

PUBLICITY AND TRANSPARENCY IN THE OPERATION OF AGENCIES, ORGANIZATION, AND/OR UNITS

Article 11. Principles and nature of publicity and transparency in the operation and activities of agencies, organizations, and/or units

1. Policies, laws, and the organization of implementation policies and laws shall be made public, transparent, and with the assurance of fairness and democracy.

2. Agencies, organizations, and/or units shall make their operations public, except for the contents of State secrets and such other contents as defined by the Government.

Article 12. Forms of Publicity

1. Forms of Publicity include:

a) Disclosure at meetings of agencies, organizations, and/or units;

b) Publicly posting at the head office of agencies, organization, and/or units;

c) Written notice made to concerned agencies, organization, units and/or individuals;

d) Issuance of items for publication;

e) Notices in the mass media;

f) Websites; and

g) Provision of information at the request of agencies, organizations, and/or individuals.

2. Apart from a situation in which the law specifies the form of publicity, the heads of agencies, organizations, and/or units shall have the responsibility to choose one or more of the forms set out in Paragraph 1 of this Article.

Article 13. Publicity and transparency in public procurement and capital construction

1. Public procurement and capital construction shall be made public in accordance with the provisions of law.

2. In the case of public procurement and capital construction that is subject to bidding pursuant to the law, the contents to publicise shall include:

a) Bidding plans, invitations for and results of preliminary bidding, and tenders;

b) Lists of bidders participating in a restricted bidding, a short-list of bidders participating in a restricted bidding, and results of the bidder selection;

c) Information about individuals or organizations who are or are under project owners, parties bidding, contractors, management agencies or other persons who break the laws on bidding;

5information about contractors who are prohibited from participating in bidding activities; and information about the settlement of breaches of the laws on bidding;

d) Legal normative documents on bidding, bidding information and data system;

e) Final reports on bidding activities throughout the entire country by the Ministry of Planning and Investment; final reports on the bidding activities of ministries, sectors, localities, and grass-roots level agencies; and

f) The competence and procedures for receiving and handling complaints and denunciations concerning bidding.

Article 14. Publicity and transparency in the management of construction investment projects

1. Construction investment planning projects shall be published for comment and input by the people living in the project zone;

2. Construction investment projects funded from the local budget shall be examined and approved by the local people’s council.

3. An approved or endorsed construction investment project shall be disclosed for public oversight.

Article 15. Publicity and transparency in finance and state budget

1. All levels of the state budget and budget preparation units shall disclose in detail the estimated budget figures and final accounting figures decided or approved by competent state authorities, including the amount of any additional budget.

2. Budget preparation units whose income and expenditures are from contributions by organizations and individuals in accordance with the provisions of law shall make public the purpose for mobilization, the mobilized amount and the efficiency of the use of the resources so mobilized.

3. Organizations supported by the state budget shall disclose the following information:

a) The estimated and final accounting figures;

b) The contributions by organizations and individuals (if any); and

c) The grounds for determination of the amount of funds and the amount of funds supported from the state budget.

4. Projects of capital construction investment utilizing capital from the state budget shall disclose the following information:

a) The allocation of investment capital in annual state budget estimates for projects;

b) The budget estimate for investment projects under the approved investment plan, amounts of investment capital of assigned projects in the annual budget estimate;

c) The annual final accounting for project investments;

d) The final accounting of investment capital after the project completion approved by the competent authorities.

5. Funds with sources from the state budget shall disclose the following information:

a) Operational regulations and financial mechanism of the funds;

b) Annual financial plan, including details of income and expenditures in connection to the state budget as stipulated by the competent authorities;

c) Operational results of the funds;

d) Annual final financial statement approved by the competent authorities.

66. The allocation and utilization of the state budget, state capital and assets allocated to targeted

programs and projects approved by the competent state authorities shall be disclosed for the common knowledge of concerned agencies, organizations and the local people as direct beneficiaries.

Article 16. Publicity and transparency in the mobilization and use of contributions from the people

1. The mobilization of people’s contributions for construction project investment and establishment of funds within the locality shall be subject to people’s consultation and consideration and decision by the People’s Council of the same level.

2. The mobilization and utilization of people’s contributions stipulated in Paragraph 1 of this Article shall be made public for supervision of the people and be subject to inspection and supervision in accordance with the provisions of law.

3. The information to be made public include the objectives of the mobilization, amount of the contribution, utilization, results thereof, and final financial statement.

4. Infrastructure projects in communes, wards, townships using contributions from the people shall disclose the following information:

a) The information to be disclosed as stipulated in Paragraph 3 of this Article;

b) The estimates of the budget for each project according to its approved investment plan;

c) The investment capital for each project;

d) The amount mobilized from a specific person or entity and duration of the mobilization;

e) The result of bidder selection approved by the competent authorities

d) The progress of construction and approved outputs of the construction work in terms of quantity and quality; and the final accounting of the construction work.

5. The mobilization and use of people’s contributions for charitable or humanitarian purposes shall be implemented in accordance with the provisions in Paragraph 2 and 3 of this Article.

Article 17. Publicity and transparency in the management and use of aid and support

The management, allocation, and use of official development assistance capital (ODA) shall be implemented in accordance with the provisions of Article 15 of this Law. Non-governmental aid shall be disclosed for the public knowledge of the beneficiaries.

Article 18. Publicity and transparency in managing State owned enterprises

State owned enterprises shall have the responsibility to disclose the capital and assets invested by the State in these enterprises, preferential loans, their financial statement and audit results; extraction, establishment and use of funds of enterprises; recruitment of employees and appointment of management positions in enterprises and other contents, as stipulated by law.

Article 19. Publicity and transparency in the equitization of State owned enterprises

1. The equitization of State owned enterprises shall be made public and transparent - closed equitization within an enterprise shall be prohibited. An enterprise being equitized shall have the responsibility to disclose its real financial situation when valuing the enterprise.

2. The state competent authorities shall have the responsibility to disclose the value of an enterprise being equitized and its adjusted value (if any).

3. The first sale of shares in an enterprise being equitized shall be carried out by public auction.

Article 20. Auditing the utilization of the state budget, capital, and assets:

1. Agencies, organizations, and/or units shall have the responsibility to carry out an audit and be subject to the audit of their use of the State budget, capital, and assets in accordance with the laws on audit.

72. Audit reports shall be disclosed in accordance with Article 12 of this Law.

Article 21. Publicity and transparency in the management and utilization of land

1. Land-use master planning shall meet the requirement for democracy and publicity.

2. In preparing a detailed land-use master plan, the agency or organization carrying out this task shall publicly notify people living in the areas that are subject to the master plan of this fact.

3. Detained land-use master planning, site clearance and prices of compensation for the taken back piece of land shall, after having been decided, approved or adjusted by the competent state authorities, be made public.

4. The competence, procedures, formalities, and granting of land-use rights certificates; detailed planning and division of land plots for living, and the persons assigned land for house building shall be made public.

Article 22. Publicity and transparency in the management and use of residential houses

1. The competence, procedures, formalities and granting of residential house building permits and a residential house ownership certificate shall be made public.

2. The sale of residential houses in state ownership, the persons entitled to purchase such houses, and all amounts payable shall be made public.

3. The sale of residential houses to re-settlers, persons of low income and other persons enjoying preferential treatment shall be made public.

Article 23. Publicity and transparency in the field of education

1. The enrollment, examination, testing, and issuance of diplomas and certificates must be made public.

2. Educational management bodies and educational institutions using the state budget and assets shall disclose the management and use of the state budget and assets; the collection, management, and use of tuition fees, student enrollment fees, revenues from consultant services, technology transfer, investments in and aid to educational activities and other funds collected in accordance with the provisions of law.

Article 24. Publicity and transparency in the field of health

1. The competence, procedures, formalities, granting and withdrawal of medical practice certificates, private pharmaceutical practice certificates, and certificates of eligibility for professional practice to medical and pharmaceutical practice institutions shall be made public.

2. Health management bodies, medical examination and treatment institutions using state budget and assets shall disclose the receipt, management, and use of the state budget and assets, prices of medicines; collection, management, and use of charges relating to medical examination and treatment and other charges in accordance with the provisions of law.

Article 25. Publicity and transparency in the field of science and technology

1. The consideration, selection, direct assignment, funding of the performance of scientific and technological tasks, and the evaluation and taking over of the performance outcomes of scientific and technological tasks shall be carried out publicly.

2. Science and technology management bodies and scientific research institutions shall disclose the management and use of state budget and assets, supports and aid thereto, investments in, and revenues from scientific and technological activities.

Article 26. Publicity and transparency in the field of physical education and sports

Physical education and sport management bodies, the Vietnam Olympic Committee, sports federations, and physical education and sport establishments shall have the responsibility to disclose the management and use of state budget and assets; revenues from sports activities and services; and

8funds contributed, assisted and/or supported by domestic and international organizations and individuals, to physical education and sports activities.

Article 27. Publicity and transparency in state inspection, complaint and denunciation settlement, and state audit activities

1. State inspection, complaint and denunciation settlement, and state audit activities shall be carried out publicly in accordance with the provisions of law.

2. The following documents and decisions must be disclosed, unless otherwise stipulated in the law:

a) Inspection conclusions;

b) Decisions on the settlement of complaints; decisions on the treatment of denunciations; and

c) Audit reports.

Article 28. Publicity and transparency in dealing with the matters of agencies, organizations, units, and individuals.

1. Agencies, organizations, and/or individuals that have management competence in field of housing, land, construction, business registration, project approval, assigning capital from the state budget, credit, banking, import, export, emigration, immigration, household registration management, tax, customs, insurance, and other agencies, organizations, and/or units that directly resolve the matters of agencies, organizations, units, and/or individuals shall disclose the administrative procedures, timely and legal handling of legitimate requests of the agencies, organizations, units, and individuals.

2. Agencies, organizations, units, and individuals are entitled to request the competent agencies, organizations, and/or individuals resolving their matters to provide a clear explanation of the related information. Upon receipt of such requests from agencies, organizations, units, and/or individuals, the competent agencies, organizations, and/or individuals shall be required to explain in a timely and public manner.

3. In cases where the competent agencies, organizations, and/or individuals give an improper explanation or intentionally cause difficulty or trouble, the agencies, organizations, units, and individuals shall have the right to transfer their requests to the immediate superior level of such agencies, organizations, and/or individuals.

Article 29. Publicity and transparency in the field of justice

The commencement of cases, investigation, prosecution, adjudication, and judgment execution shall be conducted publicly in accordance with the provisions of the laws on procedure and other provisions of related laws.

Article 30. Publicity and transparency in personnel management and organization

1. The recruitment of cadres, public officials, civil servants, and other labourers into agencies, organizations, and/or units shall be disclosed in terms of number of vacancies, qualifications and recruitment manner and results of the recruitment.

2. The planning, training, appointment, change in ranking, rotation, moving to other position and/or office, award, allowing to leave the job, allowing to resign, removal, dismissal, disciplining, or retirement applied to cadres, public officials, civil servants and other labourers shall be disclosed at the agencies, organizations, and/or units where those persons work.

Article 31. Rights of agencies and organizations to request the provision of information

1. State agencies, political organizations, socio-political, and press agencies shall, within the scope of their respective duties and powers, have the right to request relevant agencies, organizations, and/or units to provide information about their operations and activities in accordance with the provisions of law.

92. Within 10 days of receipt of the request, the requested agencies, organizations or units shall

provide the relevant information, except in the case that the requested information has been publicized by the mass media, published or publicly posted; or refusal or inability to provide the information, they shall reply in writing to the requesting agencies or organizations and specify the reasons thereof.

Article 32. Right of individuals to request for the provision of information

1. Cadres, public officials, civil servants and other labourers shall have the right to request the heads of the agencies, organizations, and/or units where they work to provide information about the operations and activities of those agencies, organizations, and/or units.

2. Citizens shall have the right to request the Chairman of People’s Committees of communes, wards, or townships where they reside to provide information about the operations or activities of those Committees.

3. Within 10 days of receipt of the request, the requested persons shall have the responsibility to provide the relevant information, except in the case that the requested information has been publicized by the mass media, published or posted publicly; or the refusal or inability to provide the information, they shall reply in writing to the requesters and specify the reasons thereof.

Article 33. Disclosure of annual reports on the prevention and combating of corruption

1. Annually, the Government has the responsibility to report to the National Assembly on the work of prevention and combating of corruption nationwide; the People’s Committees have the responsibility to report to the People’s Councils of the same level on the work of prevention and combating of corruption in the locality.

2. Reports on the work of prevention and combating of corruption shall be made public.

Section 2

FORMULATION AND IMPLEMENTATION OF REGIMES, NORMS, AND STANDARDS

Article 34. Formulation, issuance, and implementation of regimes, norms, and standards

1. State agencies shall, within the scope of their respective duties and powers, have the responsibility to:

a) Formulate, issue, and disclose regimes, norms, and standards;

b) Disclose regulations on the established regimes, norms, and/or standards concerning benefits applicable to each job title in their institution; and

c) Strictly comply with the regulations on the established regimes, norms, and/or standards.

2. Political organizations, socio-political organizations, professional units, other agencies, organizations, and/or units using state budget, shall, subject to the provisions in Paragraph 1 of this Article, provide guidelines for the application [of the regimes, norms and standards], or coordinate with competent state authorities to formulate, issue and disclose the established regimes, norms, and/or standards to be applied in their agencies, organizations, and/or units.

3. Agencies, organizations, and/or units are strictly forbidden to illegally issue regimes, norms, and/or standards.

Article 35. Examination and treatment of violations of regulations on the established regimes, norms and/or standards

1. Agencies, organizations, and/or units shall regularly check the implementation and, in a timely manner, handle the acts violating the regulations on the established regimes, norms, and/or standards.

2. Persons committing acts violating the regulations on the established regimes, norms, and/or standards shall be treated in accordance with the provisions of law.

3. Persons who permit other persons to utilize more than the regulated level of the established regimes, norms, and/or standards shall compensate for the value of the differences thereof. The

10persons who utilizes such excess level of the established regimes, norms, and/or standards shall be jointly liable to compensate that excess value.

4. Persons who permit the implementation of the established professional and technical regimes, norms, and/or standards at lower levels than the specified ones shall compensate for the loss caused by such permission; the persons who benefits from the application of lower professional and technical regimes, norms, and/or standards shall be jointly liable to compensate the value of benefits so gained.

Section 3

CODES OF CONDUCT, PROFESSIONAL ETHICAL RULES, AND THE ROTATION OF WORK POSITIONS OF CADRES, PUBLIC OFFICIALS, AND CIVIL SERVANTS

Article 36. Code of conduct for cadres, public officials, and civil servants

1. A code of conduct is a standard for the behaviour of cadres, public officials, and civil servants in performing their official duties and tasks and in their social relations, including mandatory and proscribed acts in line with the nature of the work of each particular group of cadre, public official, and civil servant and each particular field of public service activity, aimed at ensuring the integrity and accountability of cadres, public officials, and civil servants.

2. The code of conduct for cadres and public officials shall be made public for the people’s supervision of its observance.

Article 37. Prohibited conduct of cadres, public officials, and civil servants

1. Cadres and public officials shall not be allowed to commit the following acts:

a) Red tape, arrogance, harassment, making difficulty and trouble for agencies, organizations, units, and/or individuals while handling their matters;

b) Establish, take part in the establishment, management, or operation of private enterprises, limited liability companies, join stock companies, partnerships, co-operatives, private hospitals, private schools, and private scientific research institutes, except in the cases otherwise provided for by the laws;

c) Acting as consultants for enterprises, business organizations and other international and domestic organizations and individuals on matters relating to state secrets or official secrets, and/or on other matters within their respective authority to settle or to participate in the settlement thereof; and

d) Doing business in the sector under their management after leaving the position within a period of time as stipulated by the Government.

e) Illegal use of information and documents of the agencies, organizations, and/or units for personal benefit.

2. The heads and deputy heads of agencies and their spouses shall be prohibited from contributing capital to enterprises operating in such sectors and industries under their direct state management.

3. The heads and the deputy heads of agencies, organizations, and/or units are not entitled to appoint their spouses, parents, children, full brothers or sisters to hold management positions in personnel organization, accounting – finance; cashier, or warehouse keeper of such agencies, organizations, and/or units or to purchase materials and goods, or to purchase or sign contracts for such agencies and organizations.

4. The heads and deputy heads of institutions are prohibited from allowing their parents, spouse, and children to do business in the areas under their direct management.

5. Cadres, public officials, and civil servants who are a member of the Board of Management, General Director, Deputy General Director, Director, Deputy Director, Chief Accountant or other managing officer in a state-owned enterprises shall not be allowed to sign economic contracts with enterprises under the ownership of their spouse, parents, children, full brothers and/or sisters; to take

11part in bidding held by such state-owned enterprises; to appoint their spouse, parents, children, full brothers and/or sisters to hold management positions in personnel organization, accounting – finance; cashier, or warehouse keeper of such enterprises or to purchase materials, goods, to do business transactions, and/or to sign contracts for such enterprises.

6. The provisions in Paragraph 1, 2 3, 4 of this Article shall also be applied to the following people:

a) Military officers, professional soldiers, military workers working in agencies and units of the People’s Army; and

b) Operational commissioned officers and non-commissioned officers, technical-professional officers and non-commissioned officers working in agencies and units of the People’s Police.

Article 38. Obligation to report and handle reports on alleged corrupt acts

1. Upon detecting an alleged corrupt act in their agencies, organizations, and/or units, cadres, public officials, and civil servants shall immediately report to the heads of these agencies, organizations, and/or units; if such heads are involved in the alleged corruption, the report shall be made to the heads of the immediate superior agencies, organizations, and/or units.

2. Within 10 days of receipt of an allegation, the person receiving the report shall handle the matter within their authority or transmit it to the competent agencies, organizations, or individuals for consideration and settlement and inform the reporters of this fact. For complicated cases, the above said time limit may be extended, but no later than 30 days from the date of receipt of the report; in case of necessity, the person receiving the report may decide or request a competent person to take measures to deter and correct damage caused by the corrupt act and to protect the reporter.

Article 39. Liability of persons who fail to report or to handle reported alleged corrupt acts

Cadres, public officials, and civil servants who know about alleged corrupt acts but fail to report; and the persons who receive reports of evidence of corruption but fail to handle the report shall be liable for such failure in accordance with the provisions of law.

Article 40. Gift offered or received by cadres, public officials, and civil servants

1. Agencies, organizations, and/or units are not entitled to use state budget and assets as gifts, unless otherwise stipulated by the law;

2. Cadres, public officials, and civil servants are not allowed to receive money, assets, or other material benefits from agencies, organizations, units, and/or individuals related to the work they manage or the work under their management.

3. It is strictly prohibited to abuse gifts giving and receipt to conceal bribery or commit other acts for personal benefit.

4. The Government shall provide details about the giving and receipt of gifts, as well as the handing over of gifts received by cadres, public officials, and civil servants.

Article 41. Competence to issue codes of conduct for cadres, public officials, and civil servants

1. The Prime Minister, Head of state bodies at ministerial level, Head of state bodies under the Government, Chairman of the National Assembly’s Office, Chairman of the State President’s Office shall issue codes of conduct for cadres, public officials, and civil servants working in agencies, industries, and areas under their administration.

2. The Chief Justice of the Supreme People’s Court, Head of the Supreme People’s Procuracy shall issue codes of conduct for judges, people’s assessors, court clerks, procurators, and other cadres, public officials, and civil servants working in court institutions and the procuracy.

3. The Minister of Home Affairs shall issue codes of conduct for cadres, public officials, and civil servants working in central and local government structures; and coordinate with central agencies

12of socio-political organizations to issue the code of conduct for cadres, public officials, and civil servants in such organizations.

Article 42. Professional Ethical Rules

1. Professional ethical rules are norms and standards of behaviour designated for each particular profession, and aimed at ensuring integrity, honesty and accountability in the practice of each profession.

2. Socio-professional organizations shall coordinate with the competent state authorities to issue professional ethical rules for their members in accordance with the provisions of law.

Article 43. Rotation of positions of cadres, public officials, and civil servants

1. Agencies, organizations, and/or units shall, within their management competence, have the responsibility to, on a periodic basis, expedite the rotation of cadres, public officials, and civil servants working at certain positions relating to the management of the state budget and assets, directly exposed to or handling the matters of agencies, organizations, units, and/or individuals in order actively to prevent corruption.

2. The rotation of work postings shall be performed as planned and disclosed within agencies, organizations, and/or units.

3. The rotation of work postings as stipulated in Paragraph 1 and 2 of this Article shall only be applied to cadres, public officials, and civil servants who do not hold management positions. The rotation of cadres and public officials who hold management positions shall be carried out in accordance with the provisions concerning the rotation of cadres.

4. The Government shall issue a list of work postings and the period for rotation as pursuant to Paragraph 1 of this Article.

Section 4

TRANSPARENCY IN ASSETS AND INCOMES

Article 44. Obligation to declare assets

1. The following persons shall have the obligation to declare their assets:

a. Cadres, public officials from the level of Vice-Head of the Division of People’s Committee at the district, town, provincial or city level up and the equivalent level in agencies, organizations, and/or units;

b. Cadres, public official working in communes, wards, townships; persons holding the duties of managing the state budget and assets or directly exposed or resolving the work of agencies, organizations, units, and/or individuals;

c. Candidates for membership in the National Assembly and People’s Councils.

The Government shall provide in detail the categories of persons who are subject to declare their assets pursuant to this Paragraph.

2. The persons who are subject to declare assetsshall declare all assets and changes in their assets and the assets of their spouses and juvenile children.

3. The declarers have the responsibility to declare honesty those assets liable to be declared.

Article 45. Assets subject to declaration

Assets required to be declared include:

1. Houses, land use rights;

132. Precious metals and stone, money, valuable documents, and other assets which have an

individual value of fifty million dong1 or more;

3. Properties, accounts in foreign countries;

4. Taxable incomes in accordance with the provisions of law.

Article 46. Procedures for asset declaration

1. Asset declaration is made annually at the agencies, organizations, and/or units where the persons required to declare works and shall be completed as at December 31 by the latest;

2. The persons who are required to declare assets shall clearly state any changes in their assets in comparison with the previous declaration.

3. Asset declaration statements shall be submitted to the agencies, organizations, and/or units responsible for administering the declarers.

Article 47. Verification of assets

1. The verification of assets may be conducted only pursuant to decisions issued by the competent agencies and organizations responsible for administering the declarers.

2. The verification of assets shall be conducted in the following cases:

a) For the purposes of election, appointment, discharge or dismissal or disciplinary measures against a declarer, if it is deemed necessary; and

b) At the request of an Election Board or competent agency or organization.

c) The existence of corrupt activities.

Article 48. Procedure for the verification of assets

1. Prior to the issuance of a decision to conduct asset verification, the competent agency or organization shall request the person required to declare to explain the declaration clearly. The explanation shall be made within 5 days of the date of receipt of the request.

2. The competent agency or organization shall issue a decision on verification within 5 days of the date when the grounds for verification, as stipulated in Paragraph 2, Article 47 of this Law, arises.

3. The concerned agencies, organizations, units, and/or individuals shall, upon request of the competent agencies and organizations, have the responsibility to provide the information and documents necessary to satisfy the verification.

4. Within 20 days of the date of the decision on verification, the agency, organization, and/or unit in charge of administering the person required to declare shall conduct an examination and verification and make its conclusion on the transparency of the asset declaration.

5. The procedure for verifying the assets of candidates for deputy of the National Assembly and People’s Councils shall be carried out in accordance with the provisions in Paragraphs 1, 2, 3, and 4 of this Article. The time limit for verification shall meet the requirements of the time limit for election of deputies to the National Assembly and People’s Councils.

Article 49. Conclusion on the transparency of the asset declaration

1. The conclusion on the transparency of the asset declaration is a conclusion on the truthfulness of the asset declaration; and

b) A conclusion on the origins of the verified assets.

2. A conclusion on the transparency of the asset declaration shall be sent to the agency or organization requesting the verification and the person whose assets were verified.

1 Vietnamese currency (note of the translator)

143. The agencies, organizations, and/or units stipulated in Paragraph 4, Article 48 of this Law

shall be responsible for the objectivity and accuracy of the conclusion and the contents of such conclusion.

Article 50. Disclosure of a conclusion on the transparency of the asset declaration

1. Upon the request and pursuant to a decision of the competent agency or organization, the conclusion report on the transparency of the asset declaration shall be disclosed at the following places:

a) Upon their appointment, election, or approval, in the agency, organization, or unit where the person required to declare works.

b) For a candidate for the National Assembly or People’s Committees, at a voter meeting held at his/her workplace or place of residence.

c) In the agencies, organizations, and/or units where a person is nominated for election or approval by the National Assembly, People’s Committees or Congresses of socio-political organizations.

2. A conclusion on the transparency of the asset declaration of a person prosecuted for his/her corrupt acts shall be disclosed at the agencies, organizations, and/or units where he/she work.

Article 51. Responsibilities of the agencies, organizations, and/or units responsible for administering the persons required to declare assets

Agencies, organizations, and/or units shall have the responsibility to manage and reserve asset declaration reports of persons required to declare assets who are under their management; to organize the verification in accordance with decisions issued by the competent agencies and organizations; make conclusions on the transparency of the asset declaration and disclose such conclusions in accordance with the decisions of competent agencies and organizations in situations specified in Article 50 of this Law.

Article 52. Handling dishonest declarers

1. A person who is dishonest in declaring his/her assets shall be subject to a disciplinary action in accordance with the provisions of law. The decision on a disciplinary action against a person who is dishonest in declaring his/her assets shall be disclosed at the agency, organization, and/or unit where that person works.

2. A person who is a candidate for member of the National Assembly or a People’s Council but who is dishonest in declaring his or her assets shall be removed from the candidates’ list; a person who is to be appointed or to have his or her appointment approved but who is dishonest in declaring his/her assets shall not be appointed or approved for the intended position.

Article 53. Monitoring of Income

The Government shall submit for the National Assembly’s promulgation of legal normative documents on monitoring the income of persons holding positions with power.

Section 5

REGIME FOR THE RESPONSIBILITY OF THE HEADS OF AGENCIES, ORGANIZATION, AND/OR UNITS FOR THE OCCURRENCE OF CORRUPT ACTS

Article 54. Responsibility of the heads of agencies, organizations, and/or units for the occurrence of corruption inside the entities under their management and authority

1. The heads of agencies, organizations, and/or units shall be responsible for the occurrence of corrupt acts inside the agencies, organizations, and/or units under their management and authority.

The heads of agencies, organizations, and/or units shall be directly responsible for the occurrence of corrupt acts of persons directly under their management and assignment.

152. The deputies of the heads of agencies, organizations, and/or units shall be directly responsible

for the occurrence of corrupt acts in the work areas and units under their direct authority.

The heads and their deputies of agencies, organizations, and/or units shall be jointly responsible for the occurrence of corrupt acts in the areas and units under the direct authority of their deputies.

The heads of agencies, organizations, and/or units shall be jointly responsible for the occurrence of corrupt acts in the work areas and units under direct authority of their deputies.

3. The heads of units under agencies and/or organizations shall be directly responsible for the occurrence of corrupt acts in the units under their authority.

4. The exercise of responsibility of the heads and other responsible individuals in political organizations, socio-political organizations, socio-professional organizations and other organizations using the state budget for the occurrence of corrupt acts shall be carried out in accordance with the provisions of this Law and the Rules and/or Regulations of such organizations.

5. Responsibility of the heads and deputies of the heads of agencies, organizations, and/or units as stipulated in Paragraph 1, 2, and 3 of this Law shall be excluded in cases where they are unable to know about, or have carried out necessary measures to prevent and suppress, the corrupt acts.

Article 55. The exercise of responsibility of agencies, organizations, and/or units for the occurrence of corruption within entities under their management and authority

1. The heads of agencies, organizations, and/or units, if liable for the occurrence of corruption within the agency, organization, and/or unit under their management and authority, shall be sanctioned with disciplinary measurements or be criminally prosecuted.

2. The heads of agencies, organizations, and/or units, if jointly liable for the occurrence of corruption within the agencies, organizations, and/or units under their management and authority shall be sanctioned with disciplinary measurements.

3. The heads of agencies, organizations or units shall be considered to be exempted from, or have reduced, the legal liability stipulated in Paragraph 1 and 2 of this Article if they have taken necessary measures to prevent and mitigate the damage from corrupt acts, handle strictly and report in a timely manner to the competent agencies and/or organizations about the corrupt act.

4. The conclusion of inspection, audit or investigation of matters or cases of corruption shall clearly state the liability of the heads of agencies, organizations, and/or units where the corrupt act occurs based upon the following levels:

a) Weakness in management capability;

b) Lack of responsibility in management;

c) Harbouring the person committing the corrupt act.

These conclusions shall be sent to the National Anti-Corruption Steering Committee and competent agencies and organizations.

Section 6

ADMINISTRATIVE REFORM, RENOVATION OF MANAGEMENT TECHNOLOGY AND PAYMENT METHODS

Article 56. Administrative reform for corruption prevention

State agencies shall implement administrative reform to enhance the independence and self-accountability of agencies, organizations, and/or units; enhance the decentralization of state management from the central to local governments and between different levels of local governments; clearly define duties and powers between state agencies, publicize, simplify and perfect administrative procedures, and provide concretely for the responsibilities of each office in the agency, organization, and/or unit.

16Article 57. Enhancing the application of science and technology in management

1. Agencies, organizations, and/or units shall frequently improve work performance, enhance the application of science and technology in their operations, and create favourable conditions for citizens, agencies, organizations, and/or units to exercise their lawful rights and interests.

2. Agencies, organizations, and/or units have the responsibility to provide guidelines for the procedures and formalities to handle all matters in order for the agencies, organizations, units, and/or individuals to perform competently without the need for direct resort to cadres, public officials, and civil servants.

Article 58. Renovation of payment methods

1. The State shall adopt managerial measures to make payment through banks and State Treasury accounts. Agencies, organizations, and/or units shall have the responsibility to comply with the provisions on payments through accounts.

2. The Government shall gradually adopt financial and technological solutions to make payments for persons holding positions with power, defined in Point a, b and c, Paragraph 3, Article 1 of this Law, and other transactions using the state budget through accounts.

Chapter III

DETECTION OF CORRUPTION

Section 1

MONITORING OF AGENCIES, ORGANIZATION, AND/OR UNITS

Article 59. Work of monitoring state management agencies

1. Heads of state management agencies have the responsibility to organize the regular monitoring of the observance of laws by agencies, organizations units, and/or individuals under their management in order to detect corrupt acts in a timely manner.

2. Upon detection of corrupt acts, the Heads of state management agencies shall promptly handle those acts within their competence or report them to the competent inspectorate, investigating body or procuracy.

Article 60. Self-monitoring by agencies, organization, and/or units

1. The heads of agencies, organizations, and/or units shall have the responsibility to organize proactive monitoring of the performance of tasks and official duties by cadres, public officials, and civil servants who regularly and directly handle matters of agencies, organizations, units, and/or individuals, and other cadres, public officials, and civil servants under their management in order to detect quickly, deter and handle corrupt acts.

2. The heads of agencies, organizations, and/or units shall be responsible for frequently urging the heads of affiliated units to monitor the performance of tasks and official duties by the cadres and public officials under their management.

3. Upon detection of corrupt acts, the heads of agencies, organizations, and/or units shall promptly handle those acts within their competence or report them in a timely manner to the competent inspectorate, investigating body or procuracy.

Article 61. Forms of monitoring

1. Regular monitoring shall be conducted pursuant to established plans and programs, focusing on areas and activities vulnerable to corruption.

2. Extraordinary monitoring shall be conducted upon notice of an allegation about a corrupt act.

Section 2

DETECTION OF CORRUPTION THROUGH THE ACTIVITIES OF INSPECTION,

17AUDIT, INVESTIGATION, PROSECUTION, ADJUDICATION, AND OVERSIGHT

Article 62. Detection of corruption through the activities of inspection, auditing, investigation, prosecution, and adjudication

The State Inspectorates, State auditing agencies, Investigating Bodies, Procuracies, and Courts shall have the responsibility proactively to detect corrupt acts, promptly handle those acts within their competence, or propose their settlement through the activities of inspection, audit, investigation, prosecution, or adjudication in accordance with the provisions of law and shall be accountable under the law for their decisions.

Article 63. Detection of corruption activities by oversight

The National Assembly, National Assembly agencies, National Assembly Delegation, People's Councils, National Assembly delegates, and People’s Council delegates, through their oversight activities, have the responsibility to detect corrupt acts, and request or propose the resolution of such acts in accordance with the provisions of law.

Section 3

DENUNCIATION AND HANDLING OF DENUNCIATION OF CORRUPT ACTS

Article 64. Denunciation of corrupt acts and responsibility of the denouncers

1. Citizens have the right to denounce corrupt acts to the competent agencies, organizations, and/or individuals.

2. Denouncers are obliged to denounce honestly, clearly inform about names and addresses, provide the information and documents in their possession, and coordinate with the agencies, organizations, and/or individuals who are competent to handle the denunciation.

3. Persons who intentionally denounce dishonestly shall be dealt with strictly; in a case in which a dishonest denunciation causes damages to the person denounced, the denouncer shall be liable to compensate in accordance with the provisions of law.

Article 65. Responsibility to receive and handle denunciations

1. Agencies, organizations, units, and/or individuals shall have the responsibility to create favourable conditions for people to denounce directly, submit denunciation petitions, denounce by telephone, denounce by electronic information website or by other means in accordance with the provisions of law.

2. The heads of competent agencies and organizations shall, upon receipt of a denunciation of corruption, consider and process the denunciation in accordance with their authority; keep secret the denunciators’ name, address, handwriting, or other information relating to their request; apply necessary measures in a timely manner to protect the denouncer upon detection of evidence of threats, bullying, or revenging against them, or upon their request; and inform about the result of denunciation disposition to the denouncer upon request.

3. The State inspectorates shall have the responsibility to assist the heads of state management agencies at the same level to verify and make conclusions on the contents of denunciations and recommend settlement measures; in the case of detection of evidence of criminal offences, the state inspectorates shall transmit the denunciations to the competent investigating bodies and Procuracy to resolve in accordance with the provisions of the criminal procedure law.

Investigation bodies and the Procuracy shall, upon receipt of denunciations of corrupt acts, resolve them in accordance with their own authority.

4. The time limit for processing denunciations and replying to the denouncers shall be in accordance with the provisions of law.

Article 66. Responsibility of concerned agencies, organizations, units, and/or individuals to coordinate

18Agencies, organizations, units, and/or individuals shall, within the scope of their duties and

powers, create favourable conditions for and coordinate with competent agencies, organizations, and/or individuals in the settlement of denunciations in order to detect quickly, deter and deal with corrupt acts, and to minimize the losses caused by such corrupt acts.

Article 67. Rewards for the denouncers

Those who make truthful denunciations and actively cooperate with the competent agencies, organizations, units, and/or individuals in detecting, deterring and dealing with corrupt acts shall be materially and mentally rewarded in accordance with the law.

Chapter IV

DEALING WITH CORRUPT ACTS AND OTHER VIOLATIONS

Section 1

THE IMPOSITION OF DISCIPLINE OR CRIMINAL PROSECUTION

Article 68. Persons who are subject to the imposition of discipline or criminal prosecution

1. Persons who commit corrupt acts as set out in Article 3 of this Law.

2. Persons who fail to report or denounce corrupt acts upon detecting them.

3. Persons who fail to handle reports, denunciations or declarations about corrupt acts.

4. Persons who take revenge against or repress persons who make reports, denunciations or declarations or who disclose information relating to corrupt acts.

5. Heads of agencies, organizations, and/or units, who let corrupt acts occur in the agencies, organizations, and/or units under their management.

6. Persons who commit other acts violating the provisions of this Law or of other relevant laws.

Article 69. Handling persons committing corrupt acts

Persons who commit corrupt acts shall, depending on the nature and seriousness of the acts, be subject to disciplinary action or criminal prosecution. In a case where a person was sentenced for his/her corrupt acts and that sentence is in force, s/he shall be dismissed from his/her job. If s/he is a deputy of National Assembly or People's Council, this person shall be automatically deprived his/her rights as a deputy of National Assembly or People's Council.

Section 2

DISPOSITION OF ASSETS FROM CORRUPTION

Article 70. Principles of the disposition of the assets from corruption

1. Competent agencies and organizations shall take necessary measures to recover and confiscate assets from corruption.

2. The assets from corruption shall be returned to the legitimate owners or managers or shall go to the state budget.

3. Persons who have given bribes but have voluntarily reported the bribe before being detected shall have the assets used for the bribe returned.

4. The confiscation and recovery of assets from corruption shall be carried out pursuant to the decision of the competent state authorities in accordance with the law.

Article 71. Recovery of assets from corruption related to foreigners

The Government of Vietnam shall, subject to the international treaties to which Vietnam is a party and in accordance with the fundamental principles of Vietnamese law, cooperate with foreign governments in recovering the corrupt property and assets of Vietnam or of foreign countries and in returning such property and assets to its legitimate owners.

19Chapter V

ORGANIZATION, RESPONSIBILITY, AND COORDINATION ACTIVITIES OF THE INSPECTORATES, STATE AUDIT AGENCIES, INVESTIGATING BODIES, PROCURACY,

COURTS, AND CONCERNED AGENCIES, ORGANIZATIONS, AND/OR UNITS IN THE PREVENTION AND COMBATING OF CORRUPTION

Section 1

ORGANIZATION, STEERING, COORDINATION AND RESPONSIBILITY IN THE WORK OF PREVENTION AND COMBATING OF CORRUPTION

Article 72. Responsibilities of the heads of agencies, organizations, and/or units in the prevention and combating of corruption

1. The heads of agencies, organizations, and/or units shall have the responsibility to apply the provisions of this Law and of other relevant laws to organize the prevention and combating of corruption within the agencies, organizations, and/or units under their management.

2. Heads of agencies, organizations, and/or units shall be responsible to their immediate superior agencies, organizations, and/or units for the prevention and combating of corruption within the agencies, organizations, and/or units under their management.

Article 73. Anti-Corruption Steering Committee

1. The Central Anti-Corruption Steering Committee, headed by the Prime Minister, shall be responsible for directing, coordinating, monitoring, and fostering anti-corruption activities through the entire country. Assistance to the National Anti-Corruption Steering Committee is provided by a standing specialized unit.

2. The organization, duties and powers and working regulations of the Central Anti-Corruption Steering Committee shall be defined by the Standing Committee of the National Assembly upon the request of the Prime Minister.

Article 74. Supervision over prevention and combating of corruption

1. The National Assembly and National Assembly Standing Committee shall supervise the prevention and combating of corruption through the entire country.

2. The Ethnic [Ethics?] Council and the National Assembly committees, in the scope of their duties and powers, shall supervise the prevention of corruption in their fields.

The Law Committee of the National Assembly, in the scope of its duties and powers, shall supervise the detection and resolution of corrupt acts.

3. People’s Councils at all levels, in the scope of their duties and powers, shall supervise the prevention and combating of corruption in their jurisdictions.

4. The Delegation Team and deputies of the National Assembly and People’s Councils, in the scope of their duties and powers, shall supervise the implementation of provisions of the Laws on the Prevention and combating of Corruption.

Article 75. Specialized anti-corruption units

1. Specialized anti-corruption units shall be established in the Government Inspectorate, Ministry of Public Security and Supreme People's Procuracy.

2. Detailed organizational structures, duties and powers of the specialized anti-corruption units referred to in Paragraph 1 of this Article shall be defined by the Standing Committee of the National Assembly and the Government.

Article 76. Responsibility of the Government Inspectorate

The Government Inspectorate shall, within the scope of its duties and powers, be responsible for:

201. Organizing, directing and guiding inspection of the implementation of the provisions of the

Law on the Prevention and Combating of Corruption and, if an act of corruption is discovered , it shall request the competent agency or organization to handle it.

2. Develop a shared anti-corruption database.

Article 77. Responsibility of the State Audit

The State Audit shall, within the scope of its duties and powers, be responsible for organizing the conducting of auditing in order to prevent and detect corrupt acts and, in case an act of corruption is discovered, it shall request the competent agency or organization to handle it.

Article 78. Responsibility of the Ministry of Public Security and Ministry of National Defense

The Ministry of Public Security and the Ministry of National Defense shall, within the scope of their respective duties and powers, have the responsibility to direct and organize the conducting of investigations into corruption crimes.

Article 79. Responsibilities of the Supreme People's Procuracy and Supreme People’s Court

1. The Supreme People's Procuracy shall have the responsibility to direct prosecution activities against corruption crimes, to supervise the investigation, adjudication and

judgement enforcement activities relating to corruption crimes.

2. The Supreme People's Court shall have the responsibility to adjudicate and provide guidelines on adjudication activities relating to corruption crimes.

Article 80. Coordination between the inspectorates, state audit, investigating bodies procuracy, and courts

The inspectorates, state audit agencies, investigating bodies, procuracy, and courts shall have the responsibility to coordinate in the prevention and combating of corruption through the following activities:

1. Exchanging information, documents and experiences regularly on prevention and combating of corruption;

2. Transferring corruption case files to the competent state agency for resolution;

3. Making summaries, assessments and prognoses of the corruption situation and providing suggestions about policy and solutions for the prevention and combating of corruption.

Article 81. Coordination between the inspectorates, state audit and investigating bodies

1. In a case where an inspectorate or state audit transmits a case file to an investigating body, the investigating body shall receive and handle it in accordance with the provisions of the laws on criminal procedure.

2. In the case the inspectorate or state audit disagrees with the findings of the investigating body, the former shall have the right to inform thereof to the procuracy at the same level or to the investigating body at a higher level.

Article 82. Coordination between the inspectorates, state audits and procuracy

1. In the case the inspectorate and state audit transmit a case file to an investigating body, the former shall have the responsibility to inform thereof, for supervision, the procuracy at the same level.

2. In a case where the inspectorate and state audit transmit a corruption case file to the procuracy, the latter must follow up the case and keep the former informed in writing of the results of any follow-up action.

Section 2

21MONITORING ANTI-CORRUPTION ACTIVITIES OF THE INSPECTORATES, STATE

AUDITS, INVESTIGATING BODIES, PROCURACY, AND COURTS

Article 83. Monitoring of anti-corruption activities of cadres, public officials, and civil servants of the inspectorates, investigating bodies, procuracy, and courts

1. The inspectorates, state audits, investigating bodies, procuracy, and courts shall take measures to prevent acts of the abuse or exceeding their power of, or harassment committed by, their cadres and public officials in their anti-corruption activities.

2. The heads of inspectorates, state audits, investigating bodies, procuracy and courts shall reinforce the management of their cadres, public officials and civil servants; direct internal inspection and monitoring in order to prevent acts of law violation in anti-corruption activities.

3. Cadres and public officials of the inspectorates, state audits, investigating bodies, procuracy, and courts, who have committed acts of law violation in their anti-corruption activities, shall, depending on the nature and seriousness of the act, be subject to disciplinary actions or criminal prosecution; and if the acts have caused damage, such damage shall be compensated in accordance with the laws.

Article 84. Handling denunciations against cadres, public officials, and civil servants of the inspectorates, state audits, investigating bodies, procuracy, and courts

Upon receipt of a denunciation about a law violation committed by an inspector, auditors, investigator, procurator, judge, people’s assessor, court secretary or other cadre, public official, or civil servant of an inspectorate, state audit agency, investigating body, procuracy or court in an anti-corruption activity during the performance of their duty, the heads of the agency shall resolve the denunciations within their competence or request the competent agency, organization or individual to resolve it.

The results of the handling of the denunciation shall be made public.

Chapter VI

THE ROLE AND RESPONSIBILITIES OF SOCIETY IN THE PREVENTION AND COMBATING OF CORRUPTION

Article 85. Role and responsibilities of the Vietnam Fatherland Front and its member organizations

1. The Vietnam Fatherland Front and its member organizations shall have the following responsibilities:

a) Coordinating with the competent state agencies to disseminate information and educate the people and members of their organizations to comply strictly with the provisions of the Law on the Prevention and Combating of Corruption; and recommending such measures as may be necessary to detect and prevent corruption;

b) Encouraging people to participate actively in detecting and denouncing corrupt acts;

c) Providing information and coordinating with competent agencies, organizations and individuals in detecting, verifying and dealing with corruption cases; and

d) Supervising the implementation of the Law on the Prevention and Combating of Corruption.

2. The Vietnam Fatherland Front and its member organizations shall have the right to request competent agencies, organizations, and individuals to take measures to prevent corruption, verify corruption cases and handle persons who commit corrupt acts. The competent agencies, organizations, units, and/or individuals shall consider the requests and respond to such requests within 15 days of their receipt; or, for complicated cases, the time limit may be extended, but not exceeding 30 days.

Article 86. Role and responsibilities of the press agencies

221. The State encourages press agencies and correspondents to report on corruption cases and

anti-corruption activities.

2. Press agencies shall be responsible for praising the anti-corruption spirit and proactive action, condemning and fighting against persons who have committed corrupt acts, and participating in the dissemination and propaganda of the legislation on the prevention and combating of corruption.

3. Press agencies and correspondents shall have the right to request competent agencies, organizations and individuals to provide information and documents relating to corrupt acts. The requested agencies, organizations or individuals shall be responsible for providing such information and documents in accordance with the provisions of law. In the case where the requested agencies, organizations or individuals refuse to provide the information or documents, they shall respond in writing and specify reasons for such a refusal.

4. Press agencies and correspondents must provide objective and truthful information. The editor-in-chief and the correspondents shall bear responsibility for information reported and comply with the laws on the press and professional ethical rules.

Article 87. Role and Responsibilities of Enterprises and Professional Associations

1. Enterprises shall have the responsibility to report about corrupt acts and to coordinate with competent agencies, organizations and individuals in verifying and drawing conclusions on corrupt acts.

2. Associations of enterprises and professional associations shall be responsible for organizing and encouraging their members to establish a sound and non–corrupt business culture.

3. Associations of enterprises and professional associations and their members shall be responsible for recommending to the State improvements to the mechanism, policy and management for the prevention and combating of corruption.

4. The State shall encourage enterprises to compete fairly and establish internal control mechanisms to prevent embezzlement and bribe-giving.

5. Competent agencies, organizations, units and individuals shall have the responsibility to coordinate with the Vietnam Chamber of Commerce and Industry, associations of enterprises, professional associations and other organizations to hold forums to exchange and provide information for the purpose of the prevention and combating of corruption.

Article 88. Responsibilities of citizens and People's Inspection Boards

1. Citizens shall directly or through people’s inspection boards or organizations of which they are members participate in the prevention and combating of corruption.

2. People's Inspection Boards in communes, wards, townships, state agencies, political units, and state-own enterprises shall, within the scope of their respective duties and powers, supervise the implementation of regulations on the prevention and combating of corruption.

Chapter VII

INTERNATIONAL COOPERATION IN THE PREVENTION AND COMBATING OF CORRUPTION

Article 89. General principles of international cooperation

The State of Vietnam undertakes to implement the international treaties against corruption to which Vietnam is a party; to cooperate with other countries, international organizations, foreign organizations and individuals in anti-corruption efforts based upon the principle of respect for the independence, sovereignty, territorial integrity, and mutual benefit of one another.

Article 90. Responsibility in implementation of international cooperation

1. The Governmental Inspectorate shall coordinate with the Ministry of Foreign Affairs, the Ministry of Public Security and other relevant agencies to carry out international cooperation activities

23on research, training, formulation of policies, exchange of information, financial support, technical assistance and exchange of experience in the prevention and combating of corruption.

2. The Supreme People's Procuracy, the Ministry of Justice and the Ministry of Public Security shall, within the scope of their respective duties and powers, carry out the duties of international cooperation on legal assistance in the prevention and combating of corruption.

Chapter VIII

PROVISIONS FOR IMPLEMENTATION

Article 91. Effectivity of Implementation

1. This Law shall come into force on June 1st , 2006.

2. The Ordinance Against Corruption of January 26, 1998 and Ordinance on Amendment of and Supplement to A Number of Articles of the Ordinance Against Corruption of April 28, 2000 shall cease to be of force on the date when this Law comes into force.

Article 92. Detailed provisions and guidelines for implementation

The Government shall issue detailed provisions and guidelines for the implementation of this Law.

This Law was passed by the National Assembly of the Socialist Republic of Vietnam of XI Legislature at its 8th session on 29th November, 2005.

Chairman of the National Assembly

Nguyen Van An

1

k k k k--Group workGroup work--AntiAnti--corruption monitoring and corruption monitoring and evaluation in education sectorevaluation in education sector

--Group workGroup work--AntiAnti--corruption monitoring and corruption monitoring and evaluation in education sectorevaluation in education sector

U4 training workshop, U4 training workshop, HanoiHanoi1111--13 Oct 201013 Oct 2010

Purpose of Exercise

• How to improve monitoring of anti-corruption in the education sector?

2

POLICY

Policy making cycle

BUDGETMONITORING &

EVALUATION

RESULT

Vietnam’s regulations● Anti-corruption Law (2005)― Art 59-61. Regular monitoring and inspecting areas and activities

vulnerable to corruptionp― Article 80(3). GI, SAV, Courts, People’s Procuracy to assess

corruption level/trends and recommend anti-corruption solutions

● Anti-corruption Strategy to 2020 (Sec IV.3.) ― Periodic reporting on progress of anti-corruption measures― Survey on corruption level and impact on socio-economic

development

● UNCAC ― Self-assessment and peer review on implementation of the

Convention

3

What is available in education sector?

• Supervision and Inspection by MOET and other Supervision and Inspection by MOET and other authorities

• GI’s study on Corruption risk behaviors in education (2010)

• Public expenditure tracking study for primary education (2008)education (2008)

• ???

Issues

• What to monitor? What to monitor? - Corruption level/ trends- Policy implementation/impact

• How to monitor? - Subjective vs objectivej j- Availability of data- Costs

The U4 Anti-Corruption Resource Centre is offering a 3 day workshop focusing on corruption in the education sector. The event will take place in Hanoi, from October 11 to 13, 2010, and will discuss the situation of the sector in Vietnam, existing efforts to deal with the problem and practices and experiences from elsewhere. The workshop will benefit from simultaneous translation English-Vietnamese.

Participants

U4 workshops are designed according to the needs of the staff of U4 partner agencies (see below). Following U4 partner agencies’ requests, such events can also respond to the needs of their local partners in developing countries. In Vietnam, BTC (Belgian Development Agency), a U4 partner agency, is hosting the workshop and has engaged its local partners in organizing an event that meets the demands of the international cooperation as well as local actors (government and civil society).

Why should you participate?

• For the opportunity to develop your knowledge around corruption issues in the sector – in an intensive and compact manner – suitable for busy staff members in the field.

• For the opportunity of interacting with the staff of other development agencies and different stakeholders, around a dedicated forum to discuss the problem of corruption as it affects the education sector in Vietnam.

• For the opportunity to learn from experiences elsewhere and the possibility of meeting with actors with international experience on the topic.

• For the objective of strengthening the platform to maintain a regular strategic dialogue about corruption in the sector among interested stakeholders.

Expected results

• Enhanced knowledge of the causes and consequences of most common forms of corruption in the sector – with an emphasis on the particularities of Vietnam – to deepen the participants’ understanding of the problem and the coordination requested to deal with it.

• Access to available tools and strategies applied internationally to improve transparency and accountability in the sector.

• Strengthened commitment around work with specific stakeholders in the sector to move forward with an AC agenda that addresses the needs of the education sector in Vietnam.

Organization

U4 Anti-Corruption Resource Centre

The U4 ( www.U4.no ) is an initiative of 8 bilateral development agencies to support anti-corruption efforts in their activities and projects in developing countries:

U4 workshop Hanoi, Vietnam

11-13 October 2010

Anti-Corruption policies and practices in the Education

Sector in Vietnam:paving the way for delivering

results and monitoring progress

Participants at the U4 Workshop (Essentials of Anti-Corruption) in Hanoi, 2008

U4 workshop in Hanoi, Vietnam 11-13 October, 2010: Anti-Corruption policies and practices in the Education Sector in Vietnam

Norad (Norway)DFID (UK)CIDA (Canada)GTZ (Germany)MinBuZa (Netherlands)Sida (Sweden)BTC (Belgium)AusAID (Australia)

The U4 is a permanent centre within the Chr. Michelsen Institute (CMI) in Bergen, Norway. CMI is a private foundation that conducts both applied and theoretical research, through a multidisciplinary profile (www.cmi.no).

International Institute for Educational Planning (IIEP)

The U4 cooperates with IIEP, UNESCO, (www.unesco.org/iiep) in the content and execution of the workshops focusing on the education sector. Training is IIPE’s main activity and it is based on the results of the institute’s research, which provide methodological and technical support to those responsible for formulating public policies in the education sector. IIEP training programmes include a wide variety of topics dedicated to the sector, among which corruption features prominently.

Logistics

The workshop will take place at the Sunway Hotel Hanoi*. There are no workshop fees for staff of U4 partner agencies and their respective embassies. Each U4 partner agency can send up to 4 participants per agency (either their own staff or designated external participants). Neither U4 nor BTC can cover other related costs such as lodging and transport in the case of participants coming from different areas.

BTC kindly requests that you confirm as soon as posible (dealine for confirmation September 6th, 2010) who will attend the event from your organization. Please, provide the name, post and contact details of the participant to Ms Elsa Duret. Any other information can also be provided upon request:

Elsa [email protected] Support Advisor, Education SectorBelgian Development AgencyT +84 (4) 37 28 05 71

Certificate

A certificate of participation will be distributed to all those participants who attend the 3 days of the event.

Material

Power point presentations and other supporting documents will be available during the event.

For information about the U4 training

http://www.u4.no/training/U4 Anti- Corruption Resource Centre, CMIPO Box 6033, N-5892, Bergen, [email protected] | www.cmi.no

*Sunway Hotel Hanoi19 Pham Dinh Ho Street, Hai Ba Trung District, HanoiT +84 4 3971 3888 | http://hanoi.sunwayhotels.com

U4 Partners

Agence canadienne dedéveloppement international

Canadian InternationalDevelopment Agency

No. Organization Position Email Address Tel

1 Ms Nguyen Mai Chi Senior Program Manager- Australian Embassy [email protected] 8 Dao Tan St, Ha Noi Tel: (84) 4 3774 0183; Mob : (84) 903 288 489; Fax: (84) (4) 3774

7705

2 Ms Sounisa Sundara Senior Program Officer- Australian Embassy [email protected] Australian Embassy PO Box 292 Vientiane Lao PDR,

www.ausaid.gov.auTel: 856 21 353 800 ext 116; Mob: 856 20 7771 1812; Fax: 856 21 353 831

3 Ms Manithda Sithimolada Senior Program Officer- Australian Embassy [email protected] Australian Embassy PO Box 292 Vientiane Lao PDR,

www.ausaid.gov.auTel: 856 21 353 800 ext 226; Mob: 856 20 5563 9143; Fax: 856 21 353 831

4 Ms Elsa Duret Budget Support Advisor - Education Sector- Belgium Development Agency [email protected] F7, 14 Thuy Khue St, Tay Ho, Ha Noi Tel: 016 56 53 81 60

5 Ms Ngo Thu Huong Attache Adjoint - Belgium Embassy [email protected] 9 floor, Hanoi Tower, 49 Hai Ba Trung, Ha NoiTel. : (84) (4) 3 934.61.77Fax : (84) (4) 3 934.61.83E-mail : [email protected]

6 Ms Tran Thanh Huong Programme Officer- Belgium Development Agency [email protected] F7, 14 Thuy Khue St, Tay Ho, Ha Noi Tel: (84) (4) 3 728 0571

7 Ms. Ho Phuong Lan Executive Secretary/ BTC SPOC [email protected] F7, 14 Thuy Khue St, Tay Ho, Ha Noi Tel: (84) (4) 3 728 0571

8 Mr. Wilfried TheunisProgram Manager/ VVOB ( Flemish Association for Development Cooperation and Technical Assistance

[email protected] Room 307, A3, Thao Vien Guesthouse, 1B Bac Son, Ngoc Ha, Ba Dinh, Hanoi Tel: 84 4 3734 4795

9 Mr. Franck Pezza Délégué Wallonie-Bruxelles au Vietnam [email protected] 360, Kim Ma, Ba Dinh district, www.wbi.be/hanoi Tel: 84 4 3831 52 40 - 41;Fax : 84 4 3771 62 53

10 Mr. Luc Moitroux APEFE [email protected] Bureau APEFE de Hanoi,#505, Centre Daeha,360, Kim Ma (Ba Dinh) Hanoi Tel : 84 4 3771 62 51

11 Norway Ms Le thi Thuy Huong Development Advisor- Royal Norwegian Embassy [email protected] 10f, Vincom Building, 191 Ba Trieu St, Ha Noi Tel: (84) (4) 3974 2953; Mobile: (84) (0) 914360651; Fax: (84) (4)

3974 3300

12 Ms Anna Rosendahl First Secretary [email protected] Embassy of Sweden, No 2 Nui Truc street, Ba Dinh, Hanoi Telephone: +84 (0) 4 37260400;Fax: +84 (0) 4 38232196

13 Ms. Nguyen Hong Anh Embassy of Sweden, No 2 Nui Truc street, Ba Dinh, Hanoi Telephone: +84 (0) 4 37260400;Fax: +84 (0) 4 38232198

14 Ms. My Dung Ho [email protected] Embassy of Sweden, No 2 Nui Truc street, Ba Dinh, Hanoi

15 Ms. Nguyen Thi Kim Lien Governance Adviser [email protected] Central Building, 31 Hai Ba Trung St. Hanoi, Vietnam 39360554

16 Mr. John Leigh MDGs Adviser [email protected] Central Building, 31 Hai Ba Trung St. Hanoi, Vietnam

17 Ms Le Thi Yen, Acting Programme Support Manager

18 Ms Bui Minh Hanh, Programme Officer

19 New Zealand Embassy Ms. Nguyen Thi Lam Giang Development Programme Coordinator [email protected] New Zealand Embassy,63 Ly Thai To, Hoan Kiem District, Ha Noi www.nzembassy.com/vietnam P +84 4 3824 1481 Ext 1220 ;F +84 4 3824 1480

20 UNICEF Ms. Saoirse McCann Education Officer [email protected] 81A Tran Quoc Toan, Hanoi Tel: (84) (4) 3942 5706-11 (ext.300); Fax: (84) (4) 3942 5705

21 World Bank Ms Tran Thi Lan Huong Governance Specialist [email protected] 63 Ly Thai To St. Hanoi Tel: (84) (4) 3934 6600/ ext.226; Fax: (84) (4) 3934 6597

22 H.E Mrs. Nguyễn Thị Nghĩa Vice Minister

23 Mr. Phạm Văn Tại Director, Inspectorate Dept

Belgium

GoV Agencies and Ministries Representatives (7)

Non U4 Partner Agencies

Sweden-SIDA

UK-DFID

NameU4 Partner's agencies

List of participantsANTI-CORRUPTION POLICIES AND PRACTICES:PAVING THE WAY FOR DELIVERING RESULTS AND MONITORING PROGRESS

Organized by U4 & BTC

October, 11th -13th

Sunway Hotel, Pham Ngu Lao Street, Hanoi

Australia (AusAid)

No. Organization Position Email Address Tel Name24 Mr. Nguyễn Văn Phương Vice director, Inspectorate Department

25 Ms. Nguyen Minh Tam Department of International Relations

26 Mr. Bùi Hồng Quang Vice Director, Planning & finance Dept

27 Mr. Đinh Minh TùngExpert, Dept of Planning & Finance

28 Ms. Vu Thanh HươngExpert, Dept of Planning & Finance

29 Mr. Nguyễn Văn ÁngExpert, Dept of Planning & Finance

30 Mr. Bùi Văn Quân Vice Director,Dept of teacher & education managers

31 Mr. Ngo Thanh Hung Vice Director,Department of Testing & Quality Assurance Accreditation

32 Ms. Trần Thị Thắm Vice director,Dept of primary education

33 Ms. Đặng Lan Phương Dept of primary education

34 Mr. Nguyễn Xuân Trường Expert, Dept of secondary education

35 Mr. Nguyễn Trọng HoànExpert, Dept of Secondary education

36 Ms Nguyen Le HuongExpert, Department of Higher Education

37 Mr. Lê Thuận VượngExpert, Dept of Continuous education

38 Mr. Hoang Anh Tuan

39 Mr. Luong The Anh Expert, Training Support & Human Development Centre 0912943405/ [email protected]

40 Ms. Nguyen Thu Trang Anti-corruption Corruption Bureau

41 Mr. Nguyen Van Ngoc

42 Mr. Nguyen Trong Giap Mobile: (84) (0) 9777 80888

43 Mr. Le Van Lan Director of Department No.6 4-6 Ba Huyen Thanh Quan street, Hanoi Mobile: (84) (0) 912176603

44 State Audit of Vietnam (SAV) Mr. Vu Van Hong Deputy Director, Legal Department 111 Tran Duy Hung, Hanoi Mobile: (84) (0) 906123168

45 Ms. Nguyen Thi Kieu Vien Executive Director [email protected] 51 A Nguyen Khac Hieu 37153532

46 Mr. Matthieu Salomon International Senior Advisor [email protected]; 51 A Nguyen Khac Hieu 37153532

47 Ms Ms Nong Thi Thuy Chi Communication Officer 52 A Nguyen Khac Hieu

48 Mrs. Ms. Pham Thuy Chi Vice Director [email protected] and Change Management Consulting Co., Ltd.Room 305, Lieu Giai Hotel, 28 Lieu Giai Road , Ba Dinh, Hanoi;http://www.tc-consulting.com.vn/en/home-page

Tel: (84) 4 - 37622256/7 ;37622256/7 Fax: (84) 4 -37622258 , MB: (84) 904 242 943

49 Mr. Nguyen Van Thang [email protected] and Change Management Consulting Co., Ltd.Room 305, Lieu Giai Hotel, 28 Lieu Giai Road , Ba Dinh, Hanoi;http://www.tc-consulting.com.vn/en/home-page

Tel: (84) 4 - 37622256/7 ;37622256/7 Fax: (84) 4 -37622258 , MB: (84) 904 242 944

50 Mekong Economics (LTD) Mr. Adam McCarty Chief Economist [email protected] 9B Ngo Yen The (Lane), Nguyen Thai Hoc Street Dong Da District, Hanoi, Vietnam Tel: (844) 3759 0008;Fax: (844) 3747 5959

51Research and training centre for community development (RTCCD)

Mr. Tran Tuan Email: [email protected] ; [email protected]

No.39, lane 255, Vong str, Dong Tam HBT dist, Hanoi, Vietnam Website: www.rtccd.org.vn Tel: (84 – 4) 36280350/51/52 ; Fax: (84 – 4) 36280200

Transformation and Change Management Consulting Co ( T&C consulting Co)

Transparency International/Towards Transparency

CSOs (2)

Consultancy Groups/research centres/Foundations

Ministry of Education & Training (MOET)

Government of Inspectorate (GI)

Office of the Steering Committee for Anti Corruption (OSCAC)

No. Organization Position Email Address Tel Name52 Ms Thaveeporn Vasavakul International consultant

53TBS-EFA (Targeted Budget Support for Education For All )- Multi-donor funded

Mr. Rick Frost Chief Technical Advisor [email protected]; [email protected]

TBS-EFA Project Office, Room 205 Building 8C Lane 30 Ta Quang Buu St, Hanoi

Tel: (84) (4) 3623 0132; Mobile (84) 494 820 621; Fax: (84) (4) 3868 4914

54 Thang Long University Mr. Prof. Dr. Pham Huy Dung Vice chairman of the University Counsel [email protected] Mobile 0913 237 751

55 Hoa Sen University Dr Bui Tran Phuong President [email protected] 93 Cao Thang, Dist. 3, HCM city Tel:(84) (0)8 3925 38 10Fax 08 3830 1878

56 Mr. Le Gia Thang Programme Coordinator Education [email protected] 22 Le Dai Hanh, Hanoi Telephone: 84-4 39454362 ext.125;Fax: 84-4 39454365

57 Ms Pham Thi Hong Net Programme Advocacy Officer - Education 22 Le Dai Hanh, Hanoi

58 Ms Do Van Nguyet Country Manager [email protected] ; [email protected]

#30, Lane 32/26,To Ngoc Van street, Hanoi ; http://www.livelearn.org/country/vietnam.asp P: +844 37185930

58 Ms Nguyen Thi Lan Huong Education Program Officer [email protected] 10th Floor, Capital Building, 72 Tran Hung Dao Office:+84-4-8220661/ ext.35 ; Mobile: 0915086604

59 Ms. Do Thi Thanh Phuong Reporter 44501228/ 0913315001/ [email protected]

60 Mr. Pham Thinh Reporter 0916959629/ [email protected]

61 VTV (Television) Mr. Vu Hai Dang Reporter [email protected]

62 Culture & Society Newspaper Ms. Pham Thuy Quynh Reporter 38253067/ 0913236175/[email protected]

63 Customs Newspaper Ms. Duong Ngan Reporter 39784417/ 0987858824/ [email protected]

64 Dai Viet Newspaper Ms. Tran Thi Oanh Reporter 6290080/ 0904479849/ [email protected]

65 Age & Education Newspaper Ms. Tran Thi Ngoc Nam Reporter 39362287/ 0982435555/[email protected]

66 Vietnam News Ms. Nguyen Thi Huong Giang Reporter 39334587/ [email protected]; [email protected]

67 Education Newspaper Ms. Khue Reporter

68 Digital Newspaper Ms Viet Anh Reporter

69 Law Newspapers Ms Nguyet Thuong Reporter

70 Education & Age (Newspaper) Ms. Nguyen Nhung Reporter

71 VWU Newsletter Ms Le Tam Reporter [email protected]

72 Life & Law Nespaper Ms Nguyen Thanh Hue Reporter

73 Tien Phong Newspaper Ms Quy Hien Reporter 0913529353/ [email protected]

74 New Hanoi Newspaper Ms. Thuy Quynh Reporter [email protected]

75 Military Newspaper Mr. Nguyen Chien Thang Reporter [email protected]

76 Mr. Hoang bao Thai Reporter hoang [email protected]

Public Media

VTC Television

Oxfam Great Britain in Vietnam

NGOs (2)

Live and Learn

Academia/Universities (3)

Technical Assistants working in the Education Sector on donors funded program/project (2)

No. Organization Position Email Address Tel Name77 Ms. Loan Reporter [email protected]

78 Ms Hang Reporter [email protected]

79 Law & Life Ms. Phan Thuy Reporter [email protected]

80 Life & Charity Newspaper Ms. Hang Reporter [email protected]/ 0904179183

81 Law Newspaper in Ho Chi Minh City Mr. To Nhu Reporter [email protected]

82 Sai Gon Marketing Ms. Nguyen Thi Thanh Tuyen Reporter [email protected]

83 Vietnam net Ms. La Thi Kieu Oanh Reporter [email protected]

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Anti-corruption policies and practices in education sector...

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