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Higher Education Governance in Vietnam: University Action, the State and Changing Relationships

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Higher Education Governance in Vietnam: University Action, the State and Changing Relationships Higher Education Governance in Vietnam: University Action, the State and Changing Relationships DISSERTATION submitted in fulfillment for a Doctoral Degree in Social Science by Thi Lan Phuong Pham Kassel, July 2013 i Die vorliegende Arbeit wurde vom Fachbereich Gesellschaftswissenschaften der Universität Kassel als Dissertation zur Erlangung des akademischen Grades eines Doktors der Wirtschafts-und Sozialwissenschaften (Dr. rer. pol.) angenommen. Erster Gutachter: Prof. Dr. Georg Krücken Zweiter Gutachter: Prof. Dr. Ulrich Teichler Tag der mündlichen Prüfung: 13. September 2013 ii Eidesstattliche Erklärung Hiermit versichere ich, dass ich die vorliegende Dissertation selbstständig, ohne unerlaubte Hilfe Dritter angefertigt und andere als die in der Dissertation angegebenen Hilfsmittel nicht benutzt habe. Alle Stellen, die wörtlich oder sinngemäß aus veröffentlichten oder unveröffentlichten Schriften entnommen sind, habe ich als solche kenntlich gemacht. Dritte waren an der inhaltlich-materiellen Erstellung der Dissertation nicht beteiligt; insbesondere habe ich hierfür nicht die Hilfe eines Promotionsberaters in Anspruch genommen. Kein Teil dieser Arbeit ist in einem anderen Promotions- oder Habilitationsverfahren verwendet worden. Statement of Affirmation I hereby declare that the doctoral dissertation submitted was in all parts exclusively prepared on my own, and that other resources or other means (including electronic media and online sources), than those explicitly referred to, have not been utilized. All implemented fragments of text, employed in a literal and/or analogous manner, have been marked as such. Thi Lan Phuong Pham Kassel, July 2013 iii Abbreviations ABET Accreditation Board for Engineering and Technology ASEAN Association of Southeast Asian Nations AUN Association of Southeast Asia Nation’s University Network B.A. Bachelor of Arts B.Ed. Bachelor of Education B.Sc. Bachelor of Science CDIO Conceive - Design - Implement - Operate, which is an educational framework for engineering education CPV Communist Party of Vietnam CTS Credit-based Training System DEST Department of Education, Science and Training - Australian Government GDTA General Department for Testing and Accreditation HEI Higher Education Institution HERA Higher Education Reform Agenda IPC Institutional Party Committee IT Information Technology JICA Japan International Cooperation Agency MOET Ministry of Education and Training NPM New Public Management NU National University NUEE National University Entrance Examination OECD Organization for Economic Cooperation and Development PAR Public Administration Reform Ph.D. Doctor of Philosophy PI Performance Indicator PPP Purchasing Power Parity RDT Resource Dependence Theory SAR Self-assessment Report U.S. United States UE University of Economics UK United Kingdom UNDP United Nations Development Program UP University of Pedagogy US University of Science UT University of Technology VND Vietnamese Dong, the currency of Vietnam WB World Bank iv Acknowledgements First, I would like to express my deep gratitude to Prof. Dr. Barbara Kehm for her help and guidance during the first period of my doctoral study. Her intercultural sensitivity encouraged me to talk to her about difficulties I confronted during the study. Prof. Kehm helped me to get familiar with the environment in INCHER and gave valuable advice on the interview sample for my doctoral research project. In addition, she continuously gave helpful comments on my research work after leaving her position. I owe the first supervisor of my dissertation, Prof. Dr. Georg Krücken, a great debt of gratitude. His constructive comments on my presentations at the INCHER Ph.D. colloquia helped me very much to figure out what directions I should follow at important stages of my research project. His lectures and discussion in the reading groups with other Ph.D. students gave me fundamental knowledge of sociology and philosophy of science, helping to clarify my research stance. His enthusiasm about the progresses of the INCHER Ph.D. students has maintained an encouraging learning environment for us. My gratitude is also extended to Prof. Dr. Ulrich Teichler whose office is always open to his students. One of his timely responses to my enquiries was a written answer for my question concerning the concept of quality in higher education. His notes of different implications of this concept reminded me of presenting clearly the issue of higher education quality in Vietnam to European scholars. His lecture series in the Master Program in Higher Education (MAHE) equipped me with a comparative and holistic view on higher education, guiding me through the doctoral study journey. His knowledge sharing, advice and encouragement had an important influence on my study progress. In addition, I would like to thank my colleagues at INCHER for sharing knowledge and experience in our productive discussions. I am grateful to Susanne Höckelmann, who gave me constant help from the time I attended MAHE until the doctoral graduation. I would also like to thank to Amanda Schimunek for proofreading from Chapter 4 to 7 of my dissertation. Many thanks are given to my Vietnamese friends around Germany and in Kassel. Your interest in learning inspired me to pursue my study. I am particularly indebted to the Ministry of Education and Training of Vietnam for granting me a full scholarship for my doctoral study. I also owe my thanks to the University of Kassel for awarding me a Completion Scholarship for Doctoral Students, v which was a source of encouragement for me to finish the doctoral dissertation, and to the German Academic Exchange Service (DADD) for giving me a support grant. I am very grateful to all the participants in the study for sharing experiences and valuable ideas through the interviews. My thanks also go to all people who helped me with contacting potential participants. Last, but not least important, the successful completion of my doctoral study is attributed to my family, especially my grandfather who consistently encouraged me to pursue graduate education. vi Zusammenfassung (Summary in German) Das generelle Thema der Doktorarbeit ist Governance der Hochschulsektors. Dabei wird im Gegensatz zur zentralen staatlichen Steuerung Governance als eine Form der kollektiven Steuerung verstanden. Ein eher technischer Aspekt der Governance ist das Management des jeweiligen Systems. Das ist ein Grund warum Governancehäufig synonym mit Management verwendet wird. Governance umfasst im Hochschulbereich zwei wichtige Aufgaben: die Beziehung zwischen Staat und den Institutionen der Hochschulen sowie das interne Management der Hochschulen. Ein Großteil der Literatur zur Governance im der Hochschulsektor untersucht entweder das Verhältnis zwischen Staat und Hochschulen oder wie das Management von Hochschulen von der Änderung äußerer Rahmenbedingungen beeinflusst wird. Ein anderer Teil der Literatur untersucht das Management von Universitäten als Bestandteile der organisatorischen Merkmale der Universitäten. Der Mangel an kombinierten Makro- und Mikro-Theorien zum Studium der Hochschul-Governance ist Ausgangspunkt für die Zielsetzung dieser Arbeit, das Wechselspiel zwischen Staat und Universitäten bei der Entwicklung des Hochschulsystems mit einem breiteren Ansatz zu fassen. Vietnam strebt die Förderung der Effizienz bei der Bereitstellung öffentlicher Dienste durch die verstärkte Anwendung von Markt-Mechanismen an, was eine weit verbreitete Praxis des so genannten New Public Management (NPM) ist. Jedoch hält Vietnam dabei, im Gegensatz zum weltweit vorherrschenden Ansatz, an der regulierten Marktwirtschaft und einer zentralisierten staatlichen Management-Struktur fest. Das Land hat eine umfassende Reform der öffentlichen Verwaltung hinter sich, wobei es allerdings keiner einheitlichen Idee gefolgt ist, aus der sich die Reformen des Hochschulsektors klar ableiten ließen. Eines der wesentlichen Ziele bei Erneuerung der Hochschulbildung in Vietnam ist es, das System durch die Mobilisierung von Ressourcen aus der Gesellschaft zu erweitern. Um die Bedeutung der Erweiterung der Ressourcen im Hochschulbereich in Vietnam angemessen zu berücksichtigen, wird in dieser Arbeit auf den organisationstheoretischen Ansatz der Resource Dependence Theory (RDT) zurückgegriffen, mit der die Verhaltensweisen und Leistungen der Hochschulen abgebildet werden. vii Für diese Arbeit wurde eine empirische Studie durchgeführt, um die Veränderungen der Governance in der Hochschulbildung in Vietnam zu erfassen. Diese Veränderungen werden als Ergebnisse der Veränderungen der Interaktion zwischen Staat und Hochschulen verstanden. Eine Multiple-Case-Studie wurde eingesetzt, um eine empirische Untersuchung zur Erforschung der Strukturen, Verfahren und Praktiken in den vietnamesischen Hochschulen durchzuführen. Die Analyse der nationalen Governance basiert auf offiziellen Dokumenten sowieden Praktiken innerhalb der Universitäten, die aus den Fallstudienund der Sekundärliteratur abgeleitet wurden. Dabei untersucht die Studie die Änderungen der Governance im vietnamesischen Hochschulsektor im Zeitraum von 1987 bis 2010. Die wichtigsten Ergebnisse der Studie werden im Folgenden zusammengefasst, wobei die Antworten auf die drei Forschungsfragen der Studie jeweils unter den Fragen widergegeben sind: Aus welchen Gründen verändert sich die Governance des Hochschulsektors in Vietnam? In Anlehnung an die Praxis in der Wirtschaft wurde an Hochschulen in Vietnam mit Marktmechanismen zu experimentieren begonnen. Die Erhöhung des Angebots
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