THE IMPLEMENTATION OF STANDARDS-BASED TEACHER EVALUATION IN VIETNAMESE SECONDARY SCHOOLS: A CASE STUDY IN DONG THAP A DISSERTATION SUBMITTED TO THE GRADUATE DIVISION OF THE UNIVERSITY OF HAWAI‘I AT MĀNOA IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY IN EDUCATION MAY 2013 By Huy Q Pham Committee Members: Stacey B Roberts, Chairperson Ronald H Heck David P Ericson Thomas W Christ Bruce E Barnes Keywords: Standards-based evaluation, teacher effectiveness, social capital UMI Number: 3572453 All rights reserved INFORMATION TO ALL USERS The quality of this reproduction is dependent upon the quality of the copy submitted In the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted Also, if material had to be removed, a note will indicate the deletion UMI 3572453 Published by ProQuest LLC (2013) Copyright in the Dissertation held by the Author Microform Edition © ProQuest LLC All rights reserved This work is protected against unauthorized copying under Title 17, United States Code ProQuest LLC 789 East Eisenhower Parkway P.O Box 1346 Ann Arbor, MI 48106 - 1346 ii ACKNOWLEDGEMENTS I would like to express my sincerest gratitude to my adviser, Dr Stacey B Roberts, for her guidance, support, expertise, and encouragement during my time at University of Hawai‘i at Mānoa and working on my dissertation I highly appreciate her valuable advice and constant support for my work I would like to acknowledge Dr Ronald H Heck for his expertise and guidance on the dissertation structure; special thanks to Dr David P Ericson, Dr Thomas W Christ, and Dr Bruce E Barnes for their valuable contributions and supports I would like to thank the Dong Thap Department of Education and Training, Dong Thap People’s Committee, East West Center (EWC), Department of Educational Administration at University of Hawai‘i at Mānoa (UHM), UHM International Student Services, and Spark Matsunaga Institute for Peace and Conflict Resolution at UHM, and UHM Graduate Student Organization for supporting my doctoral program at University of Hawai‘i at Mānoa I am also deeply grateful to UHM Educational Administration Department professors, other professors at University of Hawai‘i at Mānoa, friends, and many other unnamed people for your supporting me through the doctoral program I would like to express my special thanks my daughter–Anh Pham, my son— Minh Pham, and wife—Ha Nguyen for supporting me and cheering me up during my hardest time of completing this big project I would like to say many thanks to my parents for their eternal patience and supports to me in completing the degree program iii ABSTRACT Teacher quality has become a critical area of concern in Vietnamese education Recently, new professional standards for teachers in secondary schools have been developed, piloted, and implemented This study explores the perceptions of teachers, school principals, and other administrators about the new teacher professional standards, the accompanying standards-based teacher evaluation system, and opportunities for improving teacher professionalism that might lead to increases in student learning This case study utilized qualitative and quantitative data collected in Dong Thap, a Southern province in Vietnam Quantitative data were from surveying 285 participants including 218 teachers, 54 principals, and 13 other administrators Analysis of variance (ANOVA) was utilized to determine if there were differences in perceptions among the three role groups on several key policy components Follow-up qualitative data were collected from (1) a focus group with nine principals, (2) semi-structured interviews with 29 teachers and five principals, and (3) notes from fieldwork and open-ended questions of survey Data transcripts were assigned in ATLAS.ti for coding and analyzing by describing and grouping into themes to answer research questions Findings suggested teachers, school principals, and administrators support efforts to upgrade teacher professional standards and standards-based teacher evaluation In general, administrators and principals hold more positive views toward both the process of implementing standards (i.e., the fairness of the standards-based evaluation process, its likely impact on teaching) and the types of evaluation (i.e., personnel, inspection, merit, standards-based) affected by the new policy Regarding social aspects of the new policy (i.e., social trust, available channels of communication, teachers norms and commitment iv to new procedures), there were also differing perceptions associated with role groups In general, regarding social trust, means for all three role groups were relatively low; however, principals and other administrators held more favorable views regarding social trust than teachers The same pattern was true for perceptions about channels of communication In contrast, regarding norms, expectations, and sanctions, teachers held significantly more positive views than either other administrators or principals This suggests teachers perceive they are committed to fulfilling the requirements of the policy, especially regarding increased meetings Lower means on norms from administrators suggest some skepticism from administrators regarding teachers’ willingness and commitment to comply with the new teacher evaluation policy Implications suggest some differences in view regarding the new standards-based evaluation policy, the current types of evaluation covered by the policy, as well as the nature of social relationships within schools that might support changes in practice regarding evaluation practices and increased teacher professionalism that leads to improved student outcomes Building on the initial findings of this study would be worthwhile in terms of further understanding (a) norms and social trust among teachers, (b) the interconnectedness of the implementation of the teacher professional standards policy in the context of other standards-based policies for school effectivenss, and (c) increasing linkages between the school and community with respect to school goals and results v TABLE OF CONTENTS ACKNOWLEDGEMENTS ii ABSTRACT iii TABLE OF CONTENTS v LIST OF TABLES x LIST OF FIGURES xi CHAPTER OVERVIEW OF THE RESEARCH PROBLEM Introduction Demographics and Educational Data in Dong Thap Purpose of the Study Rationale for the Approach to the Study Significance of the Study Research Questions Organization of the Dissertation CHAPTER 11 LITERATURE REVIEW 11 Teacher Quality and Effectiveness 12 Quality 12 Effectiveness 15 Summary 17 Standards Movement and Standards-Based Teacher Evaluation 17 Standards Movement 17 vi Standards-Based Teacher Evaluation 19 Teachers’ Professional Development 22 Social Capital 23 Social Trust 24 Channels of Communication 24 Norms, Expectations, and Sanctions 25 The Role of Social Capital in Policy Implementation .26 Summary 27 Literature Review Summary 28 CHAPTER 29 EDUCATIONAL POLICY AND TEACHER EVALUATION IN VIETNAM 29 Legal changes in education 29 Trends in Education .30 Requirements for On-Going Teacher Professional Development 31 Teacher Evaluation in Secondary Schools in Vietnam 32 Standards-Based Evaluation 35 Standards-based Evaluation in Vietnamese Secondary Schools 37 Summary 37 CHAPTER 39 METHOD 39 Case Study Design 39 Setting 40 Participants 42 vii Procedures 44 Data Collection and Analysis .45 Qualitative Data 45 Qualitative Data Analysis 49 Quantitative Data .49 Survey Instrument 50 Quantitative Data Analysis 51 Data Merging Procedures 52 Researcher Role 53 Limitations .55 CHAPTER 57 RESULTS 57 Survey Results .57 Perceptions about Standards-Based Evaluation 57 Current Types of Evaluation 60 Social Capital .64 Qualitative Data .67 Teacher Effectiveness 69 Expectations about Teachers’ Responsibility for Effectiveness 71 Teacher Morale 72 Factors Supporting Teacher Effectiveness .74 Professional Standards and Standards-Based Evaluation 76 Social Capital .86 viii Summary of Findings 94 CHAPTER 99 DISCUSSION, IMPLICATIONS, AND CONCLUSIONS 99 Summary of study and purpose 99 Discussion 100 Professional Teacher Standards .101 Current Types of Evaluation in Schools 102 Social Capital 103 Perceptions toward the Standards-Based Evaluation .104 Perceptions toward Social Capital 106 Summary 107 Implications for Practice 108 Instant Supports to Meet the Standards 108 Timeline for Meeting the Standards 109 Actions for Teacher Effectiveness to Meet Standards .109 Consistency of Goals Regarding Each Types of Evaluation 110 Supportive School Environment 110 A Professional Learning Community 111 Resolving Disagreements for Change 112 Implications for Further Study .112 Impact of Professional Standards on Teacher Effectiveness 113 Professional Standards and Standards-Based Era in Schools 113 Social Capital and Social changes, Development, and Promotion 114 ix Conclusions 115 APPENDICES 117 Appendix A Teacher interview protocol 117 Appendix B Principal interview protocol 119 Appendix C Agenda and ground rules for the focus group .121 Appendix D The survey questionnaire 123 Appendix E Answer sheet (multiple choices) (English and Vietnamese languages) 129 Appendix F Answer sheet (question 55) (English and Vietnamese languages) 130 Appendix G Professional standards of secondary Vietnamese teachers 131 Appendix H Letter of Consent - Interview 141 Appendix I Letter of Consent - Focus group .145 Appendix J Letter of Consent - Survey 149 Appendix K Terminologies and definitions .153 Appendix L Permission to adapt the survey questions from Milanowski and Heneman (2001) 158 REFERENCES 159 156 schools Provincial educational supervisors [Thanh tra Giáo dục Sở, Thanh tra Giáo dục tỉnh] is in charge of supervising and evaluating Collaborator of provincial clinical or inspection evaluation [Công tác viên Thanh tra] who are senior, experienced teachers and principals or vice principals at schools are authorized by the Director of DOET to evaluate the teachers in the province Annual personnel evaluation [Đánh giá Nhân sự, Đánh giá Viên chức năm]: was issued out by the MOHA in 2006 It requires teachers to be evaluated at the end of a school year on their (a) qualifications on politics, ethics, lifestyle [a Phẩm chất trị, đạo đức, lối sống] and (b) assigned performances [b Kết công tác giao] ‘Merit’ evaluation [Đánh giá Thi đua] is created by the boards of individual schools Normally it is a contract of competition of the Trade Union [Cơng đồn] which is the representative of teachers and a school principal Standards-based teacher evaluation [Đánh giá Giáo viên theo Chuẩn] aims to assist teachers to have a self-evaluation before their peer evaluation done by colleagues and principals It came along with the new professionalism standards of teachers, called “Chuẩn” in Vietnamese language Elements (of the Standard) [Tiêu chuẩn (của Chuẩn)] refers to 25 elements of the Standards [Chuẩn] Teacher Awards and Recognitions Excellent Teachers [Giáo viên giỏi]: Excellent teachers are recognized from the teaching competitions which include different levels of school, district, 157 province and nation Its aim is to recognize teachers with specific competence and polish their teaching image Outstanding Performance [Chiến sỹ thi đua] and Excellent Performance [Lao động giỏi] are recognized from the school ‘merit’ evaluation in which annual personnel evaluation and inspection evaluation are considered references “Teachers’ Day” [Ngày Nhà giáo Việt Nam]: A festive day to celebrate the noble teaching profession “Teachers’ Day” is on the 20th of November “Outstanding Teacher” [Nhà giáo Ưu tú] and “People’s Teacher” [Nhà giáo Nhân dân] are noble titles bestowed in order to recognize the contributions and devotion of teachers, educators, and educational administrators “People’s Teacher” [Nhà giáo Nhân dân] is the highest recognition Abbreviations DTDOET: Dong Thap Department of Education and 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Thousand Oaks, CA: Sage Publications, Inc Zelmelman, S., Daniels, H., & Hyde, A (2005) Best practice: Today's standards for teaching and learning an America's schools Portsmouth, NH: Heinemann He served as United States Secretary of Education from 1985 to 1988 From “Assessment of Teacher Reactions to a Standards-Based Teacher Evaluation System: A Pilot Study,” by A T Milanowski and H G Heneman, 2001, Journal of Personnel Evaluation in Education, 15(3), 193-212 Adapted with permission ... There have recently been studies of standards- based teacher evaluation, including designing a set of teacher standards, advantages and disadvantages of standards- based evaluation, and the issue of. .. methods of teacher evaluation Standards Movement and Standards- Based Teacher Evaluation Standards Movement The standards movement in the United States began in the 1980s It followed the release of the. .. officials was passed by National Assembly (2008) delineating a new evaluation system for all state employees and officials, including teachers Although the standards- based teacher evaluation was introduced