Effective quality management in vietnamese higher education institutions

EFFECTIVE QUALITY MANAGEMENT IN VIETNAMESE HIGHER EDUCATION INSTITUTIONS PHAN, THI KIM LOAN ORCID: 0000-0001-5286-380X Submitted in total fulfilment of the requirements of the degree of Doctor of Philosophy November 2018 Melbourne Centre for the Study of Higher Education Melbourne Graduate School of Education The University of Melbourne Abstract Given the current efforts of Vietnamese HEIs to increase quality and catch up with world-ranking universities, it is worthwhile to examine the nature of quality management (QM) implementation in the Vietnamese context and culture In seeking to go beyond the previous scant research systematically examining the management of quality assurance (QA) in Vietnamese HEIs, this study aims to investigate the nature of QM in Vietnamese public HEIs Using a sequential mixed methods approach, the study provides a comprehensive and systematic analysis of the topic by (i) developing a conceptually rigorous and empirically validated framework of QM for Vietnamese public HEIs; (ii) investigating the nature of QM in Vietnamese public universities; and (iii) examining implications for national policy and HEI practice based on the outcomes of the research The study examines the context of Vietnamese higher education as a rationale for the research and higher education and HEI definitions and relevant characteristics as a background for the analysis To guide the design of a conceptual QM framework, it explores the major concepts of quality, QA, QM, and a modified Deming cycle The potential influence of the Vietnamese national characteristics on QM implementation in HEIs is also explored via Hofstede cultural theory This theoretical understanding helped with the review of the six meta-analyses on QM in higher education to establish essential dimensions representing good practices in world higher education which would potentially work in the Vietnamese context For empirical validation, a review was administered to international and local experts in higher education and QM in higher education through a two-round survey The findings yielded an empirically validated conceptual framework This framework, in turn, directed the location of the relevant documents and guided semi-structured interviews at three selected public HEIs to obtain stakeholders’ insights into QM implementation The findings of this stage contributed to identifying the implications for national policy and institutional operations Evidence from the study shows that Vietnamese public HEIs are still at an early stage in QM implementation The recent efforts to improve QA that emphasise performance-based assessment solved many weaknesses and pushed these HEIs to a higher level However, they insufficiently accommodated unique institutional requirements, did little to support improvement and ultimately enhancement, and seemed to be underdeveloped in some essential dimensions such as information management and benchmarking Not surprisingly, they met some resistance The findings advocate the idea that QA is contextually and culturally dependent To help make the QA system more consistent and supportive of sustained improvement and innovation, the study suggests a QM framework consisting of nine dimensions, namely, continuous improvement, leadership and management, information management, resource management, education and research management, stakeholder focus and satisfaction, partnership development and management, benchmarking within the institution and beyond, and healthy relationship management The thesis recommends a compliance culture for the initial stage to develop a full commitment to QA from all stakeholders For long-term strategies, trust and transparency should be strongly established through quality practices with a focus on national culture i Declaration This is to certify that: i The thesis comprises only my original work towards the PhD, ii Due acknowledgment has been made in the text to all other material used, iii The thesis is fewer than 100,000 words in length, exclusive of tables, bibliographies and appendices Signature: Phan, Thi Kim Loan November 2018 ii Acknowledgments Imagining, researching and writing the doctoral dissertation is a difficult and often lonely process However, it is far from a solitary effort and I have been blessed with wonderful support from my supervisors, mentors, research participants, friends, and family members on this journey It would take as many pages as the dissertation itself to list everyone who has helped and encouraged me and it is impossible to even list the people who have provided me with significant but confidential advice and insights First thanks must go to my supervisors, Professor Leo Goedegebuure and Professor Hamish Coates for their patience, inspiration, support, and particularly, their incredibly kind graciousness when providing feedback and much needed critique They made sure I felt respected and encouraged through every step of the dissertation They were always positive and instrumental in helping me shape the thesis, allowing me to struggle long enough to figure out the solutions on my own, and then had a masterful way of providing valuable feedback I also extend thanks to my committee chair, Associate Professor Chi Baik for her guidance and insights Her time, interest, and valuable suggestions helped me improve this research in countless ways and working alongside her has been a privilege beyond measure Without the professional guidance and constant encouragement of these three, I could not have completed the thesis, and I am unable to adequately express the depth of my appreciation for their support I would like to express my gratitude to Dr Alistair Wood His immense knowledge and sound experience as a leader and as senior lecturer at Universiti Brunei Darussalam in South East Asia greatly contributed to the success of the thesis I sincerely appreciate his dedicated work and his linguistics insights on improving the clarity throughout my thesis Dr Wood’s wisdom and willingness to help me as a guide and mentor made this experience rich and positive This thesis would not have been possible without the participation of a great many other experts and interviewees both from Vietnam and other countries around the world particularly from ASEAN countries I am very grateful to the participants who contributed their precious time and insights to this study Thank you all for your expertise and support I am indebted to my lecturers, colleagues and students from the University of Humanities and Social Sciences, Vietnam National University, Ho Chi Minh City Especially, I wish to express my appreciation to Dr Lê Hoàng Dũng, dean of my faculty He encouraged me to consider graduate study, providing valuable suggestions in the initial phases of my iii research and helping prepare me for this journey A special thank goes to Ms Trần Thị Nga, deputy head of the quality office, who was my first challenging reader of my chapters My lecturers, colleagues and students’ love and support are a great source of encouragement even though they are thousands of miles away I am very grateful to the academics and professional staff at the Melbourne Centre for the Study of Higher Education (MCSHE) where I have been based for four years I especially offer my gratitude to Professor Peter McPhee for his extensive expertise and experience as a senior executive and his warm dedication to juniors He spent a lot of time discussing my topic, helping me with designing the questionnaire along with the interview questions, and constantly providing invaluable suggestions during my presentations at different seminars and conferences Special thanks go to Professor Sophia Arkoudis, who has supported me since the first days of my journey with her kindness and her effort to engage me in the Centre experience Thank you all for staying there to make the hard times more comfortable I wish to express my deepest thanks to my fellow doctoral students at the Melbourne Graduate School of Education, especially those at MCSHE As a group, we are happy to provide support when needed, celebrate successes, and share experiences or simply listen to each other or enjoy lunch together I especially thank Ms Trần Thị Thanh Thuỷ for her companionship, for the articles, for late night talks, for countless discussions about the methodology, the context, the concepts, the ways of writing even very late at night…anytime and everywhere whether at our desks, on the plane, on the tram, or simply in the street Our Ph.D life together has made my learning experience even more worthwhile and formed a bond that I believe we will share forever I owe a huge debt of gratitude to my extended family, my husband, and my children for their unconditional and continuous love and devotion They are the best examples of the extended family that I have ever known My parents and siblings have always believed in me when I did not and could not believe in myself Though extremely busy, they have not only helped me with my research but also been a constant source of support in my life Finally, I need to thank my two lovely children, Khue and Hoang, who are incredibly supportive, patient, and understanding I especially thank my husband, Thanh, my soulmate and best friend, who is always with me and has never complained about the late nights, early mornings and weekends spent on the project, the tasks I neglected or the social events I missed As the old African saying states: “If you want to go fast, go alone; if you want to go far go together" and to my beloved husband and children, I say we may not go fast, but we will go far! I love you all! iv Table of contents Chapter Page Abstract i Declaration ii Acknowledgments iii Table of contents v List of tables x List of figures xi List of abbreviations xii Notes xiv CHAPTER I: Introduction 1.1 Introduction 1.2 Rationale 1.3 Aim, objectives, and research questions 1.3.1 Aim 1.3.2 Objectives 1.3.3 Research questions 1.4 Summary of methodology 1.5 Significance of study 1.6 Scope of study 1.7 Structure of thesis 11 1.8 Summary 13 Chapter 2: The Context 14 2.1 Introduction 14 2.2 The current state of play 14 2.2.1 The structure 14 2.2.2 The governance 16 2.2.3 The non-public HEIs 17 2.2.4 The finance 18 2.2.5 Graduate employability 19 2.3 Thirty years of change in Vietnamese higher education 21 2.4 Government response 25 2.4.1 Governmental expenditure 25 2.4.2 Significant policies from 1986 onwards 26 2.4.3 Quality assurance development in Vietnamese higher education 27 2.5 Institutional response 34 2.5.1 Internal quality assurance (IQA) 35 2.5.2 Institutional culture 36 2.5.3 Institutional quality culture 37 2.5.4 Quality management in Vietnamese higher education institutions 38 2.6 Summary 40 v Chapter 3: The Key Concepts 42 3.1 Introduction 42 3.2 Higher education and higher education institution defined 42 3.3 Major quality concepts 44 3.3.1 Quality in higher education 45 3.3.2 Quality assurance in higher education 49 3.3.3 Quality management in higher education 53 3.4 The modified Deming Cycle in higher education 56 3.5 National cultural characteristics 59 3.5.1 Definitions of culture 59 3.5.2 Vietnamese national culture 60 3.5.3 Hofstede's six cultural dimensions 61 3.5.4 Vietnamese national culture from the lens of Hofstede's theory 62 3.6 Summary 67 Chapter 4: The Core Quality Management Dimensions 68 4.1 Introduction 68 4.2 The six comprehensive literature reviews on QM in Higher Education 68 4.3 Available quality management dimensions in higher education 73 4.4 The ‘ideal’ dimensions 75 4.4.1 Continuous Improvement (CI) 76 4.4.2 Leadership 78 4.4.3 Information Management (IM) 79 4.4.4 Resource Management (RM) 80 4.4.5 Education and Research Management (ERM) 82 4.4.6 Stakeholder Focus and Satisfaction (SFS) 84 4.4.7 Partnership Development and Management (PDM) 85 4.5 Summary 87 Chapter Design and Method of Investigation 88 5.1 Introduction 88 5.2 Overview 88 5.3 Stage One Design 91 5.3.1 Overview 91 5.3.2 Rationale of the method 92 5.3.3 Sampling 94 5.3.4 Round One data collection 99 5.3.5 Round Two data collection 101 5.3.6 Data analysis 101 5.4 Stage Two Design 103 5.4.1 Overview 103 5.4.2 Sampling 106 5.4.3 Data collection 109 5.4.4 Data analysis and generalisation 110 5.5 Summary 111 vi Chapter 6: The Conceptual Framework 112 6.1 Introduction 112 6.2 The essential dimensions for effective QM implementation 112 6.2.1 Continuous Improvement (CI) 113 6.2.2 Leadership and Management (LM) 115 6.2.3 Information Management (IM) 117 6.2.4 Resource Management (RM) 120 6.2.5 Education and Research Management (ERM) 122 6.2.6 Stakeholder Focus and Satisfaction (SFS) 124 6.2.7 Partnership Development and Management (PDM) 126 6.2.8 Benchmarking within the institution and beyond (BM) 128 6.3 Discussion 132 6.3.1 A unique approach for a unique context 132 6.3.2 The items constructing the dimensions 132 6.3.3 The QM dimensions for QM in Vietnamese public HEIs 134 6.3.4 The suggested QM framework 136 6.4 Summary 141 Chapter 7: QM Implementation from Stakeholders’ Perspectives 142 7.1 Introduction 142 7.2 Continuous Improvement (CI) 143 7.2.1 Explicit commitment from top management 143 7.2.2 Quality Offices–the expected locomotive power 147 7.2.3 The backbone of continuous Improvement–Quality Culture 148 7.3 Leadership and Management (LM) 150 7.3.1 The importance of leadership and management 151 7.3.2 Leaders’ active participation in QM 152 7.3.3 Strategic planning and restructuring 153 7.3.4 Improving institutional performance management 155 7.4 Information Management (IM) 156 7.4.1 The importance of information management 156 7.4.2 The implementation of information management 157 7.5 Resource Management (RM) 159 7.5.1 Human resource management 160 7.5.2 Finance, facilities, and materials management 165 7.6 Education and Research Management (ERM) 168 7.6.1 Education management 168 7.6.2 Research management 172 7.7 Stakeholders’ Focus and Satisfaction (SFS) 175 7.7.1 Stakeholders’ engagement 176 7.7.2 Empowerment of internal and external stakeholders 179 7.8 Partnership Development and Management (PDM) 183 7.8.1 Policy drivers 184 7.8.2 University commitment as a driver 185 7.8.3 Knowledge drivers 187 vii 7.8.4 Business drivers 189 7.8.5 Social engagement drivers 191 7.9 Benchmarking within the institution and beyond (BM) 193 7.9.1 Policies and university commitment 194 7.9.2 Benchmark against the HEI’s mission, vision, and objectives 195 7.9.3 Benchmarking against external reference points 196 7.9.4 Benchmarking against peer universities 198 7.10 Discussion 199 7.10.1 Policies and leadership 199 7.10.2 Resources 202 7.10.3 National culture 203 7.11 Summary 205 Chapter 8: Challenges to Quality Management Implementation and Suggestions for Improvement 206 8.1 Introduction 206 8.2 Institutional leadership and management 206 8.2.1 Centralised control and management from the upper levels 206 8.2.2 Leaders’ competence and attitude 208 8.2.3 Suggestions for institutional leadership and management 210 8.3 Institutional capabilities 212 8.3.1 The QA office issues 212 8.3.2 Poor information management 213 8.3.3 Inadequate resource management 216 8.3.4 Weak education and research management 223 8.3.5 Challenges to stakeholder focus and satisfaction (SFS) implementation 229 8.3.6 The difficulties in partnership development and management 233 8.3.7 Obstacles to benchmarking within the institution and beyond (BM) 234 8.3.8 Suggestions for institutional capabilities 236 8.4 Institutional culture 240 8.4.1 Challenges 240 8.4.2 Suggestions for improving the institutional culture 244 8.5 Discussion 246 8.5.1 Possible explanations for challenges for QM implementation through the lens of national culture 246 8.5.2 Possible explanations for challenges for QM implementation from the Deming principle perspective 253 8.5.3 Conclusion on ideals and practice 256 8.6 Summary 257 Chapter 9: The Way Ahead 258 9.1 Introduction 258 9.2 Summary and analysis of major findings 260 9.2.1 Quality management implementation in the three selected HEIs 260 9.2.2 The major facilitators influencing QM implementation 270 9.2.3 The major inhibitors influencing QM implementation 273 viii ... the effectiveness of quality management in higher education institutions Paper presented at the international conference on the international conference on Leadership and management in higher education: ... REALATIONSHIP MANAGEMENT IACBE INTERNATIONAL ASSEMBLY FOR COLLEGIATE BUSINESS EDUCATION INQAAHE INTERNATIONAL NETWORK FOR QUALITY ASSURANCE AGENCIES IN HIGHER EDUCATION IM xii INFORMATION MANAGEMENT IQA INTERNAL... education 45 3.3.2 Quality assurance in higher education 49 3.3.3 Quality management in higher education 53 3.4 The modified Deming Cycle in higher education 56 3.5