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INTRODUCTION
1. Justification for the choice of the topic
School based management (SBM) has played an important part in
improving the educational quality and school effectiveness.
- SBM programs strengthen the capacity of principals, teachers or
enhance professional motivation of staff by promoting their awareness
of school ownership.
- The reform has involved the paticipation of parents and
communities in school activities.
- The trend of innovation relating to the school-based management
has been spreading strongly to each region, each country including
Vietnam.
In Vietnam, decentralization has an important aim to tranfer more
authority for schools. SBM is not only a stratergy but also a goal of
innovation. Practically, the implementation of decentralization to the
primary schools still has limitted. The paticipation of stakeholders
such as teachers, staff, parent, community has been very weak.
Moreover, the existence of many types of schools: public schools,
private schools, international schools with overseas element; the lack
of uniformity in the education quality, teacher and student
qualification, managerment, investment in education of local as well
as family ... have led to the decentralization process taking place with
many different models and levels. VNEN model has applied in Vietnames
primary school and the schools have more responsibility and accountability.

To cater for the educational innovation in general, at primary schools
in particular, organizations and individuals have been investing in
researching and perfecting decentralization issues in schools on both
theoretical aspects as well as practical management.

Guests can survey: Officials and education department leadership,
principals, teachers, parents and communities have involved in the
primary schools in Hanoi.
- Impact Test: The thesis tested at Doan Thi Diem private primary
school.
5. Hypothesis
School Based Management representing the decentralization to the
schools is being widely applied in the world. In Vietnam, the primary
schools have been given more accountability and responsibility.
however, there have been still shortcomings, limitations, failing to
meet with the requirements of present practice in management
functions such as planning, directing the implementation,
implementing, and monitoring and evaluating... If the solutions for
applying SBM are developed , they will create a mechanism for
improving higher accountability and responsibility of primary schools,
contributing to the innovation of the primary school and improving
education quality.
6. Research tasks
Systemizing the literature review about SBM and the implimenting
of SBM in the world;


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Survey and assessment of SBM at Primary school in Ha Noi,
Vietnam;
Proposals of solutions to apply the SBM approach at Primary
schools in Vietnam; Test a minor method to apply the SBM approach
in Primary schools.
7. Research Methodology

implement successfully ... have been mentioned with many different


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viewpoints but the problems have been still addressed very thinly, and
each author exploits in a different aspect. The content has been focused
on studying by foreigner researchers, domestic researchers do not
mention alot or with limited capacity.
Secondly, the authors have had many definitions of school-based
management but have not come to an uniform definition, There are
not having the generalization about literature review of the levels of
participation of stakeholders in decision making proccess.
Thirdly, the case studies of school-based management for all
educational levels and grades of the national education system,
reseaching of the school-based management in primary schools has
been limmitted.
Finally, the reasearches are mainly theoretical, or just a set of
documents with legal character in Vietnam. Innovation management
has been very diverse education but disagree in the entire educational
system, each facility has had its own way, own use, so there is lack of
comprehensive review of the process of innovation as well as research
on practice in a comprehensive manner.
1.2. Literature review for School Based Management
1.2.1. Definition
SBM: School-based management is the decentralization of
authority from the central government to the school level, attracting
the participation of stakeholders on decision making for operating the
school and improving the efficiency and quality of education.
1.2.2. The reason of formation and the principles of SBM

Power limit depends on the degree of expansion of management
participants and the fileds that school has been tranfered. Based on this
classification there are 5 types of school-based management
- Weak Authority
- Moderate Authority
- Somewhat Strong Authority
- Strong Authority
- Very Strong Authority
- * The Accountability
- The Accountability is the key to connect the management
proccess. Many countries have implimented SBM to improve
accountability as well as explicit management. There are three types
of responsibility for managing in school-based management:
- Being responsible for complying with the rules and the superior
authorities.
- Being responsible for building regulations and colleague
- Being responsible for the quality of training and society
* The Autonomy-Participation Nexus
The aspect concerned in many school-based management models
is the decision-making transferring to the school level. According to
the study, currently there are four effective models for determining
who is empowered to make decisions in school-based management
(Leithwood and Menzies, 1998): Administration ; Professional
managers; Community management; Operating balance.
1.2.4. The levels of school-based management


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Based on the analysis of school - based management models in the

School management: School management is the process of
purposeful impact, orientation and plan impact of the master (led by
the school principal) to the object management (teachers, staffs,
learners, resources) to carry out the mission of the school for the
education system and training, community and society in order to
achieve the objective of education identified in a changed
environment. The role of manager and objects management is
changing in the direction of democratization and participation.


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Primary school management: Primary school management is the
process of purposeful, oriented impact, and plan impact of school
leaders headed by principals to teachers, staffs, students and the
sources to fulfill elementary school mission for the education system
and training, community and society to achieve the objective of
primary education identified in a changed environment.
1.3.2. Primary in the Vietnamese education system:
Primary school is the common institution of the national education
system, with legal status, an account and seal. There has been a lot of
innovation in Elementary education: VNEN, evaluation, curriculum
development according to competence…
The type of Primary schools: Vietnam Primary Schools are held in
two basic types: Public schools and Private schools.
The goal of Primary school: Primary school has buit the
fundamental knowledge for childrent in the next proccess.
1.3.3. Government management of primary education
The People's Committees of district is responsibility for the
Primary School. Education and Training Division is responsibility for

- Schools need to demonstrate transparency in management, income
mechanisms and handling public information, seamlessly creating
relationships effective communication within and with the parties
involved in the school.
1.4.2. Operating school council with the attendence of stakeholders
Regarding the organizational structure and elected members: To
ensure the school council expressing the spirit of accountability and
responsibility at the school, the parents, communities, teachers, even
students are integral components to attract in decision making.
The operating principle of school boards: To ensure school
councils operate effectively and identify mechanisms to work for this
organization. Typically, there are two main forms for active
management decisions of the school board.
Based on different levels of SBM, the school board has two basic
models are: Model Advisory: school councils help principals
informing decisions by offering ideas and options. The decision of the
principal form has usually associated with building consensus. This
model is fitted with SBM in weak and moderate levels. With SBM
strong level, school council has usually existed as attended
management model; school boards has participated in making
management decisions concerning important issues such as school
finance, human resources, program participation ... the greater of
stakeholders present the higher level of decentralization to the field to
improve the efficiency of school education.
1.4.3. Perform functional decisions in managing schools
* Rule
The sharing in decision making proccess in the school-based
management approach includes:
+ That is the process of opening and ensuring all stakeholders fully
understand the problem to decision

school, motivational, beliefs, property, a stable institutional
environment strongly towards an effective school is measured by
academic achievement of students.
- Principal has attracted the participation of a large number of
people involving in the school and effective implementation of the
authorization. Principals and staffs often have the discussion and
agreement on the issues of the school.
- Principal has made the motivation, confidence, ownership, a
strong environmental organizations towards an effective school. The
role is measured by academic achievement of students.
1.5. Factors affecting the management of primary schools from
the Schol Based Management approach
1.5.1. The objective factors


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Factors outside the school have been relating to the success of schoolbased management including: perspective system, policy steering nature
education development strategy; and operation of bodies of state
management in local education-related activities of the school; Investment
resources for reform: in a style based management model school, some
resources have not been awarded to the state school of management, the
success of reforms depends on This level of resources being transferred as
well as any kind of resources will be transferred.
1.5.2. The subjective elements
The internal factors have affected the efficiency of the SBM include: the
school needs to develop a strategy and vision to reform clearly and have a high
consensus, sharing and widely understood ; Capacity management of principal,
teachers, parents; Transparency in management through maintaining
responsibility and the supervision of the community involving in decision

management in Hanoi through the school based management
approach
2.2.1. An overview of Elementary in Ha Noi, Vietnam
Elementary educational system: Hanoi has aproximately 710
primary schools (including 6 Junior High School), this number
increased to 8 from the academic year 2013-2014, the number of
students is 584 495 (up 21 267 students compared with last year; a
total of 15 316 229 class increased compared to year classes from
2013 to 2014.
Regarding the direction of teaching and learning activities: Hanoi
Department of Education is the pioneer that implementing quality
improvement, innovation activities of professional organizations,
performing VNEN. Teachers have initially applied the requirements in
teaching methods of VNEN; created a tight bond of parent and
community participation in school activities and education of students
with appropriate activities.
Regarding the quality of primary education in Hanoi: The
Department has directed 100% of the implementation of Circular No.
30, dated 28.08.2014 of the evaluation and grading of primary school
students. Students with special need reviewed under the guidance of
9890, dated 17/9/2007 of the Ministry of Education and Training. In
the first performance evaluation by reviewers for students of different
grades, the Department has evaluated the specific instruction for
elementary school students throughout the city, initially had positive
changes in awareness for officials , teachers, students and parents; has
had positive results. The rating process is emphasized with combining
assessement by monthly review and periodic inspection results last
year.
2.2.2. Purpose Survey
The thesis has Surveyed the management of primary schools

2.3. Current status of primary school Management from the
SBM approach
2.3.1. Current status of building school culture relating to
sharing and participating
- Work environment
Both teachers and principals have evaluated low contents relating
to sharing school mission. In interviews, many teachers and principals
said that they did not really know about the vision, the mission of the
school and not see the vision, the mission beeing expressed in the
daily operation of the school. They did not fully attend to build and
not to create conditions to encourage dissemination. This shows that
the construction, the sharing school mission and vision have not been
suitable with the location and need for specific solutions to address
these points appropriating.
- Cultural sharing
According to the results obtained from the referendum vote, in
generally, teachers, parents, colleges have assessed the sharing
management of primary school management better than the comments
of principals and Managers. Among contents also have some


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differences in the assessment. The first Content has received good
reviews of teachers, principal, colleges and manager but in the opinion
of principals evaluation is not good. At the second content, the
principals have evaluated higher than three remaining groups.
In interviews, some principals and teachers said that the
participation of the paticipants is not high due to be dominated by
authoritarian leadership style of principals, a lack of positive activities

How members elected school council


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There are three ways elected School Board members being given
consulted with principals, teachers, parents and managers including:
President, Chairman designate; Some people recommend and take the
vote; Secret ballot.
The problem in the operation of school councils
From the results, it can be seen to enhance the uptime of school
council, accountability and responsibility in decision making. In
particular, the current composition of the Director board may be to
changed when the paticipant have involved into the composition of
school council. This requires a change not only of the school but also
should be reflected in all policies of school council. School council
attended characterize of SBM. The legislators, the managers and
managing levels should devote special attention to this issue.
2.3.3. Current Status of implementation of decision-making
functions in school management
The content of school management decisions
- Overall score in the evaluation of principals, teachers, parents,
colleges, Managers are both rated higher level decisions of the
stakeholders for two basic contents: Mission, vision; strategic plan and
planning action but had very few decision of Choices curriculum for
students; Recruitment of teachers and staff; Selection of reference and
textbooks.
- The differences have been assessed in the content of the way
teaching and learning, applying program; Welfare fund managers. The
differences in the assessment of the degree of autonomy by the public

participation.
Comparing the level of participation in decision making on the
issues in the case of public and private primary schools members, the
assessment about the participation in decision making at the public
school is lower than private primary schools. This result is currently
consistent with management mechanisms existing for the two types of
schools in the national education system. Private Schools initiative
and autonomy in decision-making of all issues have related to the
school: HR, finance, programs and cooperation .... To meet the
increasing demand parents, parents voices and teachers are respected
and consulted periodically. Meanwhile in public schools with staffing
mechanism on personnel, state budget allocation for education as the
current voice of parents, community and teachers sometimes has not
been placed in a position worthy.
Summary: The study has appreciated the participation of
principals, teachers and members of school council and decided the
level of these two components to the problems of the school.
However, the little composition has mainly appreciated: Volunteers,
students, and community organizations. Through interviews most of
the guests could have involved the provisions of the education law,
charter schools showed absence primary components of legal
documents. To perform SBM, we should have adequated legal
framework, clear as a basis to guide the operation of the school.


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2.3.4. Current Status of establishingt the principal role in
managing school
The principal has recognized the key role who connected the

expressed decentralization being implemented within the school but
the school has not been good and still entangled management
mechanism from above.
2.3.5. Current Status of factors affecting the management of
primary schools from the school-based approach


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School-based management implementation in primary schools is
governed by factors within inside and outside of school. In the context
of managing the current primary school in Hanoi in particular and the
country in general, the external factors have associated with the
guidelines and the elements inside can not promote all positive
impact, causing certain obstacles for autonomy in school management.
At the school, the principal has been strong influence on the school's
management implementation. Besides, the participation of
stakeholders in the issue of the school will decide the level of school
autonomy. To be able to access the nature of the school-based
management, through the results of the evaluation factors in and out of
school, the school needs a legal framework enabling autonomous and
self home Schools must have adequate capacity for autonomy.
2.4. Assess the situation
Achievements
Through investigating primary school management situation from
the SBM approach in Hanoi, there are some positive activities and
considered achievements in managing primary schools including:
Firstly, The primary schools have been struggling to gradual build
a sharing environment, this is an important condition for strengthening
the participation of stakeholders in school management aiming to

teachers. That why SBM is very at the lowest level; The contents of
the school have focused of personnel, finance, programs that have not
been empowered to school autonomy framework and very limited. We
need a shift from Government of comprehensive education to
managing in each school itself to improve management school from
the SBM approach at a higher level. The principal will have power to
choose the level of school accountability.
Principals are awareness of their role, not the limitted role but also
high role in SBM approach. Because the mechanism is limitted.
CHAPTER 3. SOLUTION FOR ADAPTATION THE SBM
APPROACH IN PRIMARY SCHOOL
3.1. Innovation-oriented Primary school management through
the school based management approach
- In line with economic conditions - political – cultural
- In line with the trend of integration of the country.
- Consistent with the fundamental renewal policy and
comprehensive education Vietnam
3.2. Some solutions for managing primary schools from the
school-based management approach
3.3.1. Solution 1: Innovating the leadership capacity of school
principal at the request of SBM
Management and leadership capacity of Principal at the request of
SBM include:
1. Principal ready to change schools from SBM approach
2. Principals have influence on all teachers, staffs and stakeholders.
3. Each member is related to the school principal given a certain
influence and principal should be the conditional influences that
diversity.



3.2.4. Building school culture towards SBM
School culture is made up of many different elements, which affect
the quality and performance of the school. To implement the schoolbased management in primary schools, especially emphasizing the
participation of the participants involving in school management, the
thesis focuses on the following aspects:
Building and nurturing vision to SBM approach
Empowering for stakeholders to share, learn in cooperation with
management is an important manifestation of the efforts put the school
from SBM approach.


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3.3. The relationship among the solutions
Each proposed solutions performing have to show specific
consideration in relationships and their overall impact. If we too much
focus on the only one solution that can make the remaining solution
has not achieved the results and broken the balance of the system.
When implementing the proposed methods, we have to be
synchronized and have a specific plan, to be controlled and evaluated
regularly to adjust as needed. Noting combined with the practical
requirements of the sector and the conditions of the facilities, the
resources of the specific schools to make the best possible targeted
measures introduced.
Dialectical relationship between these methods have shown the
system and consistency in the implementation of the fundamental
innovation, comprehensive elementary work from the SBM approach.
3.4. Results of tests on the necessity and feasibility of measures
of solutions
To confirm the value necessary, the feasibility of management

3.5.4. Test Method
- Workshops, training in management development curriculum of
teacher
- Gather information through the questionnaires before and after
test execution
- To collect data, analyze and evaluate the results
- Making comparative report
3.5.5. Test Procedure
Step 1: Seminar and training for teachers to have access to
documentation and management experience developed teacher
education program the school
Step 2: The teacher of the course implemented their charge
Step 3: Gather information, evaluation reports
Step 4: Analyze the results and draw conclusions have mandatory
3.5.6. Analysis and evaluation of results experiment
The role of teachers in school management in general and in the
management of development programs applies in particular before the
school-based management are evaluated primarily weak. When
interviewed teachers evaluate why that content in the average for the
most part that the school teachers have many good facilities; financial
autonomy and recruitment and use of personnel quality, have a
favorable working environment with a program to follow strict
standards promulgated MOET, the teachers are conducting device
Instructional design in accordance distribution, teaching practices and
classroom assessment program adjustments. However, because the
program and textbooks so rigid timetable proactive level of teachers in
the implementation of programs is not high, even deal, students must
learn leads to overcrowding.
After testing, the most of the contents have higher average scores
related to process development the school curriculum. This shows that

management form based on the school; The autonomy of the schools
including budget issues, human resources, curriculum, textbooks,
facilities, school operation plan, monitoring and evaluation,
dissemination, the involvement of parents and the community in
making and implementing the decisions of the school; The level of
school-based management; The types of model of school -based
management consist of five level from “weak” to “strong”; The
operating characteristics of the school-based management. The
charecterers og SBM consist of: decentralization, accounbility and
responsibility, sharing culture and improving effectiveness of people
in school, the role of school council as well as principal.
3. The thesis has studied the literature framework of primary
school management through the SBM approach consisting of: i) The
characteristic of the SBM approach is the sharing in decision making.


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School council is responsible for cooperating in the decision making
process. ii) The SBM approach has forcused on building a sharing and
personal supportive work and learning environment or cultural
climate. Developing a safe and supportive work environment which
provided opportunities for staff working and personal development.
iii) Though authority transfers to school level being differnt in each
SBM model, school council plays an important part in organizing the
school. iv) The principal role has changed in the SBM approach. Each
SBM model has each principal role, especially in the decision making
problem. v) SBM as well as primary school management through the
SBM approach has been affected by inside and outside school
elements.

teachers and stakeholders in primary school activities, improving the
effectiveness of primary school management from the SBM approach.
RECOMMENDATIONS
For the education and training:
+ Improving the system of legal documents by strengthening the
autonomy, accountability for the primary schools create a legal
framework to guide the activities of the school: clear introduction for
accountability and responsibility of primary school; opening the
authority og primary school not only in financial control but also in
others fields…
+ Monitoring and observing actively in local level to help school
have real power.
+ Every managerial level cooperates in a suitable structure to
observe school activities.
+ The further research practical education reform in the world,
manage Vietnam education situation as a basis to propose appropriate
solutions
For the primary schools
+ The schools should prepare all conditions to be able to receive
the assignment, autonomy, self-responsibility.
+ Develop organizational regulations and activities of the school,
which clearly define the responsibilities of each department and each
individual
+ Identify clear migration path to self management, selfresponsibility
+ Organization summed up the experience profoundly to modify
the regulation time after school each semester of the academic year.
+ To enhance learning, exchange of experience with local and
international institutions in order to enhance management efficien