LEI NO. 10,861, OF April 14, 2004.

Institutes the National Higher Education Assessment System? SINAES and gives other arrangements

THE PRESIDENT OF THE REPUBLIC I know that the National Congress decrees and I sanction the following Law:

Art. 1º It is instituted the National System of Evaluation of Higher Education-SINAES, with the aim of ensuring national evaluation process of the higher education institutions, of the undergraduate courses and of the academic performance of their students, in the terms of the art. 9º, VI, VIII and IX, of Law No. 9,394, of December 20, 1996.

§ 1º The SINAES has for purposes the improvement of the quality of higher education, the orientation of the expansion of its offer, the permanent increase of its institutional effectiveness and academic and social effectiveness and, especially, the promotion of deepening of the social commitments and responsibilities of higher education institutions, through the enhancement of their public mission, of the promotion of the democratic values, respect for difference and diversity, affirmation of autonomy and institutional identity.

§ 2º The SINAES will be developed in cooperation with the education systems of the states and the District Federal.

Art. 2º The SINAES, by promoting the evaluation of institutions, of courses and students ' performance, should ensure:

I? institutional, internal and external evaluation, contemplating the overall and integrated analysis of the dimensions, structures, relationships, social commitment, activities, purposes and social responsibilities of the higher education institutions and their courses;

II? the public character of all procedures, data and results of the evaluative processes;

III? respect for the identity and diversity of institutions and courses;

IV? the participation of the student, faculty and technical-administrative body of the higher education institutions, and civil society, by means of their representations.

Single paragraph. The results of the assessment referred to in the caput of this article will constitute basic referencing of the processes of regulation and supervision of higher education, in them understood accreditation and renewal of accreditation of educational institutions higher, the authorization, recognition and renewal of recognition of undergraduate courses.

Art. 3º The evaluation of higher education institutions will aim to identify their profile and the meaning of their acting, through their activities, courses, programs, projects and sectors, considering the different institutional dimensions, among them obligatorily as follows:

I? the mission and the institutional development plan;

II? the policy for teaching, research, postgraduate, extension and respective forms of operationalization, included the procedures for stimulation of academic production, research grants, monitory and too many modalities;

III? the social responsibility of the institution, considered especially with regard to its contribution in relation to social inclusion, economic and social development, the defence of the environment, cultural memory, artistic production and the cultural heritage;

IV? communication with the society;

V? the personnel policies, careers of the faculty and the technical-administrative body, their outreach, professional development and their working conditions;

VI? organization and management of the institution, especially the functioning and representativeness of the collegiate, its independence and autonomy in the relationship with the mantenedora, and the participation of the segments of the university community in the processes decision-makers;

VII? physical infrastructure, especially that of teaching and research, library, information resources and communication;

VIII? planning and evaluation, especially the processes, outcomes and effectiveness of institutional self-evaluation;

IX? student service policies;

X? financial sustainability, with a view to the social significance of the continuity of commitments in the provision of higher education.

§ 1º In the evaluation of the institutions, the dimensions listed in the caput of this article will be considered so as to respect the diversity and specificities of the different academic organizations, and it should be contemplated, in the case of universities, according to criteria set out in regulation, specific score by the existence of postgraduate programs and by their performance, as per the evaluation maintained by the Coordination Foundation of Improvement of Top Level Personnel? CAPES.

§ 2º For the evaluation of the institutions, diversified procedures and instruments will be used, among which the self-assessment and external evaluation in loco.

§ 3º A evaluation of higher education institutions will result in the application of concepts, ordered on a scale with 5 (five) levels, to each of the dimensions and to the set of the dimensions assessed.

Art. 4º The evaluation of the undergraduate courses is aimed at identifying the teaching conditions offered to students, in particular those concerning the profile of the faculty, the physical facilities and the didactic-pedagogical organization.

§ 1º The evaluation of the undergraduate courses will use diversified procedures and instruments, among which compulsorily the visits by expert commissions of the respective areas of knowledge.

§ 2º The evaluation of the undergraduate courses will result in the assignment of concepts, ordered on a scale with 5 (five) levels, to each of the dimensions and to the set of the evaluated dimensions.

Art. 5º The evaluation of the students ' performance of the undergraduate courses will be carried out upon application of the National Student Performance Examination-ENADE.

§ 1º The ENADE will affern the performance of the students in relation to the programmatic contents foreseen in the curriculum guidelines of the respective undergraduate course, their skills for adjustment to the demands arising from the evolution of knowledge and their competencies to understand external themes to the specific scope of their profession, linked to Brazilian and world reality and other areas of knowledge.

§ 2º The ENADE will be applied periodically, admitted to the use of sampled procedures, to the students of all undergraduate courses, at the end of the first and last year of course.

§ 3º The maximum application periodicity of the ENADE to the students of each degree course will be triennial.

§ 4º The application of ENADE will be accompanied by instrument designed to raise the profile of the students, relevant to the understanding of their results.

§ 5º The ENADE is compulsory curricular component of the courses of graduation, being entered in the student's school history only its regular situation with respect to that obligation, attested by its effective participation or, when it is the case, official dispensation by the Ministry of Education, in the established form in regulation.

§ 6º Will be the responsibility of the leader of the higher education institution to be registered with the National Institute for Educational Studies and Educational Research Anthem Teixeira-INEP of all students enabled participation in ENADE.

§ 7º The non-enrolment of pupils enabled for participation in the ENADE, at the time limits stipulated by the INEP, shall subject the institution to the application of the penalties provided for in § 2º of the art. 10, without prejudice to the provisions of the art. 12 of this Act.

§ 8º The assessment of the performance of the students of each course in the ENADE will be expressed through concepts, ordered on a scale with 5 (five) levels, taking based on minimum standards set by specialists from the different areas of knowledge.

§ 9º In the dissemination of the results of the evaluation is vetted the nominal identification of the individual result obtained by the examined student, which will be to him exclusively provided in a specific document, issued by INEP.

§ 10. To the best performing students in the ENADE the Ministry of Education will grant stimulation, in the form of scholarship, or specific aid, or still some other form of distinction with similar aim, intended to favor excellence and the continuity of studies, at undergraduate or postgraduate level, as set out in regulation.

§ 11. The introduction of ENADE, as one of the SINAES assessment procedures, will be graded gradually, by having the Minister of State for Education annually determine the undergraduate courses to whose students will be applied.

Art. 6º Is it instituted, within the framework of the Ministry of Education and linked to the Cabinet of the Minister of State, the National Higher Education Assessment Commission? CONAES, the collegiate body of coordination and supervision of SINAES, with the assignments of:

I? to propose and evaluate the dynamics, procedures and mechanisms of the institutional evaluation, courses and performance of the students;

II? establish guidelines for organization and designation of evaluation commissions, analyze reports, draw up opinions, and forward recommendations to competent bodies;

III? formulate proposals for the development of higher education institutions, based on the analyses and recommendations produced in the evaluation processes;

IV? to articulate themselves with the state systems of education, aiming to establish common actions and criteria for evaluation and supervision of higher education;

V? submit annually to the approval of the Minister of State for Education the relationship of the courses to whose students will be applied for the National Student Performance Examination-ENADE;

VI? draw up their regiment, to be approved in act of the Minister of State for Education;

VII? hold monthly and extraordinary ordinary meetings, whenever convened by the Minister of State for Education.

Art. 7º The CONAES will have the following composition:

I? 1 (one) representative of INEP;

II? 1 (one) representative of the Higher Level Personnel Improouement Coordination Foundation? CAPES;

III? 3 (three) representatives of the Ministry of Education, being 1 (one) obligatorily of the body responsible for regulation and supervision of higher education;

IV? 1 (one) representative of the student body of the higher education institutions;

V? 1 (one) representative of the faculty of the higher education institutions;

VI? 1 (one) representative of the technical-administrative body of the higher education institutions;

VII? 5 (five) members, indicated by the Minister of State for Education, chosen from among citizens with notorious scientific, philosophical and artistic knowledge, and recognized competence in evaluation or management of higher education.

§ 1º The members referred to in the incisels I and II of the caput of this article shall be designated by the holders of the organs by them represented and those referred to in the inciso III of the caput of this article by the Minister of State for Education.

§ 2º The member referred to in the inciso IV of the caput of this article shall be appointed by the President of the Republic for term of 2 (two) years, vetted redriving.

§ 3º The members referred to the incisos V to VII of the caput of this article shall be appointed by the President of the Republic for tenure of 3 (three) years, admitted 1 (one) redriving, observed the provisions of the single paragraph of the art. 13 of this Act.

§ 4º The CONAES will be chaired by 1 (one) of the members referred to in the inciso VII of the caput of this article, elected by the collegiate, for term of 1 (one) year, permitted 1 (one) redriving.

§ 5º Higher education institutions should abonate the student's talents which, due to the designation of which it treats the inciso IV of the caput of this article, have attended meetings of the coincident CONAES with the academic activities.

§ 6º The members of the CONAES exercise unpaid function of relevant public interest, with precedence over any other public office that they are holding and, when convened, will jus the transport and daily.

Art. 8º The achievement of the evaluation of the institutions, the courses and the performance of the students will be the responsibility of the INEP.

Art. 9º The Ministry of Education will make public and available the result of the evaluation of the higher education institutions and their courses.

Art. 10. The results considered unsatisfactory will enact the celebration of compromise protocol, to be struck between the higher education institution and the Ministry of Education, which should contain:

I? the objective diagnosis of the conditions of the institution;

II? the forwards, processes and actions to be adopted by the institution of higher education with views in overcoming the difficulties detected;

III? an indication of deadlines and targets for the fulfillment of actions, expressly defined, and the characterization of the respective responsibilities of the leaders;

IV? the creation, on the part of the higher education institution, of the accompanying commission of the compromise protocol.

§ 1º The protocol to which the caput of this article is concerned will be public and will be available to all interested.

§ 2º The disfulfilling of the commitment protocol, in whole or in part, could enlist the application of the following penalties:

I? temporary suspension of the selective process opening of undergraduate courses;

II? cassation of the operating permit of the institution of higher education or recognition of courses by it offered;

III? warning, suspension or loss of mandate of the leader responsible for non-performing action, in the case of public institutions of higher education.

§ 3º The penalties provided for in this article shall be applied by the organ of the Ministry of Education responsible for the regulation and supervision of higher education, listened to the Higher Education Chamber, National Board of Education, in own administrative process, staying assured of the right of broad defence and the contradictory.

§ 4º Of the decision referred to in Paragraph 2º of this article will be appealingly directed to the Minister of State for Education.

§ 5º The term of suspension of selective process opening of courses will be defined in the own act of the organ of the Ministry of Education referred to in § 3º of this article.

Art. 11. Each institution of higher education, public or private, will constitute the Own Commission of Evaluation-CPA, within 60 (sixty) days, from the publication of this Act, with the assignments of conducting internal evaluation processes of the institution, of systematization and of the provision of the information requested by the INEP, complied with the following guidelines:

I? constitution by act of the maximum leader of the higher education institution, or by forecasting in its own status or regiment, ensured participation of all segments of the university community and organized civil society, and vetted composition that privileges the absolute majority of one of the segments;

II? autonomous acting in relation to advice and too many collegiated bodies existing in the higher education institution.

Art. 12. Those responsible for the provision of false information or by filling out forms and assessment reports that imply omission or distortion of data to be provided to SINAES will respond civil, criminal and administratively by those conduits.

Art. 13. CONAES will be installed within 60 (sixty) days from the publication of this Act.

Single paragraph. When of the constitution of the CONAES, 2 (two) of the members referred to in the inciso VII of the art caput. 7º of this Act will be appointed for term of office of 2 (two) years.

Art. 14. The Minister of State for Education will regulate the evaluation procedures of SINAES.

Art. 15. This Act comes into force on the date of its publication.

Art. 16. Paragraph 2º (a) of the art is repealed. 9º of Law No. 4,024, of December 20, 1961, and the arts. 3º and 4º of Law No. 9,131, of November 24, 1995.

Brasilia, April 14, 2004; 183º of Independence and 116º of the Republic.

LUIZ INACIO LULA DA SILVA

Tarsus Genro