Thực hiện chính sách phát triển nhân lực ngành ngân hàng ở Việt NamThực hiện chính sách phát triển nhân lực ngành ngân hàng ở Việt NamThực hiện chính sách phát triển nhân lực ngành ngân hàng ở Việt NamThực hiện chính sách phát triển nhân lực ngành ngân hàng ở Việt NamThực hiện chính sách phát triển nhân lực ngành ngân hàng ở Việt NamThực hiện chính sách phát triển nhân lực ngành ngân hàng ở Việt NamThực hiện chính sách phát triển nhân lực ngành ngân hàng ở Việt NamThực hiện chính sách phát triển nhân lực ngành ngân hàng ở Việt NamThực hiện chính sách phát triển nhân lực ngành ngân hàng ở Việt NamThực hiện chính sách phát triển nhân lực ngành ngân hàng ở Việt NamThực hiện chính sách phát triển nhân lực ngành ngân hàng ở Việt NamThực hiện chính sách phát triển nhân lực ngành ngân hàng ở Việt NamThực hiện chính sách phát triển nhân lực ngành ngân hàng ở Việt NamThực hiện chính sách phát triển nhân lực ngành ngân hàng ở Việt NamThực hiện chính sách phát triển nhân lực ngành ngân hàng ở Việt NamThực hiện chính sách phát triển nhân lực ngành ngân hàng ở Việt NamThực hiện chính sách phát triển nhân lực ngành ngân hàng ở Việt NamVIETNAM ACADEMY OF SOCIAL SCIENCES GRADUATE ACADEMY OF SOCIAL SCIENCES NGUYEN HOAI PHUONG IMPLEMENTING POLICIES ON HUMAN RESOURCE DEVELOPMENT IN THE BANKING INDUSTRY IN VIETNAM Major PUBLIC POLICY.
VIETNAM ACADEMY OF SOCIAL SCIENCES GRADUATE ACADEMY OF SOCIAL SCIENCES - - NGUYEN HOAI PHUONG IMPLEMENTING POLICIES ON HUMAN RESOURCE DEVELOPMENT IN THE BANKING INDUSTRY IN VIETNAM Major: PUBLIC POLICY Code: 934.04.02 DOCTORAL DISSERTATION OF PUBLIC POLICY HANOI – 2023 The work is completed at: GRADUATE ACADEMY OF SOCIAL SCIENCES Supervisors: Assoc.Prof.Dr Nguyen Khac Binh Reviewer 1: Assoc.Prof.Dr Nguyen Thi Hong Hai Reviewer 2: Assoc.Prof.Dr Nguyen Xuan Trung Reviewer 3: Dr Ngo Huy Duc The dissertation is defended before the doctoral dissertation grading committee, held at GRADUATE ACADEMY OF SOCIAL SCIENCES At ……h , date… month… 2023 The dissertation can be found at: - National Library - Library of graduate academy of social sciences INTRODUCTION Reason for choosing the title Participating in the knowledge economy is an inevitable trend, adapting to the new context of all countries and industries in the world In the strong development of the supply and demand chain, the industry is considered a strong blood, promoting the recovery after the Covid-19 pandemic and economic recession in 2020 The banking industry is an important factor, the connecting link of the economy The banking industry is also an industry that faces the challenges of the digital economy and the knowledge economy Facing the requirements of stable and solid development of the deep integration process, applying the achievements of the industrial revolution 4.0, recovering from the Covid -19 pandemic, restructuring the financial - banking industry, etc The banking industry needs human resources to ensure quantity and meet quality According to statistics of State Bank of Vietnam, by 2020, the number of human resources working in the State Bank system will be 6,871 people; The system of credit institutions is 339,723 people, of which: 110,947 Stateowned commercial banks, 161,211 people in Commercial Bank division, 14,500 people's credit funds, 41,937 people in financial companies …However, the quality of banking resources is both weak and lacking Knowledge of informatics and foreign languages; Professional knowledge and communication skills are still limited Most of the medium-sized joint stock commercial banks and below lack management staff, leaders of branches and transaction offices Professional qualifications, analytical ability, legal understanding and independent handling of practical issues are not high, almost exclusively working, lack of strategic vision, lack of project planning ability, lack of skills civil, including communication skills… Therefore, research on human resource quality, policies and the process of organizing and implementing human resource development policies in accordance with the volatile market context is really necessary to improve the quality of human resources, the process of organizing the implementation of effective human resource development policies, overcoming the shortcomings in the policy implementation process that affect the quality and quantity of bank employees in our country today Stemming from theory and practice, the PhD student chose "Implementing policies on human resource development in the banking industry in Vietnam" as the title research for the doctoral dissertation in public policy Research purpose and Research mission 2.1 Research purpose On the basis of theory on implementation of human resource development policies in the banking industry and assessment of the actual situation of implementation of human resource development policies in the banking industry in Vietnam, then propose solutions to improve the implementation of human resource development policies in the banking industry in Vietnam in the coming years 2.2 Research mission First, an overview of research works related to the implementation of human resource development policies in the banking industry From that, the research gap of the dissertation is drawn Second, systematize the theoretical basis for the implementation of human resource development policies in the banking industry Third, analyze the actual situation of implementing human resource development policies in the banking industry in Vietnamese commercial banks Evaluation of the process of implementing banking human resource development policies at Vietnamese commercial banks From there draw successes and limitations Fourth, based on the current situation and context, propose solutions to improve the implementation of human resource development policies in the banking industry in Vietnam in the coming years Subject and scope of research 3.1 Subject of research Theory and practice of implementing human resource development policies in the banking industry 3.2 Scope of research - Scope of content: implementation of human resource development policies in the banking industry, which clarifies the nature and process of implementing human resource development policies in the banking industry, evaluation criteria and factors affecting the implementation of human resource development policies in the banking industry - Scope of space: the system of commercial banks in Vietnam, which focuses on research at the head office and branches of state-owned commercial banks such as Vietinbank, Vietcombank, BIDV, Agribank - Scope of time: the data is collected and researched from 2017 to 2022 Research method 4.1 Method group of theoretical research * Method of meta-analysis - The method of meta-analysis is used to appraise and solve the controversial and inconsistent issues of scientists Meta-analysis helps to find gaps in previous analyses, which areas need further analysis and proof - Meta-analysis is two processes of a problem that cannot be separated but combined to complement each other Analysis is a very necessary stage for all research, synthesis is the identification of common attributes, relationships, as well as the law of interaction between factors in the process of implementing policies on human resource development in the banking industry - Apply the meta-analysis in the dissertation to consider the research areas, solutions to implement human development policies of the banks that have been researched, how those studies were carried out, the results of those researches how? etc the meta-analysis shows the missing issues and inadequacies in previous studies, serving as a research basis for the title - Collecting books, newspapers, textbooks, journals, scientific documents related to the title, thereby analyzing, synthesizing and developing the theoretical basis of the title * Comparative Statistical Methods - By means of comparative statistics, combined with qualitative analysis and actual survey, to compare the organization and implementation of human resource development policies in the banking industry in banks in Vietnam, from that draw out the most basic solutions in the implementation of human resource development policies in the banking industry in Vietnam 4.2 Practical survey method - Practically surveying documents and data on the organization and implementation of human resource development policies of banks in our country in recent times In the course of the research, the author has surveyed subjects currently working in the banking industry to see the shortage of resources, qualifications and capacity of civil servants to implement policies on human resource development in the banking industry or the process of organizing steps to implement this policy and at the same time emphasize the urgency in proposing appropriate solutions to implement the policy of human resource development in the banking industry in our country On that basis, the solutions to improve the implementation of human resource development policies in the banking industry in our country are outlined in the following years The research process consists of two main stages: preliminary research and formal research: (1) Preliminary research is qualitative research with a small sample size Qualitative research was conducted using focus group discussion techniques and in-depth interviews, with the participation of public policy implementation experts, human resource development policy experts and State Bank employees to explore and confirm the contents of implementing policies on human resource development in the banking industry in Vietnam, influencing factors and evaluation criteria From there, the questionnaire was adjusted to ensure the reliability of the collected data (2) Research is officially a qualitative research conducted to evaluate the content of policy implementation, organization of policy implementation, influencing factors and criteria for evaluating the implementation of human resource development policies in the banking industry in Vietnam - The survey subject is an expert on public policy implementation, an expert on human resource development policy, a manager on human resource development policy of the State Bank and managers of state-owned commercial banks such as Viettinbank, Vietcombank, BIDV, Agribank This is a system of banks that plays an important role in economic development and is the main pillar of the banking industry in Vietnam - The research sample was randomly stratified with a sample size of 110 managers of the State Bank, state-owned commercial banks such as Viettinbank, Vietcombank, BIDV, Agribank The new contribution of the dissertation First, improve the system of indicators to evaluate the implementation of human resource development policies in the banking industry based on the characteristics of the banking industry and the new context in Vietnam Developing a theoretical framework for the implementation of human resource development policies in the banking industry Contributing to a richer and more diverse theoretical system of public policy implementation Second, attaching the implementation of human resource development policies to the specific subject of banking in Vietnam, developing a separate set of questions for the banking industry to assess the content of human resource development policies and the process of implementing human resource development policies of state-owned commercial banks This is an important practical foundation to expand and evaluate human resource development policies and organize the implementation of human resource development policies in the banking industry in the new context (post-Covid-19 pandemic, digital economy, economic recession, etc.) Third, the research results of the dissertation have made certain contributions to the basis of proposing practical and feasible solutions to develop the content of human resource development policy in the banking industry and especially to complete the implementation of the human resource development policy in the banking industry by 2025, with a vision to 2030 6 Theoretical and practical significance of the dissertation In terms of theory, the dissertation complements and completes the concept of implementing human resource development policy in the banking industry in Vietnam today; further clarify the characteristics and roles of the implementation of human resource development policies in the banking industry in Vietnam, and point out the subject and content of the implementation of the human resource development policy in the banking industry in Vietnam Specify the factors impacting and affecting the implementation of human resource development policies in the banking industry in Vietnam For training institutions, the dissertation can be used as a reference in training and retraining activities in public policy majors for students or officials and civil servants of the banking industry to participate in courses on management science, administration, state management, human resource training in banking The dissertation is also valuable for reference in research for graduate students, PhD students majoring in public policy In terms of practice, the dissertation has focused on describing and evaluating the actual situation of implementing human resource development policies in the banking industry in Vietnam Discovering the inadequacies of the organization and implementation of human resource development policies in the banking industry in Vietnam In particular, the dissertation clarifies the shortcomings in the organization and implementation of human resource development policies in the banking industry in Vietnam such as the shortage and overlap in the system of human resource development policies of the banking industry in Vietnam Pointing out the difficulties, obstacles and inadequacies in the organization and implementation of human resource development policies in the banking industry in Vietnam Find the causes and propose specific solutions in the implementation of human resource development policies in the banking industry in Vietnam in the coming years The structure of the dissertation In addition to the introduction, conclusion, list of references, Dissertation has chapters, specifically as follows: Chapter 1: Overview of the research situation related to the dissertation title; Chapter 2: Theoretical basis for the implementation of human resource development policies in the banking industry; Chapter 3: Actual situation of implementing policies on human resource development in the banking industry in Vietnam; Chapter 4: Directions and solutions to improve the implementation of human resource development policies in the banking industry in Vietnam Chapter OVERVIEW OF RESEARCH SITUATION RELATED TO DISSERTATION TITLE 1.1 Overview of dissertation title research situation 1.1.1 Research projects on human resource development 1.1.2 Research projects on human resource development in the banking industry 1.1.3 Research projects on human resource development policy in the banking industry 1.1.4 Research projects on the implementation of human resource development policies in the banking industry 1.2 Evaluating research works related to the title 1.3 Research gaps and theoretical framework of the dissertation First, continue to research and clarify the contents of determining the theoretical and practical basis of the human resource development policy of Basic theory of human resource development policy Characteristics of human resources in the banking industry Theory on the implementation of human resource development policies in the banking industry Factors affecting the implementation of human resource development policies in the banking industry Contents and criteria for evaluating the implementation of human resource development policies in the banking industry Evaluate the implementation of the development policy of the banking industry in Vietnam and propose solutions Figure 1.1 Theoretical framework of the dissertation (Source: suggested by the author) 11 Sub-conclusion of chapter The human resource development policy of the banking industry plays an important role in implementing the common goals, enhancing and improving banking services to meet the development needs of the economy Chapter conducts a systematic study of human resources, human resource development policies, human resource development policies in the banking industry and organizes the implementation of human resource development policies in the banking industry On the basis of analysis, assessment and systematic evaluation of the common points, consensus on the theory of the studies related to the dissertation, the author draws research gaps and proposes the theoretical framework of the thesis as a basis for deploying and interpreting the problem posed by the dissertation Chapter THEORETICAL BASIS FOR THE IMPLEMENTATION OF HUMAN RESOURCE DEVELOPMENT POLICIES IN VIETNAM 2.1 Some basic concepts 2.1.1 Human resources, human resources in the banking industry Human resources in the banking industry are skilled and living workforce with the knowledge and capacity of all of them to participate in the process of performing professional activities in the financial and banking market for socio-economic development 2.1.2 Development of human resources in the banking industry Human resource development in the banking industry can be understood as a process of increasing all aspects of banking staff in a certain period This includes an increase in the size, number and quality of banking staff It is the progress in awareness, education, and professional ability to meet and exceed the standards of requirements and criteria for banking employees 12 2.1.3 The concept of Public policy 2.1.4 The concept of public policy implementation 2.1.5 The concept of implementing policies on human resource development in the banking industry Implementation of the human resource development policy in the banking industry is the process to realize the objectives set out by the initial policy makers, that is, to plan and identify ways and methods of action to solve the specific issues in each management field, in line with the organization's political goals and practical circumstances For the state, the policies set by the state and organized to implement in social life are associated with administrative management, that is, with administrative institutions, with administrative agencies The agency that implements the human resource development policy of the banking industry - a state administrative agency that serves the interests of many people, even has policies to serve the interests of the whole society From the above analysis, it can be understood: Implement human resource development policy in the banking industry is the totality of viewpoints, objectives and methods of action of competent authorities in order to attract and retain qualified human resources to perform the management and business tasks of the bank 2.2 Some theories on the implementation of human resource development policies in the banking industry 2.2.1 Human resources in the banking industry 2.2.2 Contents of policies on human resource development in the banking industry 2.2.3 Implement policies on human resource development in the banking industry 2.2.3.1 The subject of implementing human resource development policy in the banking industry 13 2.2.3.2 Steps to implement policies on human resource development in the banking industry After the banking human resource development policy is formulated and promulgated, the organization and implementation is the key step in bringing the human resource development policy to life in the banking industry to bring about real results The organization and implementation of human resource development policies in the banking industry is a work throughout the entire process of implementing the human resource development policy of the banking industry, configuring the necessary activities and the organizations that carry out these activities, as well as creating vertical and horizontal reciprocal relationships between organizations, in order to achieve the set targets of human resource development policy in the banking industry It can be said that the organization and implementation of human resource development policies in the banking industry is decisive for the entire implementation process Due to the importance of the stage of realizing the human resource development policy in the banking industry, state agencies and local authorities at all levels should pay special attention to closely directing the organization and implementation, complying with the following basic implementation steps: Develop a plan to implement the policy on human resource development in the banking industry Disseminate and propagate policies on human resource development in the banking industry Assign and coordinate the implementation of human resource development policies in the banking industry Maintain the policy of human resource development in the banking industry 14 Adjust solutions to implement human resource development policies in the banking industry Monitor, inspect and urge the implementation of policies on human resource development in the banking industry Summarize and learn from experiences 2.3 Factors affecting the implementation of human resource development policies in the banking industry 2.3.1 Objective factors 2.3.2 Subjective factors 2.4 Criteria for evaluating the implementation of human resource development policies in the banking industry First, the effectiveness: measures the performance of activities to achieve the objectives of the human resource development policy of the banking industry during the implementation process Second, the efficiency: reflects the results of the implementation of human resource development policies in the banking industry and the effective use of resources of the State and society Third, the fairness and conformity (law compliance): the process of implementing human resource development policy requires fairness and compliance with the law in order to bring benefits to beneficiaries Fourth, the sustainability: reflects the length of the human resource development policy of the banking industry in the process of implementation and implementation and the harmony between costs and benefits of policy makers, policy implementers and policy beneficiaries Fifth, the conformity: The conformity of the implementation of human resource development policies in the banking industry is reflected in the degree of consistency with the issued policies, in accordance with the policies issued by the superior competent authorities and international 15 commitments, avoid conflicts, hurdles, not in accordance with international practices in the implementation process 2.5 Experience in implementing human resource development policies in the banking industry of some countries Experience in implementing human resource development policy in the banking industry in India Experience in implementing human resource development policy in the banking industry in Thailand Experience in implementing human resource development policy in the banking industry in Ethiopia Sub-conclusion of chapter On the basis of research, applying the theoretical basis of a number of scientific disciplines such as administrative science, policy science, human science, the PhD student clarified some of the following issues: First, develop the concept of implementing human resource development policy in the banking industry Second, determine the content of the policy to implement human resource development policy in the banking industry Regarding the objectives, the promulgation and organization of implementation of human resource development policies in the banking industry in order to attract and maintain high-quality human resources, contributing to improving the quality of human resources, thereby contributing to improving the quality of service to the economy and customers Third, in terms of policy content, from the theoretical basis for implementing human resource development policy in the banking industry, the components that make up the content of the implementation of human resource development policy in the banking industry have been analyzed: building a system of management documents on the implementation of 16 human resource development policies in the banking industry; organizing and managing the implementation of human resource development policies in the banking industry; inspect and examine management activities on the implementation of human resource development policies in the banking industry and handle violations in the management of the implementation of human resource development policies in the banking industry Fourth, there are many factors affecting human resource development policy in the banking industry and each of the above factors has a different degree of impact on this policy, it is important for managers to recognize those levels of impact in the policy-making process of their banks Fifth, develop criteria to evaluate the implementation of human resource development policies in the banking industry: effectiveness, validity, fairness and conformity, sustainability and suitability Sixth, analyze the experience of implementing human resource development policies in the banking industry of some countries Chapter ACTUAL SITUATION OF IMPLEMENTING POLICIES ON HUMAN RESOURCE DEVELOPMENT IN THE BANKING INDUSTRY IN VIETNAM 3.1 Overview of human resources in the banking industry in Vietnam in the period 2017-2022 3.2 Actual situation of implementing policies on human resource development in the banking industry 3.2.1 Contents of policies on human resource development in the banking industry 3.2.1.1 Plan human resource in the banking industry 3.2.1.2 Recruit human resources in the banking industry 3.2.1.3 Use human resources in the banking industry 17 2.3.1.4 Train and foster human resources in the banking industry 2.3.1.5 Remunerate and lay off human resources in the banking industry 3.2.2 Actual situation of implementing human resource development policy in the banking industry 3.2.2.1 Disseminate and propagate policies on human resource development in the banking industry 3.2.2.2 Assign and coordinate with executive agencies to implement human resource development policies in the banking industry 3.2.2.4 Adjust solutions to implement human resource development policies in the banking industry 3.2.2.5 Inspect and handle violations in the implementation of human resource development policies in the banking industry 3.2.2.6 Summarize, evaluate and draw lessons from the implementation of human resource development policies in the banking industry 3.3 Factors affecting the implementation of human resource development policies in the banking industry in Vietnam Table 2.10 Factors affecting the implementation of human resource development policies in the banking industry in the period 2017-2022 Unit: % No Evaluation Criteria The environment for implementing human resource development policies in the banking industry The relationship between the subjects implementing the human resource development policy in the Level of impact Strong Average Weak 52,8 45,2 54,7 18 44,5 0,8