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MINISTRY OF EDUCATION AND TRAINING MINISTRY OF HOME AFFAIRS NATIONAL ACADEMY OF PUBLIC ADMINISTRATION NGUYEN THI HONG DUYEN STATE MANAGEMENT OVER SOCIAL ASSISTANCESTABLISHMENTS IN HO CHI MINH CITY Major: Public management Code: 34 04 03 SUMMARY OF DOCTORAL THESIS IN PUBLIC MANAGEMENT HaNoi, 2019 The project is completed at: NATIONAL ACADEMY OF PUBLIC ADMINISTRATION Supervisors: Assoc Prof Dr Nguyen Van Thu Dr Bui Thi Thanh Ha Referee 1: ……………………………………… …………………………………………………… Referee 2: …………………………………… …………………………………………………… Referee 3: ……………………………………… ……………………………………………………… The thesis will be presented in front of the Academy’s Thesis Evaluation Council Place: Doctoral thesis presentation room - Meeting room Building ……, National Academy of Public Administration No 77 - Nguyen Chi Thanh Street - Dong Da District – Hanoi Time: at ……… day… month… year … The thesis can be found at the National Library of Vietnam or the Library of the National Academy of Public Administration LIST OF WORKS OF THE AUTHOR I Article published in Science Journal State management of sponsoring facilities in Ho Chi Minh City, Journal of Ho Chi Minh City Development Research Institute, issue number 08, 2014 Building and implementing the culture of resignation for officials and public employees in Vietnam, Journal of Science - Politics, issue number 3, 2014 Effectiveness of legal policies’ implementation for disadvantaged groups in Vietnam, Journal of State Administration, issue number 7, 2016 Regulations of the law on the establishment and dissolution of social protection establishments in Vietnam at present - Some inadequacies and recommendations, Journal of Science - Politics, issue number 8, 2016 State management role for social protection establishments - Opportunities and challenges, Ho Chi Minh City Development Research Institute, issue number 23, 2018 Expanding the network of social protection establishments for vulnerable social groups in Ho Chi Minh city, Journal of State Administration, issue number 273, 2018 Enhancing the performance of public duties by state management civil servants for social protection establishments in Ho Chi Minh City to meet the trend of international integration, Journal of Science - Politics, issue number 9, 2019 II Post on memorandum of International Scientific Conference Ensuring food security for ethnic minorities in the Northern mountainous areas successfully implementing the national sustainable development strategy The International Conference organized by the Swiss Maik Research Institute in collaboration with the National Academy of Public Administration, 2016 Developing database of ethnic policies to contribute to the successful implementation of sustainable poverty reduction for ethnic groups in the Mekong Delta National Science and Technology Program (CTDT/12-20), Memorandum of National Science Conference, 2016 10 Promoting the operational role of social charity establishments to contribute to ensuring social order and safety in urban areas in Ho Chi Minh City Ho Chi Minh City Development Research Institute, 2017 11 Assessment of the impact of social protection policies on the effectiveness of care and nurturing of the elderly in social protection establishments in Ho Chi Minh city International Science Conference held at HCMC Development Research Institute in collaboration with ASCA Japan, 2018 III Scientific topics 12 Project manager at grassroots level: State management of social protection activities of non-public organizations in Ho Chi Minh city, National Academy of PublicAdministration,2014 13 Participating in ministerial-level project, Code: B15 - 20: “Improving the efficiency of public-private cooperation in infrastructure construction in Ho Chi Minh city”, Ho Chi Minh National Academy of Politics and Public Administration, Region II, 2016 14 Participating in City level project, Registration number: 2019 - 780: “Social assistance policies for social protection beneficiaries in Ho Chi Minh City”, Ho Chi Minh City Development Research Institute, 2019 PREFACE Topic selection reason Firstly, the context of the world and the country has profound changes, which impose necessary requirements to build and develop social security models and social patronage facilities to ensure basic needs of human life The world context of the twenty-first century has strong changes affecting all aspects of social life and people, typically: the trend of international integration opens up advantages in expanding cooperation, connecting between the nations; The strong impact of the fourth scientific and technological revolution contributes to the liberation of physical labour of human beings, but also poses the risk of job loss for the majority of the working population (including vulnerable social groups); populism, the inter-national migration trends, among continents, have been strongly affecting security, economic development, etc This context has set countries the necessity to ensure social security, social justice and human rights issues, etc Domestic context, Vietnam is in the renovation period, integrating deeply into the world and achieving many achievements in socio-economic science-technical, technology Therefore, people lives have been improved, the quality of the population has changed in both quantity and quality, and the national position has been increasingly improved in the international market However, the downside of the market economy in the integration trend has a direct impact on the process of increasing the number and diversification of vulnerable social groups Currently, the number of people in need of social assistance across the country is quite large, accounting for over 20% of the total population, including 8.5 million elderly people, 6.7 million people with disabilities, 1.5 million children with special circumstances, 9.6% of poor households, 6.57% of near-poor households, more than 180,000 people infected with HIV discovered, nearly 170,000 drug addicts, more than 15,000 prostitutes; about 30,000 victims of violence and domestic violence; around 2.7 million social protection beneficiaries are eligible for monthly benefits from the state budget and a number of other groups of people in need of assistance [57, p.1] Secondly, the active role of social protection establishments in ensuring security of material and spiritual life for social protection beneficiaries, especially vulnerable social groups Ensuring social security is one of the Party’s consistent and thorough orientations and guidelines in every national socio-economic foundation and development period Over 70 years (1945 - 2019) formed and developed, Vietnam’s social security system has been increasingly improved and maximized its role in ensuring the security of material and spiritual life The reality has proved that the performance of the social security system in general and the social protection establishment in particular has a direct impact on the rapid reduction of the poverty rate from 58% in 1993 to 19% in 2004, bringing over 20 million people out of poverty, and continuing to decrease from 14.2% in 2014 to 9.8% in 2017, to 2017 at only 6.70% [203], [27] Thirdly, the State management practices for social protection establishments in Ho Chi Minh City are facing opportunities and challenges: Regarding the advantages and opportunities, Ho Chi Minh City is one of the central cities of Vietnam, so the city has a great economic and social influence regionally, internationally Therefore, in recent years, Ho Chi Minh City has shown positive economic events (the city’s economic growth rate has increased), people’s material and spiritual life is stable and their lives are improved day by day; public and non-public social protection establishments have been expanded and developed, whereby the quality of service provision includes: cultural and medical education for vulnerable social groups getting better and better, Social protection establishments have contributed to helping vulnerable social groups to stabilize their lives, create conditions for them to be treated, rehabilitated, educated, vocational training t to create life, integrate into community From these practical reasons, the scientific research on the state management of sponsoring facilities in general and in Ho Chi Minh City in particular is quite urgent Thoroughly researching this issue can provide important and necessary policy solutions for the effective activities of social welfare establishments that contribute to social security in order to achieve the Socio-Economic Development Strategy Objectives for the period of 2011-2020 has been set Along with the passion during working, I chose the research topic “State management of social protection establishments in Ho Chi Minh City” as my thesis topic From the results of this research, the thesis also hopes to contribute a new approach in the research on state management of social protection establishments The purpose and task of the thesis research 2.1 Research purposes On the basis of systematizing the theoretical issues on social protection and state management of social protection establishments, the topic focuses on clarifying the status of state management activities for sponsoring establishments in Ho Chi Minh City Then, proposing a number of recommendations and solutions to improve the efficiency of State management, contributing to the successful implementation of the goal of developing a civilized - modern - loving city of Ho Chi Minh City government 2.2 Research tasks For the purpose of the above research, the project implements the following tasks: Summary of domestic and foreign research works related to the topic, inheriting the results achieved from previous research projects, indicating gaps and main contents of the project needed further research; Formulating a theoretical framework, clarifying the theoretical basis for state management of social protection establishments, which clearly indicates the contents of state management and state management mechanisms for social protection department; content and role of state management of social protection establishments; summarizing the experience of a number of localities, from which, drawing lessons learned for state management subjects in implementing the socio-economic development objectives associated with ensuring the operational efficiency of the social security, social assistance system; Investigate and survey actual activities of social protection establishments and state management of social protection establishments in the city From there, analyze and assess the status of state management of social protection establishments in Ho Chi Minh City; identify and analyze factors affecting the efficiency of state management; point out the positive aspects, the weaknesses, the objective and subjective analysis of the limitations and shortcomings in state management of social protection establishments in Ho Chi Minh City Minh; Propose solutions to improve the efficiency of state management of social protection establishments in Ho Chi Minh City, contribute to the successful implementation of the city’s social security goals, aim to ensure security of the material and spiritual life of vulnerable social groups Subject, object, scope of the study 3.1 Research subject The subject of the thesis is state management of social protection establishments in Ho Chi Minh City 3.2 Research object Officials, civil servants and employees shall carry out the activities of state management of social protection establishments in the city; individuals and organizations establish social charity establishments; social employees and staff members directly take care of, nurture and rehabilitate social protection beneficiaries at the grassroots level Individuals benefiting from social assistance policies are being cared for, nurtured, culturally rehabilitated at social charity establishments in Ho Chi Minh City 3.3 Research scope 3.3.1 Time range: The thesis topic analyzes existing documents from 2008 to 2018 and conducts field surveys at selected locations from 2015 - 2018 The basis of the thesis determines the study period This is the system of legal documents related to the operational contents of social protection establishments, in particular the establishment of Decree No 68/2008/ND-CP; Decree 69/2008/ND-CP; Decree 103/2017/ND-CP, this is the period of time when the network of social protection establishments formed and developed nationwide 3.3.3 Scope of space: The thesis conducts research in social protection networks in Ho Chi Minh City Specifically in a number of agencies such as: Department of Labour Invalids and Social Affairs, Department of Home Affairs, Department of Social Protection, Department of Social Policy of City, Department of Labour - Invalids and Social Affairs, Division of Policy of the district, the Social and Cultural Committee at the commune and ward level with social protection During the period from 2008 to the present, the network of social protection establishments have been established and developed nationwide, we chose Ho Chi Minh City as the locality with second largest number of social protection establishments in the country 3.3.3 Range of content Analyze a number of theoretical frameworks for social protection and state management of social protection establishments; Describe, analyze and assess the current situation of the activities of the social protection grassroots network in relation to the implementation of social assistance policies, ensure security of material and spiritual life for social protection beneficiaries with 05 basic elements, including education, health, housing, clean water and information; Find out some factors about the institution, policies, operating mechanisms of the organization, management apparatus, funding sources, human resources, checking, inspection and supervision, and try to identify appropriate models in social protection activities to ensure the efficiency of state management in the city Research questions and hypotheses 4.1 Research questions Question 1: What is the theoretical basis for research on state management of social protection establishments in Ho Chi Minh City? Question 2: What is the current situation of state management of social protection establishments in Ho Chi Minh City? Question 3: What factors affect the effectiveness of state management of social protection establishments in Ho Chi Minh City in the current context? Question 4: What solutions can improve the efficiency of state management of social protection establishments, meeting the beneficiary needs of social protection beneficiaries in the context of Ho Chi Minh City integration? 4.2 Research hypotheses Hypotheses 1: The study uses the theory of social protection and social capital to analyze the role, content, form and relationship of the social protection grassroots network At the same time, the new public management theory will be used to explain the role, content and elements of state management activities to social protection establishments in Ho Chi Minh City Hypotheses 2: The situation of state management of social protection establishments in Ho Chi Minh City has not yet brought about practical effectiveness, not met the beneficiary needs of social protection beneficiaries Hypotheses 3: Geographical location, socio-economic context, national cultural traditions, political stability, international integration trends are external factors affecting state management activities to social protection establishments; Institutional factors, organizational structure, execution capacity of management subjects, etc are internal factors that directly affect the results of state management of social protection establishments in Ho Chi Minh City Hypotheses 4: Based on the social security and social assistance policies of the Central Government, the government of Ho Chi Minh City applies the state management principles of branches and territories to adjust some contents and methods, management tools appropriate to local practices Since then, improving the efficiency of state management and the performance of social protection establishments, aiming to ensure security of the material and spiritual life of social protection beneficiaries in the city satisfying the trend of international integration Methodology and research methods 5.1 Methodology During the implementation of the thesis research, the author applied the methodologies, such as: Dialectical materialism method; Marxism - Leninism, Ho Chi Minh thought on human rights, the right to life and protection; Party’s views and policies on social security goals; interdisciplinary sciences related to state management activities on social protection facilities 5.2 Specific research methods Methods of available document analysis: The thesis uses a number of domestic and foreign documents related to the subject of social protection and state management Based on analysis, evaluation of documents, reports and previous studies, the author points out the aspect of social protection that previous studies have not mentioned From there, inherit and apply into the research of chapters and of the thesis Methods of analyzing and assessing the impact of policies: The purpose of using the method of assessing the impact of policies is to determine the extent of the impact of the policy on the interests of the actual beneficiaries; compare the benefits to different beneficiaries; verify and make alternatives In-depth interview method: Gathering qualitative information through in-depth questioning methods with semi-structured questionnaires, exchanging opinions with state management officials on social policies, state management of social protection establishments; leaders, managers and employees in social protection establishments; Social welfare and research experts The project has conducted in-depth interviews with 20 cases, processed qualitative interview results using Innova software Methods of investigation and survey by questionnaire: The thesis uses quantitative methods as the key in the research process, with the aim of collecting opinions of beneficiaries of social protection policies New scientific contributions of the thesis 6.1 Theoretical contributions - From the process of researching, analyzing, inheriting the research results of previous works, the thesis supplements, develops and introduces some new concepts, such as the concept of social protection, grassroots social protection, social protection subjects, the concept of state management of social protection establishments Applying Smith’s policy analysis model to analyze the impact factors instead of the traditional analysis model - Access to social protection facilities in terms of public management, the thesis uses new public management theory, whereby the model of “effective management model”, “effective management”, “positive management”, “change management” will be applied in developing key contents in the implementation of state management activities for social protection establishments in Ho Chi Minh City 6.2 Contribution in terms of practicality - The results of the analysis of inadequacies and limitations in the implementation of state management activities may become a scientific basis to help policy makers adjust some articles in current legal documents on social assistance policies, regulations on approval, establishment, dissolution of social protection facilities, socialization policies on the provision of public services, and as a basis for formulating and promulgating regulations on conditions and operation contents of establishments with fewer than 10 subjects - The results of the thesis can evoke ideas for managers to build appropriate management models At the same time, this result is one of the bases for managers to see the contrast and unreasonable between theory and practice, between academic science and management practice From there, help scientists have more appropriate research orientations The structure of the thesis In addition to the preface, conclusion, list of references and appendices, the thesis is structured into 04 chapters Chapter 1: Overview of social protection research and state management of social protection establishments Chapter 2: Scientific basis for state management of social protection establishments Chapter 3: Current situation of state management of social protection establishments in Ho Chi Minh City Chapter 4: Solutions to perfect state management of social protection establishments in Ho Chi Minh City CHAPTER OVERVIEW OF SOCIAL PROTECTION RESEARCH AND STATE MANAGEMENT SITUATION OVER SOCIAL PROTECTION ESTABLISHMENTS 1.1 Theoretical studies on social protection establishments 1.1.1 The research works in the world Social protection, social protection facilities become the research object of scientists in different scientific fields, and become a key issue in the socio-economic development strategy of the nations in the world However, at present, the theoretical studies on social protection facilities in the world are not popular Through the survey, the author found that most of the researches on social security in the world suppose that social protection facilities are one of the components of social protection [155, p.79], [166, p.45] So the theoretical basis for approaching social protection facilities is the theory of social protection Therefore, the thesis through the theoretical studies of social protection to identify the theoretical framework of social protection establishments and its active role in the social security system Approach in this regard, mainly includes works: Guhan, S (1994), “Social security options for developing countries”; Norton, A, Conway, T, Foster, M (2001), “Social protection concepts and approaches: Implications for policy and practice in international development”; Sabates-Wheeler R, Haddad, L (2005), “Reconciling different concepts of risk and vulnerability: A review of donor documents” and Devereux and R Sabates-Wheeler (2007), “Debating Social Protection - Editorial Introduction” (Social debate debate - editing, introduction); “Social Protection for Transformation” is considered to have been successful in building a framework, floor, domain of social protection concepts, Most of the research works in the world on the concept and operation content of social protection are said that social protection facilities are one of the important components of social protection Therefore, the basic theory for approaching and researching activities of social protection establishments is social protection Thus, the research results of works in the world on the concepts, roles and functions of social protection establishments are referenced, inherited and used in constructing the theoretical framework of social protection establishments in chapter 1.1.2 Domestic research works Firstly, the studies have considered social protection facilities as a component of social protection, this approach is close to the views of some scholars in the world, such as: Guhan S, Norton A, Conway T, Foster M, typically the research of author Le Bach Duong (cb) (2005), (2013), “Social protection of disadvantaged groups in Vietnam” is considered one of the monographs on Social protection quite early in Vietnam Secondly, the studies that consider social protection facilities as a component of social assistance shows that much of this approach is biased towards social security studies In particular, there is a study of author Mai Ngoc Cuong (cb) (2009), Building and completing the social security policy in Vietnam In the process of interpreting the concept of social security, in the universal sense, is the guarantee that people exercise their rights so that they can be at peace and happiness 1.2 Research works on state management for social protection establishments 1.2.1 The research works in the world 1.2.1.1 Research social protection policies to ensure human rights Ferguson, Clare (1999) “Global Social Policy Principles: Human Rights and Social Justice” DFID, Social Development Department The study of social development policies, taking human rights as the basis, foundation and basic principles to design policies for actions Sharing the same opinion with the above author group, there is Department for International Development (2000b) “Realising Human Rights for Poor People: Strategies for Achieving the International Development Targets” It addresses the human rights of the poor, designs strategies to achieve economic development goals In particular, it emphasizes on the operational role of social protection grassroots networks, based on the design of basic services, such as housing, clean water, education, health and food security to ensure the minimum right to life human 1.2.1.2 Research on social protection closely linked to policies on hunger eradication and poverty reduction Subbarao, K., Et al (1997), “Safety net programs and poverty reduction: lessons from cross-country experience” The World Bank: Washington A study of policy systems and hunger eradication and poverty reduction networks emphasizes the role of the social protection system In line with this research direction, there are the works of De Haan, Arjan, Eliane Darbellay, Michael Lipton and Imran Matin (1998) Anti-poverty projects in developing countries: towards evaluating success Evaluation of the effectiveness of the World Bank’s poverty reduction strategy” Thus, these studies have identified the role of social protection facilities as a basic tool to implement policies on hunger eradication and poverty reduction and also the basic tool for vulnerable social groups to access various types of public services 1.2.1.3 State management studies for social protection facilities of Vietnam Martin Evans1 and Susan Harkness (2008) “Social Protection in Vietnam and Obstacles to Progressivity” This is an assessment report on social protection in Vietnam through the process of sampling survey and evaluation of social protection policies in Vietnam VietNam Academy of Social Sciences VASS (2011), Employment and Social Protection in VietNam”; Keetie Roelen (2011) “Stopping Child Poverty in its Tracks: The Role for Social Protection in Vietnam”; Florence Bonnet, Michael Cichon, Carlos Galian, Gintare Mazelkaite and Valérie Schmitt (2012), “Analysis of the Viet Nam National Social Protection Strategy (2011-2020) in the context of Social Protection Floor objectives” These works through the results of research reports on jobs, mainly analyzing the risks that lead to a part of Vietnamese people falling into unemployment 1.2.2 Domestic research works Firstly, the approach and research of operational policies of social protection establishments in terms of economics Using the economic and sociological aspect as a scientific basis to approach and research Vietnam social protection, the work of the author group of Le Bach Duong, Khuat Thu Hong (cb) (2008), “Migration and social protection” Research work of social 2.2 State management theory for social protection establishments 2.2.1 Some concepts related to state management of social protection establishments 2.2.1.1 State management concept State management is a special form of social management, with the power of the state and the use of state law to regulate the behavior of individuals and organizations in all aspects of social life by agencies, public servants in the state apparatus, to serve the people, maintain the stability and development of society 2.2.1.2 State management concept for social protection establishments State management of social protection facilities is a purposeful, organized impact of competent state agencies on management subjects to adjust the activities of social protection establishments according to regulations, ensure the help of the state, society, community, for social protection subjects in accordance with law and effectively reach the national socio-economic development goals 2.2.1.3 State management role for social protection establishments Firstly, the state is the only entity playing the role of creating the legal framework as a tool to manage social protection establishments; Secondly, the State implements the planning to develop the network of social protection establishments, socialize and grant autonomy to the facilities; Thirdly, the state has the role of orienting and adjusting the management and operational contents of social protection establishments; Fourthly, the State is the focal point in establishing international cooperation mechanism to develop social protection facilities and maximize the role of state management; Fifthly, the state plays an important role in providing and regulating public service provision activities of social protection establishments 2.2.1.4 Features of state management of social charity establishments of local state administrative agencies Firstly, the state management of social protection establishments of local state administrative agencies is associated with the specific characteristics of the industry combined with the territory Secondly, the state management subjects for social protection establishments of local state administrative agencies are associated with the activities of state administrative agencies and professional agencies at all levels, subject to the management of many different subjects Thirdly, the management subjects of local state administrative agencies on social protection establishments are diverse and complex Fourthly, the state management of social protection establishments at local level is the unit that directly organizes and implements socialization policies related to the activities of social protection establishments 2.2.2 Contents of state management of social charity establishments 2.2.2.1 Formulate and promulgate a system of legal documents regulating state management activities for social charity establishments 2.2.2.2 Organize the apparatus to perform the state management of social protection establishments 2.2.2.3 Capacity of implementing state management activities of cadres, civil servants, public employees and social workers for social protection establishments 11 2.2.2.4 Approval, establishment, organization, operation and dissolution of social protection establishments 2.2.2.5 State management of facilities, equipment and funding sources provided for social protection establishments 2.2.2.6 Expanding external relations and international and public-private cooperation in raising the state’s rational capacity and operational efficiency of social protection establishments 2.2.2.7 Inspect, supervise and handle violations of law on operations of social protection establishments Thus, the state management of social protection establishments includes 07 basic contents, the thesis will present, analyze and interpret in chapters and 2.2.3 Factors affecting the state management of social protection establishments 2.2.3.1 Internal factors affecting the state management of social protection establishments Firstly, the institution affecting the state management of social protection establishments, from the identified bases, can see that one of the central decisive contents to the state management activities in this field is: process of formulating and promulgating a system of legal documents and policies on state management of social protection establishments Secondly, the capacity of the implementing agency in the state management of social protection establishments, according to Smith, the level of influence of this factor depends on three issues: organizational structure and personnel; leadership in state agencies; capacity of state agencies Thirdly, the capacity of the participants affects the state management of social protection establishments, the participants are related and interacting with each other in the implementation of state management activities According to Smith the degree of interaction of related groups depends on three factors 2.2.3.2 External factors affecting the state management of social protection establishments The thesis limits external factors affecting the state management activities of social protection establishments, including factors on natural, economic, population and social conditions of geographical, economic and population, social position,… 2.2.4 Criteria for evaluating state management activities applicable to social protection establishments - Criteria for evaluating the state management institution for social protection establishments; Evaluation criteria on organizational structure of state management of social protection establishments; Criteria for evaluating the capacity of State officials in executing State management activities, civil servants, public employees; Criteria for evaluating the establishment approval, operation licensing for social protection establishments and dissolution of social protection establishments; management of facilities, equipment and funding sources; implementing international cooperation and public-private cooperation 2.3 Lessons learned about state management for social protection establishments of Japan and some cities in the country 2.3.1 The experience of Japan 12 2.3.1.1 Organizing the state management apparatus for the implementation of social security policies Japan is one of the countries that were seriously affected by World War II, in order to to overcome the consequences of devastating war, Japan has built and issued a series of socio-economic development policies In particular, social security policy development is one of the key issues that Japan pays special attention to 2.3.1.2 Regarding social support policies for people with disabilities, the elderly and the development of social workers at social protection establishments The social support policy of Japan was formed on the basis of the Japanese Law on Ensuring of Daily Life in 1946 (amended in 1950), with the main form of public assistance and social services to support for the weak in society 2.3.1.3 Regarding financial sources Japan considers the responsibility of caring for social protection beneficiaries as the responsibility of the family, society, community and government Therefore, the financial sources for social assistance and social support activities and activities at social protection establishments to care for people with disabilities and the elderly are mobilized from three basic sources: the State, localities, individuals and organizations, non-state officials 2.3.2 Experience in state management of social protection establishments in Hanoi City Firstly, strengthening legal support for social protection beneficiaries in the city; Secondly, expanding communication activities in propagating social assistance policies to social protection beneficiaries; Thirdly, attracting financial resources for regular activities at social protection establishments in Hanoi City 2.3.3 Lessons learned on state management of social protection establishments 2.3.3.1 Lessons on the leading role and unified management of the state for the implementation of social protection policies 2.3.3.2 Lessons on institutional improvement in the implementation of social security policies, building grassroots social protection networks 2.3.3.3 Lessons on ensuring the harmony between economic growth and social security, social assistance for vulnerable social groups 2.3.3.4 Lessons on provision of utility services to social protection beneficiaries By the method of synthesizing and analyzing documents, in this chapter, the thesis has profoundly interpreted the concepts related to the topic, thereby building a system of specialized concepts of the industry that the thesis applies 13 Diagram 2.1: Theoretical research framework of the thesis THEORETICAL RESEARCH FRAMEWORK Social Protection Theory - Social protection concept - Functions, roles, content and type of activities of social protection establishments Social Capital Theory (Social Network) International cooperation, publicprivate cooperation; attract partners to participate in volunteer activities New public management theory - The concept of state management for social protection establishments, the role, characteristics and content of state management; - Factors affecting the effectiveness of state management; - Assess the status of state management - Proposing solutions - Solutions to improve efficiency STATE MANAGEMENT EFFICIENCY ON SOCIAL BASIS OPERATING EFFICIENCY OF SOCIAL PROTECTION BASIS NETWORK SECURITY GUARANTEE ON MATERIAL AND SPIRIT LIFE OF SOCIAL PROTECTION SUBJECTS [Source: Author of the topic] 14 CHAPTER 3: CURRENT SITUATION OF STATE MANAGEMENT FOR SOCIAL PROTECTION FACILITY IN HO CHI MINH CITY 3.1 Characteristics of natural, economic, cultural and social conditions affecting the state management for social protection facilities in Ho Chi Minh City 3.1.1 Natural, economic and social population conditions affecting the state management for social protection facilities in Ho Chi Minh City 3.1.1.1 Geographical location, natural conditions affecting the state management for social protection facilities in Ho Chi Minh City Firstly, Ho Chi Minh City is located at the junction between the Mekong Delta and the Southeast region, which is an advantage for the city to develop socio-economic, but will create pressures in solving social problems for Social protection subjects Secondly, as a gateway for international exchange, it not only affects the process of economic development, cultural exchanges, but also directly affects the process of solving social problems in Ho Chi Minh City 3.1.1.2 Socio-economic conditions affecting state management for social protection facilities in Ho Chi Minh City The model conversion in the management of market economy affecting the state management for social protection facilities, before the renovation period (1986), Vietnam's economy was managed by the planning concentrated mechanism, with bureaucratic administration 3.1.1.3 Socio-cultural conditions affecting the effectiveness of state management for social protection facilities in Ho Chi Minh City Ho Chi Minh City is the largest metropolis in the country, currently it has over 8.3 million inhabitants [140], is a young city of just over 300 years of establishment and development, but is considered one of the 15 cities with the largest population in the world [11, p.31], are estimated to have 10 million by 2020 [140] In short, the geographical location of the city is one of the factors affecting the socio-economic development of the city in many aspects of social life 3.2 Actual situation of operation of social protection facilities in Ho Chi Minh City 3.2.1 In terms of the distribution of social protection subjects at social protection facilities in Ho Chi Minh City Structure of social protection subjects: The city currently has 453,992 elderly people, 49,699 people with disabilities and 1.4 million children in special circumstances; The number of people who receive regular assistance in wards/communes is 130,000 and nurtured in social protection facilities is 6,500 [126] Non-public social protection facilities are nurturing nearly 3,200 people [126] Distribution of social protection subjects: The number of Social protection subjects being ensured security of material and spiritual life at public Social protection facilities (7,392) accounts for a more dimensional number than with non-public social protection facilities (3,241) [162] 3.2.2 In terms of the distribution of social protection facilities network Currently, in Ho Chi Minh City, the network of public social protection facilities and non-public social protection facilities is widely distributed in 17/24 districts with various types of activities At present, Ho Chi Minh City currently has 17 facilities for 15 caring, nurturing, rehabilitation, psychological counseling, training, retraining and vocational training for 7,392 people [160] For non-public social protection facilities, there are 58 facilities, distributed in 17 districts and cities of the city and are caring, nurturing and rehabilitating 3,241 people [160] 3.2.3 In terms of facilities, equipment and facilities of the network of social protection facilities In terms of facilities, the effectiveness of social protection facilities depends on many factors, in which the system of facilities and equipment is considered the foundation to create quality of care and nurture, rehabilitation of social protection subjects In terms of equipment, facilities, working and living conditions at social protection facilities in the city, equipment used for care, nurture, rehabilitation, education and vocational training for Social protection subjects at Social protection facilities in comparison with that at 10 years ago (before the issuance of Decree No 68/ND-CP regulating conditions for setting up Social protection facilities) have had basic investments 3.2.4 Activities of receiving, caring and nurturing sponsors In terms of the reception of social protection subjects, one of the central and throughout contents of activities at the social protection facilities is the reception, care, nurturing, rehabilitation, etc for social protection subjects In terms of the care, nurture, education, vocational training and cultural education for social protection subjects in facilities in the city, in recent years, the issue of ensuring security of material and spiritual life for a part of the people in vulnerable social groups is particularly considered by the Party and the State 3.2.5 In terms of activities to attract funding for social protection facilities to operate, Pursuant to the provisions of the legal document system, such as: Decree No 13/2010 / ND-CP; Decree No 136/2013 / ND-CP; Decree No 103/2017 / ND-CP, 3.3 Actual situation of implementing the contents of state management for social protection facilities in Ho Chi Minh City 3.3.1 In terms of institution of state management for social protection facilities 3.3.1.1 Results of formulating and issuing of state management institutions for social protection facilities Firstly, the system of legal documents regulating social assistance policies and social welfare has been adjusted to ensure the minimum living standard of social protection subjects Secondly, the document regulating conditions for establishment, operation and dissolution of Social protection facilities has been adjusted to suit the requirements of socialization of public services Figure 3.1: Relevance of subsidy levels for social protection subjects (%) Rất không phù hợp Không phù hợp Phù hợp Rất phù hợp Bình thường 1% 7% 10% 38% 44% (Source: Survey results of the topic in 2018) 16 Thirdly, the Government and the city’s authority have issued a series of schemes and master plans on developing and expanding the network of social protection facilities, in order to help and support the social protection subjects in their material and spiritual life 3.3.1.2 Restrictions in developing and promulgating a system of policies and laws on state management for social protection facilities Firstly, the legal documents regulating the policies of social assistance and general assistance for people living at social protection facilities still not meet the minimum living standards affecting the care and nurture of social protection subjects Secondly, social protection policies and laws have not covered social protection subjects, based on local reports, currently the total number of beneficiaries of social protection policies accounts for more than 20% population Figure 3.3: Assessment of public officials about coverage level of Social assistance policies in HCMC (%) 2% 19% 29% không ảnh hưởng Bình thường ảnh hưởng Rất ảnh hưởng 50% (Source: Survey results of the topic in 2018) Thirdly, the legal framework for socialization of Social protection activities is limited, lacking in coherence and flexibility has become a barrier in developing the network of Social protection activities Fourthly, regulations on conditions of establishment and dissolution of Social protection facilities are still inadequate and not suitable to reality Thus, based on the results of the survey, the thesis has analyzed and explained the advantages and limitations of the institutional system that regulates issues related to state management activities for the social protection facilities Since then, as a basis to identify the causes and propose a number of institutional improvement solutions to improve the state management efficiency in Ho Chi Minh City 3.3.2 Organization of machine performing the state management for social protection facilities 3.3.2.1 Some advantages of the organizational structure of state management machine for social protection facilities Firstly, the organizational structure of the state management of social protection facilities has been organized and built systematically and scientifically from the central to local levels; Secondly, the organization and establishment of the state management machine have a flexible decentralization and coordination in the state administrative system from the central to local and provincial levels and branches, helping to reduce overlap and redundancy, bureaucracy; Thirdly, in the organization of the management machine at the provincial level, there is a mechanism of coordination and supervision 17 3.3.2.2 Limitations and shortcomings of the organization of the state management machine for social protection facilities Firstly, the state management machine of social protection facilities is still slow to innovate, affecting management efficiency; Secondly, there is a lack of flexible coordination between specialized agencies and the authorities in the inspection, examination and detection of violations Thus, these limitations and shortcomings have affected the effectiveness and efficiency of state management for social protection facilities in the city 3.3.3 Capacity of implementing state management activities of cadres, civil servants, public employees and social cadres for social protection facilities 3.3.3.1 Current status of enforcement capacity a In terms of the distribution of the number of cadres, civil servants and public employees performing state management activities, an average of over 1.7 officials are responsible for managing one social protection facility b, In terms of the quality of cadres and civil servants performing state management, the survey results show that, out of 128 public officials holding the position of state management of social protection facilities, there are 29 different branches , of which the specialized group is considered as appropriate only accounting for 41% (state management sector accounts for 1.7%; Administrative studies accounts for 9.4%; Legal studies makes up 20%; Social work 5.1%; Sociology 5.1%), non-conforming specialized group accounts for 51% 3.3.3.2 Quality of social cadres directly working at social protection facilities Firstly, the distribution of numbers, based on the implementation of Decision No 32/2010 / QD-TTg Ho Chi Minh City, has developed many programs and plans for developing social work careers Secondly, in terms of professional qualifications of social cadres, there are now over 2,000 officials and social cadres directly managing and taking care of more than 10,000 social protection subjects in 75 public and non-public social protection facilities Figure 3.8: Assessment of professional qualifications of managers and social cadres working at social protection facilities (%) đai học đại học cao đẳng trung cấp chưa qua đào tạo 2% 22% 34% 11% 31% (Source: Summary report from Department of Labor, Invalids and Social Affairs Ho Chi Minh City, 2017) Thirdly, professional skills of officials and social cadres, the survey results show that up to 75% of the opinions of state management officials believe that the contingent of officials and social cadres working at the facilities good professional skills, of which good 37%, very good 10%, normal 28% Whereas, the percentage of bad reviews is only 25% (15% is not good, 10% is not very good), (Table 3.9) 18 Fourthly, the ethical quality of the team, the survey results showed that 67% of the opinion of the state management officials said that the officials and social policy staff working at the social protection facility have good moral qualities, including 10% very good) 3.3.4 Implementing the establishment approval, operation license, dissolution of social protection facilities in the city 3.3.4.1 Achievements from the process of establishment approval, operation license, dissolution of social protection facilities After more than 10 years (2005 to present) implementing the socialization policy for the field of social security in general and the social protection facility in particular has achieved remarkable achievements Currently, the city has been conducting review and establishment of 58 non-public social protection facilities which are nurturing, caring for and rehabilitating more than 3,000 subjects In particular, considering the establishment and licensing of 33 facilities, currently supporting legal procedures to license operations for 24 facilities, dissolving 01 facility, and terminating operation of facilities [126] 3.3.4.2 Shortcomings and limitations in the process of executing the establishment approval, operation license and dissolution of social protection facilities Firstly, the phenomenon of unlicensed operating facilities still exists in the city; Secondly, the law on approving, establishing, organizing, operating, licensing operations, dissolution of Social protection facilities is still inconsistent with the actual operation of the social protection facilities in the area 3.3.5 State management for facilities, equipment and funding sources provided for social protection facilities 3.3.5.1 State management for facilities, equipment and funding sources provided for social protection facilities In order to ensure the effectiveness of the social protection facility, the assurance of conditions on facilities and equipment plays an extremely important role, so the government acts as the governing entity has taken many active measures to preserve, build and develop facilities to ensure the operational efficiency of the establishment 3.3.5.2 State management of funding sources provided for the operation of sponsoring facilities In the city, there is a situation where there is a lack of funding, considering the subsidy level of social protection subjects The survey results showed that more than 50% of the opinion that the financial allocation activities are normal, in which good accounting for 32.5%, very good 4.3%, not good 10.3%, very not good 2.6% 3.3.6 Expanding external relations and international and public-private cooperation in improving the state management capacity for social protection facilities in the city 3.3.6.1 Achievements in international cooperation activities Firstly, Ho Chi Minh City regularly organizes seminars to learn, share experiences on care, nurturing, rehabilitation, vocational education; learning from experience about expanding and developing social protection models; Secondly, the city government has adopted many policies to encourage volunteerism of individuals and civic societies; Thirdly, the city has been proactive and actively participated in multilateral cooperation forums 19 3.3.6.2 Shortcomings and limitations in international cooperation activities Firstly, the foreign language ability of social cadres and State management officials is still limited; Secondly, the spending budget for diplomatic activities of the social security field in general and the social protection facilities in particular is low; Thirdly, although the city government has expanded its relationship and cooperation, it has attracted many partners for sponsorship and aid; Fourthly, some international cooperation programs are not funded in cash, but in kind 3.3.7 Enforcing activities of inspection, examination, supervision and handling of violations of law on enforcement of state management contents for social protection facilities Firstly, in the process of implementing the inspection, examination and supervision activities, there was a flexible coordination; Secondly, under the management and direction of Ho Chi Minh City People's Committee, DOLISA, in coordination with the Department of Home Affairs 3.4 Assessing current situation of state management activities for social protection facilities in Ho Chi Minh City 3.4.1 Achievements from the implementation of state management activities for social protection facilities in Ho Chi Minh City 3.4.2 Restrictions in the process of implementing state management activities for social protection facilities in Ho Chi Minh City 3.4.1 Causes Firstly, the cause of institutional inadequacy; organizational structure of state management machine for social protection facilities in Ho Chi Minh City; capacity of the subjects managing state and social cadres; activities in approval, establishment, operating license, dissolution of social protection facilities; material foundations, equipment and funding sources for operating social protection facilities; foreign affairs, international cooperation, public-private cooperation; inspection, examination and handling of law violations 3.4.2 Challenges to improving the effectiveness of state management for social protection facilities in Ho Chi Minh City Firstly, planning, building and promulgating the institutional system; Secondly, How to build and organize the machine; Thirdly, Develop appropriate training and retraining policies to improve enforcement capacity of public officials; Fourthly, build and expand the network of social protection facilities in accordance with the provisions of law CHAPTER 4: ORIENTATION AND SOLUTION FOR COMPLETING STATE MANAGEMENT FOR SOCIAL PROTECTION FACILITY IN HO CHI MINH CITY 4.1 Orientations of state management for social protection facilities 4.1.1 State management for social protection facilities in Ho Chi Minh City comes from the Party's viewpoint on social security development The summary of the Party's views on social security, social protection, social assistance is not only meant to generalize a thorough theoretical issue of the Party to serve the process of access and research of the thesis, but also important rather than being a solid 20 basis and foundation for organizing and implementing to build the state management direction for social protection facilities 4.1.2 State management for social protection facilities in Ho Chi Minh City in accordance with the Party's goals of social security development Based on the Party's views on the development of the social security system, the State develops, organizes and implements the development direction of social assistance networks and social protection facilities in the period of 2011-2020 with vision toward 2025 4.1.3 State management for social protection facilities in accordance with Ho Chi Minh City's viewpoint and section on social security development Firstly, to promote socialization, encourage domestic and foreign organizations and individuals to invest in developing the network of social protection facilities; mobilize families of economically capable subjects to contribute funding for care and rehabilitation to subjects at the local level Secondly, to develop a network of Social protection facilities to meet the social assistance needs of people; contribute to the implementation of Resolution No 15-NQ/TW of June 1, 2012, of the XI Party Central Executive Committee, on a number of social policy issues for the period of 2012-2020; contribute to social stability and social security Thirdly, to plan and develop a network of social protection facilities in the city in accordance with the size and distribution of subjects; ensuring that the subjects have the opportunity to receive timely assistance and care Fourthly, to renovate mechanisms and modes of management and operation of Social protection facilities according to the motto of prevention, support, care and nurture of the objects at home and the community; In case of sending subjects to social protection facilities for care and nurture, it is urgent solutions in a certain period 4.1.4 State management for social protection facilities based on forecasts of the number of subjects to ensure the coverage of subjects in the city Table 4.3: Forecast of social protection subjects living at public social protection facilities from 2017 to 2020 Calculation unit: Subject Year T Y 2017 (present) 7.392 2018 7.530 2019 7.720 2020 7.935 (Source: Based on author's calculations) 21 Table 4.5: Forecast of social protection subjects living in non-public social protection facilities from 2017-2020 Year Calculation unit: Subject T Y 2017 (present) 3.241 2018 3.463 2019 3.699 2020 3.935 (Source: Based on author's calculations) 4.2 Some solutions to complete state management for social protection facilities in Ho Chi Minh City 4.2.1 Completing provisions of law on social protection facilities The solution aims to continue to improve the provisions of the law on social protection, thereby creating an appropriate legal corridor, as a tool to manage and adjust the operation process of the social protection facility ensures the basic rights of a part of vulnerable social groups 4.2.2 Solutions to improve organizational structure, promote coordination between agencies in state management for social protection facilities This solution aims to build and complete the state management machine for social protection facilities from the central to local levels in the direction of streamlining, compact, scientific, non-overlapping, and functional construction, the task of the state management agencies to social protection facilities in a specific and clear way, thereby contributing to improving the efficiency of state management in general and state management of social protection facilities in particular 4.2.3 Solutions to improve the capacity of the contingent of cadres, civil servants and social cadres This solution aims to improve the capacity of the old team of cadres, civil servants and social organizations in state management activities for social protection facilities 4.2.4 Solutions to inspection and examination for activities of social protection facilities This solution aims to carry out the inspection and examination of state management activities for activities at social protection facilities, thereby grasping the strengths and positive aspects in the implementation process State management for Social protection facilities to promote, encourage and encourage facilities to operate effectively and promptly detect and handle violations, adjust personal, organizational behaviors and contents and forms in operations of social protection facilities 4.2.5 Solution of public relations on activities of managing social protection facilities This solution aims to enhance the interaction between state administrative agencies and society about the role of the State in managing social protection facilities in order to attract the participation and cooperation of social sectors as well as foreign partners in 22 order to improve the quality of operations of social protection facilities Thereby, it contributes to improve the efficiency of state management for social protection facilities in Ho Chi Minh City 4.2.6 Solution for providing sufficient material and mental conditions for social protection facilities This solution aims to provide sufficient material conditions (office, working facilities, finance, social protection facilities ) and spirit for social protection facilities to improve the efficiency of state management on social protection facilities in Ho Chi Minh City 4.3 The relationship between the solutions Each solution has certain advantages and limitations At the same time each solution must be carried out under specific conditions But the above solutions must be implemented systematically and synchronously, they are of little significance when performed individually At the same time, the state management solutions for social protection facilities in Ho Chi Minh City built above have not only a close relationship with each other in form but also a dialectical relationship in contents 4.4 The necessary level and the feasibility of the solutions 4.4.1 Necessary level The majority (over 90%) of the study objects assess solutions proposed by researcher as necessary and emphasized quite high at the very necessary level This result is also explained in detail and logic through the PVS, some officials and employees working in Ho Chi Minh City are eager to have appropriate solutions and effectively implement in the state management of the social protection facilities in the area of the city, contributing to improving the quality and operational objectives of Social protection facilities as well as improving the prestige and image status of state management agencies before people and organizations 4.4.2 Feasibility level In general, the results have shown quite uniformity in the assessments of this content, most of the respondents found the feasibility of state management solutions for social protection facilities High feasibility (including very feasible and feasible) accounting for 90% or more focuses on solutions: perfecting the provisions of the law on social protection facilities; improve the capacity of officials, civil servants and social cadres; inspection and examination work of the activities of social protection facilities in the city; public relations on activities of managing social protection facilities 23 CONCLUSION The conclusions must generalize the main points that the thesis has analyzed rather than write like this because the process of analyzing chapters is very elaborate, serious and very good At the same time, it is necessary to emphasize the questions and the proven hypothesis so that the thesis is coherent, logical and scientific The research results of the thesis include the following: Establishing a theoretical framework on Social protection facilities, state management for Social protection facilities, in particular defining the access theory for each issue in relation to State management activities to build a framework of concepts, and contents to implement the state management activities, thereby serving as a theoretical foundation throughout the process of conducting research The thesis has proved the correctness of the hypothesis posed in the research, the city government has applied a new model of public management in the implementation of state management of social protection facilities However, it has not yet been effective and effective In addition, Ho Chi Minh City applies the principles of branch and territorial management to build the local financial institution with deduction from the autonomy budget and investment for state management of social protection facilities , improve the effectiveness and efficiency of state management; expand international exchanges; formulating policies for economic cooperation, public-private cooperation; create conditions and attract the participation of individuals and international organizations to participate in activities of social protection facilities, thus contributing to raising the efficiency of state management in this field The thesis analyzes the current situation of state management for social protection facilities with certain achievements and limitations on the content of state management for social protection facilities in Ho Chi Minh City Through the assessment and analysis of the current situation of state management activities, the thesis identifies the achievements and causes of inadequacies, limitations, challenges, and opportunities for improvement of effectiveness of state management activities, this result becomes a scientific basis for interpretation and formulation of solutions The thesis proposes specific solutions for state management of Social protection facilities in Ho Chi Minh City in order to improve the effectiveness of state management activities for social protection facilities, including: (1) complete the provisions of law; (2) improve organizational structure, promote coordination between agencies; (3) improve the capacity of cadres, civil servants and social cadres; (4) inspection and examination work; (5) on public relations; (6) provide a full range of physical and mental conditions Access to research on social protection facilities in terms of public management, from the results of the thesis, the following research directions are suggested: state management of public service provision at the system of social protection facilities; state management on the implementation of policies on socialization of care, nurturing, functional rehabilitation and vocational education for vulnerable social groups; policies for developing and enhancing the capacity of social cadres to implement social protection facilities; policies on training and retraining skills and professional skills of cadres, civil servants and public employees performing the state management of social protection facilities; state management of funding sources provided for social protection facilities; state management of the basic model of social protection facilities in Ho Chi Minh City./ 24 25 ... service provision includes: cultural and medical education for vulnerable social groups getting better and better, Social protection establishments have contributed to helping vulnerable social... protection establishments in Ho Chi Minh City Minh; Propose solutions to improve the efficiency of state management of social protection establishments in Ho Chi Minh City, contribute to the successful... facilities in Ho Chi Minh City 3.1.1.1 Geographical location, natural conditions affecting the state management for social protection facilities in Ho Chi Minh City Firstly, Ho Chi Minh City is located