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MINISTRY OF EDUCATION AND TRAINING THUONGMAI UNIVERSITY TRAN THU HA CORPORATE SOCIAL RESPONSIBILITY TOWARDS EMPLOYEES OF VIETNAM OIL AND GAS GROUP Major: Commercial Business Code: 62340121 PHD DISSERTATION SUMMARY Hanoi, 2019 This research was done at: Thuongmai University Scientific instructor: Assoc Prof Dr Nguyen Thi Bich Loan Assoc Prof Dr Nguyen Thi Minh Nhan Examiner 1: Examiner 2: Examiner 3: The dissertation will be defended at the Dissertation Assessment Council at university level to be held in Thuongmai University at … date… month … year……… Find this dessertation at: Thuongmai University library National library PREFACE The significant of the study Corporate social responsibility (CSR), CSR towards employees have received attention from domestic and foreign researchers from both theorical and practical aspects From theorical aspect, CSR has received attention from researchers in Vietnam and the world since 1950 CSR is the commitment of corporate to contribute to substainable development through balancing three factors: economy, society and environment More clearly, CSR can be briefly defined as an enterprise's commitment to conduct in accordance with the interests of society in activities related to the interests of customers, suppliers, employees, shareholders, community, environment CSR is considered as a category of business ethics related to all business activities of enterprises If for each enterprise, the employee is an important link that decides the existence and development of the enterprise, CSR towards employee is also one of the important contents in the enterprise's CSR The topic CSR towards employees has received the attention of scientists both at domestically and internationally (Skouloudis et al., 2015; Huang and Zhao, 2016; Nguyen Thi Kim Chi, 2016; Dinh Thi Cuc, 2015) Notably, Zheng and Zhang (2016) asserted that CSR towards employees is different among enterprises in term of ownership and firm sizes State-owned economic corporations with larger scale often show better CSR towards employees than private enterprises In Vietnam, there has not been an in-depth study of CSR towards employees in term of ownership to look at the difference in CSR towards employees of different economic sectors, especially at state-owned economic groups From practical aspect, it is expected that by 2020, there are only about 150 state-owned enterprises and three state-owned economic groups (SOG), including Vietnam National Oil and Gas Group (PVN), Electricity and Power Corporations, and Viettel Military Telecom Corporation It can be seen that PVN is one of the national economic leaders Oil and gas is a special economic and technical industry because it is associated with the national energy source and is an economic value chain in the country's development strategy Petroleum workers are quite diverse, complex and industry-specific, often exposed to hazardous environments, long working hours, workplaces far from home Therefore, CSR towards employees in PVN needs to be paid attention, it should be done in a more synchronized, scientific and systematic manner Based on the generalized issues analyzed above, it shows that the topic "CSR towards employees of Vietnam National Oil and Gas Group" is necessary both in theory and practice to conduct research In order to evaluate CSR towards employees of PVN, the dissertation goes into depth analysis to find out achievements as well as limitations Since then, the dissertation proposes a number of solutions to help improve CSR towards employees of PVN Research objectives and tasks The dissertation proposes a number of solutions to improve CSR towards employees of PVN in the coming time To achieve the above objective, the thesis solves some of the following research tasks: (1) Systematize the theoretical issues of CSR towards employees at SOG; (2) Identify and assess the impact of some factors on CSR towards employees of PVN; (3) Analyze the current situation of CSR towards employees of PVN Since then assessing achieved results and limitations in CSR towards employees of PVN; (4) Research the orientation and propose perspectives on CSR towards employees to supplement the basis for proposing solutions to improve CSR towards employees of PVN in the coming time Object and scope of research: - Object of research: CSR towards employees of SOG in general and of PVN in particular - In terms of space: The dissertation studies the reality of CSR towards employees of PVN, including actual surveys at 15 member units operating in key business areas of PVN - In term of time: The dissertation studies the situation of CSR towards employees in PVN in the period of 2010 - 2018; Proposing solutions to CSR towards employees of PVN to 2025, vision to 2030 - In term of content: The dissertation studies the following aspects from the perspective of researching the contents of CSR towards employees on the basis of domestic and international laws: (i) The content of CSR towards employees, including: Practical current labor contract; job security; ensure income and minimum wages; ensure working time and rest time; ensure labor safety and labor hygiene; create opportunities to improve professional qualifications; (ii) Factors affecting CSR towards employees, including: Awareness of business leaders; corporate culture; legal system and labor conventions; awareness of employees; mass organizations Research approach The dissertation approaches the research content CSR employees of SOG through implementing labor contract; ensuring job security; ensuring income and minimum wage; ensuring working time, leisure time; ensuring occupational safety and hygiene; creating opportunities to improve professional qualifications In the research content, factors affecting the implementation of CSR towards employees are also analyzed in detail to evaluate and understand the extent of these factors affecting the implementation of CSR towards employees of SOG Scientific and practical significance of the thesis - Scientific significance of the thesis Based on the overview and inheritance from domestic and foreign research, the dessertation has clarified a number of basic theories on CSR towards employees at SOG, forming research model, scale of factors affecting CSR towards employees of PVN Since then, the thesis has pointed out 06 contents and criteria for evaluating CSR towards employees of SOG; identified 05 key factors affecting CSR towards employees of SOG - Practical meaning of the thesis Based on researching the experience of implementing CSR towards employees of some SOGs, the dessertation has drawn 07 lessons applicable for PVN Analyzing the reality of CSR towards employees at PVN in the period of 2010 - 2018 on 06 contents and evaluation criteria of the theoretical framework, the thesis has evaluate the successes, and together, points out some limitations such as: The Group still has employees who are absent from work waiting for a job, without a job and without pay; Occupational accidents still occur and show signs of increase; Occupational diseases still exist; The number of employees participating in the training is limited; The training program has not closely followed the needs, capacity and requirements of the position… The test results of factors affecting CSR towards employees of PVN showed that all factors have a positive influence on CSR towards employees at PVN, in which, the awareness of the Group leaders has the strongest impact, the legal system and labor conventions have the weakest impact Since then, the thesis has drawn the reasons of the success and at the same time pointed out the causes of the limited existence, such as: Group leaders have not really understood about CSR towards employees; Employees still lack knowledge about their rights in the process of labor participation; The level of union representation is not really clear Structure of the thesis Chapter 1: Overview of research situation Chapter 2: Theoretical and practical concept of CSR towards employees at SOGs Chapter 3: Research methodology Chapter 3: Actual situation of CSR towards employees in PVN Chapter 4: Solutions to enhance CSR towards employees in PVN CHAPTER OVERVIEW OF RESEARCH SITUATION AND RESEARCH METHOD 1.1 About Corporate social responsibility From different approaches, CSR research focuses on a number of topics as follows: From perspective of corporate governance: CSR is a key factor and is associated with business operations of enterprises (Pham Vu Luan, 2004; Nguyen Manh Quan, 2007; Pham Van Duc, 2009; Nguyen Thi Bich Loan, 2008; Carroll and Shabana, 2010; Le Thanh Ha, 2009a and Ramon Mullerat, 2011) From perspective of stakeholders: Previous studies on CSR have confirmed the role of stakeholders such as business leaders and employees in influencing organizational decisions (McGuire et al., 1988; Jensen , 2001; Montgomery and Ramus, 2011; Pless et al., 2012; Skouloudis et al., 2015 From perspective of ownership: enterprises with different forms of ownership have different levels of CSR performance (Sahu, 2016; Singh, 2008 and Nash, 2012) From here, we can confirm the role of CSR to stakeholders in SOGs However, in Vietnam there has not been any study on CSR in SOGs 1.2 About Corporate social responsibility towards employees 1.2.1 About CSR towards employees Research CSR towards employees can be found in some works through the following approaches: (i) The content of CSR towards employees according to SA8000 standards; (ii) Content of CSR towards employees according to ISO26000; (iii) Content of CSR towards employees according to the BSCI Code of Conduct; (iv) Content of CSR towards employees from the perspective of rights, obligations and responsibilities 1.2.2 About CSR towards employees in SOGs Most of the authors have only studied the components of CSR towards employees in SOGs or human resource management such as Pham Dang Phu et al (2013); Nguyen Thi Mai Phuong (2016); Mioara (2016); Zheng and Zhang (2016) or PhD students such as Dinh Van Toan (2011); Trinh Duy Huyen (2012) 1.3 About factors affecting CSR towards employees Empirical studies indicate that CSR towards employees is influenced by certain factors including: Perceptions of business leaders; Corporate culture; Legal system and labor conventions; Awareness of employees; Mass organizations 1.3.1 Research gap The aforementioned studies show the existence of theoretical and practical gaps in CSR towards employees in PVN Specifically: Firstly, no studies have been conducted on CSR towards employees with the object being at a SOG in Vietnam Second, there has been no research to develop the content of CSR towards employees from the perspective of complying with the provisions of the laws of the host country, and at the same time in accordance with international standards in the context of globalization today and taking into account the specific circumstances in Vietnam Thirdly, there have been no specific surveys on the issue of CSR towards employees of PVN Fourthly, there has not been any proposed solution to improve CSR towards employees of PVN Originating from the aforementioned gap, the dessertation focuses on answering the following questions: First, the research framework with the content and evaluation criteria are proposed to assess the status of CSR towards employees of PVN? Second, what factors affect CSR towards employees of PVN? Thirdly, what are the solutions to improve CSR towards employees of PVN in the future? SUMMARY OF CHAPTER I In this chapter, the dessertation has summarized research results on the following contents: CSR; CSR towards employees at SOG; Factors affecting CSR towards employees Since then, the thesis has found gaps in theory and practice to confirm the research topic is necessary The gap is that: no studies have been conducted on CSR towards employees with the object being at a SOG in Vietnam; There has been no research to develop the content of CSR towards employees from the perspective of complying with the provisions of the laws of the host country, and at the same time conforming to international standards in the context of globalization today and taking into account specific circumstances in Vietnam; There have been no specific surveys on the issue of CSR towards employees of PVN; No solution has been proposed for improving CSR towards PVN's employees Therefore, the study of CSR towards employees of the PVN is meaningful both in theory and practice CHAPTER THEORICAL AND PRACTICAL BASIS ABOUT CSR TOWARDS EMPLOYEES IN SOG 2.1 Some basic concepts 2.1.1 Economic Group and State-owned Group 2.1.1.1 Economic group In order to get along with Vietnam economic characteristics, the thesis defined economic group as follows: Economic group is a combination of enterprises with legal status, including parent enterprise, subsidiaries and other joint-venture enterprises, operating in one or more fields related to each other, coexisting and developing to achieve certain goals In particular, parent enterprise plays nuclear role, controlling activities and connecting enterprises in the Group 2.1.1.2 State-owned Group The thesis suggests that SOG is a combination of enterprises with legal status, including parent enterprise, subsidiaries and jointventure enterprises, operating in important fields and industries following national objectives of the Government, coexisting and developing to achieve certain goals In particular, parent enterprise is a 100% state-owned enterprise 2.1.2 Employee The thesis defines: employees are people of full 15 years or older, having legal and labor behaviour capacity; working under the terms of labor contract; be paid and managed by direct employer; enjoying benefits and obligations in accordance with the law 2.1.3 Corporate social responsibility In this research: CSR is a commitment of enterprise to the impacts and effects of enterprises’ decisions and behaviours on relating objects such as customers, employees, investors, shareholders and social community in order to ensure harmonious interests of relating parties and contributing to the substainable development of the 13 and gas; Provide services of exploiting crude oil, gas, oil and gas product; Import and export petrolium equipment and products, petrochemical products; Trade and distribute oil and gas products… 4.1.3.2 Business result of PVN PVN business result showed that PVN has confirmed the leading role of State economic sector in achieving the goals of country’s industrialization and modernization 4.1.4 PVN labor Totoal number of the Group employees in 2018 is 57.277 people, of which more than 27.000 are undergraduates and post graduates, 20-30% are female 44% aged from 31-39 4.2 Analyzing current status of CSR towards employees in PVN 4.2.1 About performing labor contract 4.2.1.1 Rate of signing labor contract Indefinite term contract accounts for the highest percentage with 52,9% in 2016, increasing up to 60,1% within first six months in 2018 Next is the to years contract, accounting for 20-25% year by year Short term Labor contract with less than year got the lowest percentage, from 4,2-7,3% PVN has a large number of longterm employees, which creates stable employment for employees 4.2.1.2 Clear content of labor contract Content of labor contract only comply with legal provisions of labor contract, however, there is still a phenomenon of law enforcement In fact, just like in any other enterprises, PVN labor contract has not detailed in each regulation 4.2.1.3 Labor contract content mentioned security of personal information Labor contract has not mentioned security of employee’s personal information In fact, employees at PVN have almost not concerned much about the security of personal information Up to 46.7% of employees did not know about it and 29.2% of employees knew it but have not really paid attention it this content 4.2.2 About ensuring job security Number of employees waiting for jobs without pay each year 14 accounts for 0,2 – 0,3% of the total employees, which shows the uncertainties in business, affecting job security for employees 4.2.3 About ensuring income and minimum wage 4.2.3.1 Average income of employees Average income of employees at PVN is quite high, ranging from 12,1 to 18,1 million VND per month per person This numbers are quite high in comparison to the average income at SOGs or nationwide 4.2.3.2 Rate of income below minimum wage Employees with income below minimum wage still exists in the Group In 2016, there was 3,1% and fell to 2,4% of total labor in the first six months of 2018 4.2.4 About ensuring working time, leisure time 4.2.4.1 Average working time per day For administratives: Most employees perform hours per day For offshore employees, discipline on working time is very strict to minimize labor risks and ensure employees’ health 4.2.4.2 Number of overtime hours per month For administratives: it is less than 20 hours per week For offshore employees, it is average 17 hours per month and it only happened when there was nighttime incidents or unexpected jobs 4.2.5 About ensuring occupational safety and hygiene 4.2.5.1 Number of employees trained on labor protection Every year, the Group units organized training on labor protection with a large number of employees participating in these training course, accounting for 30 - 70% of total Group employees 4.2.5.2 Number of employees having periodical health check Periodical health check is one of the regular activities in the Group units Every year, many units organize to have health check for emloyees from to times 4.2.5.3 Rate of employees suffering from occupational diseases 2015 and 2016 are two years having highest number of employees suffering from occupational diseases in the period 2014 – 2018 However, from 2017 till now, this number has decreased 15 significantly Notably, the number of employees entitled to occupational diseases was quite low since the nature of diseases did not match the criteria of occupational diseases 4.2.5.4 Number of occupational accidents From 2014 to 2017, number of occupational accidents occurred all over the Group units fluctuated from 20 to 28 cases per year Along with that, total number of employees suffering from occupational accidents varied from 17 to 34 people 4.2.6 About creating opportunities to improve professional qualifications 4.2.6.1 The average percentage of employees trained and fostered to improve their professional qualifications Compared to the total number of employees of the Group, the number of employees participating in the annual continuing training courses of the Group is not high and is decreasing over the years Specifically, in the past years, in 2015, the average rate of employees who have improved their professional qualifications through the Group's training courses is the highest, reaching 6.2% Since then, this rate has plummeted to 1/3 with 2.2% in 2017 and 2.1% / year in 2018 4.2.6.2 The cost for professional training is per capita/ year The average cost that PVN spent on professional training for an employee participating in the Group's training program is quite high In the last years (from 2014 to 2018), this figure averages VND 21.62 million / year In particular, in 2015 and 2016, the average expenditure for professional training per capita reached the lowest level, respectively VND 15.64 million and VND 16.98 million 4.3 Testing scale of factors affecting CSR towards employees in PVN 4.3.1 Testing the reliabibity of the scale The scale was reliable: Cronbach Alpha coefficients are from 0.8; the correlation coefficient of the minimum total variable is from 0.7 16 4.3.1.1 Result of EFA analysis Results of KMO and Barlett tests with KMO coefficient = 0.839> 0.5 and sig = 0.000 – is statistically significant This is the basis for rejecting Ho (assuming the variables are not correlated) and analyzing the factor EFA is appropriate The total variance extracted is 73.59%> 50%, indicating that the scale used for EFA analysis is appropriate The results show that 22 observed variables are extracted to factors that remain as the original model For dependent variables of CSR towards employees, the results of KMO and Barlett tests with KMO coefficient = 0.826> 0.5 and sig = 0.000 - is statistically significant The total variance extracted is 69.809%> 50% This proves that the scale used for EFA analysis is appropriate 4.3.2 Testing correlations of variables All Pearson coefficients is > and