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VIETNAM ACADEMY OF SOCIAL SCIENCES GRADUATE ACADEMY OF SOCIAL SCIENCES PHAM QUOC SU CONTROLLING ADMINISTRATIVE PROCEDURES FROM PRACTICE IN THE SOUTHWEST PROVINCES Major: Constitutional Law and Administrative Law Code: 9380102 A SUMMARY OF THE DOCTORAL THESIS IN LAW Hanoi - 2019 The work was completed at GRADUATE ACADEMY OF SOCIAL SCIENCES Scientific Supervisor: Dr Tran Minh Duc Assoc Prof Dr Nguyen Canh Hop Reviewer 1: Prof Dr Thai Vinh Thang Reviewer 2: Assoc Prof Dr Dinh Xuan Thao Reviewer 3: Assoc Prof Dr Nguyen Hoang Anh The dissertation will be defended before the thesis review council of the Academy at the Graduate Academy of Social Sciences at minute, day month year The thesis can be found at: - National Library of Vietnam - Library of Graduate Academy of Social Sciences hour INTRODUCTION The urgency of the thesis The reform of administrative procedures is the issue that continues to be identified by the Party, the Government, and the Prime Minister as a central task of the 13th Government and also a requirement of our country's socio-economic development practices The problem that people and the business community are very concerned about is how to both cut unnecessary procedures and avoid creating new ones This issue first lies in changing the perception of the heads of ministries, branches and localities This requires a new mindset on the relationship between the state and the market; between the state and citizens and businesses on the basis of human rights and citizens' rights in accordance with the 2013 Constitution guaranteed to be realistic, which has become a catalyst for the development, facilitating the promotion of all social resources To meet this requirement, in 2010, the Government issued Decree No 63/2010 / ND-CP dated June 8, 2010 on controlling administrative procedures with a view to consolidating and improving the quality of operations of administrative agencies The State strictly controls activities of issuing administrative procedures, avoiding spontaneity and arbitrariness Process and results of controlling administrative procedures has become one of the key tasks of the administrative reform process The goal that the Party and the State determined to promote the implementation and control of administrative procedures has become an important task of today's political life The reality shows that failure to control complicated administrative procedures will reduce the trust of the people in the Party and the government, causing difficulties for individuals, domestic and foreign enterprises who want to carry out investment and business activities for economic development If the situation is prolonged, it will cause political instability, drag back the socio-economic development, especially in the context of extensive international integration today Currently, there are few comprehensive researches on controlling administrative procedures There is not such research in the PhD project in the Southwestern provinces, Therefore, the PhD student selects the Doctoral Thesis: "Controlling administrative procedures from practice in the Southwest provinces" (specialized in Constitutional Law and Administrative Law) with the hope to contribute to a complete theory and practice in this field Objectives and tasks of the research 2.1 Objectives of the research: building scientific arguments to ensure effective control of administrative procedures in the Southwestern provinces today 2.2 Tasks of the research: (1) Clarify theoretical issues controlling administrative procedures; (2) Assess the current legal status and practice of administrative procedure control in the Southwestern Province of Vietnam; (3) Identify policies and propose solutions to ensure administrative procedures control in the Southwestern provinces in the upcoming time Object and scope of the research 3.1 Object of the research: (1) Theoretical, legal, and real issues of controlling administrative procedures (2) experience in controlling administrative procedures of some countries in the world (3) Data and results of controlling administrative procedures in the Southwestern provinces and some localities (4) The Party's policies on administrative reform, reform of administrative procedures, and current control of administrative procedures 3.2 Scope of the research: (1) Regarding the content: studying the basic issues of the law on controlling administrative procedures in Vietnam and the Southwest provinces; analyze the current law and practice of administrative-procedure control in the Southwestern provinces; propose solutions to improve the law and methods of operations in the Southwestern provinces (2) Regarding the time: From 2010 to 2017 from the issuance of Decree No 63/2010 / ND-CP Methodology and research methods 4.1 Methodology: The thesis is based on the methodology of Marxism - Leninism, Ho Chi Minh thought, the policies of the Party and State on the construction of the Socialist rule of law State, on administrative reform and reform of administrative procedures 4.2 Research Methods: (1) Methods of analysis and synthesis: This is used in all chapters of the thesis (2) System structure method: Mainly used in chapters and 3; (3) Comparative juridical method: Used mainly in chapters and (4) Statistical method: Used in chapter and chapter (5) Legal sociological method: Used in chapters 2, 3, (6) Historical method: Used mainly in chapter (7) Method of scientific forecasting: Used mainly in chapter The new contributions of the thesis Firstly, the thesis clarifies issues of controlling administrative procedure such as the concept, roles, characteristics and contents Secondly, it analyzes, evaluates and clarifies the reality, advantages, limitations and causes in controlling administrative procedures in the Southwestern provinces Thirdly, viewpoints and solutions are proposed to improve administrative procedure control in the Southwestern provinces of Vietnam, including solutions to perfect legal institutions, management and administration in the Southwest provinces Theoretical and practical significance of the thesis (1) Supplement and complete the theory of controlling administrative procedures such as the concept, nature, characteristics and role of administrative procedure control (2) Provide assessments on the advantages and disadvantages of administrative procedure control from the establishment in Vietnam's legal system in 2010 until 2017 (3) Supplement scientific arguments to improve the law on administrative procedures and ensure the effectiveness of administrative procedures (4) Research results of the thesis contribute to raising awareness (5) The thesis can be used as a reference for research, teaching, propagation, dissemination and education of laws on controlling administrative procedures Structures of the thesis The thesis consists of chapters: Chapter I: Overview of the research Chapter II: Theoretical issues on administrative procedure control Chapter III: The reality of controlling administrative procedures in the Southwestern provinces Chapter IV: Policies and solutions to ensure control of administrative procedures in the Southwestern provinces Chapter OVERVIEW OF THE RESEARCH 1.1 Overview of the researches related to the thesis topic 1.1.1 The group of theoretical studies (1) Group of theoretical studies on administrative reform and administrative procedure reform: General administrative curriculum, published in 1997 [128] "Vietnam Administrative Law Curriculum" published by Hanoi Open University in 2013 [pp 274-83]; "Vietnam Administrative Law Textbook", Transport Publishing House, Hanoi, published in 2009 [65]; “Administrative procedures; Theory and Practice ”[170], National Political Publishing House, Hanoi (2002); "On transparency of activities of local government" [139] on Local administrative reform - Theory and practice 1998 [73] and Proceedings of Scientific Conference of Government Office on Draft Law on administrative procedures, held in Ha Long, July 2007; Proceedings of Scientific Conference of Government Office contributing to the Draft Law on administrative procedures, held in Hoi An, March 2008 (2) Group of research works on administrative control theory: "Researching the status and proposing solutions to improve the quality of reform and control of administrative procedures at the Ministry of Industry and Trade" published in 2012 [46]; Handbook of operational control of administrative procedures, [52], Curriculum of administrative reform, controlling administrative procedures of Ca Mau Political School [186]; "Controlling Administrative Procedures in the Implementation of Administrative Reform Tasks" [110], "Enhancing the capacity of Government officials in administrative reform" [89]; Proceedings of Scientific Workshop by the National Academy of Politics and Public Administration (Institute of State and Law) - USAID - VNCI (200B), with the topic "Institutional management and competitiveness in the economic downturn”[90]; Doctoral thesis of jurisprudence "Implementing the law on handling administrative procedures of the provincial state agencies in Vietnam today" [112]; The group of research works in the form of master's thesis: "Some theoretical and practical issues about the organization and operation of the administrative procedure control agency in our country today" [79] "Control administrative procedures in the field of land ” (3) Foreign research work related to administrative procedures control: The article "Success in administrative reform in the UK through the One in - One out Program" [131]; Jim Winkler's article "Real competence and authority for administrative control agencies" [105]; Pirker, Austrian Federal Chancellery, Dept (2011) MediGuide Verlags Gesmbh Publishing House, 1150 Vcenna 1.1.2 Researches on the reality of controlling administrative procedures: Doctoral thesis by Nguyen Van Linh "Current law on administrative procedure control at provincial leve in Vietnam today" [112]; Doctoral thesis by Tran Thanh Phuong on the topic of "Administrative procedures in the operation of People's Committee at district level " (2003); Ministrylevel project led by Do Van Coi, 2012 [46]; Article by PhD Ngo Hai Phan, Director of Information Administration Department, Ministry of Justice, Web Portal 12/8/2016 "Starting from innovation in handling administrative procedures" [72]; "Report on international experience on the issuance of administrative decisions" [27] of the Department of Criminal Administrative Law of the Ministry of Justice in 2015 In 2011, Vietnam Business Association has proposed trade policies [49]; Project of Program 909 "on renovating the work of issuing, promulgating and improving the quality of legal documents" [29], accepted in 2007; Proceedings of Scientific Conference of the Ministry of Justice within the framework of Project VE / 02/015-VNCI [30] on "Impact Assessment Report of the Draft Law on the Issuance of Legal Documents (amended)"; Proceedings of Scientific Conference conducted by the Ministry of Justice in 2012 [15] on "Requirements in Vietnam - US Bilateral Trade Agreement and World Trade Organization (WTO) Agreement on administrative procedures” by John Benliley - Chief Legal Advisor of Star Project Vietnam "Quality control of administrative procedures through impact assessment process" [149] by PhD Le Ve Quoc, posted on the Ministry of Justice Web Portal November 26, 2014 [63]; The article "Controlling administrative procedures contributes to building a professional, effective and modern administration", Government Information Department in 2015, the article "Controlling Administrative Procedures in implementing the Reform Tasks" and the article "Quality control of the issuance of circulars at ministries - from the perspective of administrative procedure control" [97] by PhD Ngo Hai Phan, Web Portal Ministry of Justice November 26, 2014; "Completing the Law on Promulgation of Legal Documents from the perspective of controlling administrative procedures in the legislative process" [97] by Le Ve Quoc, Government Web Portal on November 26, 2014; Special issue of Foreign Investment Magazine, entitled "Joining hands to reform administrative procedure" in 2002 [66], Nguyen Minh Man's article on "New way to express political determination"; the article "The key to success is from the head", by Dinh Van An; the article "The Government needs to continue direct management" by Le Quoc An; article "The cutter must be strong enough", by Duong Thu Huong; "3 good, bad" by Nguyen Dinh Cung; the article "Must remove from the root the conflicts between laws" by Tran Du Lich; The website of Public Administration Reform - Ministry of Justice with articles "Controlling administrative procedures to contribute to building a professional, effective and modern administration"; Controlling administrative procedures contributes to building a professional, effective and modern administration; The control of administrative procedures has contributed significantly to the administrative reform in Thai Binh province; "The control of administrative procedures has significantly contributed to the administrative reform in Ha Giang province" The article by Nguyen Van Linh, "Control of Administrative Procedures in the Implementation of the Public Administration Reform Task", was published in the Journal of State Organization dated May 21, 2013; The article "What solutions for administrative procedures are suitable for people's hearts", Online Newspaper (July 25, 2017), Actual situation of administrative procedures; Nguyen Thi Thanh Hoa's Master of Law thesis in 2017 with the topic "Controlling administrative procedures in the field of land"; The thesis of Master of Law of Nguyen Hung Hue, with the topic "The law on quality control of administrative procedures in the current phase of developing legal documents in Vietnam" in 2017 1.1.3 The research works proposed solutions for controlling administrative procedures: The following publications: Vietnam Business Association, "Trade Policy Recommendations" (2011), "Associations Wanting to Enhance Dialogue" by the Advisory Council of the Project Committee (30); "Saigon New Port - Great efficiency from simplicity of administrative procedures" by Dinh Manh, article by Jim Winkler "Real competence and authority for administrative control agencies; Ministry level project in 2012 by Do Van Coi [46]; Handbook of operational control of administrative procedures, Judicial Publishing House, Hanoi, 2013 Doctor's dissertation by Nguyen Van Linh "Actual situation on resolving administrative procedures at provincial State agencies in Southern Vietnam” in 2015; Doctoral thesis of Tran Thanh Phuong on the topic of "Administrative procedures in operation of district People's Committee" (2003); The thesis of Master of Law by Nguyen Hung Hue, with the topic "The law on quality control of administrative procedures in the current phase of developing legal documents in Vietnam" in 2017 1.1.4 Foreign research works related to administrative procedures control: The book "State institutions of countries around the world", Judicial Publishing House, Hanoi, 2005; CIEM-GTZ (2008) Review of business license system - findings and recommendations; Pirker, Austrian Federal Chancellery, Dept (2011), "Online Administration-Basic Guide to E-Government in Austria", MediGuide Publisher Verlags Gesmbh, 1150 Vcenna; Gunning (2002), "Understanding democracy - An introduction to public choice theory" (Understanding democracy - An introduction to Public choice); written by Tam Vu "Successful administrative reforms in the UK through the One in - One out Program; Deregulation and Guillontine See Jacob & Assoiate (2007) Improving the Vietnamese legal environment: Screening regulations by the trimming method; Matsushita M, „Administrative Guidance’ - International Trade and Competition Law in Japan, Oxford University Press; written by Dr Pham Hong Quang, Administrative Guide on some important contents of the Japanese Administrative Procedure Law and the protection of legal rights and interests of organizations, individuals, Democracy and the law special law number 3/2010; Japan's Administrative Procedure Law, Law of Japan, enacted in 1962, most recently amended on November 12, 1993; China's Administrative Procedure (168, http://www.fl168.com/ReadText- 5858); Introduction to Administrative Law, Gyoseihou Nyumon, Ziyukokuminsya Publishing; Serving and Maintaining Maintenance: “Improving Public Administration in a Competitive World" by S Chiavo - Campo and PSA Sundaram of the Asian Development Bank (National Political Publishing House, 2003); "Educational Reform in Developing Countries - Education Reform in the US" and "Education Reform in Developing Countries Education Reform in the UK" by Lu Dat, Chu Man Sinh, Luu Lap Duc, Chu Hai Yen - China, Vietnam Education Publishing House, 2010 1.2 General assessment of researches related to the thesis topic 1.2.1 The advantages, and results of the studies (1) In terms of theory: The research works mostly mention and analyze the theoretical basis of administrative reform, administrative procedure reform and administrative procedure control, in which the contents of the concept, characteristics and meaning of control Administrative procedures are shown quite specifically and are completely developed (2) In terms of situation: The research works have evaluated and summarized quite sufficiently both the law on administrative reform, administrative procedure reform and administrative procedure control and the actual implementation of this activity (3) In terms of solutions: The research works are aimed at improving the administrative reform law, reforming administrative procedures and controlling administrative procedures, especially some public authorities propose amendments and supplements to legal regulations 1.2.2 The issues have not been addressed, resolved thoroughly or remains arguments or debates (1) In terms of theory: There is still a lot of controversy: Firstly, the concept of controlling administrative procedures has not been highly unified; Secondly, position, role and nature of controlling administrative procedures also face opposite views The issues have not been mentioned: firstly, the works are only stated in a general, simple way on a number of specific fields; secondly, there are still some issues affecting socioeconomic which have not been studied yet; thirdly, the procedures, processes and content have not been discussed in detail; Fourthly, the factors affecting the effectiveness have not been studied clearly (2) Regarding the current legal status and practices: They have not been thoroughly evaluated; Factors affecting effectiveness are not mentioned (3) Regarding solutions: There is only assessment on the legal status, the practical application of some subjects, and a number of other issues that have not been evaluated 1.3 Issues that will be clarified in the thesis 1.3.1 About the theory: (1) Regarding the concept of controlling administrative procedures: There are still a lot of arguments that will be further studied in the thesis (2) On the inevitability of administrative procedures control: There are researches but they lack the complete system, and comprehensive concept (3) There is no comprehensive research on position, role, content, characteristics, process of implementing administrative procedure control 1.3.2 Regarding the situation: (1) It has not been fully envisioned, in terms of law adjustment and law enforcement, the overall model of administrative procedures control (2) There is no comprehensive and specific research work on the content constituents, composition mechanism, assurance conditions leading to the lack of practical bases (3) The administrative control mechanism has not been studied adequately, only at the mentioned level, there is no profound and specific explanation 1.3.3 Regarding solutions, recommendations: (1) Lack of analysis, arguments and recommendations to ensure the implementation of the Party's guidelines on controlling administrative procedures to ensure human rights and international integration (2) The common point about the legal model to the author, "Controlling administrative procedures is an activity of examining, detecting and handling violations in formulating, promulgating and implementing administrative procedures in order to ensure the legality and feasibility of issuing administrative procedures as well as the effectiveness of administrative-procedure implementation" 2.1.2 Characteristics, roles of administrative procedures and control of administrative procedures 2.1.2.1 Characteristics, role of administrative procedures (1) Administrative procedures are governed by procedural rules, which are the legal basis for state agencies to carry out their functions Administrative procedures are an integral part of the system of normative procedures (2) Administrative procedure is a sequence of exercising authority in state administrative activities (3) Administrative procedures are very diverse and complicated, as follows: + Implemented by many state agencies and civil servants; + Defining the rights and obligations of the parties involved in the administrative relationship, including the work of the State and citizens 2.1.2.2 Characteristics, role of controlling administrative procedures (1) Controlling administrative procedures is a content directly related and closely linked to State management activities (2) Administrative procedures control are closely linked with the administrative reform target, which is a major contributor to the success of administrative reform (3) Strictly control the issuance of administrative procedures to promote the control of administrative procedures (4) Improve the operational quality of the apparatus of State administrative agencies, cadres and civil servants; service quality, public administrative services, creating a favorable environment, openness, equality, transparency, minimizing time and costs of administrative procedures; contribute to building a democratic, modern, professional, dynamic and serving administration for the people (5) Control of administrative procedures has a great impact on promoting socio-economic development, because administrative procedures will help remove administrative barriers for business environment and people's lives, help reduce the risks that people and businesses may encounter in implementing administrative procedures, minimizing the costs 11 of administrative procedures, to reallocate to activities serving investment, creating jobs, thereby contributing to socio-economic growth 2.2 The subjects, organizational structure, functions and tasks of agencies controlling administrative procedures (1) Regarding subjects: The first group: The National Assembly, the Government, Ministries, ministerial-level agencies, People's Councils and People's Committees of provinces are competent to promulgate administrative regulations The second group: Department of Administrative Control of Government Office, Ministry of ministerial-level Legislation agencies, ministerial-level agencies, Department of Administrative Control directly under Office of provincial People's Committee The third group is the group of subjects belonging to the State administrative agencies, officials and employees of administrative agencies who perform administrative procedures The fourth group: Organizations which are public non-business units, enterprises and individuals who are assigned or empowered by law The fifth group: Citizens organize the implementation of citizens' rights and obligations to participate in the implementation of administrative procedures The subject under study is a group of subjects that directly control administrative procedures by sector (2) Organizational structure, functions and tasks of controlling administrative procedures: (1) The Department of Administrative Control of the Government Office advises and assists the Government Office in exercising State management of administrative procedures nationwide (2) The Legal Department of ministries and ministerial-level agencies advise and assist the ministry leaders in performing the state management of administrative procedures control (3) The administrative office of the administrative department of the provincial People's Committee office is the specialized agency to assist the Provincial People's Committee's advisory office in controlling the administrative procedures in the provincial area (3) Provincial departments, committees and branches, the People's Committee of the district level at commune level who give advises on controlling administrative procedures at the unit level Functions and duties: Controlling administrative procedures is a comprehensive control activity starting from controlling regulations on administrative procedures in the project, drafting legal documents to organize the implementation of such administrative procedures in practice 2.3 Content and process of controlling administrative procedures 2.3.1 Content of administrative procedure control (1) Assess the impact of administrative procedures (in terms of legality, rationality and necessity) and assess the costs of administrative 12 procedures in the draft legal documents; Gather administrative regulations in the draft legal documents; Collect feedback on administrative procedures in draft legal documents; (2) Control the implementation of administrative procedures; (3) Publish and publicize administrative procedures; (4) Review, evaluate and simplify administrative procedures; (5) Receive, handle feedback and propose administrative regulations 2.3.2 Process of administrative procedure control 2.3.2.1 Assessing the impact of administrative procedures in drafting legal documents: The content of evaluation criteria is based on (1) necessity (2) reasonability (3) legitimacy (4) effectiveness (5) costs of administrative procedures before promulgation 2.3.2.2 Control the implementation of administrative procedures (1) Principle of implementation: Settlement of administrative procedures must be prompt, convenient, in accordance with the law, equality, objectivity, publicity, transparency and close coordination among authorized agencies (2) Settlement process: guide, receive, solve and return administrative procedures according to the one-one theo chế cửa liên thông TTHC (3) Procedures: Directly at the one-one mechanism section, through public postal services or online 2.3.2.3 Publication and disclosure of administrative procedures (1) In terms of principles, the publication must be complete, accurate, comprehensive, transparent and timely (2) Conditions and scope of publication: subject to the regulation of Decree No 63/2010 / ND-CP; specified in the legal documents; Fully meet the forming parts (3) Publicizing administrative procedures: (1) Publicizing on national database of administrative procedures; (i) Publicity at the head office of the agency or unit; (ii) Posting on the web portal; (iii) In addition to the form of mandatory publicity, other appropriate forms may be taken 2.3.2.4 Review, evaluate and simplify administrative procedures Process of reviewing and assessing administrative procedures: (1) Planning review and evaluation; (2) Conducting a review and assessment of each administrative center; assessment of administrative-procedure group; Review and work out thematic evaluation (3) Summarize the review and evaluation results 2.3.2.5 Receive, handle feedback and recommendations on administrative regulations With the goal of encouraging citizens, the organization to participate in the process of reform and control of administrative procedures, through the form of direct phone reception, mail, application, 13 reflection letter, direct talk about the procedures for collecting comments on draft documents; receive and handle reflection on the service attitude; difficulties rising from unreasonable regulations of administrative procedures 2.4 Conditions to ensure control of administrative procedures 2.4.1 Political and socio-economic conditions: Political conditions are the factors that create the basis for implementing administrative procedure control, which create the political environment in each specific period, including: political norms, guidelines, policies, policies of the Party, activities of the political system, etc 2.4.2 Legal conditions: It is the system of legal normative documents regulating administrative procedures control, a tool for State management and a basis for implementation; elements of organizing the implementation of legal documents, legal consciousness of the subjects is the legal conditions affecting the implementation efficiency 2.4.3 Conditions of implementing resources: Human factors (officials and public employees); facilities help to ensure the implementation of professional agencies in practice Etc 2.5 Local and internatonal experience in controlling administrative procedures 2.5.1 Experience in controlling administrative procedures in some localities (1) Controlling administrative procedures in Ho Chi Minh City (2) Da Nang City and provinces such as Lai Cha,Ninh Thuan and Bac Giang 2.5.2 Experience of administrative reform in some countries relating to administrative procedure control activities Firstly, Austria with the "HELP" program provides information on the official online channel; CITIZEN CARD citizenship program, FINANZONLINE program online data exchange system; ELECTRONIC RECORD SYSTEM (ELAK) program to improve public administrative services; ELECTRONIC LAW-MAKING program to develop online legal documents; Public electronic scheme “E-Recht” Secondly, Hungary with the programs: (1) Institutional reform and administrative modernization (2) implementation of administrative procedures into the administrative system, its impact on the management system (3) Strategy to find cadres, officials is oriented from first selection until retirement In Netherlands: the Dutch 14 Advisory Board on Administrative Burden Program, the operation of Netherlands Support and Facilitation Agency (support the activities of businesses and citizens) (Dutch Advisory Board on Administrative Burden) Holland Gateway) In Germany: It minimizes overlapping procedures between agencies; There are also models for evaluating quality and compliance costs, modes of implementing administrative procedures; provision of public services online In Ukrainian: limiting bureaucracy at all levels; Maximizing Internet technology to minimize exposure In Poland and the Czech Republic: the issue of rights; using the internet to make public all information In Japan, it regulates administrative decisions in resolving administrative procedures including basic contents as those relating to licensing; handling decisions and instructions; notification procedures, types of decisions (decisions permissions; approving; banning; licensing, protection rights; administrative sanctions); Administrative guidelines (1) Motivational guidelines; (2) Regulatory direction (3) Handling instruction; 2.5.3 Practical experience Firstly, measures to improve accountability and ensure the right to supervision of individuals and organizations Secondly: plan to expand the provision of online public services Thirdly: research and develop the timer method for some services Fourthly: develop tools to monitor, inspect and supervise the handling of violations in administrative settlement Practical experience of specific countries is: (i) The process of impact assessment or approval is very strict (ii) The process of simplifying administrative procedures is only stipulated in the Law document and restricts the multiple legal documents guiding implementation Chapter Summary (1) Analyze and clarify some concepts, characteristics, the role of administrative procedure control, operational principles, direct subjects of administrative procedure control activities (2) Analyze and clarify issues on subjects, the authority to control administrative procedures, receiving and resolving administrative procedures, publicizing and announcing administrative procedures, handling feedback and proposing administrative regulations (3) Analyze the basic contents of administrative procedures control: (i) Control the regulation of administrative procedures in the 15 project, draft legal documents; (ii) Control the publication and disclosure of administrative procedures; (iii) Control the admission and settlement of administrative procedures; (iv) Control the receipt, handling of feedbacks and petitions on administrative regulations; (v) Reviewing and evaluating administrative procedures (4) Experiences on administrative procedure control of some provinces and some countries in the world Chapter CURRENT CONTROL OF ADMINISTRATIVE PROCEDURES IN THE SOUTHWESTERN PROVINCES 3.1 Specific factors affecting the control of administrative procedures in the Southwestern provinces 3.1.1 The population of the Southwestern provinces 3.1.2 Human resources and educational quality 3.1.3 Quality of public administrative management 3.1.4 Policy of socio-economic development in the southwestern provinces 3.2 Current legal system controlling administrative procedures 3.2.1 The system of laws controlling administrative procedures is promulgated by central agencies The legal system of administrative procedures control currently includes two sources of documents with the same scope of adjustments related to administrative procedures control but does not guarantee the consistency of authority, form of documents, and process of issuing instruments Therefore, according to Article 14 of the Law on Promulgation of Legal Normative Documents 2015, legal documents of Ministries, ministerial-level agencies, government-attached agencies, People's Councils and People's Committees at all levels not have the right to promulgate documents prescribing administrative procedures, except as otherwise provided in law On the other hand, this law also stipulates the order and procedures for the promulgation of common legal documents While Decree No 63/2010 / ND-CP stipulates the authority to issue administrative procedures, including: Government, Ministries, Committees, Central Branches, People's Councils and Provincial People's Committees, and procedures for promulgating administrative regulations While the Law on Organization of Local Government 2015 stipulates that the People's Council and People's Committee can prescribe policies and measures to organize the implementation according to functions and tasks, etc… 16 3.2.2 Current legal system on administrative procedure control promulgated by local authorities Some regulations have been promulgated such as: reviewing, announcing and publicizing administrative procedures; the regulation on coordination in reception and handling of citizen and organization petitions on administrative regulations; Regulation on coordination in solving administrative procedures; regulations of citizens and businesses talk on administrative procedures However, there are many differences in this legal system in terms of manner, content and methods of implementation Due to the unique factors of each locality, and the flexibility of implementation methods, there is still lack of synchronization 3.3 Current organization, leadership, direction and control of administrative procedures in the Southwestern provinces 3.3.1 Current organizational model for controlling administrative procedures Organizational model: (1) has not been completed according to the system of structure from the central to local (2) no stipulations on functions, duties, powers and scope of activities at the provincial departments, committees, branches, district and commune People's Committees; (3) there is no regulation on number and standard conditions for officials directly in charge of administrative procedures (4) No regulation on number, conditions, standards of local officers; (5) not perfecting the coordination mechanism based on the principle of decentralizing the authority that is not synchronized, overlapping and low in effectiveness 3.3.2 In terms of directing, operating and controlling administrative procedures (1) The arrangement of cadres and civil servants points has not met the requirements of experience and capacity; (2) public disclosure, inadequate disclosure, unstable administrative procedures, statistics, republication; (3) control of administrative procedure is not serious, lack of strict procedures for receiving, processing dossiers and returning results; not fully comply with the process and time limit for administrative procedures, (4) not mobilizing the participation of people 3.3.3 In terms of administrative procedures According to the statistical results in "Statistical chart 3.3.1 on the number of legal documents and administrative procedures promulgated from 2013 to 2017": (1) many administrative procedures have not met the principles of being simple, easy to understand and perform; (2) not yet guaranted the equal rights of subjects who perform the administrative procedures; (3) there 17 are many difficult regulations to implement and increasing compliance costs; (4) many administrative procedures have not guaranteed the constitutionality, legality, uniformity, not ensuring the continuity, lack of clarity, transparency, and rationality about the implementing subjects; There are many administrative procedures which not guarantee sufficient components 3.4 Control of administrative procedures in the Southwest provinces 3.4.1 Control and impact assessment of administrative procedure impact assessment Current situation and performance: (1) Impact assessment process when issuing administrative procedures (Table 3.3.1); (2) The process of collecting comments and appraisal on administrative procedures, regulations identification of the inappropriate issues from the law, difficulties and shortcomings in practice 3.4.2 Control of implementation of administrative procedures (1) Results of receiving and resolving administrative procedures (Statistical form 3.3.3) show the general status of administrative procedures (2) Assessing the status of the model, the process of implementing the oneone mechanism (3) Assessing the process and results of implementation of civic guidance, organization and implementation of administrative procedures (4) Spirit, service attitude, behavioral culture, satiscification 3.4.3 Control the publication of administrative procedures As shown in the statistical results, the assessment of issuing administrative procedure announcement (Statistical Color Chart 3.3.2) at the provincial, district and commune levels does not show the specific causes and conditions 3.4.4 Review, evaluate and simplify administrative procedure According to the statistics in (Form 3.3.6) in the Southwestern Provinces, the basic administrative procedures are simplified compared to the previous ones However, there are still a lot of administrative procedures and their constituent parts such as: dossier components, requirements, conditions, time limit which are not reasonable, specific, difficult to implement They aslo have not been reviewed, evaluated or simplified yet; The process, order and procedures for reviewing are complicated and difficult to implement Therefore, it is necessary to study and improve this process 3.4.5 Receive, handle feedback and recommendations on administrative regulations 18 The results of the review and evaluation (the statistical chart 3.3.5) have shown that there is a positive change in the participation of citizens, the implementation organization reflects recommendations; there are many recommendations on practical solutions, many officials and civil servants are reflected on the poor service attitude The results of handling feedbacks and recommendations on violations of officials and public servants are still limited; Quality of accountability did not meet the requirements and showed signs of avoiding responsibility Institutional regulations on handling responsibilities of individuals and organizations that handle feedback and proposals are incomplete and lack of handling processes 4.6 Other activities Assess the communication activities to support the control of administrative procedures; (2) Examine the observance of the law on controlling administrative procedures; (3) inspection and examination; (4) activities of issuing directives and executives 3.5 The cause of the administrative procedure shortcomings in the Southwestern provinces 3.5.1 Regarding the achieved results: (1) identified the central goals, with innovative implementation solutions to achieve certain results (2) well implement the public and transparent disclosure of administrative procedures ; (3) effective one-one administrative procedure model (4) good measures to mobilize people and businesses to participate; (5) the basic administrative procedure and order is strengthened (6) Many administrative procedures are simplified, reducing processing time 3.5.2 Difficulties and shortcomings - Regarding legal institutions Law on promulgating legal documents in 2015, Decree No 34/2016 / ND-CP with Decree No 63/2010 / ND-CP and Circular No 07/2014 / TT-BTP on control Administrative procedures: (1) Law on issuing legal documents stipulates that the Government issues administrative procedures by decree In fact, circulars, ministerial-level decisions, provincial-level People's Committee decisions still exist administrative procedures; (2) the procedures are of the same content, but different in terms of implementation; (3) The Law on Promulgation of Legal Normative Documents 2015 assigns the authority of local governments to issue legal documents that are specific, but not promulgated administrative procedures; (4) The content of regulations on administrative reform under Resolution No 30c / NQ-CP with the provisions on controlling administrative procedures under Decree No 63/2010 / ND-CP has many overlaps in content, objectives and lack of mechanisms to 19 coordinate activities, not to define the limited scope between these two functions (5) The process of impact assessment and consultation provided in legal documents and administrative procedures is quite complicated, overlapping, difficult to implement in practice - Regarding leadership, direction and administration: (1) not being fully aware of the role and importance of controlling administrative costs; not being strict to implemen; (2) quality of administrative procedures is still limited, adn not under the authority (3) not addressing troublesome-making problems (4) Reforming administrative procedures and controlling administrative procedures often take long time with „group-interest” 3.5.3 Existing Causes (1) the theory of controlling administrative procedures has been not perfect yet; there is no uniformity in awareness (2) legal documents system on administrative reform, administrative procedure reform and administrative procedure control are still conflicting and unclear (3) leadership and direction of things are limited, lack of determination, drastic and creative (4) Application of information technology in solving administrative procedures is still inadequate (5) professional capacity, communication skills of cadres and civil servants have not met the requirements (6) promulgating the institution with the wrong authority, form and content (7) decentralization is not clear, overlapping, contradictory, lack of synchronization Chapter Summary Analysis of factors affecting the control of administrative procedures; clarifying the general situation of controlling administrative procedures in the Southwestern provinces Focusing on in-depth assessment of the current status of the law, organizing activities in each area including: assessing the impact of administrative procedures; collecting comments and evaluation on administrative procedures regulations; announcement of administrative procedures; listing administrative procedures; reviewing administrative procedures; the implementation of administrative procedures, clearly defining the responsibilities of managing subjects General assessment of the achieved results, as well as shortcomings and limitations, as a basis for the research to offer views, solutions and recommendations in Chapter Chapter POLICIES AND SOLUTIONS TO ENSURE CONTROL OF THE ADMINISTRATIVE PROCEDURES IN THE SOUTHERN PROVINCIAL PROVINCES 20 4.1 Perspectives of administrative procedure control (1) Control of administrative procedures must be under the leadership of the party; (2) Control of administrative procedures is a solution to protect the basic rights of citizens; (3) Control of administrative procedures is to improve the quality of the State apparatus, prevent corruption and promote socio-economic development; (4) Control of administrative procedures must attach responsibility to the head; (5) Ensuring the initiative and creativity in managing administrative procedure control activities; (6) Ensure the participation of all agencies, organizations and individuals in the area 4.2 Solutions to ensure control of administrative procedures in the Southwestern provinces 4.2.1 Perfecting legal documents on administrative procedure control 4.2.1.1 Amending and supplementing a number of inadequacies in the legal documents on promulgating administrative procedures Amending Article 14, Law on promulgation of legal documents 2015 and Decree No 63/2010 / ND-CP in the direction of stipulating People's Councils and provincial People's Committees who are competent to promulgate specific administrative procedures of localities, ensuring the activeness and dynamism in promulgating policies and implementing policies that consistent with current practices 4.2.1.2 Amending and supplementing a number of inadequacies in the legal documents that prescribe the organizational structure of administrative procedure control Resolution No 30c / NQ-CP, Decree No 92/2017 / ND-CP dated August 7, 2017, Decree No 24/2014 / ND-CP dated April 4, 2014; Decision No 1215 / QD-VPCP dated December 15, 2016 of the Minister, Chairman of the Government Office showed the combination of administrative reform with administrative procedure control (into one system) At the same time, supplementing the functions, tasks, powers of administrative reform, controlling administrative procedures for each State administrative agency from the central to local levels 4.2.1.3 Amending regulations on assessment and arrangement of civil servants in charge of administrative procedures control Specifically, Article 16 of Decree No 56/2015 / ND-CP needs to determine criteria for evaluating results, effectiveness of completing tasks and handle them in a more specific way 4.2.1.4 Revise regulations on assessment process of administrativeprocedure impact 21 (1) Amendment of assessment process of administrative-procedure impact: (i) process of policy proposal, (ii) methods of assessment, criteria for legality, (iii) supplementing methods , ways of assessing the effectiveness of administrative procedures, (iiii) perfecting methods, ways to assess the criteria of necessity, (iiiii) perfecting methods of evaluating criteria of rationality (2) Methods of calculating costs complying with administrative procedures (3) Process of commenting, evaluation of administrative procedures; (4) Consultation process of affected subjects 4.2.1.5 Continue to improve the process and effectively implement administrative procedures according to the one-one mechanism, aiming to receive and process online dossiers and build electronic documents (1) Completing inspection forms and processes, including: (i) Direct inspection, (ii) Indirect inspection; (2) The process of resolving administrative procedures through the one-one mechanism in a specific direction, with clearer responsibilities and implementation methods 4.2.1.6 Completing the process of announcing and publicizing administrative procedures In the direction that there is only one database system to publish and publicize legal documents and administrative procedures in a unified way 4.2.1.7 Complete the process of reviewing and simplifying administrative procedures To amend and supplement the process of reviewing and simplifying in the direction of: (i) administrative formalities are promulgated by any locality and the review is simplified comprehensively (ii) administrative procedures promulgated by the central government will be assigned by local authorities to review and set up business items to identify the contents and components that need to be simplified, the process of calculating compliance expenses must be simplified 4.2.1.8 Complete the process of receiving, handling feedbacks and recommendations on administrative regulations Due to the implementation method, the content and implementation process specified in Decree No 20/2008 / ND-CP of the Government and the Directive 13 / CT-TTg of the Prime Minister are not consistent The author proposes additional regulations on the criteria of responsibility in receiving and handling feedback should be general unified as a basis factor during the implementation process 4.2.1.9 Perfecting information technology, application tools on administrative procedure control 22 Combine national databases on legal documents with the national database on administrative procedures into one; Link information system to connect reporting data with received data at the one-one online software to transmit online data, overcome the overlap and waste of resources 4.2.2 Enhancing the leadership, direction and administration of controlling administrative procedures of localities in the Southwestern provinces 4.2.2.1 Improve the quality of issuing directive and executive documents (1) Each locality is required to promulgate regulations on assessment standards for the results of administrative procedure control; (2) Promulgate a scope of personal responsibility for administrative procedure control (3) Promulgate operation regulations on controlling public administrative officials; (4) developing and completing processes and mechanisms for public and transparent coordination of administrative procedures 4.2.2.2 Building quality of cadres and civil servants to meet the requirements of controlling administrative procedures (1) Arranging enough payrolls for the administrative department controlling at least permanent payrolls as prescribed, to overcome the shortage of payrolls, not commensurate with the workload and required functions and tasks (2) selected staff must have professional qualifications and experience 4.2.2.3 Perfecting models and processes for settling administrative procedures according to the one-one mechanism (1) Improve the model and set up coordination mechanisms in two directions: (i) the one-one model appropriate to the activities of commune authorities; (ii) the one-one model to promote coordination in accordance with the operating conditions of the district and provincial governments; (2) having an online software operation procedure to reduce the processing time and travel time of people; (3) Develop advocacy programs, guide citizens and give accessment to administrative procedures 4.2.2.4 Improve the effectiveness of communication activities to support the control of administrative procedures To formulate and promulgate a synchronous coordination mechanism, to improve the quality and efficiency of communication activities, to diversify forms, rich in content and appropriate expressions 4.2.2.5 Strengthen inspection and handling of violations on administrative procedure control Doing well the inspection and handling of violations of administrative procedures control is a method that positively affects the process of 23 effective administrative control, promptly detecting and rectifying existing problems and shortcomings ; strictly deal with violations 4.2.2.6 Strengthen activities of social supervision and criticism regarding control of administrative procedures and settlement of administrative procedures (1) Supervisory activities of People's Council; (2) supervision of the Provincial Fatherland Front and socio-political unions; (3) social supervision 4.2.2.7 Strengthening the leadership of the Party Committee for the implementation of the law on administrative procedure control Every year, each party committee should have a plan to identify the specific content, methods of leadership in the direction of mobilizing people's unions to participate in supervising, commenting and detecting limitations, propose to deal with or handle violations of party members Summary: The dissertation studies relatively new issue, theoretically as well as practically It generalizes the content, meaning and importance of administrative procedure control in administrative reform, national administrative reform and sets out the requirements, the need, thereby generalizes the achieved results, the remaining limitations The thesis also proposes complete solutions suitable to the reality in the Southwestern provinces of Vietnam 24 LIST OF WORKS BY AUTHORS No 01 02 03 04 Works Year of Publication Administrative Reform Curriculum Part 1: Administrative procedures and reform of State administrative procedures Part 2: Basic issues of administrative procedure 2017 control Part 3: Simplifying administrative procedures in legal documents Part 4: Publicizing and publicizing administrative procedures Part 5: Implementing administrative procedures, review and evaluate administrative procedures Part 6: Receiving and handling feedback and proposals of individuals and organizations on administrative procedures Article: Some theoretical issues on administrative reform in our 8/2016 country today Article: Basic principles in the construction and 07/2018 implementation of administrative procedures Article: Some basics about 30/8/2018 administrative procedures and administrative procedures control Place of Publication Political School of Ca Mau Province Human Resources Journal of Social Sciences (No 8) Journal of Science, Hanoi Open University Institute (No 45) Human Resources Journal of Social Sciences (No 8) ... control at provincial leve in Vietnam today" [112]; Doctoral thesis by Tran Thanh Phuong on the topic of "Administrative procedures in the operation of People's Committee at district level " (2003);... State agencies in Southern Vietnam” in 2015; Doctoral thesis of Tran Thanh Phuong on the topic of "Administrative procedures in operation of district People's Committee" (2003); The thesis of Master... persons to settle a specific work related to individuals and organizations ”[56] including: name of administrative procedures; The order of execution; how to perform; file; Time limit for settlement;