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VIETNAM ACADEMY OF SOCIAL SCIENCES GRADUATE ACADEMY OF SOCIAL SCIENCES NGUYEN LE NGAN GIANG IMPROVEMENT MANAGEMENT IN ACCORDANCE WITH THE RANKING STANDARD FOR THE CIVIL SERVANTS IN THE DEPARTMENTS OF HANOI CITY Major :Educational management Code : 9.14.01.14 EDUCATIONAL MANAGEMENT DOCTORAL THESIS SUMMARY HANOI - 2020 The work is completed at GRADUATE ACADEMY OF SOCIAL SCIENCES Scientific instructor: Prof PhD Nguyen Huu Chau Opponent 1: Assoc Prof Dr Nguyen Xuan Thanh Opponent 2: Assoc Prof Dr Dang Quoc Bao Opponent 3: Assoc Prof Dr La Thi Thu Thuy The thesis will be protected before the doctoral thesis evaluation board at the Graduate Academy of Social Affairs – Vietnam Academy of Social Affairs At: h,date month year 2019 The thesis is available at: - National Library of Vietnam - Library, Graduate Academy of Social Affairs PREFACE Research theme necessity For the socio-economic development of a locality, as well as of the country, the cadres are one of the leading decisive factors President Ho Chi Minh taught: “Cadres are the root of all works, the successful or unsuccessful works areorignated by good or bad cadres…,thecadres are the bridge between the Party, the Government and the people Revolutionary cadres must meet this Therefore, the training of cadres is the Party's original work”[63] Entering the twenty-first century, the humanity has entered the era of "knowledge economy", "information society" and "industrial science revolution 4.0", so the officials and civil servants become the main driving force (quality human resources) for the local and national development For the quality and effective public services of the team of civil servants, they need to have the knowledge and understanding on Party's guidelines and policies, State’s laws, and necessary professional knowledge and professional skills The training of civil servants is a form of providing and supplementing the knowledge and skills necessary for them The training of civil servants is specified in the Law on Cadres and Civil Servants (2008); Decree No 18/2010/ND-CP of the Government on training and improvement of civil servants signed by the Prime Minister on March th, 2010; Circular No 11/2014/TT-BNV of the Ministry of Home Affairs dated October th, 2014 This has shown that the Party and the State of Vietnam highly appreciated the importance of training of civil servants in general and their improvement in accordance with the ranking standard The training of civil servants in accordance with the ranking standard still meet the requirements of the current market economy development and international integration of Vietnam The market economy development requires us to have a team of qualified and good administrative management civil servants, a team of dynamic, creative and sensitive public employees On the other hand, this team of civil servants must be able in the regional and internal integration From the above reasons, we choose the theme: "Improvement management in accordance with the civil servant ranking standard for the cadres in the departments of Hanoi city" in the Educational Management major as the research theme topic for our thesis Thesis theme research objective and task 2.1 Research objective From the theoretical and practical research results on improvement in accordance with the civil servant ranking standard for the civil servants in different departments, the thesis proposes a number of solutions to increase the improvement quality in accordance with the civil servant ranking standard for the civil servants in different departments of Hanoi city in the current conditions 2.2 Research task a Conduct the overview of research works on training of civil servants accordance with the ranking standard b Build a theoretical basis for improvement management accordance with the ranking standardfor the civil servants c.Conduct the survey onactual improvement management in accordance with the ranking standardfor the civil servantsin different departments of Hanoi City d Propose some solutions to increase the improvement management quality in accordance with the ranking standardfor the civil servantsin different departments of Hanoi Citycurrently Conduct an impact test of a proposed solution Research subject and scope 3.1 Thesis research subject and object 3.1.1 Research subject Improvement managing in accordance with the civil servant ranking standardfor the civil servantsin different departments of Hanoi City 3.1.2 Research object Improvement in accordance with the civil servant ranking standard for the civil servantsin different departments of Hanoi City 3.1.3 Surveyed object Civil servants subject to the main specialist rank and specialist rank in different departments of Hanoi City Managers of departments (Leaders of departments, leaders of divisions under the departments) Grassroots leaders to be trained (for deep interview); Lecturers (for deep interview) 3.2 Research scope 3.2.1 Improvement contents The improvement contents for the civil servants consist of: 1) General theory; 2) Leadership skills; 3) Actual experience report; 4) Foreign language and informatics knowledge The improvement program structure needs to includes parts: 1) Teaching on class; 2) Discussion; 3) Self-study; 4) Actual local site visit; 4) Academic result evaluation The thesis only studies the form and contents on training of civil servants in the departments in the country, not the form and contents on training of civil servants in the departments in foreign countries 3.2.2 Studied civil servant ranking The studied civil servants are the main specialists and specialists in the departments of Hanoi City They are the civil servants (specialists) who have passed the civil servant improvement courses as specified 3.2.3 Studied area -Departments subject to Hanoi City People’s Committee - The improvement unit for the specialist ranking civil servants is Le Hong Phong Cadre Training School, Hanoi 4.Research methodology and method 4.1.Research methodology The improvement management research methodology in accordance with the civil servant ranking standard for the civil servantsof departments is expressed by the following approaches: - System approach - Approach under the CIPO model - Approach accordance with the civil servant ranking standard The three above approaches are all necessary and important to the thesis theme, but the approach under the CIPO model is the most exact way 4.2 Scientific assumption The CIPO model application to the improvement management accordance with the civil servant ranking standard for the civil servants in Hanoi city departments will contribute to increase the quality and effectiveness of training for the civil servants to meet the administrative reform requirement and socio-economic development of the city 4.3 Research questionaire 1) Research onimprovement management in accordance with the civil servant ranking standard for the civil servantsin the departments by which approach? 2) On what basis to determine the improvement management contents in accordance with the civil servant ranking standard for the civil servants in the departments? 3) What is the current actual improvement management in accordance with the civil servant ranking standard for the civil servantsin the departments of Hanoi City? 4) How are the impact of contextual factors on improvement management in accordance with the civil servant ranking standard for the civil servantsin the departments of Hanoi City? 5) Which solutions increase the current improvement management effectiveness in accordance with the civil servant ranking standard for the civil servantsin the departments of Hanoi City? 4.4 Research method The thesis topic uses a combination of the following specific research methods: -Documentation research method -Investigation method by the questionaire -Deep interview method -Test method -Mathematic statistics method New scientific contributions of the thesis 4.1 For the theory Establish a basis for the improvement management for the specialist rank civil servants (main specialists and specialists) Build a theoretical basis for the improvement management in accordance with the civil servant ranking standard for the civil servants in the Departments of the People's Committees of provinces/cities under the CIPO model This is a matter that is little studied in our country today 4.2 For the reality Assess the actual improvementstatus in accordance with the civil servant ranking standard for the civil servants in the Departments and actual improvement management accordance with the ranking standard for the civil servants in the departments of Hanoi under the CIPO model including inputs, processes and outputs Indicate the impact of process factor on the above situation Propose the measures to manage the improvement activities in accordance with the civil servant ranking standard for the civil servants in the departments of Hanoi Theoritical and real meaning 6.1 Theoritical meaning The thesis research results contribute to the theoretical development on civil servant improvement in accordance with the civil servant ranking standard The thesis has built a criteria system for the improvement management accordance with the civil servant ranking standard for the civil servants in the departments of provinces/cities This is the basis to manage and evaluate the improvement management effectiveness in accordance with the civil servant ranking standardfor the civil servants in the departments 6.2 Real meaning The thesis is a necessary reference for those who study the managerial science, especially those who perform the state management on training and improvement inaccordance with the ranking standard for the cadres, civil servants and public employees in our country today The thesis may contribute to improving the State Administrative Reform Master Program effectiveness for the period of 2011-2020 in Hanoi City The thesis research results contribute to further bind the civil servant improvement with the planning and employment of civil servants in the departments of Hanoi The thesis can contribute to increase the improvement management efficiency inaccordance with the ranking standard for the civil servants in the departments of Hanoi Thesis structure In addition to the preface, conclusion and recommendation, list of references, appendices, the thesis contents are presented in the following chapters: Chapter 1: Research overview; Chapter 2: Theoritical basis for improvement management accordance with the civil servant ranking standard for the civil servants in the departments of Hanoi City; Chapter 3: Real research result on improvement management in accordance with the civil servant ranking standard for the civil servants in the departments of Hanoi City; Chapter 4: Improvement management solution improvement management in accordance with the civil servant ranking standard for the civil servants in the departments of Hanoi City Chapter RESEARCH OVERVIEW ON CIVIL SERVANT IMPROVEMENT AND IMPROVEMENT IN ACCORDANCE WITH THE CIVIL SERVANT RANKING STANDARD 1.1 Studies on civil servant improvement In Vietnam, the civil servant improvement (hereinafter referred to as civil servant improvement) in particular and the human resources improvement in general has attracted the attention of many researchers Some of the following researches can be listed: The author Tran Xuan Sam (1998) conducteda research on defining the structure and criteria of key leaders in the political system during the renovation period The author Dang Ba Lam (2012) studied the training and improvement of human resources in the education The author Nguyen Van Tai (2002) studied the positivity promotion of our country's current staff The author Truong Thu Ha (2005) explored the opportunities and challenges for the training and development of Vietnam's human resources in the international integration period The authors, Dinh Van Tien and Thai Van Ha (2013) explored the training and improvement renovationfor the cadres, civil servants and public employees in the new situation The author, Doan Van Dung (2013) studied the training and improvement for the current cadres and civil servants in our country The author, Nguyen Thai Son (2002) studied the building of a team of key leaders at the provincial level in the Red River Delta during the country’s industrialization and modernization acceleration The training and improvement quality for the key cadres at the district level is studied by the author Dao Duy Tan (2006) The author Nguyen Thanh (2002) studied the human resources development for the industrialization and modernization of the country The author Nguyen Van Quynh (2017) analyzed the experiences of several countries in training, improvement of cadres and civil servants for the country's socio-economic development cause such as: Singapore; Japan; France; UK; China; Australia 1.2 Researches on improvement of civil servants and civil servant improvement management in accordance with the ranking standard In Vietnam, in recent years, there have been a number of researches on improvement of civil servants in general and improvement of civil servants in accordance with the ranking standards in particular Some of the following studies may be listed: The author Vu Dung and his colleagues of the Institute of Psychology (1999) studied the actual training, retraining and improvement demand for the civil servants in the non-business area The authors, Le Thanh Huong and La Thi Thu Thuy studied and showed that the demand on training and improvement from the intellectuals was very great The author Bui Duc Hung and his colleagues (2011) studied and assessed the professional standard for the civil servants and public employees in the construction field to meet the human resources development demand in the period of 2011 - 2020 The author Nguyen Xuan Dung and his colleagues (2011) established a training and improvement program based on the job position, ranking standar, and leadership and management positions The author Nguyen Nhan Nghiep and his colleagues studied the topic on clearing the theoretical basis for training and improvement of civil servants and public employees.The author Truong Quoc Viet, Hanoi University of Home Affairs analyzed the current quality of current cadres and civil servants and pointed out the shortcomings, failing to meet the requirements of this team before the country’s socio-economic development requirements The author Pham Van Son (2018) studied the team of cadres, civil servants and public employees In recent years, there have been a number of ministerial-level research projects on cadres and civil servants; training and improvement of the team of civil servants Some of the following research topics may be listed: Studies of Nguyen Ngoc Van (2004); Vu Van Thiep, (2006); Phan Thi Tuyet, (2006; Nguyen Thanh Xuan, (2006); Nguyen Thanh Xuan, (2007); Nguyen Huu Tam, (2010; Nguyen Ngoc Van, (2011) From the analysis of the above-mentioned studies, it also shows that there are still few in-depth and systematic studies on civil servant improvement in accordance with the ranking standard of the departments, including the main specialist and specialist ranking It can be said that there are very few in-depth studies on improvement in accordance with the civil servant ranking standardfor the Departments belonging to the Provincial People's Committee from the approach under the CIPO model (Inputs, processes, outputs and contexts) This is a space for us to implement the thesis theme "Improvement management in acco rdance with the ranking standard for the team of civil servants of Hanoi City Departments" Chapter THERIOTICAL BASIS ON IMPROVEMENT MANAGEMENT IN ACCORDANCE WITH THE RANKING STANDARD FOR THE CIVIL SERVANTS IN THE DEPARTMENTS 2.1 Theory on civil servants in the Departments 2.1.1 Definition 2.1.1.1 Team A team is a group of people with the same function or profession, performing a common goal 2.1.1.2 Civil servants Civil servants are those who are recruited, appointed to the ranks, positions and titles, in the payroll entitled to salaries from the state budget, or guaranteed from the salary fund of public non-business units as specified by the laws 2.1.1 3.Civil servants in the Departments The Civil servants of Departments are those who are recruited and appointed to the ranks, positions, titles and in the payroll entitled to salaries from the state budget of agencies of the provincial level People's Committees; perform the function to advise and assist the provincial level People's Committees in local industrial and field state management as specified by the laws and as assigned by or authorized by the provincial level People's Committees, Chairmen of the the provincial level People's Committees 2.1.1 Team of civil servants in the Departments The team of civil servants in the Departments is a group of civil servants of agencies under the provincial level People's Committee; jointly perform the function to advise and assist the provincial level People's Committees in local industrial and field state management as specified by the laws and as assigned by or authorized by the provincial level People's Committees, Chairmen of the the provincial level People's Committees b Functions, tasks of the team of civil servants in the Departments The functions, tasks of the team of civil servants in the Departmentsare specified in Article of the Decree No 24/2014/ND – CP of the Government signed on April 04th, 2014 The functions, tasks of the team of civil servants in the Departmentsare very diversified, overall for all management fields of the Departments They are the people to advise, assist the Departments to implement the State management duties at the localities 2.2.Improvement in accordance with the civil servant standard for the civil servants in the Departments 2.2.1 Improvement The improvement means to equip with, update the necessary professional knowledge, skills for the civil servants to complete their duties 2.2.2.Ranking standard for the civil servants in the departments As specified in Article of the Circular No 11/2014/TT-BNV of the Ministry of Home Affairs dated October 09th, 2014 providing the administrative civil servant ranking, it includes: Senior specialists; Main specialists; Specialists; Staff; Employees.In this thesis, we study the improvement in accordance with the ranking standard for the team of civil servants in the departments for the main specialist and specialist ranking The selection of these two civil servant ranking types is made because these are the two categories that usually holds the highest number in the Departments of the People's Committees of provinces/cities In the Circular No 11/2014/TT-BNV of the Ministry of Home Affairs, the standards on professional capacity for the main specialist and specialist ranking is specified as follows: *Main specialist ranking standard for the civil servants The ranking standard for the main specialists as civil servantsinclude the following principal standards: 1)Standard on professional capacity of main specialist ranking 2)Standard on training, improvement level * Specialist standard for the civil servants The standards for the specialist ranking are as follows: 1)Standard on professional capacity of specialist ranking; 2)Standard on training, improvement level 2.2.3 Improvement in accordance with the civil servant ranking standard for the civil servants in the Departments -The training, improvement objectives are defined as follows: 1) Improve the civil servants to furnish the knowledge, skills, method to implement the tasks in the civil service activities for the cadres, public employees 2) Improve the civil servants to contribute to build the team of professional civil servants qualified to construct the advanced, modern administrative ground The civil servant training and improvement principles are defined as follows: 1) The civil servant improvement must base on the job position, civil servant ranking standard, civil servant professional title standard 2) Conduct the assignment, decentralization in the improvement organization in accordance with the civil servant standard 3) The civil servant improvement has to raise the sense of self-learning and the improvement program selection is made as required by the job position of cadres, civil servants 4) The civil servant improvement must ensure the publicity, transparency and efficiency 2.2.3.2 Improvement method The improvement is done by the active method, in promoting the self-awareness, proactivity and creative thinking, in enhancing the exchange of information, knowledge and experience between teachers and trainees and between trainees 2.2.3.3 Improvement contents in accordance with the ranking standard for the civil servants in the Departments The Decree No 101/2017/ND – CP of the Government specifies the civil servant improvement contents as follows: 1) Political theory;2) Knowledge of national defense, security;3) Knowledge, skill of State management; 4) Knowledge of professional management, profession, operation, public service ethics, professional ethics, international integration knowledge; 5)Ethnic language, informatics, foreign language The thesis determines the basic contents of the improvement for the team of civil servants in the departments as follows: General part: Political theory; Knowledge of national defense, security;Knowledge, skill of State management; Knowledge of professional management, profession, operation, public service ethics, professional ethics, international integration knowledge, international integration knowledge; Skill part; Real experience report; Knowledge of foreign language and informatics 2.2.3.4 Improvement program structure The improvement program structure consists of parts: 1) Teaching on class; 2) Discussion; 3) Self-study; 4) Local site visit; 4) Academic result evaluation 2.3 Improvement management in accordance with the civil servant ranking standard for the civil servants in the departments under the CIPO model 2.3.1 Management 2.3.1.1 Definition The management is a directed, purposeful, systematic impact of the management subjects on the managed object to implement the given objectives 2.3.1.2 Management functions Some Vietnamese authors such as Vu Dung, Bui Minh Hien, Nguyen Vu Bich Hien and some other authors think that management has basic functions: Conduct the planning; Organize the implementation; Conduct the leadership and direction; Conduct the examination and evaluation 2.3.2 Improvement management under the CIPO model 2.3.2.1 Definition The improvement management is a directed, purposeful and systematic impact of the management subject on the managed object to equip with, update and increase the working knowledge and skills for the learners 2.3.2 Improvement under the CIPO model The CIPO model consists of factors: Context; Input; Process; Outcome, abbreviated as CIPO The management under the CIPO model is the management by the factors: Input; Process; Outcome and these factors are put in the specific context In this thesis, we approaches the improvement management under the CIPO model 2.3.2 2.Improvement contents in accordance with the civil servant ranking standard for the civil servants in the departments under the CIPO model Pursuant to the provisions of the Law on Cadres and Civil Servants 2008; Decree No 18/2010/ND-CP on training and improvement of civil servants signed by the Prime Minister on March 5th, 2010; Circular No 11/2014/TT-BNV of the Ministry of Home Affairs dated October 9th, 2014; the point of views of the author Le Minh Quan and CIPO model, improvement contents in accordance with the civil servant ranking standard for the civil servants in the departments under the CIPO model are determined as follows: - Improvement input in accordance with the civil servant ranking standard for the civil servants in the departments under the CIPOmodel -Improvement process in accordance with the civil servant ranking standard for the civil servants in the departments under the CIPO model - Improvement outcome in accordance with the civil servant ranking standard for the civil servants in the departments under the CIPO model - Improvement context in accordance with the civil servant ranking standard for the civil servants in the departments under the CIPO model 2.3.3 Improvement management in accordance with the civil servant ranking standard for the civil servants in the departments under the CIPO model After having the experiment results, the thesis is tested for one solution to assess its feasibility 3.1.2 Research method 3.1.2.1 Investigation method by questionaire The survey for the thesis is made with 250 civil servants and managers in 10 departments of Hanoi City Details as follows:The departments that are surveyed include: Department of Industry and Trade; Department of Transport; Department of Education and Training; Department of Planning and Investment; Department of Science and Technology; Department of Labor, Invalids and Social Affairs; Department of Home Affairs; Department of Foreign Affairs; Department of Agriculture and Rural Development; Department of Justice Among 250 surveyed subjects, 152 people are civil servants, including 62 main specialists, 90 specialist Among 98 civil servants as managers, people are Vice Directors of Departments, 91 people are the heads and deputy heads of divisions in the departments The quantity of survey forms issued to the civil servant is 270 (77 forms for each department); The number of qualified forms is 250, the number of rejected forms is 20 3.1.2.2 Deep interview method The deep interview for the thesis is made for 20 people including 10 civil servants at the specialist ranking (5 main specialists and specialists); managers (2 managers at the department level and managers at the division level under the department) 3.1.2.3 Mathematic statistic method The mathematic statistic method is used to process the data of the surveyed forms, to prepare the questionnaire, evaluate the interaction between variables The software program SPSS 20.0 is used in the thesis to process the surveyed data Use the statistical calculations: Descriptive statistic analysis; Deductive statistic analysis The scale of actual improvement activity and improvement management consists of levels: 1) Not good; Good at the low level; Good at the average level; Good and Very good 3.1.3.1.Actual civil servant improvement evaluation scale GPA =3.36 and ĐLC=0.31 The scale is divided as follows: Very low : ≤ GPA < 2.74; Low: 2.74 ≤GPA < 3.05; Normal: 3.05 ≤GPA < 3.67; Good: 3.67 ≤GPA < 3.98; Very good:3.98 ≤GPA ≤ 3.1.3.2 Actual management evaluation scale GPA=3.37 and ĐLC=0.32 The scale is divided as follows: Very low: ≤ GPA < 2.73 ; Low: 2.73≤ GPA < 3.05; Normal: 3.05 ≤ GPA < 3.69; Good: 3.69≤ GPA 0.5) and p = 0.000 (