Quản lý nhà nước về giảm nghèo bền vững tại các tỉnh miền núi phía bắc việt nam tt tiếng anh

MINISTRY OF EDUCATION AND TRAINING MINISTRY OF HOME AFFAIRS NATIONAL ACADEMY OF PUBLIC ADMINISTRATION LE KHANH CUONG STATE MANAGEMENT OF SUSTAINABLE POVERTY REDUCTION IN NORTHERN MOUNTAINOUS PROVINCES OF VIETNAM MAJOR: PUBLIC MANAGEMENT CODE: 34 04 03 SUMMARY OF DOCTORAL THESIS ON PUBLIC MANAGEMENT SCIENTIFIC SUPERVISORS: DR NGUYEN NGOC THAO DR NGUYEN THI HUONG INTRODUCTION Rationale Currently, poverty reduction is considered a requirement in terms of morality, society, culture, and political economy by every country in the world Because poverty is not only the biggest hindrance to development, but it also causes great spiritual moral devastation, social insecurity, economic depletion, and political decline, and detrimental to security For Vietnam in the current period, poverty reduction is a great responsibility of the entire Party and people The Party, the Government, the people of Vietnam, and many domestic and international organizations in Vietnam are working together to seek out approaches to reduce the poverty rate, especially in disadvantaged regions where ethnic minority groups are living in remote areas Nearly 70% of the population of Vietnam are working in agriculture in rural and ethnic minority areas in remote areas where most of the poor are concentrated The proportion of poor households in ethnic and mountainous areas still accounts for 52.7% of poor households in the country In recent years, the Party and State have taken many measures to promote poverty reduction, together with the assistance of domestic and international organizations in poverty reduction activities The Northern mountainous provinces include 15 provinces, divided into two regions: North East and North West The North East includes Ha Giang, Cao Bang, Bac Kan, Lang Son, Tuyen Quang, Thai Nguyen, Phu Tho, Bac Giang and Quang Ninh provinces The North West includes Lao Cai, Yen Bai, Dien Bien, Hoa Binh, Lai Chau and Son La provinces In recent years, despite many certain successes in poverty reduction, the achievements in poverty reduction have not been steady; These are typically issues such as poverty in rural and mountainous areas, the difference in poverty between ethnic groups is still large, the gap between rich and poor is increasing, effectiveness and validity of support policies for the poor, poor households and poor areas are not high Thus, the problem is that what policies should the state develop to improve the effectiveness of poverty reduction? What are state management characteristics of sustainable poverty reduction in the Northern mountainous provinces? These include many issues such as: what is the state management content on poverty reduction for specific regions? How is the state management apparatus organized and operated at different levels? What are the forms and methods of state management at different levels for sustainable poverty reduction in the specific regions of the northern mountainous provinces? Accordingly, the author finds it necessary to complete and issue a number of new policies with specific characteristics to serve the sustainable poverty reduction in the northern mountainous provinces, to build a national toolkit to evaluate poverty reduction effectiveness and to change poverty standards to match international and modern trends At the same time, to contribute to supplementing the scientific basis to improve state management of sustainable poverty reduction in the northern mountainous provinces of Vietnam in all five elements: institution, organizational apparatus, human resources, public finance and inspections, bringing practical effects to poverty reduction policies and achieving the goals set by the Party and State The author chose the topic: “State management of sustainable poverty reduction in the Northern mountains provinces of Vietnam” as the research topic Purposes and missions of the research 2.1 Purposes of the research From the theoretical basis and practice of state management of sustainable poverty reduction of the whole country in general and the Northern mountainous region in particular, the thesis builds and proposes groups of solutions to improve state management of sustainable poverty reduction to soon achieve the target set in the northern mountainous provinces of Vietnam 2.2 Missions of the research - To summarize domestic and foreign research results on poverty reduction and state management of sustainable poverty reduction, thereby contributing to systematization of researched issues and issues that need further research on management state of sustainable poverty reduction in the northern mountainous provinces of Vietnam - To research the scientific basis of state management of poverty reduction, applying to sustainable poverty reduction in the northern mountainous provinces of Vietnam - To assess the status of sustainable poverty reduction in the northern mountainous provinces in the past years - To analyze the situation of state management of sustainable poverty reduction in the northern mountainous provinces of Vietnam - To analyze and clarify the views, directions and goals of poverty reduction in the mountainous provinces, thereby proposing solutions to continue sustainable poverty reduction in the northern mountainous provinces of Vietnam Objects and scope of the research 3.1 Subjects of research State management of sustainable poverty reduction in the northern mountainous provinces of Vietnam When researching the state management of sustainable poverty reduction, the thesis focuses on researching the process of organizing and implementing policies on sustainable poverty reduction in the northern mountainous regions of the country From the theoretical framework of state management on sustainable poverty reduction, the thesis proposes solutions to further improve the state management of sustainable poverty reduction in the northern mountainous provinces of the country in the coming time 3.2 Scope of research Space scope: In the framework of the doctoral thesis, the author conducts researches on state management of sustainable poverty reduction in northern mountainous provinces of Vietnam (3 North West provinces and North East provinces with full features of the northern mountainous provinces of Vietnam) including: Son La, Lai Chau, Ha Giang, Phu Tho, Lang Son, Hoa Binh (hereinafter referred to as the Northern mountainous provinces) Time scope: To research the organization and implementation of sustainable poverty reduction policies in the northern mountainous provinces of the country in the period from 2000 to the present (the author closely follows the Program on social economic development in disadvantaged communes in ethnic minority and mountainous areas phase from 2006 to 2010, the National Target Program on Poverty Reduction in the period of 2011 - 2015 and the National Target Program on Sustainable Poverty Reduction in the period of 2016 - 2020) Content scope: To research state management activities in the following aspects: issuing new policies on sustainable poverty reduction; consolidating the organizational apparatus and state management officials on sustainable poverty reduction; financial resources for sustainable poverty reduction; inspection and examination of state management of sustainable poverty reduction in implementing the sustainable poverty reduction task in accordance with the provisions of law Methodology and research methods 4.1 Methodology The author relies on the principles of Marxism-Leninism, Ho Chi Minh’s ideology, views, lines, guidelines, policies and laws of the Party and State on sustainable poverty reduction in the renovation period, approaching the topic from the public management science perspective 4.2 Research Methods The author uses the following main methods in the research: Analytical methods, synthetic methods, qualitative research methods, quantitative research methods, etc 4.2.1 Synthetic analysis method The author has applied the synthetic analysis method in the thesis to consider which researches in the state management of sustainable poverty reduction have been conducted, how those researches have been done, the results of the researches, etc Synthetic analysis was conducted to detect the “gaps” in previous researches, setting the basis for the implementation of the contents of the topic On the basis of the dialectical relationship of the research methods in socio-economic science, the thesis analyzes and clarifies the impacts of state management on state management through the implementation of state management contents on sustainable poverty reduction; analyzes and clarifies the causes affecting the state management of sustainable poverty reduction; analyzes and evaluates the implementation of the sustainable poverty reduction function through constructive criteria General analysis method is performed through the following steps: seek for source of materials To collect and process data data To conduct general analysis Figure Steps to conduct synthetic analysis method 4.2.2 Qualitative research method The qualitative research method is used in the thesis to identify research questions, determine the criteria to assess state management of sustainable poverty reduction, and gather experts’ opinions on outstanding issues in the state management of sustainable poverty reduction in the northern mountainous provinces today, while discussing some solutions to complete the contents of state management of sustainable poverty reduction in the northern mountainous provinces of Vietnam Qualitative research is done through the following steps: To expect issues to be researched To design semistructured question To conduct in-depth interviews To analyze and synthesize information from interviewed content Figure Steps to conduct qualitative research 4.2.3 Quantitative research method The quantitative research method is used in the thesis to measure the results of the implementation of state management of sustainable poverty reduction according to each criterion while checking the suitability of the indicators in the scale of each criterion On the basis of the set of criteria developed, the assessment of contents of state management in sustainable poverty reduction will be conducted Quantitative research method is conducted through the following steps: To identify investigatio n sample To conduct official To To design survey tools and collect data To process and analyze investigated Figure Steps of quantitative research 4.2.4 Professional method During the implementation of the thesis, the author directly discussed and consulted with scientific staff and experienced managers to consult them about issues related to the topic 4.2.5 Descriptive statistics method Based on the latest information and data that can be collected from reliable sources (from statistical agencies, surveys), descriptive statistics method is used to analyze the current state of the implementation of poverty reduction policies based on secondary and primary data Research questions and scientific hypotheses 5.1 Research questions - What is the scientific basis for sustainable poverty reduction and state management of sustainable poverty reduction? - What is the role of the state in sustainable poverty reduction in the northern mountainous provinces of Vietnam? - What are the features and differences of the poor in the Northern mountainous provinces compared to other regions? - In order to be able to manage civil servants according to their capacity in state administrative agencies in Vietnam, what should authorized management do? - What are the solutions to improve state management at all levels of sustainable poverty reduction in the Northern mountainous provinces? 5.2 Research hypothesis The thesis is conducted based on the following scientific hypotheses: First, the state management of sustainable poverty reduction in the northern mountainous provinces of Vietnam is an issue of concern, but its results and effectiveness were not up to expectation of the state as well as of policy beneficiaries Therefore, if the policies on sustainable poverty reduction are organized and implemented scientifically, reasonably and in accordance with the practical conditions in the northern mountainous provinces of the country, the results will be higher than those at present Second, the implementation of sustainable poverty reduction policies has not created a strong motivation to promote socio-economic development for the northern mountainous provinces of the country Therefore, if the policy implementation is carried out with appropriate mechanisms on the basis of rational use of resources, the policy implementation will achieve higher and more sustainable results Third, although the northern mountainous provinces of Vietnam have implemented the policy on sustainable poverty reduction at the same time as other regions of the country, the northern mountainous provinces are still considered the region with the highest poverty rate in the country This can be caused by the inappropriate implementation of policies and if there are appropriate solutions, the results and efficiency of the state management of poverty reduction in the northern mountainous provinces of Vietnam will be improved New contributions of the topic 6.1 In theory - The research results of the topic contribute to clarifying the scientific basis of sustainable poverty reduction and state management of sustainable poverty reduction while emphasizing the role of the state in poverty reduction in Northern mountainous provinces of Vietnam - The topic can be used as a reference in schools, in the planning, policy making and management of the Party, Government and localities, while providing some materials for further research 6.2 In practice - The topic focuses on research, analysis and assessment of the state management of sustainable poverty reduction in the northern mountainous provinces; finding out the limitations, weaknesses, causes of inadequacies in the decentralization of responsibilities and the role of state management in sustainable poverty reduction - The project is expected to propose groups of solutions to improve state management at all levels of sustainable poverty reduction in the new economic context: Group of solutions to improve institutions; organizational apparatus; human resources; public finance; inspection and check - The topic suggests the need to build a homogeneous poverty reduction monitoring information system to the government from the central to local levels Structure of the thesis Thesis title “State management of sustainable poverty reduction in the northern mountainous provinces of Vietnam” Thesis structure: in addition to the introduction, table of contents, conclusion, list of references, appendices, the thesis is structured into chapters as follows: Chapter Overview of research on state management of sustainable poverty reduction in the northern mountainous provinces of Vietnam Chapter Scientific basis for state management of sustainable poverty reduction Chapter Current status of state management of sustainable poverty reduction in the northern mountainous provinces of Vietnam Chapter Orientations and solutions to improve state management of sustainable poverty reduction in the northern mountainous provinces of Vietnam CHAPTER OVERVIEW OF RESEARCH ON STATE MANAGEMENT OF SUSTAINABLE POVERTY REDUCTION IN THE NORTHERN MOUNTAINOUS PROVINCES OF VIETNAM 1.1 Overview of research on sustainable poverty reduction 1.1.1 Researches on sustainable poverty reduction in the world These include 10 scientific researches divided into two groups: (1) The first group: researches on the impact of poverty on the socio-economy (2) The second group: researches on multidimensional poverty and factors affecting sustainable poverty reduction 1.1.2 Researches in the country These include 17 scientific researches divided into two groups: (1) The first group: researches on the impact of poverty on the socio-economy (2) The second group: researches on multidimensional poverty and factors affecting sustainable poverty reduction 1.2 Overview of research on state management of sustainable poverty reduction 1.2.1 Researches in the world These include 12 scientific researches divided into two groups: (1) The first group: researches on the effectiveness of the national target programs on poverty reduction (2) The second group: researches on state management of sustainable poverty reduction 1.2.2 Researches in the country These include 18 scientific researches divided into two groups: (1) The first group: researches on the effectiveness of the national target programs on poverty reduction (2) The second group: researches on state management of sustainable poverty reduction 1.3 General assessment of research situation 1.3.1 The research content that can be inherited by the thesis First, the researches on poverty of countries, where special emphasis is on finding jobs for people because the lack of jobs pushes people into poverty They believed that maintaining high employment rates and equal social development depend on the success of economic diversification Economic crises are opening opportunities for poor countries to lay a foundation for sustainable development and growth based on labor-intensive manufacturing Emphasizing job creation is a very important issue for the social development of poor countries The role of state management in poverty reduction in these countries requires more investment, especially improving the ability to monitor and inspect sustainable poverty reduction policies Second, foreign researches on poverty reduction in Vietnam help the Government of Vietnam achieve important progress in its poverty reduction strategy while contributing to the improvement of quality of poverty reduction policies based on addressing two important aspects in the policy’s problem solving process, namely the consistency with the Government’s views and behavior towards poverty and finding the right solution to solve that problem more closely to the aspirations and abilities of the policy objects Third, researches on state management of sustainable poverty reduction of Vietnam: Researches conducting individual assessment of each policy which have not yet clarified the achievements and shortcomings in the process of organizing and implementing the sustainable poverty reduction policies of state agencies In particular, the results have not been evaluated and the factors affecting the results of the implementation of poverty reduction policies have not been indicated across the country in general and in each territory in particular Most of these assessments are more administrative than a research Therefore, the results of the researches have not served much for state management of sustainable poverty reduction Fourth, each research on sustainable poverty reduction policies, in fact, when issued, often targeted different goals and was implemented in different methods and ways On the other hand, each policy was implemented in different areas with relatively different socioeconomic conditions As a result, policy assessment in different regions and more especially in the northern mountainous provinces of Vietnam has many specific characteristics, so they should be conducted based on different criteria, which seem to have not been resolved by the researches of this group, 1.3.2 The gaps and hypotheses focused on by the research First, although there have been many researches on poverty reduction and sustainable poverty reduction by domestic and foreign authors, researches on the organization and implementation of sustainable poverty reduction policies in the northern mountainous provinces of Vietnam have not been mentioned by the researches, but they were mainly conducted for a specific locality in a specific policy in the poverty reduction policy system Second, researches have not focused on analyzing and evaluating the state management of sustainable poverty reduction in ethnic minorities in an area to find out the shortcomings, limitations and causes of the shortcomings, limitations in state management in the northern mountainous provinces of Vietnam Third, no researches have proposed solutions to perfect the state management of sustainable poverty reduction in the northern mountainous provinces of Vietnam in all aspects such as: policy, organization of the apparatus for the implementation of state management of sustainable poverty reduction in the northern mountainous provinces of Vietnam, improvement of quality of human resources, financial resources and solutions to perfect the inspection and checking of poverty reduction activities in these localities CHAPTER SCIENTIFIC BASIS FOR STATE MANAGEMENT OF SUSTAINABLE POVERTY REDUCTION 2.1 Basic concepts 2.1.1 Conception of poverty, poverty 2.1.2 Poverty reduction 2.1.3 Sustainable poverty reduction 2.1.3.1 The concept of sustainable poverty reduction 2.1.3.2 Factors reflecting poverty reduction and sustainable poverty reduction In theory, poverty is the dissatisfaction of basic needs Therefore, sustainable poverty reduction is reflected through improving and maintaining a high level of satisfaction of basic needs (above standard), through criteria that reflect the level of satisfaction with nutritional, housing, education, hygiene, health needs, etc In fact, poverty is reflected and measured through income Consequently, sustainable poverty reduction can be reflected by improving income and maintaining an income level above the poverty line for a given period of time On the other hand, according to livelihood approaches, sustainable poverty reduction is the result of livelihood, consisting of two phases: out of poverty and not falling back into poverty in a certain period of time Therefore, sustainable poverty reduction at the household level can be reflected simultaneously through two criteria: out of poverty and not falling back into poverty Satisfy basic needs Sustainable poverty reduction Income increased and remained high Out of poverty and not falling back into poverty Figure 2.1 Criteria reflecting sustainable poverty reduction [Source: Collected and summarized by the author] 2.1.4 State management of sustainable poverty reduction 2.1.4.1 Definition 2.1.4.2 The necessity for state management of sustainable poverty reduction 2.2 Principles, contents and method of state management of sustainable poverty reduction 2.2.1 Basic principles of state management of sustainable poverty reduction 2.2.2 Criteria for evaluating state management of sustainable poverty reduction Evaluating state management of sustainable poverty reduction aims at determining the validity, results and effectiveness of policies to compare with the achieved goals of the policy implementation process When evaluating state management of sustainable poverty reduction, it is necessary to focus on contents such as: whether the implementation plan is promptly, fully issued and in accordance with the real circumstances? Has the dissemination of policy brought about results and effectiveness, making the disseminated target have a deep awareness of the policy to actively participate in the policy process? Was the assignment and decentralization among branches and levels in the implementation process consistent with the functions and tasks of the participating agencies? Has it created a suitable mechanism to state agencies when participating in the policy implementation process? Have resources been fully mobilized and provided for the implementation? Were inspection and evaluation activities carried out regularly and in accordance with objective and subjective conditions during the implementation? What were the results and effectiveness created by the policies for the society? In order for the assessment of state management of sustainable poverty reduction to be objective, honest and suitable for the actual circumstances, this activity should be conducted based on the following two basic groups of criteria: The first one is a group of general policy evaluation criteria The second one is the group of additional criteria 2.2.3 Content of state management of sustainable poverty reduction 2.2.3.1 Developing and issuing new institutions and policies on sustainable poverty reduction 2.2.3.2 Consolidating the organizational apparatus and state management officials of sustainable poverty reduction 2.2.3.3 Financial resources for sustainable poverty reduction 2.2.3.4 Inspection, checking and report mechanism, coordination between levels 2.2.4 Factors influencing state management of sustainable poverty reduction in the northern mountainous provinces of Vietnam 2.2.4.1 Mechanisms and policies of the locality and the state 2.2.4.2 Multi-sectoral coordination and coordination at all levels in the implementation of sustainable poverty reduction 2.2.4.3 Resources for poverty reduction 2.2.4.4 Efforts to get rid of poverty CHAPTER CURRENT STATUS OF STATE MANAGEMENT OF SUSTAINABLE POVERTY REDUCTION IN NORTHERN MOUNTAINOUS PROVINCES OF VIETNAM 3.1 Overview of the natural and socio-economic conditions of the northern mountainous provinces of Vietnam 3.1.1 Natural conditions of the northern mountainous provinces 3.1.1.1 Overview of natural conditions Figure 3.1: Natural geographical sub-regions of the northern provinces of Vietnam [Source: http://vi.wikipedia.org] - Administrative units: There are 15 provinces, divided into regions: Northeast and Northwest; The Northeast includes the provinces of Ha Giang, Cao Bang, Bac Kan, Lang Son, Tuyen Quang, Thai Nguyen, Phu Tho, Bac Giang and Quang Ninh; the Northwest includes the provinces of Lao Cai, Yen Bai, Dien Bien, Hoa Binh, Lai Chau and Son La - Population: about 11,095,200 people 3.1.1.2 The impact of natural geographic conditions 3.1.2 Overview of the socio-economy of the northern mountainous provinces 3.1.2.1 Economic conditions 3.1.2.2 Social conditions 3.2 Poverty situation in the northern mountainous provinces of Vietnam 3.2.1 Poverty characteristics and factors influencing sustainable poverty reduction in the northern mountainous provinces 11 3.2.1.1 Poverty characteristics in the northern mountainous provinces of Vietnam Most of the northern mountainous provinces of Vietnam are inhabited by ethnic minorities (accounting for over 80% of the region’s population) If comparing the ethnic minorities with the majority of the Kinh ethnic group, the poverty level of the ethnic minority group is usually 50 - 250% higher [15] That means for every 39% of the poor Kinh, the poor ethnic minorities will be 58% for the Tay, 89% for the Dao and nearly 100% for the Mong Expenditure of poor ethnic minority households is also only 60% of that of poor Kinh households [15] The classification of poor households in the northern mountainous provinces of the country is shown in table 3.1 as follows: 12 Table 3.1 Summary of classification of poor households in some northern mountainous provinces of Vietnam from 2016 to 2018 Province/city Year Ha Giang 2016 2017 56,083 42,49 36,537 60,007 55,727 39,961 62,602 57,826 50,033 Lack access to basic social services 4,695 2,602 In urban areas 3,039 In rural areas Total poor households Ethnic minority In terms of income Under social protection policy Under preferential policies for people with meritorious services 2016 2017 67,297 60,428 66,76 Lang Son 2018 Phu Tho 2018 2016 2017 30,583 41,05 35,247 34,391 27,582 13,625 40,743 34,853 29,442 6,05 1,749 1,684 2,661 2,406 1,399 64,258 57,767 53,677 6,217 5,317 285 198 Son La 2018 2016 2017 28,667 87,146 81,26 11,458 9,177 79,502 35,609 32,382 27,074 1,141 5,334 2,865 1,171 969 1,632 41,093 35,366 29,614 4,309 3,781 1,39 80 83 Lai Chau 2018 2016 2017 71,798 32,259 28,257 78,897 70,124 31,268 78,865 78,645 69,823 1,593 8,281 2,615 1,393 1,136 1,695 39,418 33,854 27,531 2,018 5,214 4,46 1,374 8,109 Hoa Binh 2018 2016 2017 2018 24,195 44,112 38,293 31,792 27,912 23,955 41,524 35,595 29,376 30,1 26,849 23,623 36,423 35,155 30,134 1,975 2,159 1,408 572 7,689 3,138 1,658 1,41 765 1,245 1,034 886 879 742 639 85,451 79,85 71,033 31,014 27,223 23,309 43,233 37,551 31,153 4,927 5,367 5,543 4,864 2,644 2,209 1,907 2,733 3,428 3,066 984 930 674 585 110 97 69 589 490 285 [Source: Ministry of Labor - Invalids and Social Affairs] 13 Characteristics of poverty in the northern mountainous provinces of Vietnam is the poverty of ethnic minorities with widen lifestyles and diverse customs and practices of multiethnic groups Evaluation of key characteristics of the poor in the northern mountainous provinces of Vietnam from 130 officers including members of the National Assembly who are members of the Committee on Social Affairs and the Committee for Ethnic Minorities of the National Assembly; officers and specialists working in poverty reduction in the Ministry of Labor, Invalids and Social Affairs, the Ministry of Agriculture and Rural Development, and the Ministry of Planning and Investment; officers and specialists of the National Assembly Office (Department of Social Affairs, Department of Ethnic Minorities); leaders and staff of provinces, districts and 27 communes in the northern mountainous provinces of Vietnam are shown as follows: Table 3.2 Characteristics of poor households in the northern mountainous provinces of Vietnam Unit: % No Total Where number Not of True true replies 130 96.8% 3.2% 130 97.7% 2.3% Content The poor are usually ethnic minorities The poor often live in highland, remote areas Poor households often have many dependent 130 94.4% 5.6% persons Head of a poor household is often a person with 130 39.3% 60.7% disability Heads of poor household often work in agriculture 130 95.3% 4.7% Poor households often have less productive land 130 79.3% 20.7% The proportion of female poor householders is 130 39.0% 61.0% higher than male ones Heads of poor households have less access to 130 87.4% 12.6% school than those who are not poor 10 Villages that not have access for cars are poorer 130 89.5% 10.5% The descendants of the poor have less access to 11 130 94.5% 5.5% school than the non-poor The poor often tend to surrender their fate, relying 12 130 96.8% 3.2% on others more than the non-poor [Source: summarized from the author’s survey results] It can be seen from the above table that 96.8% of the respondents thought that the poor are usually ethnic minorities, 97.7% thought that the poor often live in highland, remote areas, 95.3% said that the poor often work in agriculture, 96.8% believed that the poor tend to surrender their fate, relying and depending on others more than the non-poor, 94.5% thought that descendants of the poor have less access to schools than the non-poor, 87.4% said that 14 heads of the poor have less access to school than non-poor ones, 89.5% thought that villages without access for cars are poorer, and 79.3% believed that the poor often have little land for production 3.2.1.2 Factors affecting sustainable poverty reduction in the northern mountainous provinces There are many factors that can affect sustainable poverty reduction in these provinces, but the author can divide them into two groups of factors as follows: Group of objective factors: Under the impacts of market mechanisms, poverty is the result of a combination of many factors In Vietnam, surveys of many state agencies, socio-political organizations and individuals have tried to explain the factors that affect poverty Group of subjective factors of the poor Investigations and researches showed that the impacts of the market economy pushed part of the workforce in poverty because they cannot adapt to the new mechanism This richpoor division stems from an unequal division of resources among people, when these differences are placed in a stimulating and competitive environment of benefits The subjective factors stemming from the poor themselves affecting poverty are often due to the lack of necessary factors for business and production development such as: lack of capital, lack of production materials (land, labor tools, cattle for plowing ), lack of labor health, low education level, leading to lack of business knowledge and experience, lack of employment and stability, large numbers of children, social evils, lazy to work 3.2.2 Poverty situation in the northern mountainous provinces In addition, these provinces also face many difficulties that need solving There are still many poor people, who even lack food; in some families, their children are illiterate, sick without money for treatment, they lack land for production, have bad housing Based on a report of the Ministry of Labor, Invalids and Social Affairs, the rate of poor and near-poor households in this area is shown in the following tables: 15 Table 3.3 Summary of progress of poor households in some northern mountainous provinces of Vietnam from 2016 to 2018 Province/city Number of households 2015 Percentage Households getting out of poverty Percentage Household getting back Progress of poor to poverty households in 2016 Percentage Number of arising poor households Percentage Number of households 2016 Percentage Households getting out of poverty Percentage Household getting back Progress of poor to poverty households in 2017 Percentage Number of arising poor households Percentage Total number of household 2017 Number of households Percentage Households getting out of poverty Progress of poor Percentage households in 2018 Household getting back to poverty Vietnam 2,351,463 9.88 Ha Giang 74,313 43.65 Lang Son 48,827 25.95 Phu Tho 46,574 12.04 Son La 92,754 34.44 Lai Chau 36,094 40.40 Hoa Binh 50,959 24.38 514,219 10,933 7,788 11,098 16,512 6,449 9,331 2.17 6.42 4.14 2.87 6.13 7.22 4.46 31,212 56 42 318 10,349 822 0.13 0.03 0.02 0.08 3.79 0.00 0.39 153,537 3,861 1,409 5,256 10,06 2,614 1,662 0.64 1,986,697 8.23 2.22 67,297 38.75 0.74 42,49 22.37 1.35 41,05 10.51 3.68 87,146 31.91 2.82 32,259 34.81 0.79 44,112 20.94 467,326 10,276 7,169 10,17 15,486 5,839 8,65 1.94 5.92 3.78 2.60 5.67 6.30 4.11 24,191 504 47 623 8,252 256 914 0.10 0.29 0.02 0.16 2.97 0.27 0.43 107,499 2,903 1,169 4,165 8,101 1,581 1,913 0.44 1.64 0.61 1.05 2.91 1.67 0.90 24,511,255 176,803 191,617 396,035 278,093 94,727 212,769 1,642,489 6.70 60,428 34.18 36,537 19.07 35,247 8.90 81,26 29.22 28,257 29.83 38,293 18.00 424,169 8,307 7,055 9,375 16,067 5,766 8,582 1.73 4.70 3.68 2.37 5.78 6.09 4.03 10,087 487 30 159 1,345 253 629 16 2018 Province/city Percentage Number of arising poor households Percentage Total number of households Number of households Percentage Vietnam 0.04 Ha Giang 0.27 Lang Son 0.02 Phu Tho 0.04 Son La 0.48 Lai Chau 0.26 Hoa Binh 0.29 75,594 3,475 1,071 2,636 5,26 1,451 1,452 0.30 1.93 0.55 0.65 1.86 1.50 0.67 24,945,432 179,938 193,147 404,432 282,427 96,851 215,726 1,304,001 5.23 56,083 31.17 30,583 15.83 28,667 7.09 71,798 25.42 24,195 24.98 31,792 14.74 [Source: Ministry of Labor, Invalids and Social Affairs] 17 3.3 Current state of state management of sustainable poverty reduction in the northern mountainous provinces in recent years 3.3.1 Issuance of new policies on sustainable poverty reduction Table 3.6 The impact of policies on production activities and households’ life Unit: % No Policies Credit support policy policy on supporting people in sedentary farming Policy on stabilizing and developing agro-forestry in combination with product processing and consumption Policy on forest and land allocation to households Policy on production land support Policy on freight and price subsidies Science policy for the poor Policy on investment in construction of commune centers Policy on investment in construction of bridges and roads, etc Policy on investment in construction schools and health stations Policy on issuing health insurance card Policy on assisting the poor in housing Clean water supply policy Policy on construction of toilets Policy on supporting construction of hygienic barns Family planning policy Education and training policy Illiteracy eradication policy Vocational training and job creation policy Policy on supporting electricity service access Social assistance policy Legal assistance policy Media culture policy Policy for commune and village officials 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 Total Where replies Excellent Good Average 560 39.7% 29.9% 23.8% Weak Bad 4.9% 1.6% 4.1% 560 16.7% 23.7% 45.9% 9.6% 560 13.0% 21.4% 33.6% 26.6% 5.5% 560 22.4% 26.0% 30.9% 14.0% 6.4% 560 560 560 21.2% 13.6% 13.6% 19.1% 26.6% 26.6% 37.6% 39.1% 39.1% 14.8% 7.0% 16.1% 4.2% 16.1% 4.2% 560 17.9% 26.0% 32.7% 19.8% 3.4% 560 23.5% 27.0% 32.8% 11.6% 4.8% 560 25.1% 28.4% 34.8% 7.8% 4.0% 560 63.3% 17.8% 14.0% 3.0% 1.9% 560 39.5% 27.8% 24.0% 6.8% 2.0% 560 560 17.6% 14.9% 18.6% 16.8% 34.4% 36.4% 20.2% 9.2% 24.5% 7.4% 12.5% 16.7% 33.1% 28.4% 9.4% 41.2% 36.0% 26.6% 36.1% 41.9% 32.4% 17.4% 19.4% 31.5% 3.9% 2.2% 5.8% 560 17.4% 21.8% 31.5% 21.8% 7.6% 560 27.1% 26.9% 29.6% 11.6% 4.8% 560 560 560 27.1% 24.0% 23.8% 21.9% 30.1% 29.8% 40.5% 31.1% 33.7% 8.0% 2.5% 13.8% 1.0% 11.5% 1.2% 560 24.9% 28.0% 32.9% 13.3% 1.0% 560 560 560 560 1.4% 0.4% 3.6% [Source: Summarized from investigation and survey by the author] By investigating the impacts of 24 sustainable poverty reduction policies that have been implemented in the past period, the assessment of households showed that only 12 policies (equivalent to 50%) have impacts at excellent and good levels (50% or more), namely: policies on credit support, investment in construction of traffic, bridges, roads, construction of schools and stations, issuance of health insurance cards, support for the poor in housing, family planning, education and training, illiteracy eradication, access to electricity 18 services, legal assistance, communication culture support, and policy for commune and village officials The remaining 12 policies that have impacts at good level on households were only below 50%, of which the policy on supporting the construction of hygienic barns had lowest impacts on production and life of the households at good level (29.7%) Issuance of documents and implementation plans 3.3.2 Consolidating the organizational apparatus and contingent of state management officials on sustainable poverty reduction In terms of organization and operation of the Steering Committee, there is a decentralization and assignment of responsibilities for implementation among levels and branches in order to promote the role of mass organizations in participating in and monitoring the policy implementation, assigning departments, branches, organizations, unions and businesses to help poor communes with practical contents, especially the goal of eliminating temporary houses for poor households The policy implementation was planned to organize the implementation from communal to provincial level according to a flexible mechanism based on participatory principle among the State, the community and the poor, creating many good models and creative ways Government/ Prime Minister National Steering Committee on PR MARD CEMA MoLISA MPI MoF PR Office Other ministries Provincial PPC Provincial Committee for PR District PPC District Committee for PR Commune PPC Commune Committee for PR Notes:  Direction Direction cooperation Villages and Village Committee for PR Figure 3.7 Model of organizational structure to implement sustainable poverty reduction policies [Source: Collected and summarized by the author] 19 The decentralization and empowerment to local authorities were relatively active in implementing sustainable poverty reduction policies The provincial level took comprehensive responsibility for the management and organization goals, directing the implementation, mobilizing and integrating the use of relevant capital sources in the locality, providing organizational and technical support Provincial governments were responsible for providing resources according to central allocation, especially the budget 3.3.3 Financial resources for sustainable poverty reduction Currently, the government allocates budget to the Program through two channels: The first channel is for the group of policies, including: the policy on agricultureforestry-fishery extension, infrastructure for coastal and island communes; vocational training; poverty reduction model replication; poverty reduction capacity building; legal aid; and monitoring and evaluation Criteria and cost estimates for the budget to be allocated according to the Joint Circular between the Ministry of Finance and the Ministry of Labor, Invalids and Social Affairs No 102/TTLT/BTC-LĐTBXH in 2007 The second channel is the remaining policies that are applied different financial mechanisms and have separate implementation modes The preferential credit policy for poor households is implemented through the Vietnam Bank for Social Policies and the policy management mechanism is regulated under Decree No 78/2002/ND-CP dated October 4, 2002 Health support policy for the poor is formulated under Decision No 139/2002/QD-TTg dated October 15, 2002 and is regulated under the Joint Circular between the Ministry of Health and the Ministry of Finance No 14/2002/TTLT-BYT-BTC The education support policy for the poor is regulated by six different decisions and decrees from 1997 to 2007[22] The chart below shows the Program’s budget allocation process NA PM MoF MPI Related dept MoLISA Provincial PPC Provincial PA District PPC District PA Commune PPC Commune PA After approval by the National Assembly, MPI and MoF will assign budget plans to relevant ministries and provincial People’s Committees People’s Committees at all levels and ministries shall implement the Program to develop annual plans and budgets, then submit them to the MPI, the Ministry of Finance to synthesize and submit to the Prime Minister for consideration before submitting to the National Assembly for approval Figure 3.10 Budget allocation process of the Sustainable Poverty Reduction Program [Source: Collected and summarized by the author] 20 3.3.4 Inspection, checking and report mechanism, coordination between levels 3.4 Assessing the status of state management of sustainable poverty reduction in the northern mountainous provinces of Vietnam 3.4.1 Strengths 3.4.2 Limitations and shortcomings 3.4.3 Cause of the shortcomings and limitations 3.4.3.1 Objective reasons 3.4.3.2 Subjective reasons SUMMARY OF CHAPTER In chapter 3, the thesis has generalized the natural features, population, socioeconomic situation as well as poverty characteristics of the people in the northern mountainous provinces of Vietnam The author also had a quite complete statistic of specific results in the process of implementing sustainable poverty reduction policies in the northern mountainous provinces of Vietnam in the past period Data in each province have been collected in detail at each step of the implementation process along with assessing the impact of the sustainable poverty reduction policy on the livelihoods, living activities and production of the poor The thesis has indicated the current situation of the implementation of sustainable poverty reduction policies in the northern mountainous provinces of Vietnam in recent years Combined with the analysis and assessment of the current situation of the implementation of sustainable poverty reduction policies in the northern mountainous provinces of Vietnam, the author also evaluated the implementation process based on the theoretical framework of steps in the implementation of the policy Thereby, the author also pointed out the advantages, shortcomings and causes of the shortcomings and limitations in the process of implementation of sustainable poverty reduction policies in the northern mountainous provinces of Vietnam in the past period as the basis for proposing solutions to implement sustainable poverty reduction policies in chapter The policy implementation process in the northern mountainous provinces of Vietnam has positively contributed to the realization of the goal of sustainable poverty reduction goal However, the implementation organization has not brought about results and effectiveness as expected by the state as well as of policy beneficiaries In order to meet the requirements of industrialization and modernization in 2020, it is essential that the results of sustainable poverty reduction should be higher than those in the past period This depends on the State’s mechanisms and policies on sustainable poverty reduction on the one hand, and on the implementation process of state agencies from the central to local levels, especially the implementation of authorities at all levels in the northern mountainous provinces of Vietnam in the coming time on the other hand This is one of the important bases to propose orientations as well as solutions to improve the results of implementing sustainable poverty reduction policies in the northern mountainous provinces of Vietnam to 2020 and the following years 21 CHAPTER ORIENTATIONS AND SOLUTIONS TO PERFECT STATE MANAGEMENT OF SUSTAINABLE POVERTY REDUCTION IN THE NORTHERN MOUNTAINOUS PROVINCES OF VIETNAM 4.1 Perspective on state management of sustainable poverty reduction in the northern mountainous provinces of Vietnam in the coming time 4.1.1 Renovating contents and modes of building sustainable poverty reduction policies 4.1.2 The consolidation of the organizational apparatus and the contingent of state management officials on sustainable poverty reduction must be of special significance 4.1.3 Financial resources to implement sustainable poverty reduction should be effectively deployed, mobilizing all resources in the society to implement sustainable poverty reduction in each locality 4.1.4 The inspection and supervision of state management of sustainable poverty reduction in the Northern mountainous provinces should be done regularly with plans 4.2 Solutions to perfect state management of sustainable poverty reduction in the northern mountainous provinces 4.2.1 Group of solutions to perfect policies on sustainable poverty reduction 4.2.1.1 Socio-economic policies according to specific regions 4.2.1.2 Strengthening the coordination between the government and socio-political organizations in implementing sustainable poverty reduction policies 4.2.1.3 Service provision policy 4.2.2 Solutions to organizing the apparatus for the implementation of state management of sustainable poverty reduction in the northern mountainous provinces of Vietnam Making implementation plans is a very important step in implementing sustainable poverty reduction policies These plans specify the objectives and measures of the policy or a specific activity of the policy Most of the plans on the implementation of sustainable poverty reduction policies are top-down The top-down planning of implementation often not reflect all the needs and realities of life, not create a basis for promoting the strength of the people, leading to the thought of relying on their superior level by subordinates 4.2.3 Solutions to improving the quality of resources Developing and improving the quality of human resources, especially high-quality human resources, is a strategic breakthrough, a decisive factor in promoting development and application of science and technology, restructuring the economy, transforming the growth model and being the most important competitive advantage, ensuring fast and sustainable development 4.2.4 Solution to inspection and checking Strengthening the inspection and evaluation of the policy implementation is a very important job because it will show whether the policy is deployed to the right targets or not 22 In particular, the policy evaluation helps us discover the irrationalities of the policy and then decide to correct it in time As a result, right from the policy design, it is necessary to build a system of measurement indicators The real quality monitoring should strengthen the critical function of the society It is necessary to strengthen inspection and assessment by Party committees and authorities at all levels in the implementation of guidelines and policies of the Party, State and province on poverty reduction 4.3 Some recommendations for implementation of solutions 4.3.1 For the National Assembly 4.3.2 For the government 4.3.3 For localities in the northern mountainous region of the country CONCLUSION The thesis, with the topic “State management of sustainable poverty reduction in the northern mountainous provinces of Vietnam”, has focused on theoretical and practical issues in implementing sustainable poverty reduction; while analyzing the status of implementation of steps in organizing the implementation of sustainable poverty reduction policies in the northern mountainous provinces of Vietnam in recent years, whereby developing solutions to improve state management results on sustainable poverty reduction in the northern mountainous provinces of Vietnam The specific contents achieved in the thesis are: The first one is to systematize and analyze theoretical issues about the implementation of sustainable poverty reduction policies, focusing on building and analyzing theoretical frameworks on the implementation of sustainable poverty reduction policies This is of great significance as a foundation for assessing the implementation of sustainable poverty reduction policies in the northern mountainous provinces of Vietnam in recent years, whereby summing up and evaluating the advantages and disadvantages in the implementation of sustainable poverty reduction policies in the northern mountainous provinces of Vietnam Second, through the research of experiences in sustainable poverty reduction of some countries around the world to learn lessons and recommendations to apply to the northern mountainous provinces of Vietnam in improving results and effectiveness of implementation of sustainable poverty reduction and socio-economic development policies Third, through the results of investigations, surveys and interviews among people, management staff at all levels, combined with secondary data to analyze and evaluate the current situation of implementing the sustainable poverty reduction policies from the making of implementation plan to the inspection and evaluation of the implementation of sustainable poverty reduction policies in the northern mountainous provinces of Vietnam in recent years Each stage in the implementation organization process is assessed and analyzed based on two aspects, namely the results achieved and the shortcomings and limitations, which serve as a premise for building a system of solutions to improve results of implementation of sustainable 23 poverty reduction policies for the northern mountainous provinces of Vietnam in the coming time Fourth, from the generalization of opportunities, challenges, and trends in sustainable poverty reduction in the northern mountainous provinces of Vietnam, perspectives, orientations, requirements and solutions can be made to improve the result of implementation of sustainable poverty reduction policies, aiming at sustainable poverty reduction, accelerating socio-economic development in the northern mountainous provinces of Vietnam in the coming time, contributing to the successful implementation of the industrialization and modernization of the country in 2020 and the socio-economic goals of the coming years The research results of the thesis have fully and deeply explained, proved and answered the research questions raised in the introduction of the thesis The analysis and proof of the current situation of the implementation of sustainable poverty reduction policies in Chapter together with the solutions in Chapter showed that the research hypothesis of the thesis has been proved to be appropriate The research purposes of the thesis have been achieved in both theoretical and practical aspects of implementing sustainable poverty reduction policies in the northern mountainous provinces of Vietnam The research was carried out on a large scale of space and time, but the statistical system is consistent and continuous Despite many efforts to complete the thesis, shortcomings cannot be avoided The author is looking forward to receiving comments, sharing and sympathy from domestic and foreign experts and researchers 24 LIST OF RESEARCHES OF THE AUTHOR Le Khanh Cuong, “Some factors affecting the implementation of sustainable poverty reduction policies in the northern mountainous provinces”, State Management Journal No 263 Le Khanh Cuong, “China’s experiences in sustainable poverty reduction and its implications for Vietnam”, Asia Pacific Journal No 5038 25 ... Steering Committee on PR MARD CEMA MoLISA MPI MoF PR Office Other ministries Provincial PPC Provincial Committee for PR District PPC District Committee for PR Commune PPC Commune Committee for PR... northern mountainous provinces of Vietnam from 2016 to 2018 Province/city Number of households 2015 Percentage Households getting out of poverty Percentage Household getting back Progress of poor to... Number of households Percentage Households getting out of poverty Progress of poor Percentage households in 2018 Household getting back to poverty Vietnam 2,351,463 9.88 Ha Giang 74,313 43.65 Lang