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A RESEARCH PAPER PRESENTED TO THE FACULTY OF THE GRADUATE SCHOOL SOUTHERN LUZON STATE UNIVERSITY IN COLLABORATION WITH THAI NGUYEN UNIVERSITY ThAi nguyen University Socialist Republic of Vietnam Southern luzon STATE University Republic of Philippines HARMONIZATION OF PUBLIC COMPETITIVE TENDERING : EMPIRICAL EVIDENCE FROM THE MINISTRY OF HEALTH IN VIETNAM Advisor : Name of Student Dr Alice T Valerio : NGUYEN DUY PHUONG English Name : NOAH Date of Birth : 13-12-1974 Course SLSU-DBA1 : Hanoi May, 2013 i A RESEARCH PAPER PRESENTED TO THE FACULTY OF THE GRADUATE SCHOOL SOUTHERN LUZON STATE UNIVERSITY IN COLLABORATION WITH THAI NGUYEN UNIVERSITY HARMONIZATION OF PUBLIC COMPETITIVE TENDERING : EMPIRICAL EVIDENCE FROM THE MINISTRY OF HEALTH IN VIETNAM A Dissertation Presented to the Faculty of the Graduate School of Southern Luzon State University in Collaboration With Thai Nguyen University In Partial Fulfilment of the Requirements for the Degree Doctor in Business Administration NGUYEN DUY PHUONG May 2013 ii A RESEARCH PAPER PRESENTED TO THE FACULTY OF THE GRADUATE SCHOOL SOUTHERN LUZON STATE UNIVERSITY IN COLLABORATION WITH THAI NGUYEN UNIVERSITY ACKNOWLEDGMENT I would like to express my gratitude to Dr Alice T Valerio for being an outstanding advisor and excellent professor Her constant encouragement, support, and invaluable suggestions made this work successful She has been everything that one could want in an advisor I would like to thank her for providing me ideas on the research methodology and valuable insights on public procurement system and international bidding implementation issues I am deeply indebted to my committee member, Dr Lee Kari Ling for her time and effort in reviewing this work Also, I would like to thank all the lecturers of DBA1 course for helping me to complete this thesis which I have been their student for three years I would like to acknowledge my best friends in the DBA class for reviewing my thesis and providing valuable feedback I am grateful to Mr Ngo Anh Cuong and Mrs To Ngoc Lan for their help and valuable advice, and for being great friends throughout my program stint I am deeply and forever indebted to my family for their love, support, and encouragement throughout my entire life I would like to thank my wife, Bui Thi Nga, who has provided a tremendous amount of love and support throughout this study On a final note with love are for my children, my five-year old daughter and three-year old son! iii A RESEARCH PAPER PRESENTED TO THE FACULTY OF THE GRADUATE SCHOOL SOUTHERN LUZON STATE UNIVERSITY IN COLLABORATION WITH THAI NGUYEN UNIVERSITY DEED OF DECLARATION I, Nguyen Duy Phuong (English name: Noah), hereby submit my thesis for oral examination, entitled “HARMONIZATION OF PUBLIC COMPETITIVE TENDERING: EMPIRICAL EVIDENCE FROM THE MINISTRY OF HEALTH IN VIETNAM”, truthfully declare that the said paper is a product of my original research investigation Signed this …………………….2013 at Thai Nguyen University NGUYEN DUY PHUONG DBA Candidate iv A RESEARCH PAPER PRESENTED TO THE FACULTY OF THE GRADUATE SCHOOL SOUTHERN LUZON STATE UNIVERSITY IN COLLABORATION WITH THAI NGUYEN UNIVERSITY TABLE OF CONTENTS Page ACKNOWLEDGMENT iii DEED OF DECLARATION iv TABLE OF CONTENTS v LIST OF TABLES ix LIST OF FIGURES x LIST OF ABBREVIATIONS xi APPROVAL SHEET xii ABSTRACT xiii CHAPTER I INTRODUCTION 1 Background of the Study Statement of the Problem 3 Objectives Hypotheses of the Study Significance of the Study 6 Scope and Limitations of the Study 7 Definition of Terms CHAPTER II 13 REVIEW OF RELATED LITERATURE 13 Systems Theory 13 Administrative Theory 14 v A RESEARCH PAPER PRESENTED TO THE FACULTY OF THE GRADUATE SCHOOL SOUTHERN LUZON STATE UNIVERSITY IN COLLABORATION WITH THAI NGUYEN UNIVERSITY Procurement Legislation and Studies 15 Procurement Administrative Theories and Studies 20 Legislation of Vietnam and International Community for Procurement 23 Conceptual and Theoretical framework 24 CHAPTER III 29 RESEARCH METHODOLOGY 29 Research Design 29 Time and Place of the Study 30 Sampling Procedures 31 Data Collection 31 Research Instrument 34 Statistical Treatment 36 Methods of Analysis 40 CHAPTER IV 42 RESULTS AND DISCUSSION 42 Provisions in ILT and LLT in Vietnam 42 Public Procurement Activities in MOH 56 Procurement and Bidding Practices in Terms of Transparency and Openness Measures 62 Formulation of efficient public procurement 64 CHAPTER V 74 CONCLUSION AND RECOMMENDATIONS 74 Summary 74 Conclusion 75 vi A RESEARCH PAPER PRESENTED TO THE FACULTY OF THE GRADUATE SCHOOL SOUTHERN LUZON STATE UNIVERSITY IN COLLABORATION WITH THAI NGUYEN UNIVERSITY Recommendations 76 REFERENCES 98 vii A RESEARCH PAPER PRESENTED TO THE FACULTY OF THE GRADUATE SCHOOL SOUTHERN LUZON STATE UNIVERSITY IN COLLABORATION WITH THAI NGUYEN UNIVERSITY APPENDIES Appendix Page LETTER REQUEST FOR THE CONDUCT OF THE SURVEY .80 SURVEY QUESTIONNAIRE 82 CURRICULUM VITAE .89 BUDGET REVENUES AND EXPENDITURES 95 TOTAL GOVERNMENT EXPENDITURE , 1990-2010 95 CORRUPTION PERCEPTIONS INDEX 96 MINISTRY OF HEALTH STRUCTURE 97 viii A RESEARCH PAPER PRESENTED TO THE FACULTY OF THE GRADUATE SCHOOL SOUTHERN LUZON STATE UNIVERSITY IN COLLABORATION WITH THAI NGUYEN UNIVERSITY LIST OF TABLES Table Page Factors affecting the harmonizing 35 Likert scale summated rating for openness and transparency procurement 41 Discrepancy in public procurement 43 Department of Administrators 58 Testing result of reliable of Model 65 Description of Mean and Standard Deviation .66 Post Hoc Tests openness and transparency procurement 67 Model Summary Option 69 ANOVA F-Test 69 10 T-test coefficient 70 11 Linear regression for 02 removed variables 72 12 T-test for Coefficient and Multicollinearity 72 ix A RESEARCH PAPER PRESENTED TO THE FACULTY OF THE GRADUATE SCHOOL SOUTHERN LUZON STATE UNIVERSITY IN COLLABORATION WITH THAI NGUYEN UNIVERSITY LIST OF FIGURES Figure Page Conceptual framework of the study 27 Data collection procedure 33 Distribution of respondents by position in the MOH 56 Distribution of age of respondents 57 Distribution of total working years of the respondents .58 Distribution of the respondents by department 59 Frequency of submitting bidding documents under LCB 62 Frequency of applying transparency level 63 Frequency of applying the most opening purchase method 64 x Point Item/ code A Transparency Procurement A Tính minh bạch Do you publish Bidding Invitation on local Newspaper or/and Website (code PTI1) Ban quản lý anh/chị có mời thầu cơng khai báo địa phương và/hoặc trang Web không? Do you publish Bidding Invitation on National Newspaper or/and Website (code PTI2) Ban quản lý anh/chị có mời thầu cơng khai báo Trung ương và/hoặc trang Web không? Do you publish Bidding Invitation on foreign Newspaper or/and Website (code PTI3) Ban quản lý anh/chị có mời thầu cơng khai báo quốc tế và/hoặc trang Web không? Do you publish target (lowest-highest) price of bidding package in bidding document (code PTI4) Ban quản lý anh/chị có cơng bố giá mục tiêu Hồ sơ mời thầu không? Do you publish Evaluating Bidding method to classify bidder in bidding document? (code PTI5) 84 Point Item/ code Ban quản lý anh/chị có cơng bố tiêu chí điểm chấm cho tiêu chí Hồ sơ mời thầu không? Do you publish awarded contractor and price (code PTI6) Ban quản lý anh/chị có cơng bố cơng khai người trúng thầu khơng? B Openness of Procurement Tính cạnh tranh B.1 ICB (International Competitive Bidding) (Đấu thầu cạnh tranh quốc tế - ICB) Do you apply ICB in procurement? (Code UOP1) Ban quản lý anh/chị có áp dụng mua sắm theo hình thức đấu thầu quốc tế khơng? Do you apply ICB for bidding package with value above USD 150.000? (Code UOP2) Ban quản lý anh/chị có áp dụng đấu thầu quốc tế 85 Point Item/ code với gói thầu có giá trị 100.000 USD Do you have to get approval bidding document from high Government administrative agencies? (Code UOP3) Ban quản lý anh/chị có phải xin phê duyệt hồ sơ thầu từ quan quản lý cấp cao không? 10 Do you have to get approval bidding document from international donor representative? (Code UOP4) Ban quản lý anh/chị có phải xin ph ê duyệt hồ sơ thầu từ nhà tài trợ Quốc tế không? B.2 LCB Local Competitive Bidding (Đấu thầu cạnh tranh nước - LCB) 11 Do you apply LCB in procurement? (Code URP1) Ban quản lý anh/chị có áp dụng mua sắm theo hình thức đấu thầu nước không? 12 Do you apply LCB for bidding package with value below USD 150,000? (Code URP2) Ban quản lý anh/chị có áp dụng đấu thầu nước với gói thầu có giá trị 100.000 USD 13 Do you have to get approval bidding document from high Government administrative agencies? (Code 86 Point Item/ code URP3) Ban quản lý anh/chị có phải xin phê duyệt hồ sơ thầu từ quan quản lý cấp cao không? 14 Do you have to get approval bidding document from international donor representative? (Code URP4) Ban quản lý anh/chị có phải xin phê duyệt hồ sơ thầu từ nhà tài trợ Quốc tế không? B.3 Limited tendering (Đấu thầu hạn chế) 15 Do you apply limited tendering method in procurement (Code NSP1) Ban quản lý anh/chị có áp dụng mua sắm theo hình thức đấu thầu hạn chế khơng? 16 Do you apply direct appointment of contractor method in procurement (Code NSP2) Ban quản lý anh/chị có áp dụng mua sắm theo hình thức định thầu khơng? 17 Do you apply Competitive quotation in procurement of goods method in procurement (Code NSP3) Ban quản lý anh/chị có áp dụng mua sắm theo hình thức chào hàng cạnh tranh không? 18 Do you apply Direct procurement method (Code 87 Point Item/ code NSP4) Ban quản lý anh/chị có áp dụng hình thức mua sắm trực tiếp không? C Integration Lồng ghép thống (quy định đấu thầu) 19 Do you apply purchasing method which is the most uniform between Vietnam Law and International regulation? (code APM) Phương thức mua sắm đấu thầu phù hợp với Luật Việt Nam quy định Quốc tế có áp dụng khơng? 88 APPENDIX CURRICULUM VITAE I Personal Information Full name: Nguyen Duy Phuong Date of birth: Dec., 13th 1974 Sex/ marriage status:Male/ marriage Nationality: Vietnam Contact address: Current residence Phone: No.15/183 Hoang Van Thai street – Hanoi- Vietnam o Tel: 09-88.77.66-50 o Mobile 09-03-427-637 Email address: phuongnguyenduy@yahoo.com 89 II Educational Qualification Institution Date from - Degree(s) or Diploma(s) obtained: Date to The National University of 2003-2006 Degree of Master of Laws 1994 -1998 Degree of Bachelor of Laws 1993 -1997 Degree of Bachelor of international Vietnam at Laws Department The National University of Hanoi Vietnam at Laws Department Hanoi Foreign Trade University at English Department Economics Hanoi Institute of TrainingHanoi construction investment 2012 Certificate of Project Evaluation 2010 Certificate of Procurement and Bidding 2011 Certificate of Education 2009 Certificate of Education Subjects 2008 Certificate of designing Lecture and consultancy and training JSC Ministry of Planning and Investment (MPI) National University of Education – Ministry of Education and Training (MOET) National University of Education – Ministry of Education and Training (MOET) National Institute of Education Management The National University of Hanoi Vietnam Education methods 2009 Certificate at Doctor level in English language 90 The National University of Hanoi 2002-2005 Certificate at master level Philosophy Vietnam Medical Equipment College 2004 Certificate Using, repairing, maintaining Medical Equipment Asian Development Bank 2004 (ADB) Certificate of Training Procurement and Anti-corruption course JICA in Japan 2004 Certificate of Public Health Training course III Civil service, eligibility and Government Working history Date Company/Project Position Description from to 2006Up now to Lecturer in - Teaching in Economic Laws The University of Labor and Laws; Officer - Teaching in Tax-Accountant Laws Social Affairs (ULSA) of - Science tasks International - Administration relationship Relationship between the University and Science and International Organizations Dept - Administration science study of International Lecturers and Students - Bidding Science Projects 91 Date Company/Project Position Description from to - Sale manager Import-export Dept: 1998Up now Promoting, Executing Business to Binh Thuan Goods processing Director of - International trading with writing, Import-export Company Rep Office reading and negotiating in business English language - Procurement procedure - Import –Export procedure, International payment, transportation, by English 2008- Project Management Units of Procurement - Medical Equipment Procurement 2009 Provincial Hospital consultant for consultant for Hospitals Development Project of The Regional and - Preparing medical technical and Ministry of Health / Provincial making bidding documents for local Add No 138 A Giang Vo – Hospital and international bids (in Thai Ha Noi Development Nguyen, Project provinces) under Vietnamese Laws System Science Consultants under JBIC and JBIC/JICA regulations Inc (SSC) ODA Loans - Planning procurement Add 3-18-13 Takadanobaba for the - Reviewing Shinjuku-ku Tokyo 169-0075 Ministry of Evaluation and Qualification Criteria Nhật Bản, Tel : 03-5337-6601 Health - Feasibility Study for investing in Fax: 03-5337-6609 / / Lang Son, report Ha of Tinh bidding 24 province hospitals 92 Date Company/Project Position Description from to 2002- Rural Health Project Procurement - Preparing medical technical and 2007 Management Units of manager of making bidding documents for local Ministry of Health at ADB ODA and international bids Add No 138 A Giang Vo – loans for the - Planning procurement Ha Noi Ministry of - Reviewing Health Evaluation and Qualification Criteria report of bidding - Organizing international seminar - Familiar with NGOs’ 2001- Projects Management Units Procurement - Preparing medical technical and 2002 of Ministry of Health officer, making bidding documents for local founded by World Bank, founded ADB, EC, SIDA World Bank, - Planning procurement Add 138 A Giang Vo – Ha ADB, - Reviewing Noi SIDA by and international bids EC, report of bidding Evaluation and Qualification Criteria - Organizing international seminar 1999- Medical Equipment College 2000 of Ministry of Health 1998- Medical and Construction 1999 Institute of Ministry of Health Collaborator Consultant for training of trainer using medical equipment Collaborator Consultant for medical equipment Membership of professional bodies: - Part-time staff of News paper - Member of College and University Association 93 I, the undersigned, certify that to the best of my knowledge and belief, this data correctly describes me, my qualifications and my experience Date ………………………………Nguyen Duy Phuong ……………………………… 94 APPENDIX BUDGET REVENUES AND EXPENDITURES Year 2000 2002 2003 Unit 2004 2005 2006 2007 2008 Billion US Dollars Budget revenue 20,5 23,1 24,8 26,7 27,2 28,7 27,6 28,1 24,7 27,7 29,5 29,9 31,3 31,6 34,9 33,3 6,7 8,4 9,7 9,2 9,4 9,1 9,8 Budget expenditures Public procurement 9,2 Source: General Statistical Office, Statistical Yearbook 2009 Page 98-100 APPENDIX TOTAL GOVERNMENT EXPENDITURE , 1990-2010 1995 2000 2004 2005 2006 2007 2008 2009 2010 Brunei D 66.0 40.6 36.8 32.1 28.9 30.3 27.8 34.8 28.5 Cambodia 14.8 14.8 13.9 13.2 14.1 14.7 15.9 20.5 20.7 Indonesia 14.7 15.8 18.6 18.4 20.0 19.2 19.9 16.7 16.5 Lao PDR 26.7 20.8 15.4 18.4 17.2 19.1 19.4 21.0 24.8 Malaysia 22.1 22.9 25.1 23.9 24.8 25.0 26.3 30.3 26.5 Myanmar 9.8 3.5 Philippines 18.2 18.1 17.3 16.9 16.7 16.5 16.3 17.7 16.8 Singapore 15.6 18.5 16.3 14.7 14.8 13.8 16.7 17.9 Thailand 15.4 17.3 18.4 18.5 18.5 18.8 18.8 20.8 20.4 Vietnam 23.8 22.6 26.2 27.3 27.5 29.4 27.7 31.8 30.7 Source: ADB, "Key Indicators for Asia and the Pacific 2010" Manila 2011 P 271 95 APPENDIX CORRUPTION PERCEPTIONS INDEX Year 2003 2004 2005 2006 2007 2008 2009 2010 Rank Rank in in 2009 2010 Brunei D … … … … … … 5.5 5.5 39 38 Cambodia … … 2.3 2.1 2.0 1.8 2.0 2.1 158 154 Indonesia 1.9 2.0 2.2 2.4 2.3 2.6 2.8 2.8 111 110 Lao.PDR … … 3.3 2.6 1.9 2.0 2.0 2.1 158 154 Malaysia 5.2 5.0 5.1 5.0 5.1 5.1 4.5 4.4 56 56 Myanmar 1.6 1.7 1.8 1.9 1.4 1.3 1.4 1.4 178 176 Philippines 2.5 2.6 2.5 2.5 2.5 2.3 2.4 2.4 139 134 Singapore 9.4 9.3 9.4 9.4 9.3 9.2 9.2 9.3 Thailand 3.3 3.6 3.8 3.6 3.3 3.5 3.4 3.5 84 78 VietNam 2.4 2.6 2.6 2.6 2.6 2.7 2.7 2.7 120 116 Source: ADB, "Key Indicators for Asia and the Pacific 2010" Manila 2011 P.276 96 APPENDIX MINISTRY OF HEALTH STRUCTURE Centre GOV MOH Hospitals Control directly by MOH Medical Universities Promotion centres PPC Province department of Health DPC Province Hospitals Hospitals Control directly by PPC Medical colleges Promotion center District department of Health District Hospital CPC General Hospital Community department of Health Medical centers Community clinic Medical staffs Public Administrative Management Medical qualification Management 97 REFERENCES Europe Economics Chancery House- Estimating the Benefits from the- Procurement Directives- 13 May 2011 - A Report for DG Internal Market) Economic Committee of National Assembly of Vietnam and UNDP- Macro-Economy Report 2012-, P.126 ADB, "Key Indicators for Asia and the Pacific 2008" Manila 2011 "Transparency and Openness of Public Procurement Market – Case of the Czech and Slovak Republic "Ing Jan Pavel, Ph.D., University of Economics, Prague, Faculty of Finance and Accounting, Department of Public Finance, nam W Churchilla 4, 130 67 Praha 3, Czech Republic "Procurement contracting strategies", Chapter 4- n Mimitri, G Piga, G Spagnolo (eds), Hanbook of procurement (Cambridge: CUP, 2006), P82 OECD (2000), “Centralised and Decentralised Public Procurement”, Sigma Papers, No 29, OECD Publishing JICA/JBIC -HANDBOOK for Procurement under Japanese ODA Loans (English) (Original Document), April 2012 The World Bank “Standard Bidding Documents” January 1995 Revised March 2000, January 2001, March 2002, and March 2003, P39-42 98 ... SCHOOL SOUTHERN LUZON STATE UNIVERSITY IN COLLABORATION WITH THAI NGUYEN UNIVERSITY DEED OF DECLARATION I, Nguyen Duy Phuong (English name: Noah), hereby submit my thesis for oral examination, entitled... MINISTRY OF HEALTH IN VIETNAM”, truthfully declare that the said paper is a product of my original research investigation Signed this …………………….2013 at Thai Nguyen University NGUYEN DUY PHUONG... Administration NGUYEN DUY PHUONG May 2013 ii A RESEARCH PAPER PRESENTED TO THE FACULTY OF THE GRADUATE SCHOOL SOUTHERN LUZON STATE UNIVERSITY IN COLLABORATION WITH THAI NGUYEN UNIVERSITY ACKNOWLEDGMENT
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