accomplishment of largescaled inspection by the government inspectorate in the implementation of social policies

MINISTRY OF EDUCATION AND TRAINING HO CHI MINH NATIONAL ACADEMY OF POLITICS AND PUBLIC ADMINISTRATION NATIONAL ACADEMY OF PUBLIC ADMINISTRATION NGUYEN THANH HAI ACCOMPLISHMENT OF LAR

MINISTRY OF EDUCATION

AND TRAINING

HO CHI MINH NATIONAL ACADEMY OF POLITICS AND PUBLIC ADMINISTRATION

NATIONAL ACADEMY OF PUBLIC ADMINISTRATION

NGUYEN THANH HAI

ACCOMPLISHMENT OF LARGE-SCALED INSPECTION BY THE GOVERNMENT INSPECTORATE IN THE IMPLEMENTATION OF

SOCIAL POLICIES

Major: Public administration management

Code: 62 34 82 01

SUMMARY OF DOCTORIAL (PhD) THESIS

IN PUBLIC ADMINISTRATION MANAGEMENT

HANOI - 2013

The work is completed at: NATIONAL ACADEMY OF PUBLIC ADMINISTRATION

Scientific adviser: Prof Dr Dinh Van Mau

Critic 1: Dr Tran Duc Luong

Critic 2: Asso.Prof Dr Le Thi Thien Huong

The thesis is defended before the Thesis Assessment Council, National Academy of Public Administration

Location: PhD thesis defence room - floor National Academy of Public Administration Building

No: 77 - Nguyen Chi Thanh Street - Dong Da District - Hanoi Time: at hour month 2013

May find the thesis at the National Library of Vietnam

or library of the National Academy of Public Administration

FOREWORD

1 Rationales

Inspection organization is established, developed and accomplished together with the formation and development of the State, serves as a vital function of the State management agency that exercises democracy and jurisdiction With its function and task, the inspection keeps being renovated, developed and further completed both in theory and in practice The inspection in general and the large-scaled inspection in particular are aimed at inspecting the compliance with the policies, laws, tasks and plans entrusted by the State to the State management agencies all over the country It makes positive contribution to preventing and dealing with violations, promoting the accomplishment of the management mechanism, enhancing socialist legal system, protecting legal rights and interests of the agencies, organizations and citizens However, to help the Government and agencies, sectors and industries clearly aware of achievements and inadequacies in the promulgation of legal documents; shortcomings and errors in the compliance with the policies and guidelines issued by the Communist Party of Vietnam and the State of Vietnam through the implementation of social policies to put forth correct evaluations, comments and conclusions On that basis, it is possible to propose proper and timely solutions in accordance with actual situation

For this very reason, we choose the theme: “Accomplishment of

large-scaled inspection by the Government Inspectorate in the implementation of social policies”

2 Purpose and task of research

2.1 Purpose of research

Based on researching, systematizing theory, analyzing actuality and proposing the solution to accomplishing the large-scaled inspection process by the Government Inspectorate in the implementation of social policies in Vietnam at present

2.2 Task of research

- Systematizing theory on inspection and large-scaled inspection

by the Government Inspectorate in the large-scaled inspection by the Government Inspectorate in the implementation of social policies

- Analyzing existing condition of the large-scaled inspection by the Government Inspectorate in the implementation of social policies

- Proposing solutions to accomplishing the large-scaled inspection by the Government Inspectorate in the implementation of social policies On that basis, establishing the large-scaled inspection process by the Government Inspectorate in the implementation of social policies in Vietnam

3 Object and scope of research

4 Method of research

Based on the methodology by the dialectical materialism and historical materialism, based on the Marxist-Leninist viewpoints, Ho Chi Minh ideology and objective of the Communist Party of Vietnam, the State of Vietnam, regulations of the Constitution and the laws on the implementation of social policies, the theme uses many specific research methods:

a Method of analysis and summarization

b Method of mathematical statistics

c Method of collecting specialist suggestions

d Method of questionnaire

5 Contribution by the thesis

5.1 Theory

- Supplementing and systematizing theory on the inspection and the large-scaled inspection by the Government Inspectorate in the implementation of social policies

- Pointing out the relationship between large-scaled inspection and social policies

- Indicating the similarity and difference between large-scaled inspection by the Government Inspectorate and the major inspection

by the Ministry and sector; between the organizational structure and the inspection of Vietnam and those of other countries in the world

5.2 Practice

- Analyzing, evaluating actuality of large-scaled inspection in the implementation of social policies in 06 fields: social security assurance; social insurance - health insurance; environmental and natural resources protection, afforestation associated with poverty reduction; healthcare; education - training and culture - sports - tourism The thesis has pointed out the role, position and importance

of the aforesaid policies and types of errors, their reasons and recommendations during the inspection

- Some experiences withdrawn from large-scaled inspection

5.3 Result of research

- Proposing the direction and a system of 05 solutions, namely: (accomplishment of institution; personnel organization of the group; expenditure; enhanced coordination by the leadership of the Government Inspectorate and the leadership of Ministries, sectors and localities; communication of laws, international cooperation) and 04 groups of conditions, namely: (accomplishment of the preparation for inspection; inspection performance; inspection completion and handling after inspection) in order to accomplish the large-scaled inspection by the Government Inspectorate in the implementation of social policies

6 Structure of the research theme

- Chapter 1: Theoretical basis of the large-scaled inspection by the Government Inspectorate in the implementation of social policies

- Chapter 2: Existing condition of the large-scaled inspection by the Government Inspectorate in the implementation of social policies

- Chapter 3: Solution to accomplishing the large-scaled inspection by the Government Inspectorate in the implementation of social policies

OVERVIEW ON THE RESEARCH AND ISSUES RELATED

TO THE THESIS THEME

I Previous researches related to the theme

1 Domestic researches

First direction: Researching the formation, development and

tradition of the Inspection sector

Second direction: Researching the theoretical basis, practical

basis and solutions to enhancing inspection efficiency

Third direction: Researching the theoretical basis, practical

basis and solutions to enhancing the efficiency of solving complaints and accusations

Forth direction: Researching the theoretical basis, practical basis

and solutions to enhancing the efficiency of corruption prevention

2 Foreign researches

First direction, focusing on researching the administrative

inspection and supervision

Second direction, focusing on researching the supervision and

inspection of administrative obligations from the Central government

to the local government and researching to enhance the efficiency of the activities of the State-empowered organizations

Third direction, the authors pay attention to researching the

inspection of the Communist Party of Vietnam and corruption prevention

II Issues to be researched

The thesis should research and clarify the relationship between the large-scaled inspection and social policies, the role of large-scaled inspection by the Government Inspectorate in the implementation of social policies The thesis should also indicate the

similarity and the difference between large-scaled inspection and small-scaled inspection; large-scaled inspection by the Government Inspectorate and major inspection by the Ministry, sector; between the organizational structure and activity of Vietnam and those of some countries in the world

The thesis analyses and evaluates the actuality, points out errors of organizations and individuals related to the implementers, policy beneficiaries all over the country At the same time, it also points out inadequacies of the promulgated State policy mechanism

On that basis, the thesis proposes the direction, solution to accomplishing and establishing a process of large-scaled inspection by the Government Inspectorate in the implementation of social policies

Chapter 1

THEORETICAL BASIS OF LARGE-SCALED INSPECTION

BY THE GOVERNMENT INSPECTORATE IN THE IMPLEMENTATION OF SOCIAL POLICIES

1.1 Definitions related to the theme

1.1.1 Inspection and large-scaled inspection

1.1.1.1 Inspection

The nature of inspection is always associated with the State

management Therefore, under the current Inspection Law, “State

inspection is to consider, evaluate and handle under the statutory sequence and procedure stipulated by the competent State authority

on the implementation of policies, laws, tasks and rights of the agencies, organizations and individuals State inspection includes administrative inspection and specialized inspection”

As such, it can be understood that: Inspection is a type of activity, a function of the State management, conducted by the competent management entity, on behalf of the State power in order to influence the object of management Based on considering and evaluating advantages and disadvantages, bringing into full play the positive factor, preventing and handling violations Contributing to accomplishing the management mechanism, enhancing the socialist

legal system, protecting the State interest, legal rights and interests of the agencies, organizations and citizens

1.1.1.2 Large-scaled inspection

“Large-scaled inspection is the form of direct inspection by the State inspection organizations on a large scale under the guidance by the competent State management levels in order to clarify advantages and disadvantages in management, operate, observe socioeconomic issues for the State macro management (object of adjustment and scope of adjustment of decision, inspection directive and impact of conclusion and recommendation after inspection on a large scale, macro management significance)” [58, 475]

1.1.1.3 Differentiation of large-scaled inspection and scaled inspection; large-scaled inspection by the Government Inspectorate and major inspection by the Ministry, sector

small-1.1.2 Social policies

Social policies mean the State institutionalization of guidelines and viewpoints by the Communist Party of Vietnam on solving social issues related to person, group of persons or all residential communities in order to develop people, do for the people, establish the social equity, social order and safety, make social development and progress right in each step and development accuracy, fulfill well obligations, devote and enjoy, create stronger and more sustainable for the socioeconomic development Focusing

on solving urgent social issues

1.2 Large-scaled inspection in the implementation of social policies

1.2.1 Definition of large-scaled inspection in the implementation of social policies

Large-scaled inspection over social policies is the form of direct inspection by the State Inspection agencies, on large scale, under the guidance of the competent State management levels, over social policies in order to clarify advantages and disadvantages in planning, exercising policies, managing the implementation of policies, operating, observing the implementation of social policies, the issues

arising during the realization of policies for the State macro management

1.2.2 Role of large-scaled inspection in the implementation

Large-scaled inspection over social policies is of great importance in preventing, detecting and handling illegal acts in general and in implementing social policies in particular

1.2.3 The relationship between large-scaled inspection and social policies

Under the administration management cycle, inspection is a vital step in order to consider, evaluate and handle the implementation

of policies, laws and tasks by the agencies, organizations and individuals within management competence

Large-scaled inspection is a form of inspection and serves as the controlling tool with the State power for the policy implementation

1.3 Comparison of organizational structure and inspection of Vietnam and those of some countries in the world

1.3.1 Organizational structure and inspection of some countries in the world

1.3.1.1 Parliament Inspectorate

It is the common model in Nordic countries, South America countries and some other countries Sweden and Denmark are the countries that established such organization the earliest in the early

20th century Parliament Inspectorate is the agency of the Parliament that exercises supreme supervision of the power agency on the activities of executive and judicial agencies It operates in the principle of independence and complies only with the laws Agencies,

organizations and individuals must not interfere with the activity of the Parliament Inspectorate

1.3.1.2 Administrative inspectorate and supervisor

This is a relatively common model in Asian and African countries such as China, Korea, Laos and Egypt

1.3.1.3 Specialized inspectorate

It is established in the ministries and sectors with the State management function and designed to Inspect, check the compliance with the laws on the issues within the management scope of such ministries or sectors The specialized Inspectorate is under the direct guidance and management of the Minister This model is relatively common in most countries such as France, Egypt, US and UK

1.3.2 Comparison of organizational structure and inspection of Vietnam and those of some countries in the world

Through research and comparison in terms of organizational model, inspection activity, large-scaled inspection of Vietnam and those of some countries in the world, it can be seen that: at present, in the World, there exists 3 Inspectorate models (Parliament Inspectorate, Administrative Supervision Inspectorate and Specialized Inspectorate) These three organizations have similarities and differences with the Administrative Inspectorate and the Specialized Inspectorate of Vietnam In particular, the model of Administration Supervision Inspectorate and the model of Parliament Inspectorate of Nordic countries and some Asian countries; Egypt have no large-scaled Inspection For the organizational system and activity of specialized inspectorate in Vietnam, like the specialized inspectorate

of these countries and large-scaled inspectorate in Vietnam, they are organized by the Government Inspectorate, guided by the Prime Minister and must not handle administrative violation

CONCLUSION OF CHAPTER 1

For the social policies to be developed and put into life effectively, avoid restrictions and shortcomings, the State management on social affairs or in the implementation of social

policies, the State is necessarily required to use effective inspection and supervision tools with the State power, i.e inspection activity at macro level and large-scale inspection activity is of great necessity

Through analyzing and comparing the organizational model and the inspection activity of Vietnam and those of some countries in the world, we can see that the large-scaled inspectorate model of Vietnam has basic difference compared with some countries in the world in the subject of inspection and way of inspection

Chapter 2

EXISTING CONDITION OF LARGE-SCALED INSPECTION

BY THE GOVERNMENT INSPECTORATE IN THE IMPLEMENTATION OF SOCIAL POLICIES

2.1 Administrative institution on the large-scaled inspection by the Government Inspectorate in the implementation

of social policies

The document stipulates the inspection organization and activity: Inspection Law No 56/2010/QH12 passed on 15/11/2010 including 07 chapters, 78 articles stipulates the specific functions, tasks and organizational structure of the Government Inspectorate, Inspectorate of the Ministries, sectors and locality, creating legal basis for the inspection organization and activity at various levels for implementation

The instructive guidance document: Decree No

86/2011/ND-CP dated 23/9/2011 by the Government guiding the implementation of the Inspection Law and legal documents regarding the organizational structure and activity of inspectorates of sectors and fields Or legal documents regarding the specialized inspection process in specific sectors and fields These are the documents that create legal framework for the inspectorate to carry out inspection activities in general and large-scaled inspection activities in particular effectively, closely and statutorily

The inspection process is stipulated in the Circular No 02/2010/TT-TTCP dated 02/03/2010 by the Government Inspectorate, including 03 phases: Preparation; Performance and Completion

2.2 Existing condition of large-scaled inspection in the implementation of social policies

2.2.1 Existing condition of large-scaled inspection in the implementation of priority policies for the merit people

Under the guidance of the Inspector-General, the inspection was conducted in 59 out of 61 provinces and cities and 2 Ministries (Ministry of National Defense, Ministry of Labor - Invalids and Social Affairs) and it was found that 7,340 dossiers of the wounded soldiers and policy beneficiaries who die a long time ago still received allowance as if they were living, 123 dossiers have false statement in terms of time, 192 dossiers have wrong injury ratio and other errors such as lack of original dossiers with 1,572 cases; 759 dossiers have wrong witnesses, 3,542 people have different errors

Through the large-scaled inspection, the Government Inspectorate detected a wide range mistakes at grassroots level Apart from the effect of reorganizing the operation, compliance with the laws, the policies of the Communist Party of Vietnam and the State of Vietnam, large-scaled inspection by the Government Inspectorate on the implementation of priority policies for the merit people towards the revolution has consolidated the people’s confidence in the leadership of the Communist Party of Vietnam and the Government of Vietnam

2.2.2 Existing condition of large-scaled inspection in the implementation of Social insurance - Health insurance policies

The result of inspection over social insurance shows that: Total revenue of social insurance and health insurance from 2005 to 2009 is 165,843,599 million VND Fund growth investment activity: As at 31/12/2009, idle money of the social insurance fund is 107,435,176 million VND Total fund growth investment capital is 98,563,000 million VND Total fund growth amount from 01/01/2005 to 31/12/2009 is 27,718,722.08 million VND The result of mistake via

inspection in the provinces might be handled as follows: Payment into the State budget: 33,334.9 million VND, payment into the social insurance fund: 6,156,031.15 million VND

Delayed payment or indebtedness of social insurance, especially

in the enterprise block occupies a great rate Many enterprises have prolonged indebtedness or lack responsibility in paying health insurance for the employees The compliance with health insurance systems has some violations such as signing medical examination and treatment contracts, making coincident payments that are different from the reality, making prescriptions with wrong quantity of medicine and wrong price of medicine, not spontaneously enumerating medical examination and treatment expenses under the regulations with total violated money of 647,403.14 million VND The lending has some violations such as signing contracts with loose borrowing and paying time to the extent of paying debt prematurely when basic interest rate decreases; lending with interest rate lower than posted by the State Bank of Vietnam; lending with interest rate lower than posted by Vietnam Social Insurance at the same time and interest payment method by year, reducing loan interest with total amount of 104,972.67 million VND, reducing the fund growth investment efficiency under Article 96 of the Law on Social Insurance

2.2.3 Existing condition of large-scaled inspection in the implementation of the policies for natural resources and environmental protection, afforestation and poverty reduction policy

Through the large-scaled inspection over the afforestation and poverty reduction program, it can be seen that the Dispersed investment and loose management have led to corruption and capital slack; the afforestation program has not yet been closely associated with the resettlement program and land and forest allocation guideline; therefore, the socioeconomic efficiency of the project is low

Through the inspection by the Government Inspectorate and the Inspectorate of 39 provinces (cities), it is concluded that although the programs and projects receive the great attention and investment from the State, the unified guidance is absent and the integration between