Đánh giá chính sách bảo vệ môi trường đô thị ở việt nam hiện nay tt tiếng anh

A practical research was done on the effectiveness of the evaluation of urban environmental protection policy in Vietnam in the period of 2005 - 2018 and conducted an empirical test for

VIETNAM ACADEMY OF SOCIAL SCIENCES

GRADUATE ACADEMY OF SOCIAL SCIENCES

NGUYEN THI THUY HANG

EVALUATION RESEARCH ON URBAN ENVIRONMENTAL

PROTECTION POLICY IN VIETNAM HỢP TÁC XVẬN TÀI THỦY-BỘ

NỘI ĐỊA Major: Public Policy Major Code: 9.34.04.02

SUMMARY OF THE THESIS ON PUBLIC POLICY

HANOI- 2019

The project was completed in:

VIETNAM ACADEMY OF SOCIAL SCIENCES

GRADUATE ACADEMY OF SOCIAL SCIENCES

Supervisor: Assoc.Prof.Dr Do Phu Hai

Reviewer 1: Assoc.Prof.Dr Nguyen Huu Hai

Reviewer 2: Assoc.Prof.Dr Nguyen Chu Hoi

Reviewer 3: Assoc.Prof.Dr Le Bo Linh

The thesis will be defended against the Thesis Review Board at Graduate Academy

of Social Sciences

At h, Date Month Year ……

The thesis is available on:

- Library of Graduate Academy of Social Sciences

- National library of Vietnam

LIST OF SCIENTIFIC WORKS OF THE AUTHOR

RELATED TO THE THESIS

1) Nguyen Thi Thuy Hang (2018), Urban environment protection policy

evaluation in Vietnam: Weaknesses and solutions, Journal of Political Sciences, Vol

5-2018 ISSN 1859-0187, pp 50-53 & 69

2) Nguyen Thi Thuy Hang (2018), Urban environment protection policy:

Weaknesses and solutions for sustainable development of the urban system in Vietnam, Management for Urban Development in Vietnam of the period of year

2008-2018, Construction Publisher, ISBN 978-604-82-2682-4 PP 210-217

3) Nguyen Thi Thuy Hang (2018), Methodology for Environmental Policy

Evaluation in the Netherlands and Experiences for Vietnam, Journal of Social

Sciences in Vietnam, Vol 4-2018 ISSN 1013-4328 PP 42-49

4) Nguyen Thi Thuy Hang et all (2017), Nuclear power safety policy in the

world and implications for Vietnam, Journal of Social Sciences of Vietnam, Vol 11 -

2017 ISSN 1013-4328 PP 118-125

5) Nguyen Thi Thuy Hang et all (2017), Policy Design in the Reduction of

Greenhouse Gas Emission in Vietnam, Vietnam‟s Socio- Economic Development, A

social Science review- No.89, April 2017 ISSN 0868-359X PP.55-63

6) Nguyen Thi Thuy Hang et all (2016), Policy instruments for the reduction of

greenhouse gas emission of the period of year 2021-2030 and vision to year 2050 in Vietnam, International conference of Vietnam study V organized on 15-16th

December 2016 in Hanoi, Vietnam ID: VS4.011

1 Research motivation

The urban environment protection policy (UEPP) plays a key role for sustainable development The UEPP is an important attribute of the environment protection policy in Vietnam which is strongly enforced after the following Decree 41-NQ/TW dated on 15/11/2004 to protect environment in industrialization and modernization in Vietnam

The urban environmental protection policy in Vietnam is constantly being revised and based on the results of the policy evaluation However, there are shortcomings in the policy evaluation as not sufficient and not objective, ensuring the best policy improvement and improving the efficiency and effectiveness and appropriate of UEPP Policy evaluation is the last stage (and post appraisal phase) of the public policy cycle, and the urban environmental protection policy is the necessary minor public policy sector that is finalized based on the results of the policy evaluation fully, objectively and scientifically (Jame Q Wilson, Do Phu Hai, 2016)

Therefore, it is imperative that theoretical research on environmental protection policy evaluation, it proposed models and measures to enhance the evaluation of environmental protection policy, contribute to the improvement of this policy in

Vietnam in the coming time Research topic "Evaluation research on urban environmental protection policy in Vietnam" was selected for thesis of the PhD

2.2 Research activities

A theoretical research was done for the evaluation of urban environmental protection policy, thereby developing a theoretical model for evaluating the urban environmental protection policy A practical research was done on the effectiveness

of the evaluation of urban environmental protection policy in Vietnam in the period

of 2005 - 2018 and conducted an empirical test for theoretical model of environmental protection policy evaluation in Vietnam The research substantively proposed models and solutions to improve the effectiveness of environmental protection policy evaluation in Vietnam

3 Research unit and scope of research

in Vietnam practice, it proposed practical model and solutions for the completion of urban environmental protection policy evaluation for Vietnam

The time frame: 2005 -2018

The spatial scope: The sampling of 06 urban centers in Vietnam includes Ha Noi, Da Nang, Vinh, Quy Nhon, Lao Cai and Son La city

4 Theoretical framework and research methodology

4.1 Theoretical framework

The theoretical framework in public policy science includes public policy theory, public policy cycle, public policy analysis, public policy evaluation, environmental policy evaluation combined with the ruling Party and State point of views on urban environmental protection policy evaluation for Vietnam

of the thesis (Figure 1)

5 New contribution of the thesis

The new contributions are theory development of urban environmental protection policy; theoretical model development of urban environmental protection policy evaluation It is a practical evaluation of urban environmental protection policy in Vietnam in 2005-2018 and empirical test of model evaluation of public policy in Vietnam It interpreted the basic point of views and requirements and proposed a practical model for urban environmental protection policy evaluation in Vietnam and solutions to improve this policy evaluation

Figure 1: From theoretical framework analysis to research plan

Source: the author of the thesis, 2018

6 The theoretical and practical significance of the thesis

6.1 Theoretical and practical significance

The thesis contributed for the development of theoretical framework of public policy, policy evaluation; finalization of theoretical framework of urban environmental protection policy evaluation It developed successfully the theoretical model of urban environmental protection policy evaluation; it conducted an empirical test of the theoretical model of urban environmental protection policy evaluation and proposed the completion of urban environmental protection policy evaluation in Vietnam

6.2 Practical significance

The research results of the thesis are the scientific basis to help renovate the evaluation of urban environmental protection policy; evaluate the urban environmental protection policy evaluation, aiming to more objective and scientific evaluation; it thereby contributed to strengthening the policy planning, formulation and implementation of urban environmental protection policy in Vietnam; These results of the research can be used as a reference for research, education and training

on urban environmental protection policy at research and educational institutions in public policy, environmental protection policy The thesis is also a useful reference source for urban environmental protection policy actors

7 Structure of the thesis

al protection policy evaluation

in Vietnam

Theoretical framework

Set up independent variables of the

model of urban environmental

protection policy evaluation

(identification of objective, approach,

methodology, methods, participation

of stakeholders, institutions,

influencing factors)

Evaluation of Urban environmental protection policy in Vietnam

Findings from the urban

environmental protection policy evaluation in Vietnam:

achievements, constraints, causes

Practical independent variables of the model of urban environmental protection policy evaluation in Vietnam

Solutions for the improvement of urban

environmental protection policy evaluation in next period

Context, point of views, orientations, objectives and recommended model and solutions for urban

environmental protection policy evaluation in Vietnam Context

For the exception to Preamble, Conclusions and References and Annexes, the thesis is included of 04 chapters as follows:

Chapter 1 Literature review and research planning;

Chapter 2 Theoretical framework of urban environmental protection policy evaluation in Vietnam;

Chapter 3 Empirical analysis of urban environmental protection policy

evaluation in Vietnam period 2005-2018;

Chapter 4 Model and solutions of urban environmental protection policy

evaluation in Vietnam

CHAPTER 1: LITERATURE REVIEW AND RESEARCH PLANNING 1.1 Literature review

1.1.1 Literature review of urban environment protection policy

The urban environmental policy problems are such as environmental pollution (air, water, land), waste management (solid, liquid, gas), subsidence, change of urban heat (Party Committee of Government, 2013; Castrechini, E Pol, J Guàrdia-Olmos, 2014; WB, 2014; Chunyang He et al., 2017 .) and many studies indicated the complexity of such problems

The environmental protection policy solutions are included: "Green Building Vietnam, Strategy - Solutions" (2015) and "Setting up sustainability criteria for the city to become the leading sustainable development of the country" (2016) by Pham Ngoc Dang…

The research on environmental policy instruments are such as "OECD's Comprehensive Environmental Policy Instruments", 2007; "Environmental Assessment Report 2010 in Japan" of OECD, 2010; "Politics and Environmental Policy in Germany" by Helmut Weidner, 2002; "Challenges for the Institutionalizing Strategic Environmental Assessment" by Daniel Slunge, Trang Thi Huyen Tran, 2014; "An evaluation of the environmental impact assessment system in Vietnam: The gap between theory and practice" by Alison Clausen, Hoang Hoa Vu, Miguel Pedrono, 2010; "Environmental Impact Assessment in Vietnam, November 2011" by Mai Thanh Dung; "Law on environmental protection charges for wastewater in Vietnam" by Nguyen Ngoc Anh Dao, 2010; The report on "Research on theoretical and practical basis and propose solutions to apply governance… market economy institutions management" by the Institute of Natural Resources and Environmental Policy (2016)

Some research results are pointed to the interactions, constraints amongst environmental policy objectives, environmental policy instruments and the objectives

of other public policies

1.1.2 Literature review of urban environment protection policy evaluation

A number of studies assessing the impact of national policy on environmental protection assessing environmental policy instruments (Nguyen Manh Ha et al., 2008, Institute for Natural Resources and Environmental Policy, 2013 & 2014, Institute of Environmental Science, 2014 & 2015, Thu Thuy Pham et al., 2015) Studying and evaluating the results, impact of environmental protection policy, urban environmental protection policy of ministries/ Departments of Natural Resources and Environment in provinces and cities in recent years reflected in the status reports of environment, is Driving Forces – Pressure – State – Impact – Response (DPSIR) In general, these policy evaluation reports have included the evaluation of the impact of environmental protection policy on environmental quality, socio-economic development, and shortcomings and the cause of the solution, the policy instruments but quite subjective

There are a number of international, regional, national and other studies on environmental policy evaluations such as the Organization for Economic Co-operation and Development, OECD 2010-2016, the ASEAN, 2009 & 2017; Rob Maas et al., 2011; Guangqin

Li et al., 2017; Huiming Zhang et al., 2017; M TahaKasim, 2017 These studies showed that various models of urban environmental protection policy evaluation are appropriate Evaluation studies are conducted by a variety of stakeholders who are not subject to policy formulation and

implementation that assists in the objectivity of the evaluation

1.1.3 Liturature review of approach, methodology and evaluation methods of public policy and environment protection policy evaluation

A number of studies were done on evaluation approaches, evaluation methodologies and evaluation methods for evaluating public policy and environmental policy have been reviewed

by many national and international scholars such as Per Mickwitz (2003); Joos Gysen et al (2006); Ann Crabbe 'and Pieter Reroy (2008); Do Phu Hai (2012, 2016, 2017); Institute for Natural Resources and Environmental Policy (2015)

1.2 Research planning

The thesis planned to study the systematization of theoretical framework, empirical research and it proposed a theoretical model for environmental protection policy evaluation From that, the key research question is as follows: What is the theoretical framework of the urban environmental protection policy evaluation? What is the practice of environmental protection policy evaluation in Vietnam? What is the appropriate, effective and effective model for evaluating urban environmental protection policy in Vietnam and what are measures to improve the urban environmental protection policy evaluation in Vietnam in the coming time

Summary of chapter 1

The literature review of the research has clarified the research findings related

to the environmental protection policy evaluation and it pointed out a lot of gaps related to the research of urban environmental protection policy evaluation It is specific that the theoretical framework of environmental protection policy evaluation

is still limited The research focuses on the theoretical framework of environmental protection policy evaluation, development of a theoretical model for evaluating the

urban environmental protection policy The research required an empirical test of this theoretical model for the urban environmental protection policy evaluation in the context of Vietnam The result of empirical analysis of the policy evaluation model is

a basis for recommending solutions to improve the effectiveness and efficiency of this policy evaluation in the coming time

CHAPTER 2: THEORETICAL FRAMEWORK OF URBAN

ENVIRONMENTAL PROTECTION POLICY EVALUATION IN VIETNAM

2.1 Urban environmental protection policy

From theoretical studies on public policy and environmental policy, the thesis came to the definition "Urban environmental protection policy is a related set of decisions to choose policy objectives and its solutions and instruments to solve the problem of urban environment protection policy to follow the overall objective of ruling Vietnam communist party"

2.2 Policy instruments of urban environmental protection policy

Per Mickwitz (2003), OECD (1994 & 2010), Helmut Weidner (2002), Do Phu Hai (2017), group of policy instruments for urban environmental protection policy including organizational policy instruments; command-based instruments; economic policy instruments; information policy instruments for persuasion The policy instrument for evaluating environmental protection policy is the overall survey, socio-economic survey, expert panel discussion, social evaluation (social feedback

model)

2.3 Urban environmental protection policy evaluation

According to the theory of the public policy cycle, the public policy evaluation

is the last stage (and post phase) of the public policy cycle, defined as: "urban environmental protection policy evaluation is an examination of the public policy containing administrative political legal characteristics by specific criteria or principles such as relevance, completeness, efficiency, effectiveness and policy impact to improve policy planning, policy formulation, policy implementation in

order to solve successfully the environmental protection policy problem in the future 2.4 Effectiveness of urban environmental protection policy evaluation

The effectiveness of the urban environmental protection policy evaluation is understood as the achieved results of post policy evaluations (Hai Do 2017) This is the learning from the results of the policy evaluation including information that helps improve policy capacity through a sound understanding, leading to change in awareness and behavior from „learning by doing‟ of policy actors such as people, enterprises, environmental and social management agencies, politicians and public media influences the formulation, amendment, supplementation, reform of this policy

The effectiveness of policy evaluation, on the one hand, is the perception of policy problem and the degree to which policy instruments are being implemented, and the extent to which these policy objectives are met Finally, how does this policy evaluation lead to change in the decision-making process of the revised policy? The effectiveness of the urban environmental protection policy evaluation has a linear dependence on independent variables, namely, the identification of policy objectives, policy evaluation approaches, policy evaluation methodology; the methods are used

in policy evaluations, the level of participation of policy evaluations, institutions of

policy evaluation, factors influencing policy evaluation

2.5 Theoretical model of urban environmental protection policy evaluation

The conception defined: "Theoretical model for evaluating urban environmental protection policy is a set of independent variables simulating urban environmental protection policy evaluation" Theoretical model for evaluating urban

environmental protection policy is elaborated as follows

Y = F (X 1i , X 2i , X 3i , X 4i , X 5i , X 6i , X 7i )

Y: Effectiveness of urban environmental protection policy evaluation;

X 1i : Identification of objectives of urban environmental protection policy evaluation;

X 2i : Approach of urban environmental protection policy evaluation;

X 3i : Methodology of urban environmental protection policy evaluation;

X 4i : Methods of urban environmental protection policy evaluation;

X 5i : Level of policy actors participation in urban environmental protection policy evaluation;

X 7i : Factors influencing urban environmental protection policy evaluation

2.6 Set up the model of urban environmental protection policy evaluation

2.6.1 Objective of urban environmental protection policy evaluation

Identifying the objective of the urban environmental protection policy evaluation, that has a causal relationship with the effectiveness of public policy evaluation Identifying policy objectives from beginning has a powerful influence on the effectiveness of policy evaluation As a result, the literature review suggests that the objective of the urban environmental protection policy evaluation may be is to revise and improve the public policy making toward better and more appropriate, more feasible, more effective and bring about more positive impacts, high sustainable policy impacts and reduce undesirable negative impacts on the urban environment towards sustainable development, to contribute to national, regional and global sustainable development

2.6.2 Approach of urban environmental protection policy evaluation

The effectiveness of urban environmental protection policy evaluation depends largely on the approach taken in evaluating urban environmental protection policy The results of a literature review of the study and empirical analysis are shown that

the evidence of the independent variables to approach in assessing urban environmental protection policy with the effectiveness of public policy evaluation

2.6.3 Methodology of urban environmental protection policy evaluation

The effectiveness of the environmental protection policy evaluation depends on the important independent variables, which are the methodologies for carrying out the urban environmental protection policy evaluation The theoretical model for urban environmental protection policy evaluation depends on the type of methodology used

to evaluate the public policy Thus, the methodology used in the specific policy evaluation model has a significant impact on the outcome and effectiveness of urban environmental protection policy evaluation

2.6.4 Methods of urban environmental protection policy evaluation

The effectiveness of the environmental protection policy evaluation depends on the independent variable are the methods of policy evaluation The level of effectiveness of the policy evaluation depends on the methods and its processes used

in the environmental policy evaluation, the methods of urban environmental protection policy evaluation as a group of quantitative methods, qualitative methods

or a combination of quantitative and qualitative methods

2.6.5 Level of stakeholder participation in urban environmental protection policy evaluation

The effectiveness of environmental protection policy evaluation depends on the following important independent variable That is the level of participation of urban environmental protection policy stakeholders in this policy evaluation The policy stakeholder analysis helps to understand this independent variable, which is very important in the practice of urban environmental protection policy evaluation

2.6.6 Institutions of urban environmental protection policy evaluation

The effectiveness of urban environmental protection policy evaluation depends

on the following important independent variable, which is the rule of urban environmental protection policy evaluation They are official regulations; informal rules to determine the level of effectiveness of the urban environmental protection policy evaluation

2.6.7 Factors influencing on urban environmental protection policy evaluation

The effectiveness of urban environmental protection policy evaluation is influenced by a number of fundamental factors such as political institutions, political systems [47], resources for policy evaluation (finance, human resources, technology etc) They are horizontal and vertical relationships, state organization culture and social values are all important factors influencing the urban environmental protection policy evaluation, technology used in policy evaluation, international factors, public media and public opinion

Summary of chapter 2

Theoretical model for evaluating urban environmental protection policy is a set

of independent variables simulating urban environmental protection policy evaluation A theoretical model for evaluating urban environmental protection policy has been developed, however using a model that is appropriate and effective in the context of Vietnam needs to understand the practice of evaluating the urban environment protection policy and analyzes the achievement, the gained effectiveness and efficiency as well as the constraints and shortcomings that need to be overcome

in the situation of public policy evaluation, thus requiring further verification of empirical analysis of this model in Vietnam

CHAPTER 3: EMPIRICAL ANALYSIS OF URBAN ENVIRONMENTAL PROTECTION POLICY EVALUATION IN VIETNAM PERIOD 2005-2018 3.1 Urban environmental protection policy in Vietnam

The objective of environmental protection policy in Vietnam is defined as "By the year of 2020, to restrain the level of environmental pollution and biodiversity loss to ensure the quality of the living environment, maintain ecological balance towards a green economy, friendly with the environment By the year of 2050, ensure the quality of living environment and ecological balance, strive to achieve environmental targets equivalent to the current level of industrialized countries in the region” The targets are indicated in the Politburo's Directive No 36/CT/TW; Resolution No 41-NQ/TW; Directive 29-CT/TW dated 21th January 2009; Resolution No 24-NQ/TW

3.2 Practical urban environmental protection policy evaluation in Vietnam in a

period 2005-2018

The evaluation of urban environmental protection policy in Vietnam for the period of 2005-2018 was synthesized and analyzed with secondary and primary data obtained from the survey as below

3.2.1 Choosing objective of urban environmental protection policy evaluation

in a period 2005-2018

As a result of survey and in-depth interviews and literature review indicated that the ultimate aim of the assessment of urban environmental protection in Vietnam from 2005 to date is to revise and improve the environment protection policy to make the environmental policy better, more relevant, more feasible, more effective, and bring more positive impacts, sustainable development impact According to survey results, the specific purpose of evaluating urban environmental protection policy from

2005 to present is diversified but mainly serves the need of state management on environment protection (88.4%) and amendment and supplementation books, law (87.3%); Other purposes account for a lower proportion (Figure 1) The final evaluation of urban environmental protection policy in Vietnam is to evaluate the results of policy implementation, analyze the causes related to the proposal, and

propose amendments to policy solutions and policy instruments

Figure 1: Choosing objective of urban environmental protection policy evaluation

in a period 2005-2018 in Vietnam (Source: Social survey in 2018)

3.2.2 Approach of urban environmental protection policy evaluation in a period 2005-2018

As a result of sociological survey shown that the top-down approach and little participatory approach are the two most common approaches in urban environmental protection evaluation in Vietnam, with a the number of cadres and civil servants was confirmed as 67.1% and 57.1%, respectively The bottom-up approach, independent evaluation approach, learning approach was confirmed at a relatively low rate, respectively 34.2%, 15.2% and 19% (Figure 2)

Figure 2: Approach of urban environmental protection policy evaluation in a

period 2005-2018 in Vietnam (Source: Social survey in 2018)

3.2.3 Methodology of urban environmental protection policy evaluation in a period 2005-2018

The methodology used to evaluate the environmental protection policy in Vietnam in the practice of the evaluation model from 2005 to present is mainly applied as a exante-expost comparison, with the confirmation rate in the quantitative survey via questionnaire 88,6% In addition, the controlled group and in difference - difference methodology were used but at a relatively low rate, 31.6% and 10.1%, respectively

1 End of policy

2 Amendment and suplement

3 Command of higher level

4 A need for state management

88.4 49.4

32.9 1.3

Rate (%)

67.1 34.2

57.1 15.2

19 3.8

Top-down approach Bottom-up approach Participatory approach

Independent approach

Learning approach

Do not know

Rate (%)