Summary of The Doctoral Thesis of Public Management: Decentralization of state management to the ward government in Hanoi City

Research objectives: To develop scientific rationales, propose solutions for decentralization of state management to the ward government so that the ward governments could better perform their functions and tasks in the context of piloting the urban government in Hanoi City.

MINISTRY OF

TRAINING AND

EDUCATION

MINISTRY OF HOME AFFAIRS

NATIONAL ACADEMY OF

PUBLIC ADMINISTRATION

NGUYEN VAN MINH

DECENTRALIZATION OF

STATE MANAGEMENT TO THE WARD GOVERNMENT IN HANOI CITY

Specialization: Public Management

The doctoral dissertation was completed at:

NATIONAL ACADEMY OF PUBLIC ADMINISTRATION

VIỆN NGÔN NGỮ HỘC VIỆN KHOA HỌC XÁC HỘI V

IỆT NAM

Supervisors: 1, Assoc.Prof Dr Nguyen Huu Hai

2, Assoc.Prof Dr Hoang Mai

Reviewer 1: ………

Reviewer 2: ………

Reviewer 3: ………

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Facing new challenges in the context of piloting the urban government model, the district and city governments in Hanoi should take into account autonomy, self-responsibility and promote proactiveness of the ward governments in performing the assigned tasks Reasonable decentralization to the Ward People's Committee in Hanoi City to perform a number of state management tasks in wards should be seen seriously and objectively and needs preparation of human resources and material conditions for implementation in the coming time It will contribute to the effectiveness and efficiency of state management of the state administrative apparatus in the city, in line with the current renovation in our country

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People's Committee is an administrative agency in the apparatus and

organization of the urban district government, applying the working regime

which highlights the responsibility of the head of an organization

4.3 Conditions to ensure the decentralization of state management to

the ward government in Hanoi City

4.3.1 Conditions of legal aspects

4.3.2 Conditions of a mechanism of checking and supervision

4.3.3 Conditions of physical facilities and financial resources

4.3.4 Conditions of capacity of cadres and civil servants in performing

the decentralized task

4.3.5 Conditions concerning the scheme of the administrative heads of

the ward governments to strengthen the responsibilities of the heads

4.3.6 Conditions of the coordination of the Vietnam Fatherland Front

Conclusion of Chapter 4 CONCLUSION

The administrative reform in our country poses challenges,

difficulties and needs the engagement of the political system This is a

long-term, continuous process of change which requires a plan, a roadmap,

institutions, financial, human resources, checking, review, supervision to

improve the effectiveness, efficiency of the civil service To improve the

effectiveness, efficiency of the political system as a whole, including the state

apparatus which plays the central role, there should be solutions to

encourage, improve autonomy, proactiveness in performing tasks of

governments at all levels People in Hanoi City have various needs to be dealt

with, which requires the governments to be proactive and make efforts to

fulfill their tasks Decentralization of state management from the higher to

the lower level of urban government, from the superior to inferior state bodies

is one of the positive solutions which is considered effective in the current

situation

The doctoral dissertation is defended before the Doctoral Dissertation Assessment Council at the institutional level

Venue: Room for Doctoral Dissertation Defense ……,

National Academy of Public Administration

77, Nguyen Chi Thanh, Dong Da, Hanoi

The doctoral dissertation can be found at:

- National Library of Vietnam

- Library of the National Academy of Public Administration

LIST OF PUBLICATIONS

1, Nguyen Van Minh, Determinants of the

effectiveness of the decentralization from the superior urban

governments to the ward government, State Management Review, Issue 268 (5/2018)

2, Nguyen Van Minh, Issues of the organizaiton and

operation of the Ward People’s Committees in Hanoi, State Management Review, Issue 270 (7/2018)

INTRODUCTION

1 Reasons for choosing the research topic

The development of a modern, advanced administration has posed new

requirements, including decentralization of state management from a

superior to an inferior government to promote dynamism, creativity,

autonomy, responsibility of governments at all levels, to improve the public

administration’s effectiveness, efficiency, to enhance the capacity of

administration by sector, by territory, socio-economic development

The Communist Party of Vietnam has emphasized the role, importance of

the administrative reform, especially decentralization of state management

The 2013 Constitution prescribes and defines jurisdiction of the central and

local authorities and jurisdiction of each level of local government

Accordingly, the existing legislation concretizes the Constitution provisions

on decentralization and the decentralization to local government must be

specified in the legal normative documents of the decentralizing state body

The practice of decentralization of state management has revealed many

shortcomings and limitations, especially there is absence of practical and

appropriate solutions for implementation Governments at different levels

have been confused in implementing the decentralized tasks, which leads to

ineffectiveness of state management The decentralization of state

management from the city government to the ward governments in Hanoi

City is posing many issues to be studied, especially Hanoi City is preparing

to pilot the urban government model The followings are the reasons for

choosing the research issues:

First, the Party's regulations are strictly institutionalized, which provides

a legal basis for decentralization However, in reality, there have been not

specific and detailed regulations for implementation of decentralization

information on and effectiveness of the implementation of the decentralized tasks

4.2.3 Proposing methods of the decentralization of state management

to the ward government in Hanoi City

According to the existing regulations, the district government in Hanoi is currently performing the tasks decentralized by the city government, which

is stated in the legal normative documents on decentralization Hanoi City People's Committee requests the urban districts, rural districts to decentralize their tasks to the commune, ward, and town governments when appropriate and after obtaining the approval of the city government

Therefore, the Government should implement the tasks stated in the Resolution No 97/2019/QH14 A suggestion is to promulgate a legal normative document to implement the Resolution which is the Government Decree Accordingly, the issues of decentralization of the tasks to the wards

in Hanoi City, principles and directions for implementation of decentralization will be specified in the Government Decree which provides

a basis for Hanoi People's Committee to issue appropriate documents, including the regulations on decentralization

Accordingly, the District People's Committee in Hanoi can issue decisions (the legal normative documents) on decentralization of state management to the Ward People's Committee; suggestions as follows:

In the first instance, after consideration, the city government issues

decisions which are legal normative documents on decentralization of the tasks of the City People's Committee to the Ward People's Committee for a certain period of time

In the second instance, the city government issues legal normative

documents on decentralization of tasks to the urban district government which decentralizes the tasks to the ward government based on the actual situation and the city’s approval According to the new regulation, the Ward

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4.2.1.3 The fields of finance - budget

4.2.1.4 The fields of education and health care

4.2.1.5 The fields of construction

4.2.1.6 The fields of culture, sports, and tourism

4.2.1.7 The fields of food safety and hygiene

4.2.2 Proposing a roadmap for implementing the decentralized tasks

After the National Assembly’s Resolution takes effect, it is necessary to

study, propose the tasks to be decentralized and institutionalize them through

norms to provide the basis for implementation

It is imperative to immediately decentralize the fields directly related to

people such as healthcare, environment, education, training, food safety and

hygiene to the ward Specifically, the Ward People's Committee holds the

main responsibility to superior agencies and the law for the decentralization

contents Proposing the time: After the legal normative documents of the

competent agency regulating the decentralized tasks take effect In 2021,

legal normative documents of the Government will concretize the Resolution

of the Government; therefore, the decentralized tasks are to be implemented

in 2021; the achievements have to be maintained and promoted while

shortcomings and difficulties in implementing the decentralized tasks are to

be solved in the following years

It is necessary to implement a long-term roadmap for the fields of culture,

sports, tourism, construction, finance, budget which directly affect the

economic, spiritual benefits of the people; to prepare good physical facilities,

technical infrastructure, human resources, other resources when receiving the

decentralized tasks As soon as the legal normative document on the

decentralization to the ward government takes effect, the Ward People's

Committee should elaborate a plan for implementation, submit regular,

consolidated, irregular reports to the decentralizing government to provide

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Second, it is the requirement of improving the effectiveness and efficiency

of state management at both central and local levels including the ward level

Third, the socio-economic development and the acceleration of the public

administration reform require a strong focus on the decentralization of state management from the superior to inferior local government

Fourth, it is the role and position of the ward government which is the

lowest level in the government system in urban state management and has the good conditions to perform the tasks transferred by the superior government The performance of the ward governments has a direct impact

on the lives of the urban residents

Fifth, the decentralization of state management from the superior to

inferior government is in line with the trend in the world in building, developing the state apparatus, organizing the state administrative system

The issue of "Decentralization of state management to the ward government in Hanoi City" is chosen for research to propose solutions for

appropriate decentralization of state management to the ward government in Hanoi City in the context of piloting the urban government model to serve the administrative reform

2 The research objectives and tasks

2.1 Research objectives

To develop scientific rationales, propose solutions for decentralization of

state management to the ward government so that the ward governments could better perform their functions and tasks in the context of piloting the

urban government in Hanoi City

2.2 Research tasks First, to provide a literature review of the research works related to the

dissertation, to assesses the results of the research works and identify the

issues that need further research

Second, to clarify the theoretical issues of the ward government, necessity

of decentralization; content, form, method, determinants of decentralization;

international experience and lessons learnt for Vietnam

Third, to survey, assess the system of political, legal institutions on the

decentralization of state management to the ward governments; assess the

implementation of the decentralized tasks based on sociological survey

Fourth, to propose viewpoints and solutions for appropriate

decentralization of state management to the ward government in Hanoi

3 Research objects and scope

3.1 Research object

The doctoral dissertation studies the decentralization of state management

to the ward government in Hanoi City

3.2 Research scope

Scope of time: From 2015 up to present, that is since the Law on

Organization of local governments in 2015 stipulates the decentralization

Scope of space: For conducting a sociological survey for the doctoral

dissertation (in 2019), the scope of space is defined as the ward governments

in Hanoi, including 177 wards in 12 urban districts including Son Tay town

and wards of Son Tay town As of February 2020, according to the

Resolution No 895/NQ-UBTVQH14 dated February 11, 2020 on the

arrangement of administrative units at commune level in Hanoi City, the

number of wards in Hanoi City has decreased to 175 wards

Scope of content: The dissertation clarifies the content proposed for

decentralization; the mode of decentralization from Hanoi City government

to the inferior governments which is specified in the legal normative

documents of the former; the conditions to ensure decentralization

4 Methodology and research methods

4.1 Methodology

4.1 The viewpoint of the appropriate decentralization of state management from the city, district to the ward government in Hanoi

4.1.1 Aligning with the Party's guidelines, State legislation and public policies

4.1.2 Completing the functions and tasks, improving effectiveness and efficiency of the ward governments

4.1.3 Contributing to the development of Hanoi City a politico - administrative, cultural, scientific, educational, economic, and international transaction center

4.1.4 Aligning and being consistent with the Law on the Capital, the socio-economic development planning of the City, ensuring transparent, effective management

4.1.5 Being commensurate with the management capacity of the ward administrative apparatus, increasing autonomy and self-responsibility when piloting the urban government model

4.1.6 Contributing to the promotion of balanced, harmonious development of the ward residential blocks

4.2 Solutions for the decentralization of state management to the ward government in Hanoi

4.2.1 Proposing the contents of decentralization to the ward government in Hanoi City

4.2.1.1 Fields of planning, socio-economic development and plans

4.2.1.2 Fields of investment, transportation, urban infrastructure + The field of investment in small construction works + The field of public lighting management

+ The field of parks, flower gardens, trees, grass + The field of urban drainage management, waste treatment + The field of environmental sanitation management + The field of traffic order in the ward area

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Fourth, the ambiguity in identification of decentralization of tasks results

in the fact that the superior governments assign more work and force the ward

governments to accomplish without transferring power and resources; and

often, the ward governments ask the urban residential blocks to do the work

Fifth, the accountability of the ward government, district government for

performing the tasks to the city government is not clearly defined

Sixth, the implementation of the regulation on responsibility of the heads

of the ward administrative body has revealed many inadequacies

Seventh, there is no innovation in decentralization from the superior

governments to the ward government

Eighth, the mechanism of checking and supervision of the

decentralization is not strengthened

3.3.3 Reasons of the weaknesses

First, the legal basis for decentralization from the city government and

district government to the ward government is still incomplete and

inconsistent

Second, in addition to the lack of specific regulations, the sanctions for

not accomplishing the assigned tasks are not available nor clearly defined

Third, inadequate attention, lack of determination in leadership, direction,

organization, administration, check, supervision

Fourth, the difference in the economic condition, income sources between

wards in Hanoi leads to difference in welfare benefits for people

Fifth, the superior government has not paid adequate attention, had no

determination in leadership, direction, organization, administration, checking

and supervision of the task performance

Conclusion of Chapter 3 CHAPTER 4 VIEWPOINTS, SOLUTIONS FOR THE

DECENTRALIZATION TO THE WARD GOVERNMENT IN

HANOI CITY

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The dissertation uses the methodology of the dialectical, historical materialism of Marxism-Leninism to justify the decentralization requirements, strengthening decentralization from the superior to the inferior governments, including decentralization to the ward government

4.2 Research methods

The dissertation uses methods of comparison, statistics, analysis, synthesis, system, and sociological survey

5 Scientific hypothesis and research questions

5.1 Scientific hypothesis

The scientific, appropriate decentralization of state management to the ward governments make the ward governments in Hanoi City improve its performance and carry out its functions and duties better in the context of implementing the urban government model

5.2 Research questions

Why decentralization of state management to the ward governments needed? What are determinants of the decentralization of state management

to the ward governments? What is international experience in decentralization? How the decentralization of state management to the ward governments in Hanoi implemented? How does the decentralization of state management to the ward governments affect the effectiveness and efficiency

of Hanoi City government?

What solutions are needed for appropriate decentralization of state management to the ward governments in Hanoi? What are the methods for effective decentralization? What are conditions to ensure decentralization?

6 Scientific and practical significance of the dissertation 6.1 Theoretical significance of the dissertation

The doctoral dissertation provides theoretical arguments on the necessity

of the decentralization of state management to the ward governments in Hanoi; thereby proposes the decentralization to the ward governments in

Hanoi City in reality, in line with the development trend of the City, the

Party's guidelines, and the Resolution of the National Assembly

The dissertation’s research results can be used as theoretical rationales for

identifying the content, method of decentralization of state management in

general and the decentralization to the ward government in particular

6.2 Practical significance of the dissertation

The dissertation shows the actual situation of the decentralization of state

management in Hanoi, in particular the decentralization to the ward

government, provides rationales for leaders and managers to implement the

building of grassroots level governments, the decentralization of state

management to the ward governments in Hanoi in the future

The research results allow to work out feasible, appropriate solutions for

decentralization, propose the decentralization of specific tasks to the ward

governments in Hanoi, clearly distinguish the urban government’s tasks from

the rural government’s ones in accordance with the 2013 Constitution

7 New contributions of the dissertation

7.1 Theoretical contributions

The dissertation contributes to the theoretical arguments on

decentralization of state management in general and decentralization of state

management to the ward governments in Hanoi in particular It contributes

to the theory of organization, operation of the local government in Vietnam

at present

7.2 Practical contributions

According to the Resolution of the National Assembly on piloting the

urban government model in Hanoi City, the local government of the wards

of the districts and towns in Hanoi City is the Ward People’s Committee The

doctoral dissertation proposes solutions for the decentralization of state

management to the ward governments in Hanoi in terms of the following

tasks: Planning, socio-economic development plans; Investment,

Fourth, the decentralization has promoted coordination among levels,

sectors, localities, especially coordination between the agencies performing the decentralized tasks and socio-political organizations in Hanoi, which makes the state management, task performance more effective

Fifth, the decentralization promotes social consensus as a result of timely

dealing with the conflicts and problems of the people at the agencies and units performing the decentralized tasks

3.1.1.2 From the perspective of task performance of the ward governments complying with the direction and tasks assignment of the district government

First, the ward government always shows its readiness when being

assigned the task of implementation and execution

Second, the readiness in performing the tasks of the ward governments

contributes to the success and is an important solution for the district government to accomplish its tasks in the assigned field and functions At the same time, the activities of the ward government contribute to the acceleration of the public administrative reform in the ward area

Third, the ward government is the lowest level of the urban government,

the closest to the people; therefore, the implementation of the tasks decentralized from the district government has an "immediate" impact, greatly affecting the rights and interests of the people living in the ward

3.3.2 Weaknesses in the decentralization of state management from the city, district governments to the ward government in Hanoi

First, there are no legal normative documents on the decentralization from

Hanoi to the ward government

Second, there are no legal normative documents on the decentralization

from the urban district to the ward government in Hanoi

Third, the role of the ward government in making decision on state

management issues in the ward area is weak

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on decentralization from the district government to the ward government; ii)

concerning the tasks to be performed: The ward government performs the

tasks assigned by the district government

Although the guideline of decentralization has been affirmed in the

documents of the Communist Party of Vietnam, its realization and

institutionalization into legal norms to provide a legal basis for actual

implementation is still limited At present, there is absence of legal

regulations on the decentralization of tasks from the city, the district to the

wards in Hanoi City However, in fact, the tasks currently carried out by the

wards are assigned by the district in the administrative documents In reality,

it is the legal normative documents of Hanoi City which stipulate the

decentralization of task from the City to the district government

The survey of the doctoral dissertation was conducted in 50 out of 177

wards in 12 urban districts in Hanoi with 250 questionnaire respondents who

are civil servants working in the wards in Hanoi City

3.3 Assessment of the decentralization from the city, district to the

ward governments in Hanoi, the reasons of the weaknesses

3.3.1 Achievements

3.3.3.1 From the management perspective, Hanoi has decentralized tasks

to the inferior government which is the district government

First, the documents regulate the decentralization from the city to the

inferior governments which are urban, rural district governments

Second, the regulations on decentralization clearly define management

responsibilities of the urban, rural district governments

Third, the policies of decentralization and power transfer have

increasingly affirmed the role of the urban, rural district governments in

Hanoi City, which shows that the growth of a locality depends largely on

dynamism and creativity of the local government

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transportation, urban infrastructure; Finance - budget; Education, health care; Construction; Culture, sports, tourism, food safety and hygiene

8 The structure of the dissertation

In addition to the introduction, conclusion, references, the doctoral dissertation has four chapters

Chapter 1 LITERATURE REVIEW OF THE RESEARCH WORKS

RELATED TO THE DISSERATION 1.1 International research works

1.1.1 The research works on grassroots governments 1.1.2.The research on decentralization to the grassroots government

1.2 Domestic research works

1.2.1 The research works on grassroots government 1.2.2 The research on decentralization to the grassroots government

1.3 Assessment of the research works and issues for further study

1.3.1 Assessment of the research works 1.3.2 Issues for further study

The research gaps have been revealed, specifically:

Firstly, the theoretical issues of the decentralization to the ward government

The concept of decentralization of state management The content and form of decentralization to the ward government Ward government and its positions, roles, and characteristics Content, form, methods, principles of, and conditions for decentralization to the ward government

Secondly, the actual situation of the decentralization of state management from the superior to the inferior governments in Hanoi City and the decentralization of state management to the ward government

There have been not many research works on the ward government in Hanoi, considering special characteristics of the urban management in the Capital, the economic, political and social center of the country

There has been an absence of research on the actual situation of the

decentralization of state management in the ward governments in Hanoi, no

reviews of the decentralization from the superior government to the ward

government in Hanoi Whether the ward governments in Hanoi perform the

decentralized tasks and whether the superior government decentralizes the

tasks to the ward government is a gap in the research works It is a new

research issue, which needs both a review of the actual situation and a

sociological survey of the wards in Hanoi City

Thirdly, proposing solutions for the decentralization to the ward

government in Hanoi City

Based on the theoretical arguments on decentralization, the actual

situation of the decentralization of state management to the ward

government, and the decentralization implementation in the ward

governments, the dissertation proposes solutions for decentralization to the

ward government in Hanoi It proposes the content, form and mode of the

decentralization of state management to the ward governments in different

aspects in accordance with the functions, tasks, special characteristics of

urban management of the government ward in Hanoi City

Fourthly, the conditions to ensure the implementation of the

decentralization of state management to the ward government in Hanoi City

In order to implement effectively the urban government model and the

contents, policies, mode of implementing the decentralization of state

management to the ward governments in Hanoi, it is necessary to study and

clarify the conditions to ensure the implementation of the decentralization

The conditions for decentralization are the followings: physical facilities,

resources, human resources; natural, economic, social conditions;

geographical position and sector development in the urban areas

Conclusion of Chapter 1

- Regulations of the urban districts on giving autonomy, self-responsibility, assigning tasks to the wards of the urban districts in Hanoi

Based on the legal normative documents, the guiding, instructing documents of Hanoi People's Council, People's Committee on decentralization of tasks to the urban districts in the city, the urban districts issued Decisions, Resolutions, Dispatches, Notices, Plans to give autonomy and self-responsibility, assign tasks to the wards belonging to the urban district to perform state administrative management in the ward area and to implement the given tasks according to the defined functions and powers

3.2.2 The actual situation of the decentralization of state management

to the levels of government in Hanoi

Except for a number of fields not decentralized by the city government to the district governments, Hanoi City has actively promoted decentralization

of administrative management to the urban, rural district governments in Hanoi City Specifically:

3.2.2.1 Fields of planning, socio-economic development plans 3.2.2.2 Fields of investment, transportation, urban infrastructure 3.2.2.3 Fields of construction

3.2.2.4 Fields of finance - budget 3.2.2.5 Fields of land and forest management 3.2.2.6 Fields of education, health, culture, sports and tourism 3.2.2.7 Field of organization, apparatus, personnel, cadres, civil servants, and public employees

3.2.3 The actual situation of decentralization, the achievements of the decentralization of state management to the ward governments in Hanoi

The research on the ward government has revealed that: i) concerning legal normative documents: there are no legal normative documents on the principles and contents of decentralization of tasks from Hanoi City government to the ward government; there are no legal normative documents