THE MINISTRY OF EDUCATION & THE MINISTRY OF TRAINING HOME AFFAIRS / -/ - NATIONAL ACADEMY OF PUBLIC ADMINISTRATION BY PHAN THI BICH THAO THE STATE MANAGEMENT OF ONLINE PUBLIC SERVICES VIA ADMINISTRATIVE AGENCIES IN HANOI CITY Major: Public Management Code: 9 34 04 03 ABSTRACT OF PHD DISSERTATION IN PUBLIC MANAGEMENT HANOI – 2024 1 PREAMBLE 1 Rationale Building e-government, digital government, and smart government is an inevitable trend in the context of the Fourth Technology Revolution This task is also clearly defined by our Party in the Document Resolution of the 13th National Congress that "Promoting the application of information technology in the operations of state agencies, building and implementing e- government, towards digital government" Enhance the ability to access public administrative services for specific disadvantaged groups Promote the processing of work documents in the online environment towards "paperless" state agencies Complete electronic one-stop information systems, public service portals at all levels connected to the National Public Service Portal Complete administrative processes and procedures in accordance with digital government activities, minimize direct transactions” (the Document Resolution of the 13th National Congress - Volume 2, page 65, Truth National Political Publishing House, 2021) The online public service index is one of the three main pillars besides the technology infrastructure index and human resources index and is the index with the highest score weight to rank the e-government development index of a country Over time, with the development of science and technology, views on online public services have also changed many times In particular, facing the trend of digital transformation with the strong development of technology, state administrative agencies need to come up with more synchronous and comprehensive solutions to taking advantage of information technology, can both overcome internal limitations in institutions, human resources, and infrastructure as well as have a deep understanding of the beneficiaries to provide satisfactory online public services to the local people and enterprises To do so, the direction of this orientation by the State must be based on scientific analysis based on practical implementation and requires innovation and creativity from thinking to action to adapt to movements of digital technology, flexibly transforming the provision of online public services in the 2 direction of ensuring the principle of taking people and businesses as the service center Hanoi is the capital, the nerve center of politics, culture and science and technology, the major center of economic and international transactions of the country, and also the first city in terms of area and size ranks second in population in the country with more than 8.5 million people, therefore perfecting the State management of online public services to improve the quality of service delivery is extremely important to bring benefits to Hanoi city and to the whole country Recently, there have been many domestic and international research projects studying online public services and online public service provision in countries around the world However, the common point of these projects is that the approach to online public services is technology-oriented, lacking in-depth and comprehensive research projects approaching online public services from the perspective of the State management, especially looking for an online public service delivery model suitable for the current digital transformation context On the other hand, the actual implementation at each agency and locality is different due to its own demographic, socio-economic characteristics Therefore, the doctoral candidate chose the topic “The State management of online public services via administrative agencies in Hanoi city” as her Doctoral Dissertation in public management 2 Research purposes and tasks 2.1 Research purposes Establish a scientific and practical basis from which to propose directions and solutions to improve the State management of online public services via administrative agencies in Hanoi city 2.2 Research tasks - Overview research works on online public services and the State management of online public services - Study basic theoretical issues on the State management of online public services via administrative agencies, thereby inheriting and perfecting the content of the State management of online public services 3 - Study the State management practices for online public services in Hanoi city state administrative agencies On that basis, evaluate the achieved results, analyze limitations and point out the causes of limitations in the State management of online public services via administrative agencies in Hanoi city - Propose solutions to improving contents of the State management of online public services via administrative agencies in Hanoi city 3 Research subject and scope 3.1 Research subject As the content of The State management of online public services via administrative agencies in Hanoi city 3.2 Research scope Limitation on research content: The topic of researching the content of the State management of online public services via administrative agencies is specifically researching the content of the State management of online public services via administrative agencies Administrative agencies are public administrative services provided by the state administrative agencies in the electronic environment, including activities of issuing licenses and issuing certificates, confirmations, and notification of performance results of the state administrative agencies The Dissertation does not research the content of the State management of other types of public services Therefore, the concept of online public services in the Dissertation is understood as online public services in administrative agencies Limitation on research space: The topic only studies the State management activities for online public services in local administrative agencies of Hanoi city (rather than the central agencies located in Hanoi city) Limitation on research time: Research data from 2011 to 2023 because it is associated with two processes of change in the content of the State management activities for online public services moving from e-government to digital government, building the digital government 4 Methodology and research methods 4 4.1 Methodology The Dissertation is researched on the basis of the methodology of dialectical materialism and historical materialism of Marxism- Leninism; Ho Chi Minh's ideology along with the views and guidelines of the Party and State on the role and responsibilities of the state in providing online public services 4.2 Research methods In order to achieve the research purpose, the Dissertation uses a combination of several main methods as follows: 4.2.1 Methods of analysis and generation 4.2.2 Method of secondary data collection and research 4.2.3 Method of primary data collection 4.2.4 Methods of survey, observations and research, analysis of information and statistical data at the National Public Service Portal and public service portals of Hanoi city 5 Scientific hypothesis, research questions 5.1 Research questions - Research question 1: So far in the world and in Vietnam, what research has there been on concepts related to online public services and the State management of online public services? The development of the concept of online public services is associated with the construction of e-government and digital government? What is the content of the State management of online public services via administrative agencies? - Research question 2: Influential factors and requirements for the State management activities for online public services in administrative agencies in the context of building the digital government and e-government at present? - Research question 3: What important results has the State management of online public services via administrative agencies in Hanoi city achieved and what are the remaining limitations? - Research question 4: What basic solutions are needed to improve the effectiveness of the State management of online public services via administrative agencies in Hanoi city? 5.2 Scientific hypothesis (i) The Fourth Industrial Revolution, especially digital transformation and digital government building, will have many strong 5 impacts on the State management activities of online public services of typical administrative agencies namely: promote the provision of online public services in the electronic environment; change the supply model to create new services to better serve people and businesses; ensure conditions to perform online public services (including: institutions, digital infrastructure, human resources, resources); pay attention to information security and personal data protection, etc (ii) The State management of online public services in the context of digital transformation and digital government building is influenced by many factors including: objective factors (Tend of globalizat ion, internationalization; Context of the Fourth Industrial Revolution and development trends of e-government and digital government; the process of democratization of social life; IT skills and people's habits); Subjective factors (the Party's viewpoints and orientations; service functions of state administrative agencies; attention and direction of the leader; skills in using IT, service attitude of civil servants in the apparatus) (iii) The State management of online public services via administrative agencies in Hanoi city has achieved some remarkable results However, under the strong impact of digital transformation and building digital government and e-government, the State management of online public services via administrative agencies in Hanoi city is still lower with so many shortcomings and limitations (iv) In order to improve the State management of online public services, it is necessary to have synchronous and comprehensive solutions, focusing on a number of basic solutions such as: building and perfecting infrastructure of the shared platform; create an electronic transaction environment for citizens and organizations; improve digital skills and service attitudes of civil servants; innovate the model of providing online public services; innovate propaganda work, improve people's ability to use online public services; Ensure information security, etc 6 New contributions and significance of the Dissertation 6.1 New contributions of the Dissertation 6.1.1 In terms of theory: (i) Clarify the theoretical content of the State management of online public services via administrative agencies; (ii) Identify factors 6 affecting the State management of online public services via administrative agencies; (iii) Identify the requirements of the State management of online public services via administrative agencies in the context of building e-government towards digital government today; (iv) Propose a model for providing online public services according to a chain of events, continuously and proactively; Propose service standards for officials and civil servants in providing online public services, etc 6.1.2 In terms of practice: (i) Show a panorama of reality of the State management of online public services via administrative agencies in Hanoi city, including: achieved results, weaknesses and limitations Important issues need to be resolved to fit the context of building digital government, digital government, and smart cities; (ii) Provide orientations and solutions to improving the State management of online public services via administrative agencies in Hanoi city in accordance with the context of digital transformation, building a digital government, and smart cities contributing to improving the efficiency and quality of online public service provision in Hanoi city 6.2 Significance of the Dissertation: 6.2.1 Scientific significance of the Dissertation: Contribute to perfecting the theoretical basis for the State management of online public services in the context of digital transformation, building a digital government, and making scientific contributions to the science of public management 6.2.2 Practical significance of the Dissertation: (i) Assess the reality of the State management activities for online public services in Hanoi city administrative agencies in recent times; Propose directions and solutions to improving this activity in the coming time; (ii) The research results of the Dissertation can contribute to improving the quality of online public service provision in the Government’s role on serving and creating development; (iii) The research results of the Dissertation can also be a useful reference for managers and policy-making leaders related to the State management of online public services in Hanoi A more realistic and clear view of the reality of the State management of online public services to contribute to improving the quality of online public service 7 provision in the City At the same time, it is a reference document for practitioners, students, and scientists 7 Structure of the Dissertation In addition to the introduction, conclusion, list of references and appendices, the content of the Dissertation is structured into 4 chapters : Chapter 1: Overview of scientific works related to the research issues Chapter 2: Scientific basis of the State management of online public services Chapter 3: Reality of the State management of online public services via administrative agencies in Hanoi city Chapter 4: Perspectives and solutions to improving the State management of online public services via administrative agencies in Hanoi 8 Chapter 1 OVERVIEW OF SCIENTIFIC WORKS RELATED TO THE RESEARCH ISSUES 1.1 Overview research on the State management of online public services 1.1.1 Research works on public services, public administrative services and online public services 1.1.1.1 Regarding the public services, online public services Over time, the concept of electronic services or online public services appears and changes associated with the development of science and technology and the current strong trend of digital transformation According to author Rowley with the article on “An analysis of the e-service literature: towards a research agenda Internet Research: Electronic Networking Applications and Policy, 16, 879- 897”, electronic services are understood as "actions, efforts, obligations which are performed through the intermediary of information technology” Approaching online public services from the perspective of quality management, in the study of "E-services quality management" by author Lorena BATAGAN and colleagues (2009), electronic services are defined as "interaction according to Internet-based program to provide customers' needs in the best way" According to authors Ida Lindgren and Gabriella Jansson, in the study on “Electronic services in the public sector: A conceptual framework, 2013, Government Information Quarterly, (30), 2, 163- 172) “Electronic services can be understood as internet-based, interactive and integrated with relevant technologies and processes within the delivery organization” According to author Jesper Holgersson, online public services "are the public services provided and used through electronic media such as the Internet" This definition, compared to the definition of Rowley and Lindgren and Gabriella Jansson, has a new development in that it pays attention to the "use" factor in addition to the "provision" factor of online public services The article on "the nature of public e-services and their quality 9 dimensions" Government Information Quarterly 33.4 (2016): 647-657 by the authors of Jansen, Arild, and Svein Ølnes, 2016 introduces the concept of electronic public services "as a series of distinct digital interactions between a service provider and a service recipient that add some value to the recipient” Also approach from the perspective of electronic interaction, the authors Lindgren et al., 2019 with the research article on “Close encounters of the digital kind: A research agenda for the digitalization of public services”, page 428-436; https://doi.org/10.1016/j giq 2019.03.002 classified citizens' interactions with public organizations into two types: partial interaction and complete interaction in the concept of electronic public services According to Lynn and colleagues in Chapter 3 of the book named “Digital Towns Accelerating and Measuring the Digital Transformation of Rural Societies and Economies”, chapter 3, Pages 49-68, https://doi.org/10.1007/978-3-030-91247-5, Digital Public Services are “the provision of public services using digital technology in which the interaction with a public sector organization is mediated by an IT system” The white book by the authors McBride, K., Lume, H., Hammerschmid, G., Raieste, A (2023) on “Proactive Public Services – the new standard for digital a conceptual clarification of proactive digital public services governments” refers to the concept of "Proactive public services are digital public services that are being proactively provided to qualified users pre-determined by the service provider" In Vietnam, according to the author Nguyen Ngoc Hien, public services include many different types of services, which may differ in nature According to author Le Chi Mai, public services "are activities that serve essential common interests, basic rights and obligations of organizations and citizens that are directly undertaken by the State or authorized by non-state establishments to ensure social order and justice” According to author Chu Van Thanh, public services are activities of the state organizations or of businesses, social and private organizations authorized by the state to perform tasks prescribed by 10 1.2.2 The research gaps are: (i) Research on online public services is mostly approached from a technical perspective focusing on researching online public service provision activities; (ii) There is still disagreement regarding the concept of "online public services" among researchers; (iii) There is no comprehensive, comprehensive, in-depth research on the content of the State management of online public services via administrative agencies in the context of building a digital government; (iv) The question is that if we find a suitable online public service delivery model in the context of building Vietnam's digital government, it can create a breakthrough 1.2.3 Research direction of the topic: (i) clarify the content of the State management of online public services via administrative agencies, clearly showing the impact of these contents on the effectiveness of providing online public services in administrative agencies; (ii) Analyze and clarify the influencing factors and requirements placed on the State management activities for online public services in administrative agencies in the context of building digital government and e-government Currently; (iii) Search for a model of online public service provision consistent with the trend of building a digital government Chapter 2 SCIENTIFIC BASIS OF THE STATE MANAGEMENT OF ONLINE PUBLIC SERVICES VIA ADMINISTRATIVE AGENCIES 2.1 Overview of online public services via administrative agencies 2.1.1 Overview of state administrative agencies State administrative agencies are an integral part of the state apparatus, which are established to perform state administrative management functions 2.1.2 Public services Public services are understood as activities that serve the essential common needs of the community and the entire society, serving the legal rights and obligations of citizens and organizations, directly 16 undertaken or mandated by the state for non-state establishments to implement to ensure social order and justice By the above understanding, we can draw the characteristics of public services including: Firstly, public services serve the basic and essential needs, rights and obligations of organizations and people, achieving social justice and stability Secondly, all people have equal rights to access public services as subjects of service of the State Thirdly, public services are provided by State organizations or by organizations and units authorized by the State Fourthly, the State is responsible for ensuring the provision of public services to society through building and implementing management mechanisms, policies, inspections, examinations, and regulations on prices and service fees Fifthly, public services can have in-kind or in-kind forms Sixthly, public service provision activities can be fully funded by the State or paid by users 2.1.3 Public administrative services 2.1.3.1 Concept Public administrative services are public services that the state requires individuals and organizations to use when exercising their rights and obligations These are services related to law enforcement activities, not for profit purposes, provided by competent state administrative agencies (or authorized organizations) to organizations and individuals in the form of documents with legal value in the fields managed by that state administrative agency Each public administrative service is associated with one or a group of administrative procedures to completely resolve a specific task related to an organization or individual 2.1.3.2 Characteristics of Public Administrative Services Public services in administrative agencies have the following characteristics: (i) The subject providing public administrative services is a competent state administrative agency; (ii) These are services that the state requires and encourages people to do to ensure social order and safety; (iii) All people have equal rights to receive and use; (iv) Each public service in administrative agencies is associated 17 with a certain administrative procedure or group to completely resolve a specific task related to an organization or individual 2.1.3.3 Basic types of public administrative services - Classified by nature, public administrative services are divided into the following 6 basic types: activities of granting various types of licenses; Activities of issuing all kinds of certifications and authentications; collect contributions to the State budget and funds; resolve complaints, denunciations and handle administrative violations; activities to maintain order and public security of the police and public security; activities of sanctioning administrative violations; Entry and exit activities include all administrative procedures related to the State management of exported, imported and transited goods; People and means of transport on exit, entry, and transit - According to the method of provision, public services in administrative agencies are divided into 2 types: Public services in administrative agencies provided directly and public services in administrative agencies provided on electronic environment 2.1.4 Online public services 2.1.4.1 Concept According to the definition in Vietnam's the State management agency documents, "online public services are public administrative services and other services of state administrative agencies provided to organizations and individuals in the network environment” (the Decree No 43/2011/ND-CP) And the latest according to the Decree No 42/2022/ND-CP dated June 24, 2022 of the Government, "online public services of state agencies are public administrative services and other services of state agencies provided to organizations and individuals in the network environment” According to the author of the Dissertation, placed in the context of building a digital government today and in the trend of developing and providing online public services in the world, in this Dissertation, the concept of online public services and Online public administrative services are stated as follows: - Online public services of state agencies are public administrative services and other services of state agencies that are partially or completely provided for use by organizations and individuals in the electronic environment 18 - Online public administrative services are public administrative services provided partly or completely by state administrative agencies for organizations and individuals to use in the electronic environment 2.1.4.2 Classification of online public services 2.1.4.3 Benefits when deploying online public services 2.2 The State management of online public services 2.2.1 Concept of the State management of online public services According to the author, the State management of online public services is the state's use of management tools and mechanisms to directly or indirectly impact the process of providing public services in the electronic environment by the State administrative agencies to meet the needs of organizations and individuals for quality public services From the above concept, the State management of online public services is identified through the following characteristics: - Regarding the State management subjects of online public services The State management subjects of online public services are state administrative agencies organized uniformly from central to local levels, with management rights which are being decentralized - Regarding management objects The objects of the State management of online public services are state administrative agencies providing online public services within the assigned scope 2.2.2 The need for the State management of online public services The state needs to conduct the State management of online public services for the following reasons: Firstly, it comes from the functions of the state and the characteristics of public services in administrative agencies Secondly, the strong development of science and technology forces the State to quickly change the institutional system to be able to effectively manage the provision of online public services Thirdly, the State must coordinate through policy tools to ensure social equity in opportunities to access online public services for 19 people in remote areas, people with disabilities and others weak position in society Fourthly, the provision of online public services is a service activity of the state, the results of providing online public services will be a measure of the satisfaction of citizens and organizations Fifthly, online public service provision activities are carried out through the electronic environment, so ensuring digital infrastructure and online public service delivery channels is a particularly important task 2.2.3 The State management requirements for online public services (i) There needs to be a complete legal system regulating regulations on the provision, exploitation and use of online public services; (ii) The State management of online public services must ensure good performance of the state's service function; (iii) It is necessary to build digital platforms, synchronous and shared information and communication infrastructure to ensure the provision of online public services It is necessary to be proactive and creative to keep up with achievements of science and technology in the context of digital transformation and the fourth industrial revolution; (iv) It is necessary to be proactive and creative to catch up and apply the achievements of science and technology in the context of digital transformation and the fourth industrial revolution; (v) It is necessary to pay attention to training human resources to provide online public services as well as training users to ensure that online public services are exploited and used effectively; (iv) It is necessary to be open and transparent in the process of providing online public services and must protect user data 2.3 Content of the State management of online public services 2.3.1 Develop strategies, policies, and institutions for providing online public services 2.3.2 Create an electronic transaction environment and conditions to ensure the provision of online public services 2.3.2.1 Build an online public service delivery channel 2.3.2.2 Restructure administrative procedures 2.3.2.3 Propagandize online public services 20