VIETNAM ACADEMY OF SOCIAL SCIENCES ACADEMY OF SOCIAL SCIENCES PHAM THI MINH THUY STATE MANAGEMENT OF LECTURES AT PUBLIC UNIVERSITIES IN VIETNAM AT THE PRESENT TIME Major: Constitutional Law and Administrative Law Major code: 9380102 THESIS OF LAW DOCTOR Hanoi - 2020 The thesis is completed at the Academy of Social Sciences Name of Supervisor: Associate Professor Le Thi Huong Reviewer 1: Professor Thai Vinh Thang Reviewer 2: Associate Professor Truong Ho Hai Reviewer 3: Associate Professor Vu Trong Hanh The thesis will be defended in front of the Academy level Judging Council meeting in ………………………………… at…………………………… on ……………………………… The thesis can be found at the National Library of Vietnam or Science Library Academy of Social Sciences LIST OF PUBLISHED WORKS Self-control in personnel at public universities is difficult to implement right from policy institutions, Journal of State Tax, No - February 2019 Policies for developing university lecturers in China and experimental lessons for Vietnam, Journal of Internal Science, No 30 - June 2019 State management of lecturers of public universities in Vietnam in the context of the Industrial Revolution 4.0, Proceedings of the International Conference “Improving the efficiency of public management in the context of the 4th Industrial Revolution", National Academy of Public Administration, 2019 Improving the quality of training and fostering of lecturers at public universities in Vietnam today, Journal of Internal Science, No 35 - March 2020 INTRODUCTION The urgency of the topic State management of public universities and lecturers of public universities is an issue that attracts the attention of managers and the whole society, regarding the training quality of higher education institutions in Vietnam Over the past time, the changes of the state management mechanism in the context of developing the market economy and integration in addition to the achieved results are still inadequate and limited, not yet fully promoting the resources of lecturers The building and development of teaching staff in universities should be carried out on a solid legal foundation, effectively promoting the application However, there are still many legal documents issued by different agencies at different times adjusting for lecturers in public universities Many regulations are still rigid and slow to be concretized, there are inappropriate and contradictory documents Leading to many difficulties, not only for lecturers when complying with, enforcing and using the relevant laws, but also for State management agencies, organizations and competent individuals when implementing the law In addition, the management, use and evaluation of lecturers are still heavy on administrative procedures, have not had many breakthroughs, and are not compatible with the autonomy mechanism of public universities The planning, training and retraining of public university lecturers are still formal, not yet highly effective The contents of inspection and examination of activities related to the implementation and assurance of ineffective policies for lecturers In this situation, more than ever, the role of competent state management agencies needs to be promoted, the State needs to have effective solutions, to properly play the role of orientation, supervision, promotion and create conditions for public universities and lecturers to be proactive and creative to maximize their capabilities Meanwhile, the research on state management of lecturers at public university has not been specifically mentioned in terms of separate jurisprudence Stemming from the above reality, the topic: "State management of lecturers at public universities in Vietnam at the present time" has meaning in both theoretical and practical terms The researching purposes and tasks of the thesis 2.1 Researching purposes The topic has a general purpose, that is to study, clarify the theoretical and practical basis for proposing solutions to improve the efficiency of state management for lecturers at public universities 2.2 Researching tasks - Systematizing the theoretical basis related to state management for lecturers at public universities in Vietnam - Researching the current situation, identify the issues that need to be solved in order to renovate the state management for lecturers at public universities in Vietnam today - Defining the viewpoint and propose solutions for State management innovation for lecturers at public universities in Vietnam Researching subject and scope of the thesis 3.1 Researching subjects Regulations of law for lecturers of public universities and practices of State management for lecturers at public universities in Vietnam 3.2 Researching scope - Scope of content: thesis of legal research for lecturers of public universities and contents of State management for lecturers of public universities in Vietnam - Scope of space: legal research and state management activities for lecturers at public universities in Vietnam (except for police and military universities) - Scope of time: legal research on lecturers and state management activities for lecturers of public universities since the country's renovation, focusing on the period from 2010 to the present (from Law on Officials issued) Theoretical basic and research methods of the thesis The thesis is conducted on the basis of dialectical materialism and historical materialism of Marxism - Leninism, the views of the Party, the State and President Ho Chi Minh The research methods are used: Methods of analysis, synthesis, system structure method, comparative jurisprudence method, statistical method, expert method New contributions on science of the thesis Firstly, the thesis has contributed to strengthening and deepening the scientific theoretical system on state management for lecturers In particular, the research has analyzed and clarified the role and characteristics of lecturers at public universities and state management for lecturers at public universities Secondly, the thesis systematically analyzes the state of the law for lecturers of public universities and the state management status of lecturers of public universities in Vietnam today, in the context of the requirements of higher education innovation, democracy, autonomy and self-responsibility of universities The thesis has pointed out the achieved results, the limitations and determined the causes of those results and limitations Thirdly, the thesis has proposed solutions that contribute to perfecting the law and contents of state management for lecturers at public university but are linked to the requirements of the trend of university autonomy The thesis has clarified the model of managing lecturers at public universities in the direction of strengthening decentralization of management, ensuring human resource autonomy for universities Theoretical and practical meanings of the thesis 6.1 Theoretical issues: The thesis contributes to strengthening and perfecting the theoretical basis for state management, public universities, university lecturers, and laws for lecturers at public university and implementing state management for lecturers at public universities in Vietnam 6.2 Practice issues: - The project contributes to the development and implementation of legal documents on university autonomy and consolidates the legal basis for the implementation of state management for lecturers of public universities in Vietnam - The thesis will be a useful reference for managers to enhance the effectiveness of state management for faculty members in particular and the performance of the management apparatus of public universities in Vietnam in general The structure of the thesis In addition to the introduction, conclusion, list of references, the thesis content is structured with 04 chapters as follows: Chapter 1: Overview of research situation on state management for lecturers at public universities in Vietnam Chapter 2: Theory of state management for lecturers at public universities in Vietnam Chapter 3: Current situation of State management for lecturers at public universities in Vietnam Chapter 4: Perspectives and solutions for state management innovation for lecturers at public universities in Vietnam in the present time Chapter OVERVIEW OF THE RESEARCH SITUATION RELATED TO THE THESIS TOPIC 1.1 The situation of research related to the thesis topic 1.1.1 Theoretical research on state management for lecturers at public university The documents on state management vary from textbooks, monographs to scientific research topics, articles in newspapers and magazines have shown the basic contents of state management, state management system, state management decentralization in the world in general and in Vietnam in particular The theoretical issues of state management of higher education, universities with its characteristics and role in society are also fully mentioned and analyzed by the studies In particular, through the research works, researchers have affirmed the important role of lecturers in universities Many works of the authors have given a detailed system of contents related to the quality of lecturers, standards, criteria of competence, quality of a good lecturer, about the requirements that a new generation lecturers should be in the context of globalization and international integration, 1.1.2 Research the current situation of state management for lecturers at universities Foreign and domestic research documents have generalized the development of higher education in the world, the region as well as in Vietnam Studies have identified the status of Vietnam's higher education in the context of global education, especially the challenges and development trends The situation of Vietnamese university lecturers has been mentioned in terms of quantity, quality and structure At the same time, the studies have generalized the current situation of state management for lecturers: in developing and issuing management documents, management organizations (issues of planning, recruitment, using, training, compensation maintenance and policies) for lecturers 1.1.3 Research state management solutions for university lecturers The studies propose diverse solutions from many angles, scope, research content from the perspective of education management, public administration, law from a province, a region or a school, a group of schools The proposed solution may be about one content in management or covering many contents of state management for lecturers 1.2 Issues that have not been fully addressed or need further research: About the theoretical basis: Firstly, the concept of state management for university lecturers is not yet fully understood Secondly, the role of state management for lecturers at public universities has not been clarified Thirdly, the constituent elements of state management activities for lecturers have not fully identified subjects, subjects, content, methods and forms of management for public university lecturers Fourthly, it is not clear which lecturers at public universities and state management work for lecturers at public universities have any characteristics to distinguish them from state management activities for lecturers of non-public universities and management activities for lecturers themselves About current situation: Firstly, many authors have analyzed the situation of university lecturers but may be in an old locality, a region, a group of schools or data are no longer updated Secondly, in the current state of the law for public university lecturers and state management of public university lecturers, there is no author focusing on synchronized research in the perspective of jurisprudence About regarding solutions: Firstly, it is necessary to complete the regulations governing the law for lecturers Secondly, supplement and complete more innovative state management solutions for public university lecturers 1.3 Research questions and research hypotheses Research question capability, quality and professional qualifications to meet the educational tasks set by the State The subject of state management for lecturers is a state management agency or an organization or individual empowered by the State, using state power to carry out activities to influence lecturers to build, develop and use effective lecturers at public universities According to current law, including the following agencies: Government, Ministry of Education and Training, Ministries, ministerial-level agencies, provincial-level People's Committees The subjects of State management activities here are lecturers of public universities - State employees, received salaries according to the ranks prescribed by the State, signing work contracts with public universities, subject to the Law on Officials 2.1.2 State management characteristics for lecturers at public universities Firstly, state management for public university lecturers is state management for education officials Secondly, state management for lecturers at public universities is the management of lecturers using state power, which is implemented by state agencies, officials and public servants Thirdly, state management of lecturers at public universities aims to improve the quality of public education service 2.1.3 The role of state management for lecturers at public universities Firstly, state management has a development-oriented role Secondly, state management is the basis to ensure the rights, responsibilities and quality of lecturers to meet the requirements of 10 developing a radical and comprehensive innovation in higher education Thirdly, state management has the role of direct intervention, regulating the development of public university lecturers Fourthly, state management is the basis for perfecting the legal regulations on lecturers 2.2 Contents of state management for lecturers of public universities 2.2.1 Legislation on public university lecturers 2.2.1.1 Definition and legal characteristics of lecturers at public universities As a whole, the laws promulgated and guaranteed by competent state agencies to regulate social relationships related to the powers, obligations and responsibilities of public university lecturers Legal characteristics for lecturers at public universities: Firstly, the law on public university lecturers institutionalizes the State's responsibility for building and developing university lecturers to meet the requirements of renovating higher education Secondly, the law on public university lecturers directly ensures human rights and ensures social justice in higher education Thirdly, the law on university lecturers is associated with renovating the operating mechanism of public universities towards autonomy and self-responsibility Fourthly, the law on university lecturers ensures the correlation between legal adjustment and adjustment by ethical and other social norms 2.2.1.2 Adjustment of the law on state management of lecturers at public universities 11 The scope of adjustment of the law on state management of lecturers at public universities includes relations arising in the exercise of the competence to manage lecturers in the system of state administrative agencies These are basic relations groups such as: social relations related to the competence to recruit and use lecturers; social relations related to the competence to train, train teachers, assess, reward and discipline teachers, 2.2.2 Implementing the legal provisions on lecturers at public universities in state management in Vietnam 2.2.2.1 Planning the lecturers of public universities 2.2.2.2 Recruiting, using, evaluating public university lecturers 2.2.2.3 Professional training and fostering for public university lecturers 2.2.2.4 Implementing the regimes, policies and disciplining public university lecturers 2.2.2.5 Inspecting, examining and handling violations committed by lecturers at public universities 2.3 State management forms and methods for lecturers of public universities 2.3.1 Forms of state management of lecturers Activities of issuing administrative management documents; forms such as certification, licensing, ; forms of non-legal activities such as organizing conferences, training, 2.3.2 Method of state management for lecturers Persuasion method Method of enforcement Administrative methods 12 Economic method 2.4 Factors affecting state management for lecturers of public universities 2.4.1 The Party's viewpoints and orientations, the degree of improvement of the State's laws towards lecturers 2.4.2 Socio-economic conditions 2.4.3 Globalization and international integration 2.4.4 Science and technology 2.4.5 Cultural traditions, customs and practices Conclusion of chapter In chapter 2, the PhD student focuses on clarifying theoretical issues such as: state management concept, public university, public university lecturer, law on public university lecturers, role , characteristics of state management for lecturers, Through chapter 2, the thesis clearly shows the overall state management model for lecturers of public universities in Vietnam today: about management subjects, subjects management with characteristics to distinguish it from other objects of state management 13 Chapter CURRENT SITUATION OF STATE MANAGEMENT FOR LECTURERS AT PUBLIC UNIVERSITIES IN VIETNAM 3.1 The law for lecturers of public universities in Vietnam 3.1.1 Current situation of legal provisions governing lecturers at public universities in Vietnam 3.1.1.1 Regulations of law on titles, standards, rights and obligations of public university lecturers 3.1.1.2 Provisions on recruiting, using and evaluating lecturers at public universities 3.1.1.3 Regulations on training and retraining of public university lecturers 3.1.1.4 Regulations on regimes, policies, commendation and discipline for lecturers of public universities 3.1.1.5 Provisions on inspection, examination and handling of violations committed by public university lecturers 3.1.2 Comment on the current situation of the law for public university lecturers 3.1.2.1 Advantages of a system of state management documents for lecturers of public universities The legal provisions governing public university lecturers are relatively adequate, covering a wide range of issues related to faculty members; many documents are reviewed, supplemented and timely adjusted; State management documents for lecturers are relatively synchronized and uniform 14 3.1.2.2 Limitations of the system of state management documents for current public university lecturers There has not been sufficient institutionalization and there is an inconsistent document with the Party's guidelines and views; there are still asynchronous texts, some legal regulations for lecturers with slowly specifying 3.2 Organize the implementation of state management regulations for lecturers of public universities in Vietnam 3.2.1 Planning public university lecturers Planning of lecturers of public universities is shown in the following documents: Planning on human resource development in Vietnam, Planning on university networks, Planning on developing human resources for education and training Under the decentralization, on the basis of the Government's planning, local governments in the provinces all formulate human resources development planning, education and training development planning period 2011-2020 at local In these master plans, the content of the master plan is expressed in terms of number, lecturing staff's qualifications on the basis of practical, socio-economic development needs in the locality 3.2.2 Recruiting and using public university lecturers 3.2.2.1 Recruitment of lecturers Basically public universities are decentralized in recruitment As a result of recruiting public university lecturers, by the end of the 2017-2018 school year, the number of lecturers increased compared to the 2010-2011 academic year of 15,836 lecturers (up 36%) For universities that are given full autonomy, there is no need 15 to submit to the governing body for approval the recruitment plan and recognition of recruitment results 3.2.2.2 Using lecturers The governing bodies have issued regulations on decentralizing the authority to use and manage lecturers at affiliated public universities for the following activities: building job placement schemes, institutional construction degree of work for lecturers, organization of review and decision to recognize the results of consideration for promotion of the title of main lecturer career title Trainers work according to job positions, with the form of work contracts 3.2.3 Professional training and fostering for lecturers Results of implementing 02 projects: Project 599 (formerly Project 322) and Project 911 with many officials and lecturers have been sent to study in advanced countries in the top 50 universities in the world By the end of the 2017-2018 school year, there were 17,003 public university lecturers with doctoral degrees, of which 529 lecturers were Professors and 3,796 lecturers were Associate professors 3.2.4 Teacher evaluation The current assessment and classification of lecturers are carried out according to both school year and calendar year according to criteria specified in the Law on Officials and guiding documents 3.2.5 Implementing regimes, policies, honoring and rewarding lecturers 3.2.5.1 Implementing incentive policies 16 Many applied regulations have contributed to improving incomes and improving the lives of lecturers, such as vocational preferential allowances (class allowances), seniority allowances, attraction allowances, payment of overtime salary,… 3.2.5.2 Honor and reward lecturers Titles of Professors and Associate Professors: from 1980 to 2019, the total number of recognized Professors and Associate Professors in our country is 12,000, of which 1,800 Professors and 10,200 Associate Professors Awarding titles: In the period of 2010 up to now, the number of lecturers and managers of higher education institutions awarded the title of People's Teacher are: 241/275 People's Teachers, 1505/3060 excellent teachers, 3.2.6 Practice of inspection, examination and handling of violations by lecturers of public universities The Government Inspectorate has inspected the state management of higher education of the Ministry of Education and Training, ministries, branches and provincial People's Committees The Ministry of Education and Training carries out specialized inspection of public universities in implementing policies for lecturers, 3.3 Assessment of the state management situation for lecturers of public universities in Vietnam 3.3.1 Major results and causes in state management of public university lecturers Major results Firstly, the system of legal documents that is interested in building is the basis to contribute to improving the efficiency in state management for lecturers of public universities 17 Secondly, the recruitment, use and training of trainers have changed in a positive direction Thirdly, it’s necessary to pay attention to perfecting policies and implementing preferential policies for lecturers; timely evaluation, commendation and discipline of lecturers Fourthly, innovations in educational inspection activities have made many positive changes, changing the inspection activities mainly specialized to management inspection The cause of these results: Firstly, the Party and the State are always concerned about the development of higher education, the authorities at all levels are aware of the importance of fundamental innovation in higher education Secondly, the Government, the Ministry of Education and Training, the Ministry of Home Affairs, other ministries, branches and the provincial People's Committee have worked well in issuing a relatively synchronous system of guiding documents Thirdly, the achievements of socio-economic development, political stability, improvement of people's life have created an environment and favorable conditions for human resource development in general and teaching staff in particular 3.3.2 Restrictions and causes in the state management for lecturers at public universities The limitations Firstly, the system of legal documents on lecturers still overlaps between regulations; many issues have not been corrected; Construction progress and updates are still slow Secondly, the recruitment of officials in public universities is still heavy on administrative procedures, not yet compatible with 18 the autonomy mechanism of public universities Method of managing and using lecturers has not had many breakthroughs Overlapping in teacher evaluation, the use of evaluation results is not effective Thirdly, the planning of teaching staff is carried out but is formal, not effective Training and fostering of lecturers have not been highly effective Fourthly, the restrictions in regulations and implementation of policies, incentives, rewards and discipline of lecturers Fifthly, the quality and effectiveness of inspection are still limited The cause of the limitations: Firstly, a number of concerned agencies, organizations and individuals are not fully and deeply aware of the concept of "education development is a top national policy" as well as the position and role of teachers and lecturers in "planting people" career; Since then, has not performed all responsibilities in developing the contingent of teachers and lecturers Secondly, the capacity of state management of competent agencies, cadres and civil servants is limited The coordination with ministries, branches and provincial People's Committees is not really effective Thirdly, the empowerment and assurance of mechanisms for personnel autonomy for public universities are limited Fourthly, our country's financial capacity is still limited Conclusion of chapter In chapter 3, PhD students focus on analyzing the state management contents of public university lecturers associated with 19 the functions and tasks of competent state management agencies From building and issuing documents to planning, recruiting, using and evaluating lecturers; from training, fostering, developing policies to inspecting, examining and handling violations in lecturer management activities In this chapter, the author has made field surveys, based on the collected data to draw comments on the achieved results and outstanding issues Through assessments of the current situation, the researcher has identified the causes of these results and shortcomings: from thinking, awareness issues to management mechanisms, and the capacity of officials and public servants in the state management agency This is an important basis for PhD students to propose a system of solutions to improve the state management efficiency for lecturers in the following chapter Chapter VIEWPOINTS AND SOLUTIONS FOR INNOVATING STATE MANAGEMENT FOR LECTURERS AT PUBLIC UNIVERSITIES IN VIETNAM AT THE PRESENT TIME 4.1 The concept of state management innovation for lecturers at public universities in Vietnam today 4.1.1 State management for lecturers at Universities of the University must be associated with the Party's viewpoint on improving the quality of lecturers, contributing to the renovation of education and training 4.1.2 State management for lecturers must ensure the autonomy of personnel for the current public universities 4.1.3 State management of lecturers at public universities must be linked to the development of science and technology and the expansion of international cooperation 20 4.2 State management innovation solutions for lecturers of public universities in Vietnam 4.2.1 Raising awareness of the role of university lecturers and state management of public university lecturers 4.2.2 Improving the law on public university lecturers 4.2.2.1 Amending and overcoming contradictions in the system of legal documents governing public university lecturers 4.2.2.2 Early promulgating documents guiding the implementation of the 2019 Education Law and the amended Higher Education Law 2018 directly related to public university lecturers Supplementing new regulations, especially the system of documents guiding the implementation of human resource autonomy for public universities 4.2.3 Strengthening management decentralization, raising the capacity of state management agencies,public officials in state management for lecturers 4.2.3.1 Enhancing decentralization of state management for lecturers 4.2.3.2 Eliminating the "governing ministry" mechanism for public universities 4.2.3.3 Enhancing the capacity of the contingent of cadres and civil servants competent to carry out state management for lecturers 4.2.4 Strengthening the implementation of the law on university lecturers 4.2.4.1 Renewing planning, recruiting lecturers - Planning a contingent of lecturers of public universities of a reasonable size and uniform structure of professional qualifications, 21 qualifications, age and gender, ensuring inheritance and development - Innovating content, recruitment form 4.2.4.2 Innovating the use and evaluation of lecturers - Perfecting the mechanism of using lecturers - Ensuring academic autonomy of lecturers - Protecting the legitimate rights and interests of lecturers - Overcoming overlap in lecturer evaluation - Diversifying the evaluation information and effectively use the assessment results 4.2.4.3 Innovating training and fostering of lecturers Firstly, building effective schemes and training plans with highly feasible Secondly, diversifying programs and forms of training and fostering of teachers, giving priority to professional training classes on skills, computer and foreign languages skills Thirdly, promoting scientific research activities, enhance international cooperation in training and fostering lecturers Fourthly, diversifying funding sources for teachers to participate in training and fostering Fifthly, uniformly implementing the law provisions on compensation for training costs and service time after training 4.2.4.4 Completing remuneration policy, honoring lecturers Firstly, reforming the salary regime, ensure appropriate material benefits for each lecturer Secondly, making salaries paid to lecturers commensurate with their positions, career titles, managerial positions and job performance 22 Thirdly, developing appropriate incentive policies for good, highly qualified lecturers, 4.2.5 Strengthening inspection, examination and handling of violations regarding the implementation of regulations on university lecturers Firstly, well implementing propaganda on the role and position of inspection work in the education sector, especially in the state management for education and lecturers Secondly, clearly defining the responsibilities and competence in inspecting and examining the implementation of the law provisions on lecturers at public universities and of the agencies responsible for state management of lecturers Thirdly, the Ministry of Education and Training, and the People's Committees of provinces should direct and guide public universities to strengthen the entire department of inspection, well carry out internal inspection well perform internal inspection, receiving citizens, handling letters and settling complaints and denunciations Conclusion of chapter The solutions are given on all contents of state management for lecturers at public university, but focus on such contents as perfecting the system of legal documents prescribed for lecturers; building a model of state management in the direction of strengthening decentralization, eliminating the "ministry-managing mechanism"; innovation in training policies for trainers In each solution, the author summarizes the contents that need to be implemented with the responsibility of the competent state management agencies at each level 23 CONCLUSION The thesis has systematized the research works related to the dissertation topic according to the content group on theory, situation, and solutions; inherit, develop, and go deeper into issues that have not been clarified in state management work for lecturers of public universities The author of the thesis analyzed the state management model for lecturers of public universities on: subject, object, content, form and method of management, contents of state management for lecturers, On the basis of collecting data and documents, the author analyzed and assessed the legal status of lecturers of public universities and state management of lecturers in all basic contents of state management Thereby, the thesis has drawn the issues that have not been clarified, it should continue to have more in-depth research and development from the perspective of jurisprudence In the context of university autonomy, the proposed solutions are comprehensive on the contents of the state management: from raising the awareness of the role of university lecturers, perfecting the law to strengthen the implementation of legal provisions on university lecturers; strengthen inspection and examination for the implementation of the law on lecturers The proposed solutions are feasible because they are in line with the views of the Party and the State, in line with the aspirations of universities and lecturers at public university 24 ... universities is an issue that attracts the attention of managers and the whole society, regarding the training quality of higher education institutions in Vietnam Over the past time, the changes... Vietnam Chapter 2: Theory of state management for lecturers at public universities in Vietnam Chapter 3: Current situation of State management for lecturers at public universities in Vietnam... as in Vietnam Studies have identified the status of Vietnam's higher education in the context of global education, especially the challenges and development trends The situation of Vietnamese university