Doctoral Dissertation on Economics Policies on Motivation of CPSs Author: Le Dinh Ly 1 MINISTRY OF EDUCATION AND TRAINING NATIONAL ECONOMICS UNIVERSITY LE DINH LY POLICIES ON MOTIVATION OF COMMUNAL PUBLIC SERVANTS (Researched in Nghe An province) SUBJECT: MANAGEMENT SCIENCE CODE: 62.34.01.01 DOCTORAL DISSERTATION ON ECONOMICS (IN BRIEF) Academic Supervisors: 1. Associate Prof, PhD. Mai Van Buu 2. PhD. Bui Duc Tho. Hanoi – 2012 Doctoral Dissertation on Economics Policies on Motivation of CPSs Author: Le Dinh Ly 2 PREAMBLE 1. Necessity of the Dissertation The contingent of communal public servants (CPS) is both a forming component and a managerial subject of the communal authorities. It is an important factor, which decides the effectiveness and efficiency of the communal authority's operation as well as the socio-economic development process in the localities. However, the CPSs have not been concerned by the higher levels and authorities for such a long time. The delayed research of CPS prioritizing policy has not established a consistent and comprehensive model which is suitable with each stage of national socio-economic development. This has not motivated the CPSs to self-consciously contribute their efforts to working and assignment fulfillment. As a result, this has negatively affected working quality, reduced effectiveness and efficiency in the communal authorities' management and administration of the socio-economic development in the localities. Accordingly, the research subject on "Policies on Motivation of Communal Public Servants (Researched in Nghe An province) is initiated, aiming at contributing to solving the above mentioned issues. 2. Objectives of the Research The dissertation is aimed at providing the State and Party with the theoritical and practical basis for establishment and completion of policies on motivation of communal public servants, meeting the national socio-economic development needs in the coming time. 3. Subjects and Scope of the Research 3.1. Subjects of the Research: Motives and Policies on motivation of communal public servants (CPS). 3.2. Scope of the Research: The Research was undertaken within Nghe An province, from 2007 to 2010. 4. Methods of Research To achieve the objectives of the research, the author has applied some key research methods, including desk research and inheritance, investigation, questionnaires and experts interviewing. 4.1. Method of Desk Research and Inheritance: Method of Desk Research and Inheritance was used in the overall research in order to form the theoretical backgrounds of the Dissertation. Via this Method, the author has selected and drew on necessary results, especially the research methods, analysis frames, information and data necessary for preparation of Dissertation. 4.2. Method of Direct Investigation via Questionnaires Method of Direct Investigation via Questionnaires was used in assessment of real Doctoral Dissertation on Economics Policies on Motivation of CPSs Author: Le Dinh Ly 3 situation of Motives and Policies on Motivation of CPSs. Basing on the objectives and tasks of research, the author has designed suitable questionnaires for collection of neccesary data. The collected questionnaires were, after being checked in order to eliminate unsuitable ones, processed with the support of Software "SPSS Version 16 for Windows". 4.3. Method of Expert Interviewing Method of Experts Interviewing was used in order to collect some additional necessary data, which could not be collected by the two methods mentioned above. 5. Contributions of the Dissertation 5.1. In terms of theory The Dissertation has added and developed some theoretical elements on motives and policies on motivation of CPSs as follows: Firstly, the Dissertation has added and developed the concept of CPS's motives. Unlike the previous points of view, which normally used to identify the motives with the internal factors (physical needs and spiritual needs) or external factors (salaries, bonus, positions ) to motivate the CPSs in working and performance. The point of view of this Dissertation is that the motivation of CPSs is synthetically impacted by all factors (physicality and spirit), which are useful in speeding up and encouraging the activeness and efforts of the CPSs in their good fulfillment of jobs and assignments. The motives are closely related to the results and achievements of the CPS's operation. When the CPSs have a good motive, they will have determination, self-awareness, activeness and efforts to devote themselves to the fulfillment of their assignments for the highest efficiency. Secondly, the natures of CPSs motives are, in general, different from the ones of the popular laborers. The motives of popular laborers are strongly affected by the physical factors such as salaries and bonuses. In contrast, the motives of CPSs are impacted by the spiritual factors, such as the success, acknowledgement, assignment, responsibilities, promotion opportunities Thirdly, with the systematic approach, the point of view in this Dissertation is that the policies on motivation are a system of points of view, objectives and solutions to speed up, encourage and facilitate the CPSs for their self-awareness, determination and efforts in working for proper fulfillment of their assignments and functions. The policies on motivation is divided into two categories, including the category of impulsion policies and category of maintenance policies. These two categories have different roles and impacts towards the motives of the CPSs. The maintenance policies normally impact the working conditions and environments. On the contrary, the impulsion policies normally impact the spirit and feelings of the CPSs during their Doctoral Dissertation on Economics Policies on Motivation of CPSs Author: Le Dinh Ly 4 performance of assignments. In order to create active working motives for the CPSs, first of all the special attentions shall be continuously paid to the maintenance policies in order to assure the basic demands of the CPSs. Then, the impulsion policies shall be also concerned and ensured by meeting high-grade needs of the CPSs so that they would gain higher achievements and satisfactoriness. 5.2. Practical Aspects Research results of the Dissertation has shown that the working motives of CPSs are, at present, not so high. Most of the CPSs have shown little satisfaction with the current policies on motivation. The Dissertation has also indicated some shortcomings and limitations in the current policies, such as (i) the policies of personnel arrangement have not properly developed the capacities and strong points of each CPS; (ii) the policies on assessment have not yet properly concerned the achievements, working results and assignment fulfillment of the CPSs; (iii) the policies on training and development have not yet created many opportunities for the CPSs in training and development; (iv) the policies on recommendation and rewarding have not yet properly based on the working results and achievements of the CPSs; values of rewards have not been deserved to the working results and achievements of the CPSs; (v) the policies on salaries have not yet based on the quantity and quality of the CPS's fulfillment of assignments; the present salary level of the CPSs have been still lower than the others who are working in the equivalent sectors; salary income of the CPSs have not been capable to meet their basic and essential needs; (vi) the working conditions and environment have not yet been properly concerned Shortcomings and limits of the above mentioned policies are basic causes to the lack of active motives for the CPSs. Accordingly, the Dissertation has proposed points of view and solutions to completion of some policies on motivation of CPSs in the coming time. 6. Lay-out of the Dissertation Apart from the Preamble, Annexes, Conclusion and References, the Dissertation has been structured into three chapters as follows: Chapter 1 : Communal Public Servants and Policies on Motivation of Communal Public Servants. Chapter 2: Current Status of Motives and Policies on Motivation of the CPSs (Researched in Nghe An province); Chapter 3: Points of View and Solutions to fulfillment of Policies on Motivation of CPSs. Doctoral Dissertation on Economics Policies on Motivation of CPSs Author: Le Dinh Ly 5 Chapter 1 COMMUNAL PUBLIC SERVANTS AND POLICIES ON MOTIVATION OF COMMUNAL PUBLIC SERVANTS 1.1. Communal Public Servants (CPSs) 1.1.1. Overviews of Communal Level 1.1.1.1. Concept of Communal Level Communal level is the lowest administrative level within the four-level administrative system of our country. It is the smallest administrative agency, but it is a basic agency, a "cell" which forms the distric leveled authorities, provincial leveled authorities and national leveled authorities. 1.1.1.2. Communal Authorities * Concept of Communal Authorities Communal authority is the lowest authority within the four-level authority system of our country. Communal authority is formed on a basis of each communal administrative unit and has functions in state management of all sectors including politics, socio-economic sector, national defense and community security within the communal area according to the regulations of the laws. * Positions and Roles of the Comuunal Authorities Communal authority is the lowest authority, which is the closest to the people in a direct relationship. The communal authority is an administrative level, which both directly transmits, popularizes and organizes to undertake the guidelines and policies set out by the Party and State and directly manages every polictical and socio-economic activity occuring within the communes accoring to the stipulations of laws. * Functions and Responsibilities of the Communal Authority The communal authority is responsible for management of all political, soci- economic, national defense and public security activities in the locality; ensuring that the Constitution, Laws and decisions made by the higher authorities are respected and seriously complied with in the locality; ensuring and bringing into play the people's rights of collective ownership; ensuring the legal rights and benefits of the people; taking care of physical and spiritual lives of the people, and at the same time encouraging the people to complete their responsibilities torwards the State. 1.1.2. Communal Public Servant (CPS) 1.1.2.1 Concept of CPS Within the research of this Dessertation, the concept of CPS is confined to the persons who are working in the governmental mechanism of communal level, officially employed and earned salaries from the governmental budget, including positions of Doctoral Dissertation on Economics Policies on Motivation of CPSs Author: Le Dinh Ly 6 Chairman and Vice Chairmen of People's Council, Chairman and Vice Chairmen of People's Committee, Accounting - financial officers, Socio-Cultural officers, Judicial and population officers, Land - Construction officers, Administrative and Inventory officers, Public security commander and Military commander. 1.1.2.2. Roles of Communal Public Servant (CPS) From the positions, roles, functions and responsibilities of the communal authority, we can generalize some major roles of the CPSs as follows: Firstly, the CPSs are the ones who organize the execution of Party's guidelines and policies and State's laws in the locality. Secondly, the CPSs are the ones who directly manage and execute the political, socio-economic, national defense and public security activities in the locality in order to ensure that these are undertaken within the framework of laws. Thirdly, the CPSs are the ones who represent the wills, aspirations and benefits of the local people; fight for and protect the legitimate rights and benefits of the people when being violated, and at the same time, take due care of the improvement and enhancement of the physical and spiritual living conditions of the people. 1.1.2.3. Natures of CPSs Most of the CPSs are native people, who reside, work and live in the locality; they have kindred relationship and close ties with the local residents. The CPSs themselves possess all the characteristics of the local residents, they work in a network of kindred relationships, and being people who represent a community as well as the Government. Therefore there are both unification and contradiction, which conflict each other and affect their actions, especially in solving the problems related to the relationships among the individual - community - governmental benefits. CPSs are the ones who are the nearest and closest to the people. They are the ones who organize the execution of Party's guidelines and policies and State's laws in the residential communities, but they are also the ones who are directly supervised by the people. CPSs have a very important position and role, but the working conditions, facilities and equipment, operating budget for them are still in difficulty; especially for those who are working in the remote mountainous and boundary areas, where the land is too large, the operation areas are too complicated, the traffic means, physical basis and infrastructural systems are incomplete and inadequate. However, so far the CPSs have not been called as governmental public servants. The priority policies for them still have discrimination and the CPSs are not on equal terms with the public servants of the higher levels. During the policy forming and implementating process, the above mentioned natures shall need the attentions of the managers in order to create working Doctoral Dissertation on Economics Policies on Motivation of CPSs Author: Le Dinh Ly 7 motives for the CPSs. 1.2. Policies on Motivation of CPSs 1.2.1. Motives and Basic Doctrines of Motives 1.2.1.1. Concept of Motives On the basis of drawing on and adding to previous conceptions, the author of the Dissertation hereby presents concept of motive in the administrative angle as follows: "The motive of a person is a synthetic impact of the physical and spiritual factors, which impulse and encourage one’s engrossment and efforts in working and action in order to gain individual as well as community purposes". 1.2.1.2. Basic Paradigms of Motives The Dissertation has generalized some typical paradigms on motives such as: The Theory of Demand System by Abraham Harold Maslow (1943), ERG Theory by Clayton Alderfer (1972), Demand Impulsion by David Mc Clelland, the two-factored theory by Fridetick Herzberg (1959), theory on Fairness by J. Stacy. Adams (1965), Doctrine on Expectations by Victor Vroom (1967) Via studying the above mentioned doctrines, the author of the Dissertation has selected, drew on and applied some theories mentioned above in the research of motives and policies on motivation of CPSs. 1.2.2. Motives of the CPSs 1.2.2.1. Concept of CPS's Motives The motive of CPSs is a synthesis of the impacts of the physical and spiritual factors, which impulse and encourage the CPSs to actively devote their efforts to the fulfilment of assignments. The motives have a close relationship with the working results and achievements of the CPSs. When they have a good motive, they will have determination, self-help and attempt to contribute their abilities to the fulfillment of assignments with the highest efficiency To create CPS's motives is to apply systems of policies, methods and models in order to create a good psychological state for the CPSs and impulse as well as encourage them to have self-help, activeness and efforts in working, and at the same time bring into play their utmost abilities to fulfil their assignments and functions. 1.2.2.2. Basic Factors to Impact the CPS's Motives CPS's motives are affected by many factors. By application of Two-factored theory by Fridetick Herzberg (1959), the Dessertation has generalized factors affecting the working motives of the CPSs into two categories including impulsion factors and maintenance factors. * Category of Impulsion Factors: They are major factors, which create working Doctoral Dissertation on Economics Policies on Motivation of CPSs Author: Le Dinh Ly 8 motives in the CPSs. Main factors under this category include success, acknowledgement, assignments, responsibilities, development opportunities According to the Theory of Demand System by Abraham Harold Maslow, these factors are the high-ranking needs of the CPSs. According to Herzberg, when there is no impulsion factors, the CPSs still work as usual, but they will work more actively with higher satisfaction if such factores are introduced. * Category of Maintenance Factors: They are factors of working conditions, organization's policies and regulations, supervision and relationships among the individuals, salaries, positions, and job stability According to Maslow, the maintenance factors are the low-ranking needs or basic needs of the CPSs. They are not motivation factors, in contrast, they might cause discontent and discouragement in the execution of assignments. Therefore, when these factors are improved, the discontent and discouragement of the CPSs in execution of their assignments will be omitted, however, no more motives will be created as a result of this improvement. The maintenance factors can be figuratively compared to the maintenence of machines and equipment, with which machines will operate more effectively within their designed capacity, and no any additional capacity will be added to the original version The two categories of impulsion factors and maintenance factors have different roles and impacts towards the CPS's motives. The maintenance factors are normally related to the working conditions and environment. The CPSs will be dissatisfied with, tired of and procrastinating in working unless such factors are properly introduced. In contrast, the impulsion factors are normally connected with the human perception and feelings about their assignments. These factors are the right ones which create strong motives and gain satisfactoriness and higher efforts in fullfilment of CPS's assignments. As managers, the maintenance factors should first be regularly considered in order to meet the basic needs of CPSs. But it would be insufficient if we wish the CPSs to work more actively. The CPSs shall work with more effeciveness if their high- ranking needs shall be duly taken care of, which will create more satisfaction. When the CPSs do not work actively, the impulsion factors need being considered in order to create motives for them. 1.2.2.3. Criteria for Assessment of CPSs To assess the CPS's motives, the following criteria might be used:  Efficiency of Working Time Usage: Efficiency of working time usage is a percentage (%) between the practical working time of the CPSs and stipulated working time. The practical working time is an average working duration of time on a typical working day or a real duration of time in which the CPSs really work in order to finalize their assignments. The stipulated Doctoral Dissertation on Economics Policies on Motivation of CPSs Author: Le Dinh Ly 9 working time is a duration of time calculated on a basis of office hours (8 hours a day) or a duration of time stipulated for fulfillment of the CPS's assignments. Efficiency of Working Time Usage = Practical working time Stipulated working time  Level of Assignment Undertaking Efforts: Level of assignment undertaking efforts is a criterion reflecting the level of activeness, engrossment and enthusiasm of the CPSs in undertaking their assignments and reflecting the level of consumption of CPS's strength (both physical and mental powers) for fulfillment of their assignments. The high or low level of assignment undertaking efforts also presents the CPS's working intensity in their assignment undertaking.  Level of Assignment Fulfilment: Level of assignment fulfilment is a percentage (%) between the quanity of completed assignments and quantity of assigments within a certain duration of time. Level of assignment fulfilment = Quanity of completed assignments Quantity of assigments  Level of Mind Rest in Working Level of mind rest in working is only a criterion, which reflects the CPS's pleasure and satisfactoriness with their present assignments and positions. If the CPSs are set their mind at rest in working, they will be more active, engrossed, enthusiastic and devoted to their assignments. In contrary, the CPS's activeness, engrossment, enthusiasm and devotement will be gradually decreased. If this situation prolongs the CPSs will have unpeacefull sensation, tiredness and even probably quit their assignments or move to the other organizations for a new job. Accordingly, the motives of the CPSs will be annuled as a matter of course. 1.2.3. Policies on Motivation of CPSs 1.2.3.1. CPS Policy CPS policy is an overall combination of points of view, orientations, objectives and solutions to establishment of a contingent of CPSs, which meet the requirements of management and operation of socio-economic development of each locality and of the nation in each specific historical stage. CPS policy is one of the tools for the State to manage, use and develop the (1.1) (1.2) Doctoral Dissertation on Economics Policies on Motivation of CPSs Author: Le Dinh Ly 10 contingent of CPSs in order to meet the national socio-economic development needs in each historical stage; is an important mean in order to orient every activity and action of the CPSs as well as the related organizations and individuals. The CPS policy plays a regulating role in order to effectively manage and use human resources, and at the same time create fairness in the working regime as well as benefits of the CPSs in each communal locality, between this commune and the others as well as between the different regions and areas throughout the country. The CPS policy also plays a role exciting and creating strong motives of the CPSs in their assignment fulfillment. Depending on the national objectives of socio-economic development in each stage, the Party and State will respectively adjust the policies in order to orient the organizational structures, functions, tasks and requirements towards the CPSs, corresponding to the requirements of management and operation of socio-economic development of each locality throughout the country. 1.2.3.2. Policies on Motivation of CPSs Policies on Motivation of CPSs is a part of policy system towards the CPSs. It is an overall combination of points of view, orientations, objectives and solutions to creating motives of active working for the CPSs in their fulfillment of assignments. Depending on approaches, the policies on motivation of CPSs might be categorized into different subsystems or policy category. Basing on the factors impacting the CPS's working motives, the policies on motivation of CPSs might be divided into two categories: (i) Policies which impact the impulsion factors and can be called as the impulsion policies and (ii) Policies which impact the maintenance factors and can be called as maintenance policies. a) Impulsion Policies Category of impulsion policies include policies which impact the impulsion factors such as success, acknowledgement, assignments, responsibilities, development opportunities in order to create the satisfactoriness towards the CPSs in their implementation of functions and assignments. These are major motivation policies towards the CPSs. The objectives of these policies are to foster and encourage the CPSs to develope their self-awareness, activeness and efforts in working and fulfilment of assignments. The impulsion policies are also diversified and plentiful. Within this Dissertation, the author would like to mention some basic policies which include personnel arrangement policy, assessment policy, training and development policy, commendation and reward policy * Personnel Arrangement Policy: It is an overall combination of points of view, objectives and solutions to recruitment and arrangement of CPSs in a scientific and [...]... with equal conditions and criteria will have equal opportunities in training and development 3.2.3.2 To renew programs, contents and models of training, to improve the CPS's knowledge, well combine the school theoretical traing of and practical onsite training 3.2.4 Category of Solutions to Completion of Commendation and Reward Policies In the coming time, the commendation and reward policies shall be . CPS's motives is to apply systems of policies, methods and models in order to create a good psychological state for the CPSs and impulse as well as encourage them to have self-help, activeness