VIETNAM ACADEMY OF SOCIAL SCIENCES
GRADUATE ACADEMY OF SOCIAL SCIENCES

NGUYEN THI THUY HANG

EVALUATION RESEARCH ON URBAN ENVIRONMENTAL
PROTECTION POLICY IN VIETNAM
HỢP TÁC XVẬN TÀI THỦY-BỘ

NỘI ĐỊA
Major:
Public Policy
Major Code:
9.34.04.02

SUMMARY OF THE THESIS ON PUBLIC POLICY

HANOI- 2019


The project was completed in:
VIETNAM ACADEMY OF SOCIAL SCIENCES
GRADUATE ACADEMY OF SOCIAL SCIENCES

Supervisor: Assoc.Prof.Dr. Do Phu Hai

Reviewer 1: Assoc.Prof.Dr. Nguyen Huu Hai
Reviewer 2: Assoc.Prof.Dr. Nguyen Chu Hoi
Reviewer 3: Assoc.Prof.Dr. Le Bo Linh

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


1

PREAMBLE

1. Research motivation
The urban environment protection policy (UEPP) plays a key role for
sustainable development. The UEPP is an important attribute of the environment
protection policy in Vietnam which is strongly enforced after the following
Decree 41-NQ/TW dated on 15/11/2004 to protect environment in
industrialization and modernization in Vietnam.
The urban environmental protection policy in Vietnam is constantly being
revised and based on the results of the policy evaluation. However, there are
shortcomings in the policy evaluation as not sufficient and not objective, ensuring the
best policy improvement and improving the efficiency and effectiveness and
appropriate of UEPP. Policy evaluation is the last stage (and post appraisal phase) of
the public policy cycle, and the urban environmental protection policy is the
necessary minor public policy sector that is finalized based on the results of the
policy evaluation fully, objectively and scientifically (Jame Q. Wilson, Do Phu Hai,
2016)
Therefore, it is imperative that theoretical research on environmental protection
policy evaluation, it proposed models and measures to enhance the evaluation of
environmental protection policy, contribute to the improvement of this policy in
Vietnam in the coming time. Research topic "Evaluation research on urban
environmental protection policy in Vietnam" was selected for thesis of the PhD
student.
2. Research objectives and research activities
2.1. Research objectives
Theoretical research was conducted on urban environmental protection policy
evaluation to propose a theoretical model for the urban environmental protection

4. Theoretical framework and research methodology
4.1. Theoretical framework
The theoretical framework in public policy science includes public policy
theory, public policy cycle, public policy analysis, public policy evaluation,
environmental policy evaluation combined with the ruling Party and State point of
views on urban environmental protection policy evaluation for Vietnam.
4.2. Research methodology
4.2.1. Research approach
The thesis used approaches to parallelize the research tasks set out as follows:
multidisciplinary, multi-sector, systematic, historical, and participatory research.
4.2.2. Research methods
A combination of qualitative research methods and quantitative methods with
their techniques is used as follows: Public policy analysis; method of observation,
participatory research, case study method; multivariate linear regression analysis;
technical analysis, synthesis, comparison. The secondary and secondary data
collection (in-depth interview and questionnaire) are collected. The research
framework is suitable, ensuring the basis for a systematic and logical implementation
of the thesis (Figure 1).
5. New contribution of the thesis
The new contributions are theory development of urban environmental protection
policy; theoretical model development of urban environmental protection policy
evaluation. It is a practical evaluation of urban environmental protection policy in
Vietnam in 2005-2018 and empirical test of model evaluation of public policy in
Vietnam. It interpreted the basic point of views and requirements and proposed a
practical model for urban environmental protection policy evaluation in Vietnam and
solutions to improve this policy evaluation.


3


urban
environmental
protection policy
evaluation in
Vietnam:
achievements,
constraints, causes

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

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

Solutions for the
improvement of
urban
environmental
protection policy
evaluation in next
period


model of urban environmental protection policy evaluation; it conducted an empirical
test of the theoretical model of urban environmental protection policy evaluation and
proposed the completion of urban environmental protection policy evaluation in
Vietnam.
6.2. Practical significance
The research results of the thesis are the scientific basis to help renovate the
evaluation of urban environmental protection policy; evaluate the urban
environmental protection policy evaluation, aiming to more objective and scientific
evaluation; it thereby contributed to strengthening the policy planning, formulation
and implementation of urban environmental protection policy in Vietnam; These
results of the research can be used as a reference for research, education and training
on urban environmental protection policy at research and educational institutions in
public policy, environmental protection policy. The thesis is also a useful reference
source for urban environmental protection policy actors.
7. Structure of the thesis


4

For the exception to Preamble, Conclusions and References and Annexes, the
thesis is included of 04 chapters as follows:
Chapter 1. Literature review and research planning;
Chapter 2. Theoretical framework of urban environmental protection policy
evaluation in Vietnam;
Chapter 3. Empirical analysis of urban environmental protection policy
evaluation in Vietnam period 2005-2018;
Chapter 4. Model and solutions of urban environmental protection policy
evaluation in Vietnam
CHAPTER 1: LITERATURE REVIEW AND RESEARCH PLANNING
1.1. Literature review

policy instruments; information policy instruments for persuasion. The policy
instrument for evaluating environmental protection policy is the overall survey,
socio-economic survey, expert panel discussion, social evaluation (social feedback
model).
2.3. Urban environmental protection policy evaluation
According to the theory of the public policy cycle, the public policy evaluation
is the last stage (and post phase) of the public policy cycle, defined as: "urban
environmental protection policy evaluation is an examination of the public policy
containing administrative political legal characteristics by specific criteria or
principles such as relevance, completeness, efficiency, effectiveness and policy
impact to improve policy planning, policy formulation, policy implementation in
order to solve successfully the environmental protection policy problem in the future.
2.4. Effectiveness of urban environmental protection policy evaluation
The effectiveness of the urban environmental protection policy evaluation is
understood as the achieved results of post policy evaluations (Hai Do 2017). This is
the learning from the results of the policy evaluation including information that helps
improve policy capacity through a sound understanding, leading to change in
awareness and behavior from „learning by doing‟ of policy actors such as people,
enterprises, environmental and social management agencies, politicians and public
media influences the formulation, amendment, supplementation, reform of this
policy.


7

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

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


8

the evidence of the independent variables to approach in assessing urban
environmental protection policy with the effectiveness of public policy evaluation.
2.6.3. Methodology of urban environmental protection policy evaluation
The effectiveness of the environmental protection policy evaluation depends on
the important independent variables, which are the methodologies for carrying out the
urban environmental protection policy evaluation. The theoretical model for urban
environmental protection policy evaluation depends on the type of methodology used
to evaluate the public policy. Thus, the methodology used in the specific policy
evaluation model has a significant impact on the outcome and effectiveness of urban
environmental protection policy evaluation.
2.6.4. Methods of urban environmental protection policy evaluation
The effectiveness of the environmental protection policy evaluation depends on
the independent variable are the methods of policy evaluation. The level of
effectiveness of the policy evaluation depends on the methods and its processes used
in the environmental policy evaluation, the methods of urban environmental
protection policy evaluation as a group of quantitative methods, qualitative methods
or a combination of quantitative and qualitative methods.
2.6.5. Level of stakeholder participation in urban environmental protection
policy evaluation
The effectiveness of environmental protection policy evaluation depends on the
following important independent variable. That is the level of participation of urban

empirical analysis of this model in Vietnam.
CHAPTER 3: EMPIRICAL ANALYSIS OF URBAN ENVIRONMENTAL
PROTECTION POLICY EVALUATION IN VIETNAM PERIOD 2005-2018
3.1. Urban environmental protection policy in Vietnam
The objective of environmental protection policy in Vietnam is defined as "By
the year of 2020, ... to restrain the level of environmental pollution and biodiversity
loss to ensure the quality of the living environment, maintain ecological balance
towards a green economy, friendly with the environment. By the year of 2050, ...
ensure the quality of living environment and ecological balance, strive to achieve
environmental targets equivalent to the current level of industrialized countries in the
region”. The targets are indicated in the Politburo's Directive No. 36/CT/TW;
Resolution No. 41-NQ/TW; Directive 29-CT/TW dated 21th January 2009;
Resolution No. 24-NQ/TW.
3.2. Practical urban environmental protection policy evaluation in Vietnam in a
period 2005-2018
The evaluation of urban environmental protection policy in Vietnam for the
period of 2005-2018 was synthesized and analyzed with secondary and primary data
obtained from the survey as below.
3.2.1. Choosing objective of urban environmental protection policy evaluation
in a period 2005-2018
As a result of survey and in-depth interviews and literature review indicated
that the ultimate aim of the assessment of urban environmental protection in Vietnam
from 2005 to date is to revise and improve the environment protection policy to make
the environmental policy better, more relevant, more feasible, more effective, and
bring more positive impacts, sustainable development impact. According to survey
results, the specific purpose of evaluating urban environmental protection policy from
2005 to present is diversified but mainly serves the need of state management on
environment protection (88.4%) and amendment and supplementation. books, law
(87.3%); Other purposes account for a lower proportion (Figure 1). The final
evaluation of urban environmental protection policy in Vietnam is to evaluate the

30

40

50

60

70

80

90

Rate (%)

3.2.2. Approach of urban environmental protection policy evaluation in a
period 2005-2018
As a result of sociological survey shown that the top-down approach and little
participatory approach are the two most common approaches in urban environmental
protection evaluation in Vietnam, with a the number of cadres and civil servants was
confirmed as 67.1% and 57.1%, respectively. The bottom-up approach, independent
evaluation approach, learning approach was confirmed at a relatively low rate,
respectively 34.2%, 15.2% and 19% (Figure 2).
Figure 2: Approach of urban environmental protection policy evaluation in a
period 2005-2018 in Vietnam (Source: Social survey in 2018)
Do not know

3.8



60

70

80

Rate (%)

3.2.3. Methodology of urban environmental protection policy evaluation in a
period 2005-2018
The methodology used to evaluate the environmental protection policy in
Vietnam in the practice of the evaluation model from 2005 to present is mainly
applied as a exante-expost comparison, with the confirmation rate in the quantitative
survey via questionnaire 88,6%. In addition, the controlled group and in difference difference methodology were used but at a relatively low rate, 31.6% and 10.1%,
respectively.


11

3.3.4. Methods of urban environmental protection policy evaluation in a period
2005-2018
The quantitative evaluation methods, qualitative methods, mixed quantitative
qualitative methods matching in which the mixed qualitative – quantitative methods
with the respective percentages of respondents acknowledging 19%, 30.4% and
79.7% (Figure 3). As a result of analysis, it shows that the evaluation methods for
urban environmental protection policy in Vietnam decide the quality of the evaluation
report on urban environmental protection policy evaluation in Vietnam.
Figure 3: Methods of urban environmental protection policy evaluation in a period
2005-2018 in Vietnam Source: Social survey in 2018

policy evaluation in a period 2005-2018
The policy stakeholders participation in evaluating urban environmental
protection policy from 2005 up to now are mainly state management agencies on
environmental protection, elected bodies (National Assembly, People's Committees)
and community of people. The sociological survey shows that the proportion of
respondents participating into the policy evaluation was 96.2%, 53.2% and 50.6%
(Figure 4).
Figure 4: Level of stakeholder participation in urban environmental protection
policy evaluation in a period 2005-2018 in Vietnam Source: Social survey in 2018

1.3

Others

50.6

Communities/people
32.9

Businesess
Social organisations/NGOs

40.5

Socio-political organisations

43
31.6

Justice or legal entities

2014), the Budget Law, the Public Investment Law, Law of National Assembly
Evaluation (87/2015/QH13) … and many other legal normative documents under
these Laws may also be the legal framework for evaluating the outcomes and the
effectiveness of environmental protection policy. According to the results of date
analysis, 97.5% informants confirmed that the legal basis for assessing environmental
protection policy from 2005 up to now is also mainly the Law on Environmental
Protection and the detailed documents, followed by public opinion, the official
Directives of the higher level, the Party's Directive and the Constitution with
corresponding rate of 62%, 55.7%, 48.1% and 30.4% respectively (Figure 5).
Figure 5: Institutions of urban environmental protection policy evaluation in a
period 2005-2018 in Vietnam Source: Social survey in 2018
7.6
7.6

Do not know
Social rumours

48.1

Directives and plans of Party

62
55.7
97.5

30.4

Constitutions
0



Constitutions
Political institutions

38

Administrative culture

35.4
26.6

Political culture
0

10

20

30

Rate (%)

40

50

60

70


Survey reports, evaluation reports on preparation of theoretical
foundations and practical summaries for the elaboration of
undertakings and solutions for environmental protection, including the
urban environment protection.
 Some reports are to evaluate the results of implementation of
strategies, programs, projects, and solutions on urban environmental
protection.
 Some reports are to evaluate on the evaluation of the current state of
the national and local environment status every 5 years or annually.
 Some reports are to evaluate the annual environmental protection of
People's Committees at all levels. Some reports are to evaluate the
management boards of economic zones, industrial parks, export
processing zones, hi-tech parks and industrial clusters.
 Some reports are to evaluate on the results of survey and supervision
of policy instruments and policy solutions for urban environmental
protection by the elected bodies (the National Assembly, the People's
Councils).
 Some research reports are to evaluate by research organizations, nongovernmental organizations, and individual researchers.


14

Figure 7: Major content of urban environmental protection policy evaluation in a
period 2005-2018 (Source: Social survey in 2018)
2.5

Other contents

27.8


Evaluation of human resource
0

10

73.4

20

30

40

50

60

70

80

Rate (%)

The content of these reports is also reflected in the results of the social survey
in Figure 7. The major respondents commented that the content of the policy
evaluation reports evaluated the outcomes of the environmental protection policy on
socio-economic outcomes and impacts as well as they pointed out the shortcomings,
limitations and causes and recommended solutions, policy instruments, evaluation of
investment finance for implementation of urban environmental protection policy,
evaluation of human resources (quantity, quality) for implementation of urban

Urban sustainable development

Average

10

40.5
36.7

19

2.5
6.3
6.3

50.6
46.8
48.1
67.1

25.3
20
High

30

40

50


46.8

12.7
1.3
3.8
8.9

Sustainable social development
Sustainable economic development
0
Do not know

27.8

17.7

Gender equality

62

Positive impact

10

20

86.1
87.3
30


policy instruments.
Sixthly, the policy evaluation did not clarify the participation of policy makers
and policy stakeholders and their capacity to implement urban environmental
protection policy solutions.
Seventhly, the policy evaluation did not provide clearly the changes in
awareness and behavior of enterprises and people in the implementation of urban
environmental protection policy.
Eighthly, the policy evaluation did not provide the impacts on strategic
environmental assessment tools and environmental impact assessments.
3.4. Empirical analysis in Vietnam model of urban environmental protection
policy evaluation in Vietnam


16

The degree of causal effect of each independent variable on the dependent
variable is based on the linear regression analysis. From Table 1, we have:
The effectiveness of urban environment protection policy evaluation (Y) =
10,829 + 2,686 * "identification of objectives of environmental protection policy
evaluation" and re-rewite: Y= 10.829 + 2.686* X1
The effectiveness of policy evaluation (Y) = 7,950 + 4,128 * "participatory
approach in urban environmental protection policy evaluation"; Y=7.950 + 4.128*X2.
The effectiveness of policy evaluation (Y) = 16,744- 2,594*"evaluation
methodology"; re-write, we have: Y=16.744- 2.594 * X3.
The effectiveness of policy evaluation (Y)= 9.677+3.474*“methods for urban
environmental protection policy evaluation”; Y= 9.677 + 3.474 * X4.
The effectiveness of policy evaluation (Y) = 9.721+2.655*“participation level
of policy stakeholder in urban environmental protection policy evaluation”; Y= 9.677
+ 3.474 *X5.
The effectiveness of policy evaluation (Y) = 17.909 - 3.955 * “institutions of

8.917

R
.111
.254
.102
.173
.261
.077
.216

R2
.012
.064
.010
.030
.068
.006
.046

p
0.05
0.00
0.01
0.00
0.00
0.05
0.00

Source: SPSS analysis in 2018 (Version 22)

capacity, and accountability of the executive branch which are all outside the research
model.
In the analysis of multivariate models, we have:
The effectiveness of policy evaluation (Y) = 9.576 + 2. 617 * “Approach of
urban environmental protection policy evaluation” - 3.573* “methodology for urban
environmental protection policy evaluation” + 3.549 * “methods for urban
environmental protection policy evaluation” + 2.607* “participation level of urban
environmental protection policy evaluation” – 7.315 “institutions of urban
environmental protection policy evaluation”+ 3.642* “financial resource used for
urban environmental protection policy evaluation”. Re-write, we have:
Y = 9.576 + 2.617 * X2 - 3.573*X3 + 3.549*X4 + 2.607* X5 - 7.315 * X6 + 3.642*X7
The overall correlation coefficient is R = 0.452, and all 07 of these independent
variables explain only 20.4% (R2 = 0.204) of the change in the effectiveness of policy
evaluation of urban environmental protection policy evaluation. Look at the p-value
(column-Sig.), the independent variables: Approach for urban environmental
protection policy evaluation and the methodology for urban environmental protection
policy evaluation, the methods for urban environmental protection policy evaluation,
the participation level of urban environmental protection policy evaluation, the
institutions of urban environmental protection policy evaluation, the financial
resource for urban environmental protection policy evaluation are all significant as
such p
ANOVAa
Df

Sum of Squares
Mean Square
F
Sig.
Regression
8363.797
7
1194.828
22.831
.000b
Residual
32656.810
624
52.335
Total
41020.608
631
a. Dependent Variable: A7.Đanhgia
b. Predictors: (Constant), B7.2.Taichinh, B5.7.CDNguoidan, B4.3.KethopDTDL, B6.2.LuatQPCT,
B3.1.Truocsau, B1.2.Suadoi, B2.3.Thamgia
Coefficientsa
Standardized
Unstandardized Coefficients
Coefficients
Model
B
Std. Error

.177
4.711
.000
B5.7.CDNguoidan
2.607
.379
.256
6.887
.000
B6.2.LuatQPCT
-7.315
1.930
-.143
-3.789
.000
B7.2.Taichinh
3.642
.782
.205
4.656
.000
a. Dependent Variable: A7.Đanhgia

As a result of the empirical test of theoretical model of policy evaluation shown that
the change in the participation level of urban environmental protection policy evaluation
accounted for 6.8% change in the effectiveness of policy evaluation in Vietnam; The change
in the approach of urban environmental protection policy evaluation explains for the
6.4% change in the effectives of policy evaluation of urban environmental protection
policy in Vietnam. The other four independent variables are 'institutions of urban
environmental protection policy evaluation', 'methodology of urban environmental

CHAPTER 4: MODELLING AND SOLUTIONS FOR COMPLETION OF
URBAN ENVIRONMENTAL PROTECTION POLICY EVALUATION IN
VIETNAM
4.1. Context
Firstly, it had the National Strategy for Green Growth 2011-2020 and Vision to
2050.
Secondly, Vietnam has shifted from the underdeveloped country to the middleincome country; and a strong commitment to country innovation, comprehensive
international integration, deepening and affirming Vietnam's important geopolitical
position and role in Southeast Asia.
Thirdly, the National Strategy on Climate Change with the international
community's efforts to respond to climate change by Vietnam locating in a area
influenced heavily by climate change, there are many large cities in the Delta and
coastal areas continue to increase the risk of flooding and salinity intrusion, they are
all strongly associate with environmental pollution.
Fourthly, we have been building "Innovative government for development,
integrity, decisive action serving the people", it means an active government with
good executive policy capacity, not passive in public policy making.
4.2. Policy principles
Firstly, the effectiveness of urban environmental protection policy evaluation
is the scientific basis for adjusting, amending and improving the environmental
protection policy. This is the responsibility of the political system and whole society
and the duty of every citizen.
Secondly, the effectiveness of urban environmental protection policy
evaluation must base on the basis of full democracy; public deliberative discussion,
transparency to ensure the necessary conditions for the active participation of the
social policy actors, especially the people and enterprises.
Thirdly, the urban environmental protection policy evaluation is a complex and
sensitive task, so it requires the multi-sectoral, interdisciplinary approach, and
therefore it requires a responsible scientific organization that evaluates independently


outcomes (effectiveness of the target group) is to evaluate the extent to which the
target group has changed by policy, thanks to policy interventions, the expected
results achieved by the policy interventions. The evaluation of policy impact is to
evaluate the environmental policy impacts (effects of the impact) and policy impacts
of other socio-economic impacts (or social performance and side effects).
4.3.2. Approach of urban environmental protection policy evaluation in
Vietnam
The X2i independent variable of model is an approach to the urban
environmental protection policy evaluation. In addition to the participatory approach
to learning by doing, an independent approach to urban environmental protection
policy evaluation in Vietnam is needed. Therefore, it should be able to use an
independent evaluation approach in annual and five-year urban environmental
protection policy evaluation in Vietnam. Off course, it is also necessary to improve


21

the participatory approach to urban environmental protection policy evaluation in
which the participatory approach for learning by doing is very appropriate for
Vietnam.
4.3.3. Methodology of urban environmental protection policy evaluation in
Vietnam
The independent variable X3i of the model is a methodology for evaluating
urban environmental protection policy. The methodology are set control group based, in difference in difference - based are appropriate for evaluating urban
environmental protection policy in Vietnam though they are rarely used up to now in
Vietnam. The Modus Narandi methodology is also recommended to use for urban
environmental protection policy evaluation in Vietnam.
4.3.4. Methods of urban environmental protection policy evaluation in Vietnam
The independent variable X4i of the model is the methods used for urban
environmental protection policy evaluation in Vietnam, it should be able to design the


mobilize the participation of social policy actors for the urban environmental
protection policy evaluation to carry out a transplant evaluation process which helps
to achieve the effectiveness of public policy evaluations.
4.3.6. Institutions of urban environmental protection policy evaluation in
Vietnam
The independent variable X6i of the model is the institutions used to evaluate the
urban environmental protection policy evaluation that need to be institutionalized
more broadly defined in the legal documents than the informal binding rule for urban
environmental protection policy evaluation in Vietnam. Accordingly, the urban
environmental protection policy evaluation can be implemented annually, 5 years or
after 3 years in implementation period. It should be able to develop a policy
evaluation Law that includes urban environmental protection policy evaluation in
Vietnam.
4.3.7. Ensuring conditions for urban environmental protection policy
evaluation in Vietnam
The independent variable X7i of the model are the conditions set up to ensure
urban environmental protection policy evaluation in Vietnam, they are included as
financial resource and human resource for policy, communication and public opinion
as a result of empirical testing of the theoretical model of multivariate regression
analysis, we can see the change in the financial factor used for the urban
environmental protection policy evaluation in Vietnam accounted for 4.6% of the
change in the effectiveness of the policy evaluation.
4.4. Solutions for completion of urban environmental protection policy
evaluation in Vietnam
The first solution: It should be able to develop quality human resources to
ensure the capable and responsible manpower to evaluate the urban environmental
protection policy as the requirement of the model of urban environmental protection
policy evaluation in Vietnam.
The second solution: From the proposed model of urban environmental