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Thai Nguyen University Socialist Republic of Vietnam Southern Luzon State University Republic of Philippines EVALUATING THE IMPLEMENTATION OF UNEMPLOYMENT INSURANCE IN THAI NGUYEN PROVINCE DOCTOR OF BUSINESS ADMINISTRATION BY PHUNG THI CAM CHAU – ROSE August, 2013 ACKNOWLEDGEMENTS I would like to extend my sincere thanks to Thai Nguyen University (Vietnam), International training center (Thai Nguyen University, College of Agricultural and Forestry), Southern Luzon State University (Philippines) for having organized this doctorate training course in business administration training, which I have found a valuable opportunity for me to further upgrade my knowledge and capacity. I feel grateful for my lectures have provided their students with their great knowledge and guidance throughout the course. I am indebted to the administrators of Thai Nguyen College of Economics and Finance, and Vietnam Trade Union University for their facilitation for my attendance to this course. I owe my deep gratitude to Assoc Prof Dr Do Anh Tai, my supervisor and instructor, for his kind instructions and valuable remarks towards my completion of this thesis. I would also like to say thanks to my relatives, friends and colleagues. Without their donations of materials, data processing, and translation, this thesis would not have been made possible. I am indebted to many other people. They are writers of useful materials in books, internet, and newspapers. And finally, my big thanks to my family whose encouragement and supports have always been with me from the beginning to completion of this thesis. i TABLE OF CONTENTS ACKNOWLEDGEMENTS ........................................................................................ i TABLE OF CONTENTS........................................................................................... ii ABSTRACT .............................................................................................................. v LIST OF TABLES................................................................................................... vii LIST OF FIGURES ................................................................................................ viii CHAPTER I: INTRODUCTION ............................................................................... 1 BACKGROUND OF THE STUDY ....................................................................... 3 STATEMENT OF THE PROBLEM...................................................................... 5 SIGNIFICANCE OF THE STUDY ....................................................................... 6 SCOPE AND LIMITATIONS ............................................................................... 8 DEFINITION OF TERMS..................................................................................... 8 CHAPTER II: REVIEW OF RELATED LITERATURE AND STUDIES ............... 11 REVIEW OF RELATED LITERATURE ............................................................ 11 Unemployment insurance................................................................................. 11 Coverage of unemployment insurance.............................................................. 19 Conditions for the enjoyment of unemployment insurance ............................... 21 Unemployment insurance fund......................................................................... 23 Unemployment insurance regimes.................................................................... 25 Procedures for unemployment insurance regimes ............................................. 28 REVIEW OF RELATED STUDIES .................................................................... 34 CONCEPTUAL FRAMEWORK......................................................................... 35 CHAPTER III: METHODOLOGY.......................................................................... 37 LOCALE OF THE STUDY................................................................................. 37 ii RESEARCH DESIGN ......................................................................................... 41 POPULATION AND SAMPLING ...................................................................... 41 RESEARCH INSTRUMENTATION .................................................................. 42 VALIDATION OF THE INSTRUMENT ............................................................ 43 DATA GATHERING PROCEDURE .................................................................. 43 DATA PROCESSING METHOD........................................................................ 44 STATISTICAL TREATMENT............................................................................ 44 CHAPTER IV: PRESENTATION, ANALYSIS AND INTERPRETATION OF DATA... 46 PROFILE OF RESPONDENTS........................................................................... 46 THE IMPLEMENTATION OF UNEMPLOYMENT INSURANCE IN THAI NGUYEN PROVINCE........................................................................................ 51 Coverage of unemployment insurance.............................................................. 51 Conditions for the enjoyment of unemployment insurance ............................... 58 Unemployment insurance fund......................................................................... 62 Unemployment insurance regimes.................................................................... 66 Procedures for unemployment insurance regimes ............................................. 70 CHAPTER V: SUMMARY, FINDINGS, CONCLUSIONS AND RECOMMENDATION.... 78 SUMMARY OF THE FINDINGS ....................................................................... 78 Characteristics of the respondents .................................................................... 79 The respondents ’perception on the implementation of unemployment insurance....... 80 The differences between the perceptions of employees are grouped in terms of type of unit that employees had worked before unemployment......................... 83 CONCLUSIONS ................................................................................................. 85 RECOMMENDATION ....................................................................................... 86 iii Recommendations on the coverage of unemployment insurance ...................... 86 Recommendations on conditions for the enjoyment of unemployment insurance .. 88 Recommendations on unemployment insurance fund ....................................... 88 Recommendations on unemployment insurance regimes .................................. 89 Recommendations on procedures for unemployment insurance regimes........... 89 BIBLIOGRAPHY ................................................................................................... 91 APPENDIX A ......................................................................................................... 94 APPENDIX B ......................................................................................................... 95 APPENDIX C ....................................................................................................... 100 APPENDIX D ....................................................................................................... 104 iv ABSTRACT The main purpose of this study is evaluating the implementation of unemployment insurance (UI) in Thai Nguyen province in 2012 and propose some recommendations to improve the implementation of the policy in the coming years. In solving the research problem mentioned previously, this study has the following objectives: (1) to describe the characteristics of the respondents, (2) to determine the perception of the respondents on the implementation of UI in terms of: coverage of UI; conditions for enjoying UI; UI fund; UI regimes; procedures for UI regimes, (3) to compare the perceived implementation of the UI when the respondents are grouped in terms of: type of unit that employees had worked before unemployment, (4) to propose some recommendations to improve the implementation of UI in Thai Nguyen province in the coming years. In terms of structure, the thesis has five chapters. The thesis begins by defining the research problem and questions, and providing a justification for the research study. Chapter one also reviews the research background, and presents definitions of terms, significance and scope of the study. Chapter two examines the UI theory, current UI policy in Vietnam and its implementation. This chapter also reviews previous research related to UI. Chapter three discusses aspects of the research methodology including research design, data collection and data analysis methods, and hypothesis testing to support the model. Objectives of this chapter are: (1) to justify the research methodology of this study, (2) to explain research methodology used in the study, and (3) to demonstrate how research design, and data collection and analysis can be utilized in this study to answer the research questions outlined in the chapter one. v Chapter four presents descriptive findings of the profile of respondents, the implementation of UI in Thai Nguyen province. Objectives of this chapter are present gathered data, analyze and interpret about them. Finally, chapter five where findings and conclusions are summarized and recommendation are indicated for the current UI policy and its implementation in Thai Nguyen province. This study attempts to know the status of the implementation of UI in Thai Nguyen province in 2012, especially points out shortcomings of UI and the difficulties and limited problems of implementation process of this policy. It also provides valuable recommendations refer to the UI policies promulgate agencies and the UI management agencies in Thai Nguyen province in particular and the country in general, have issued this policy more completely, have many solutions to implement it more effectively. vi LIST OF TABLES Table 1: Profile of respondents ................................................................................ 46 Table 2: Respondents’ perceptions on implementation of UI in Thai Nguyen province in terms of coverage of UI............................................................................... 54 Table 3: Implementation of UI in Thai Nguyen province in terms of coverage of UI based on the evaluation of the respondents have been grouped ........................ 55 Table 4: Respondents’ perception on implementation of UI in Thai Nguyen province in terms of conditions for the enjoyment of UI ........................................................ 60 Table 5: Implementation of UI in Thai Nguyen province in terms of conditions for the enjoyment of UI based on the evaluation of the respondents have been grouped 61 Table 6: The respondents’ perception on implementation of UI in Thai Nguyen province in terms of UI fund ........................................................................... 64 Table 7: Implementation of UI in Thai Nguyen province in terms of UI fund based on the evaluation of the respondents have been grouped....................................... 65 Table 8: The respondents’ perception on implementation of UI in Thai Nguyen province in terms of UI regimes ...................................................................... 68 Table 9: Implementation of UI in Thai Nguyen province in terms of UI regimes based on the evaluation of the respondents have been grouped.................................. 69 Table 10: The respondents’ perception on implementation of UI in Thai Nguyen province in terms of procedures for UI regimes ............................................... 72 Table 11: Implementation of UI in Thai Nguyen province in terms of procedures for UI regimes based on the evaluation of the respondents have been grouped...... 73 Table 12: Implementation of UI in Thai Nguyen province based on the evaluation of the respondents have been grouped ................................................................. 75 vii LIST OF FIGURES Figure 1 Conceptual Model Showing the implementation of Unemployment insurance in Thai Nguyen province................................................................................. 36 Figure 2 Map of Vietnam......................................................................................... 39 Figure 3 Map of Thai Nguyen province ................................................................... 40 viii CHAPTER I INTRODUCTION Today, besides the development of all aspects, the world is faced with many challenges of economic, political and social. Along with large uncertainties such as war, violence, crime, social inequality, etc., unemployment is also becoming a hot concern, exceeding all matters of common worrying, especially when the economic financial crisis knock to each individual, each household in each country . Unemployment affects not only for each employee and their families. Unemployment of large numbers of individuals will also have very negative impacts on society: for individuals, for economy, for the nations. However, in market economies, unemployment is inevitable phenomenon. It means that if there is a market economy, there is still unemployment. The problem posed is to control the allowed unemployment rate. According to economists, maintaining a certain unemployment rate can stimulate economic growth. But the unemployment rate increase exceeding the permitted level will affect greatly to the socio-economic development of the country. Because of the impact of scientific and technological revolution and globalization, unemployment is worsening. Unemployment became one of the problematic issues in lots of countries, which influences strongly on the development and stability of economic - political - social status of each country. So governments have the responses policies to resolve these two issues depending on their conditions in each period. Among them, the UI policies are built or improved in many countries to protect workers avoiding the feeling of uncertainty about the economy and society. 1 When workers lose their jobs, they lose income. Hence, one of the positive solutions is to invest to create new jobs. However this is not always possible. Sometimes putting more money into the not strong capital economy can lead to inflation and economic crisis, exacerbated unemployment. There is another solution to protect workers avoiding the inadequacy of the lost jobs, so that society needs to give them an income to offset income lost through UI. This is one of the measures which have been interested in many countries because it not only ensures life for individuals who are unemployed but also contributes to social stability. UI is the process of formation and use of funds through the financial contributions of the employee, the employer and the help of the state, in order to support of income for workers in period they have lost their jobs, enabling them to find new jobs in the labor market. This has important implications for individual workers and companies, contributing to balancing role in the economy, helping to decrease social stress caused by unemployment. That is one of the tools to implement social security policies of each country. Since Vietnam has begun its switch to market economy and integration into the world economy, besides the economic - social achievement, unemployment has been one of the very urgent problems. In our labor market, labor supply is greater than labor demand. Every year, from 1.1 to 1.2 million people entered the work force, but the labor’s absorptive capacity of the economy is limited. In addition, no trained or skilled workers are high, basic training and technical workers is short. This is the cause of unemployment or underemployment is increasingly severe. Although the labor market needs but the level of workers do not meet the criteria of the job. Besides, in the process of industrialization, modernization and economic 2 restructuring, innovation, sort of state enterprises, quite huge number of workers, so many different cases, are terminated their work contracts. Moreover, in the context of economic crisis in recent years, many small and medium enterprises, department accounting about 98% of enterprises in Vietnam, to cut staff, proceed to or went bankrupt, leaving workers lose their jobs. The unemployed workers fell into economic difficulties, depressed in spirit, very easy to fall into evils. This effects to social order - security largely. In this situation, UI, as a mode of social insurance and a component of social security, has been built and was officially implemented in 2009. BACKGROUND OF THE STUDY In Vietnam, UI was adopted formally from 01/01/2009 under the provisions of Law on Social Insurance was enacted in 2006 with the following main contents: coverage of UI; conditions for the enjoyment of UI; UI fund; UI regimes; procedures for UI regimes. UI is a policy to assist the unemployed to replace or partially offset the income of workers when they lose income due to unemployment and more importantly support the unemployed receive vocational training, supported employment for workers soon have a job, have a stable income and life. Nationwide, the total number of employees was 49.322 million in 2009, nearly 50.393 million in 2010, over 51.398 million people in 2011, the unemployment rate (calculated width in urban areas) was 4.60% in 2009, 4.29% in 2010, 3.60% in 2011. Particularly in Thai Nguyen province, the total number of employees was 665,652 people in 2009; 677,070 people in 2010; and 685,630 people in 2011; unemployment rate (calculated width in urban areas) was 4.46% in 2009, 4.24% in 2010, and 3.75% in 2011. 3 The author mentions a few figures briefly to help the readers see that the number of people is likely affected by the UI policy in Thai Nguyen province, as well as across the country, especially in urban areas, is quite large. In such a situation, 4-year experience, the implementation of this policy has made significant achievements, but also has some limitations that should soon be adjust to this policy performs its role in a better way. After being in use, UI has achieved certain success. It is one of the policies into practice quickly, are received by the employers, workers in a positive way. This is the right policies, has a direct, practical impacts to the employees, the employers. It contributes to ensuring social security in the country in general, in Thai Nguyen province in particular. However, the implementation process UI also generate many problems to be completed, related issues: coverage of UI; conditions for the enjoyment of UI; UI fund; UI regimes; procedures for UI regimes. Many labors did not know, or was not insured UI, many companies "hide" the UI, contribution and regimes of UI were unreasonable, entitlement procedures were not favorable, there were many scenes of UI fraud, etc. What are the inadequacies of the current UI program? What do difficulties exist in the implementation of UI? What solutions can help to improve the effectiveness of UI? The author has spent a lot of concern before those questions. Having all these premises in mind, the researcher attempted to find out successful and limitation of the implementation of UI in Thai Nguyen province, then give some recommendations based on the research results. As a law lecturer with passion for researching and teaching law of labor and social security, also derived from the responsibility of a person was born and raised in the land of Thai Nguyen, in the 4 above problem, the authors decided to select the topic "Evaluating the implementation of unemployment insurance in Thai Nguyen province" for her research. STATEMENT OF THE PROBLEM The main purposes of this study are evaluating the implementation of UI in Thai Nguyen province in 2012 and propose some recommendations to improve the implementation of the policy in the coming years. In solving the research problem mentioned previously, this study has the following objectives: 1. To describe the characteristics of the respondents. 2. To determine the perception of the respondents on the implementation of UI in terms of: Coverage of UI; Conditions for the enjoyment of UI; UI fund; UI regimes; Procedures for UI regimes. 3. To compare the perceived implementation of the UI when the respondents are grouped in terms of: Type of unit that employees had worked before unemployment. 4. To propose some recommendations to improve the implementation of UI in Thai Nguyen province in the coming years. Specifically, it sought answers to the following questions: 1. What is the profile of the respondents in terms of: Age; Sex; Type of unit that employees had worked before unemployment; Type of labor contract/ work contract had been signed before unemployment; Current job status; Time has participated in UI; UI enjoy status. 2. What is the perception of respondents on the UI in Thai Nguyen province in terms of: Coverage of UI; Conditions for the enjoyment of UI; UI fund; UI regimes; Procedures for UI regimes. 5 3. Is there significant difference between the perception of the employees are grouped in terms of type of unit that employees had worked before unemployment (who were entitled to UI in 2012) on the implementation of UI in Thai Nguyen province? 4. What would be the proposed recommendations to improve the implementation of UI in Thai Nguyen province in the coming years? SIGNIFICANCE OF THE STUDY This study attempts to know the status of the implementation of UI in Thai Nguyen province in 2012, then propose some solutions to improve the implementation of UI in Thai Nguyen province in the coming years, would be beneficial to the following: - Employees: This study provides employees aware of the meaning of UI for them more clearly. Participation in UI helps for employees to work in a comfortable, because if unfortunately unemployment, UI will create favorable conditions for them to have the opportunity to return to the labor market, stimulating the unemployed find work in a positive way and ready to work. Employees also have deep understanding of their rights, their responsibilities and the responsibilities of involved agencies and organizations in the implementation of UI. Since then, the employees will perform UI well, to protect their UI rights. - Trade unions in enterprises: This study helps to organize unions in enterprises, as a collective representation for workers, have a sense of responsibility made UI more clearly to help employees be guaranteed the UI right. With the support of unions in the enterprise, employees have more opportunities to participate in UI, and if 6 unemployed, they will be entitled full and timely coverage. Trade unions fulfill their roles on UI to employees is to help business grow, contribute to progress social. - Enterprises: This study also helps enterprises, as the employers, aware of their obligations on implementing UI more clearly, thus showing their responsibilities towards their labors in particular, social responsibility in general. Good performances of UI, there are many benefits to the enterprises. Thanks to UI, if employees loss of works, businesses would not have to pay additional allowances for them. Moreover, when employees know if they unemployed they would get much unemployment beneficial, they will be more assured to work for business. This will encourage businesses to use labor more efficiently, enabling to develop production and business of enterprises. - The UI policies promulgate agencies and the UI management agencies: Through the evaluation of the implementation of UI in Thai Nguyen province, this study also points out shortcomings of UI and the difficulties and limited problems of implementation process of this policy. The study also provides valuable recommendations refer to the UI policies promulgate agencies and the UI management agencies in Thai Nguyen province in particular and the country in general, have issued this policy more completely, have many solutions to implement it more effectively. - Researcher: Performing this study is an opportunity for the author to be relatively deep understanding of one of her passion areas - UI. This also helps the author to supplement knowledge, serve her teaching at the university where she is working better. 7 - Future Researchers: This study could provide references for future proponents who wish to venture a study similar to the nature of this on-going research. Thus, basic tenets on the UI and the implementation of UI could serve as resources for other studies. SCOPE AND LIMITATIONS The primary intent of this study is to evaluate the implementation of UI in Thai Nguyen province in 2012. There were 348 employees who were entitled to UI in Thai Nguyen province used as respondents in this study. Measurement of the implementation of UI in Thai Nguyen province is limited to the use of questionnaires with a limited number of involved people. Checklist is developed for the purpose of the study. The time frame of this study covered the period from January 2012 to April 2013. DEFINITION OF TERMS - A definite term labor contract is a contract in which the two parties determine the term and the time for termination of the validity of the contract as a period of twelve (12) months to thirty six (36) months; - A labor contract is an agreement between the employee and the employer on the paid job, working conditions, and the rights and obligations of each party in the labor relationship. - A working contract is an agreement in writing by an officer or officer is recruited and the head of public service units of the location of employment, wages, treatment regime, working conditions rights and obligations of each party. - An employee shall be a person of at least fifteen (15) years of age who is able to work and has entered into a labor contract. 8 - An employer shall be an enterprise, body, or organization, or an individual who is at least eighteen (18) years of age, employing and paying wages to an employee. - An indefinite term labor contract is a contract in which the two parties do not determine the term and the time for termination of the validity of the contract. - Service unit of the State is organization which is held by the competent authority of the State, political organizations, political organizations, socio established under the provisions of law, have legal status, service providers public, state management service. - Large enterprise is a business which is not on the scale of small and medium enterprises. - Small and medium enterprise is a business with a total capital of 50 billion dongs or less, using no more than 100 employees if it operates in the field of trade and services, and is a business with a total capital of 100 billion dongs or less, using no more than 300 employees if it operates in other areas. - Social insurance means the guarantee to fully or partially offset a laborer's income that is lost or reduced due to his/her sickness, maternity, labor accident, occupational disease, unemployment, retirement or death, on the basis of his/her contributions to the social insurance fund. - The labor force (economic activity population) includes all persons aged 15 years or more have a job and unemployed people in the observation period. - The social insurance organization is a non-business organization functioning to materialize the social insurance regimes and policies, to manage and use the social insurance funds under the provisions of the “Law on social insurance”. - The unemployed are those not working but seeking employment and willing to work to generate income in cash or kind in the observation period, including those 9 who have never worked. Unemployed also include those have no active job search in the observation period because they are arranged a new job after the observation period, who were suspended without pay, with or without time limit or those not actively seeking employment because they cannot find the notion that job. - The unemployment rate is the percentage of unemployment than labor force (economic activity population). - Trade Union means a great socio-political organization of the working-class and laborers. Trade Unions are founded on the voluntary basis and are a component part of the political system of the Vietnamese society, placed under the leadership of the Communist Party of Vietnam. Trade Unions are representatives of cadres and civil servants, public employees, workers and other laborers (hereinafter referred to as laborers), together with state agencies, economical organizations, social organizations shall care and protect for laborers’ legitimate and legal rights and interests. Trade Unions join in state management, eco-social management, inspection; examination, supervision of activities of state agencies, organizations, units, enterprises; and mobilization, propagation for laborers to study, improve knowledge, professional skill, observe law, build and defend the socialist fatherland of Vietnam. - Unemployment insurance (UI) is a federal program whereby eligible unemployed persons receive cash benefits for a specified period of time. These benefits are paid out of funds derived from employer, employee and government contributions. 10 CHAPTER II REVIEW OF RELATED LITERATURE AND STUDIES This chapter presents the discussion of topics that served as background information in conducting this study. REVIEW OF RELATED LITERATURE Unemployment insurance Unemployment insurance concept UI is a federal program whereby eligible unemployed persons receive cash benefits for a specified period of time. These benefits are paid out of funds derived from employer, employee and government contributions (www.entrepreneur.com/encyclopedia). Hai Pham Van (2010) wrote: “UI is the process of organizing and using focus monetary fund - the UI fund - is formed by the contribution of stakeholders (employees, employers and support state) to ensure a stable life for workers and their families facing risks of employment”. On the other hand, Hong Do Thu (2010) said that: “UI is all legal, make regulations on the contributions, the use of the UI fund, the payment of unemployment allowance to offset income for workers lost employment and performance measures for the unemployed to return to work”. Thu Le Thi Hoai (2008) writes: "UI is a part of social insurance to protect employees in case they lose their jobs. In addition to the payment of benefits for the unemployed, UI was the link between the unemployed to the labor market, such as job training, retraining, job brokerage, career counseling, support funding for the unemployed up now"… 11
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