Research on proposal for implementing probationary leaders and managers model at Vietnam Academy for ethnic minorities

ry leadership and management related to 
cadres and civil servants. 
These are new regulations providing for 
Tạp chí Nghiên cứu Dân tộc KINH NGHIỆM THỰC TIỄN
116 Số 22 - Tháng 6 năm 2018
guiding probationary leadership and management, 
demonstrating democracy, publicity, sufficient 
period to verify personnel both in the theoretical 
and practical way before appointment.
PRACTICE AND PROBLEMS
In Vietnam, Decree No. 76/SL dated June 1, 
1950 (as mentioned above) stipulated that a cadre 
newly assigned to one rank shall be subjected 
to a probation period. However, in fact, only the 
Ministry of Foreign Affairs has implemented the 
departmental probation regulations since 1972 so 
far, while other ministries and departments have 
not implemented yet or implemented infrequently, 
discontinuously and have not released any guiding 
documents yet for the departments or localities. 
The most recent document as the Resolution of 
the 4th Congress of the Central Executive Committee 
of the Communist Party of Vietnam (11th tenuere) 
on “Some today’s urgent issues related to building 
the Communist Party”, signed on January 16, 2012 
“in which it mentioned the issue of probationary 
leadership and management”, but so far the 
Government has not released any legal document 
on the management yet which provides guidelines 
to implement the probationary leadership and 
management.
Another issue is that planning, appointment, 
re-appointment, rotation, resignation and dismissal 
of the cadres and civil servants as stipulated in 
Guideline No. 15-HD/BTCTW dated November 05, 
2012 of the Central Commission of Organization; 
Decision No. 27/2003/QD-TTg dated February 19, 
2013 of the Prime Minister, etc. If the probationary 
leadership and management regime is implemented, 
then what to do so that this shall be consistent with 
the above documents. 
On the other hand, when a cadre or civil servant 
goes through the probation period with the excellent 
performance but without any introduction and 
appointment hereof by the competent authorities, 
how to deal with it? Which level is responsible for 
explaining this issue?
 In the principle of administration (management), 
rights, obligations, benefits are always relevant. 
This is the same with those in all countries. Vietnam 
has not set up a regime of responsibility allowance, 
including probationary leadership and management 
at the Ministry of Foreign Affairs for cadres and 
civil servants under the probation period. This is 
contrary to the international practice. In the long 
time, is this principle existing and reasonable?
How the awareness of, the mechanism of, 
coordination between the authorities, the Vietnamese 
Fatherland Front, socio-political organizations, 
levels and people in implementing the probationary 
leadership and management regime is made ?
Monitoring and supervision of the implementation 
of the probationary leadership and management 
regime by the state party organizations and the heads 
is also a problem to be resolved.
MECHANISM, ORGANIZATION AND 
CURRENT STATUS OF LEADERS AND 
MANAGERS OF VIETNAM ACADEMY FOR 
ETHNIC MINORITIES
According to the Decision No. 562/QD-TTg 
dated August 08, 2016 of the Prime Minister on 
the reorganization of Vietnam Academy for Ethnic 
Minorities and School of Ethnic Minorities into 
Institute for Ethnic Minority; Decision No. 407/
QD-UBDT dated July 11, 2017 of the Chairman 
of the Commission for Ethnic Minorities defining 
the functions, tasks, powers and organizational 
structure of the Institute for Ethnic Minority. Firstly: 
Research on ethnic groups, strategies and policies; 
Secondly, higher education training (including 
foundation training), post-graduate training, and 
the development of ethnic minority staff and staff 
for ethnic minorities and mountainous regions; 
Thirdly, fostering the knowledge of ethnic work for 
cadres, civil servants and officials in the political 
system, the prestigious people in ethnic minorities 
and mountainous regions. 
With respect to the organizational structure, 
the Institute currently consists of: 1 Director of the 
Institute, 3 Deputy Directors of the Institute; 20 
units under the Academy, including:
5 faculties: Faculty of Fundamental Studies; 
Faculty of Foundation, Faculty of Graduate Studies; 
Faculty of State management of ethnic affairs; 
Department of Ethnic Minority Culture.
7 functional department: Office of the Academy; 
Division of Staff Organization; Division of Planning 
and Finance; Division of Training; Division 
of Educational Testing and Quality Assurance; 
Division of Science and International Cooperation; 
Division of Political & Student Affairs. 
8 research and development organizations and 
non-business units directly under the Academy, 
including;
- R & D organizations and non-business units 
are level-III estimation units (7 units), including the 
Institute for Ethnic Minorities Strategy and Policy; 
Institute for Nation Cultural Research; Center 
for Ethnic Minority Education; Center for Ethnic 
Minority Arts; Center for Consultancy, Transfer of 
science and technology, Environmental Protection 
for ethnic minorities and mountainous regions; 
Center for Human Resources Development and 
Training for Ethnic Minorities and Mountainous 
Regions; Anthropology review.
- Non-business units under the Institute (1 unit): 
Center for Information and Library 
Tạp chí Nghiên cứu Dân tộc KINH NGHIỆM THỰC TIỄN
117Số 22 - Tháng 6 năm 2018
In the structure above, the Center for Ethnic 
Minority Arts has not been established so far.
As for the organizational structure mentioned 
above and some of the issues presented below, it 
is clear that Institute for Ethnic Minority is well 
suited for the conditions of implementing the pilot 
model of probationary leadership and management 
in current period, in particular:
10 out of 19 established units have their heads 
while 9 units have no heads. 
4 out of (aforementioned) 10 units with their 
heads have deputy heads: National Institute 
for Strategy and Policy, Center for Ethnic 
Work Training, Center for Human Resources 
Development and Training for Ethnic Minorities 
and Mountainous Regions; Anthropology review 
(the head concurrently acts as the deputy head), 6 
units have no deputy heads.
There are 9 units without a head, the deputy 
heads of such units are assigned to manage the units 
and only one deputy head is present, only 2 units: 
Division of Science and International Cooperation; 
Division of Political & Student Affairs have 2 
deputy heads, faculty of fundamental studies has no 
deputy head, only a manager is present. 
The shortage of managerial staff, along with 
the waiting time for licenses for training, opening 
the training industry is reason for the Institute to 
implement the leadership probation regime.
At present, though it is not mentioned to as 
probationary leadership and management, the way 
of assigning lower-level staff to take up the work 
at higher positions in the Institute is essentially 
probationary leadership and management. However, 
it is not recognized as probationary leadership and 
management as it is not implemented uniformly in 
an agreement document and he original purposes 
have not been clearly identified.
PROPOSING SOLUTIONS FOR 
IMPLEMENTING PROBATIONARY 
LEADERS AND MANAGERS MODEL 
AT VIETNAM ACADEMY FOR ETHNIC 
MINORITIES 
From the point of view, the guiding documents of 
the party and the state, from social practice and the 
status of managerial staff at the Vienam Academy 
for Ethnic Minorities, we propose to develop the 
probationary leadership and management model for 
departmental-level officials and equivalent at the 
Vienam Academy for Ethnic Minorities, (hereinafter 
referred to as department-level management for 
short). 
The object of probationary leaders and managers 
are departmental-level officials and equivalent who 
have been authorized by the Minister or Director of 
the Institute issues decision on plan for department-
level managers (heads, deputy heads) and equivalent 
within the valid term of decision approving the 
plan and not in the disciplinary review period or 
disciplinary enforcement period.
-Deputy heads of departments are assigned to 
manage the departments;
-Temporary officials are assigned to manage the 
departments;
-The officials in the plan for heads, deputy heads 
proposed by leaders, Director of Institute to manage 
some works of the units and manage departments 
during the absence of the heads.
Procedures for selection of probationary 
leadership and managerial staff: When there are 
vacant positions in leadership, management or 
at the proposal of the unit for assignment to the 
managerial staff in the plan:
Division of Staff Organization advises on 
the objects of probationary leadership and 
the managers submit to the Joint Committees 
(Executive Committee of Party Committee of 
Vienam Academy for Ethnic Minorities,, Board of 
Directors, Chairman of Trade Union, Secretary of 
the Youth Union of the Institute);
Joint Committees hold a meeting to leaders and 
managers approve plan for selection of object of 
probationary. 
The director of the Academy shall sign the 
decision on appointment of the probationary 
leadership and managerial staff.
Contents of probationary leaders and managers: 
the probationary leadership and managerial staff 
shall perform their functions and tasks through the 
process of “role playing” in managing the units 
or managing assigned tasks in accordance with 
current management documents and regulations of 
the Institute for Ethnic Minority, the Committee for 
Ethnic Minority Affairs and the provisions of law.
Time for probationary leaders and managers: 1 
year, which can be extended for 6 months.
Probationary leaders and managers regime: 
Staff in probationary leadership and management 
at head and deputy head level are reviewed in terms 
of qualifications and appoint to attend training, re-
training courses for professional degree in order to 
meet the requirements for holding the position under 
the plan. The trainees are assigned a number of works 
by the Director during probationary period.
Evaluation of probationary leaders and 
managers results: After the probationary leadership 
and management period, (1 to 2 weeks), the trainees 
must prepare report on probationary leadership 
and management results with the comments of the 
Official in charge, and submit to the Division of 
Staff Organization. Contents of report:
- Results of performance of tasks or tasks 
Tạp chí Nghiên cứu Dân tộc KINH NGHIỆM THỰC TIỄN
118 Số 22 - Tháng 6 năm 2018
assigned;
- The implementation of regulations on 
professional ethics;
- The sense of responsibility, the sense of 
cooperation with colleagues, the code of conduct, 
compliance with labor discipline, attitude of serving 
the people;
- The performance of other obligations of the 
officials;
- The capacity to lead, manage, administer and 
organize the performance of tasks;
- The performance of the unit or task assigned 
to manage. 
Hold a joint meeting for assessment and 
recommendation: expiration of the probationary 
appointment process, extension of probation or 
termination of probation.
Implementation, proposal for the following steps:
Step 1. Division for Staff Organization shall 
advise the positions to be added to the leaders of 
the institute and the managerial staff in the units, 
enclosed with the list of statistical reports to the 
Director (before April 16, 2012) .
Step 2. The director shall issue a document to 
instruct the leaders of the units to select works 
and positions for probation; Separating the work 
of the officials in charge of leading, managing the 
unit assigned to the staff in the plan. Those who 
are included in the plan shall register to select the 
contents of probationary leadership, management 
(before April 23, 2018).
Step 3. Division for Staff Organization gathers 
the lists, proposing plans and draft decisions on 
probation, contents and time for probationary 
leadership and management and submit to the 
directors (before April 27, 2018).
Step 4. At the end of the probationary leadership 
and management period, the units hold meetings 
at unit level and key leader level to terminate the 
probationary period. 
Step 5. Based on the result of probationary 
leadership and management, Department for Staff 
Organization prepares draft report on proposing the 
list of appointment of leadership and managerial 
staff.
We believe that probationary leadership and 
management has been mentioned and implemented 
in Vietnam (as presented above) from the 1950s, 
and relatively early in other countries. However, 
it has been quite new for many ministries, 
departments, universities and institutes. We should 
not delay implementation until its completion. Pilot 
implementation should be carried out from the base 
then complete document system may be developed.
References
[1] Vietnamese Encyclopedia (Volume 4), 
Dictionary Publishing House, Hanoi, 2015, pp. 
102-103);
[2] Phan Huu Tich - Ho Chi Minh National 
Political Academy, Regarding the implementation 
of the current leadership and management regime 
in Vietnam, State Organization Review, 
vn , 28/06/2016 01:39;
[3] Commission for Public Service 
Appointments, 2011, p. 7;
[4] Ordinance No. 76/SL dated May 20, 1950 
of the President of the Democratic Republic of 
Vietnam, Promulgating the Regulation on Civil 
Servants;
 [5] Decision No. 228-CP of December 14, 
1992 of the Government Council on “the regime of 
Assistant to the Minister of Foreign Affairs”;
[6] Resolution No. 12-NQ / TW - Resolution 
of the Fourth Plenum of the Central Committee of 
the Communist Party (XI): Some urgent issues on 
building the Party;
[7] Plan No. 08-KH / TW dated 12 March 2012 
on “implementing the Resolution of the Fourth 
Plenum of the Party Central Committee (XI)”
NGHIÊN CỨU ĐỀ XUẤT TRIỂN KHAI MÔ HÌNH TẬP SỰ LÃNH ĐẠO, QUẢN LÝ 
TẠI HỌC VIỆN DÂN TỘC
Đậu Thế Tụng
Tóm tắt: Xuất phát từ các quan niệm về tập sự lãnh đạo, quản lý; các văn bản chỉ đạo của Đảng và Nhà 
nước về tập sự lãnh đạo, quản lý; thực tiễn và những vấn đề đặt ra từ tập sự lãnh đạo, quản lý. Tác giả phân 
tích, dẫn giải từ cơ cấu, tổ chức và thực tiễn nguồn viên chức quản lý cấp phòng của Học viện Dân tộc hiện 
nay, từ đó để đề xuất giải pháp triển khai mô hình tập sự lãnh đạo, quản lý tại Học viện, một trong những 
lý do để chọn được công chức, viên chức lãnh đạo, quản lý tốt nhất và góp phần hoàn thiện hệ thống văn 
bản quy phạm pháp luật về vấn đề này.
Từ khóa: Tập sự lãnh đạo; quản lý; Học viện Dân tộc; lãnh đạo cấp phòng.