Analysing staff behavior from the "spiral of silence" theory and some policy recommendations

The 13th National Party Congress emphasized: “Building a team of cadres, especially leaders, with strong political courage, clear ethics, outstanding ability, dares to think, dares to speak, dares to do, dares to take responsibility, dares to renovate, dares to face difficulties and challenges, dares to act for the common good, has high prestige, and are truly pioneering, exemplary, and a nucleus of solidarity”⁽¹⁾. These are practical requirements for officials of our Party and State today. However, recently, there has been a phenomenon of stagnation, avoidance of responsibility, shyness, fear of making mistakes, and a lack of determination in carrying out tasks by some leaders and managers. This has “sounded an alarm bell” about the effectiveness and efficiency of power execution and cadre policies in the new situation.

1. The behavior of “leaving”, “being cautious” and “not daring to act” in cadres, civil servants, and public officers from the perspective “Spiral of silence” theory

In 1946, German sociologist Elisabeth Noelle Neumann (1916- 2010) introduced the “spiral of silence” theory. This theory explains how people change their opinions or fall into silence to harmonize with majority opinions and avoid isolation. Neumann explains this phenomenon based on three assumptions: (1) People have the ability to self-statistic, allowing them to know which viewpoint holds the dominant position; (2) People are always afraid of being isolated and know what behaviors lead to isolation; (3) On top of the fear of being wrong, people tend not to express their opinions for fear of being isolated⁽²⁾.

Applying Neumann’s “spiral of silence” theory can explain many phenomena in social life in general, and in socio-political life in particular. Here are a few typical phenomena:

Firstly, the phenomenon of officials, civil servants and public employees leaving the state sector, especially in big cities. According to a report from the Ministry of Home Affairs, from January 1, 2020, to June 30, 2022, the number of cadres, civil servants, and public employees who retired or quit their jobs is 39,552 people, accounting for 1.94% of the total assigned payroll; especially in the education and training sector, where there were 16,427 people; medical care was 12,198 people⁽³⁾. In Ho Chi Minh City, in the first 6 months of 2022 alone, there were nearly 6,200 cadres and civil servants who quit their jobs (the highest level in the last 7 years), including 676 cadres and civil servants at the provincial level; 5,500 officials in public service units, more than 2,430 people in the education sector, 2,145 people in the health sector⁽⁴⁾.

Secondly, the low disbursement of public investment capital. In 2021, the public investment disbursement rate in Vietnam was 78.08%, in 2022 it was 80.63% (VND 539,276.51 billion) compared to the plan⁽⁵⁾. From 2020, there has been a phenomenon of returning public investment capital, in 2020 over VND 14 trillion, in 2021 over VND 20  trillion⁽⁶⁾. From the beginning of the year to August 2022, up to 17 ministries and localities asked to return VND 6,872 billion in public investment capital⁽⁷⁾. Also during this year, a number of ministries, central branches, and localities requested to reduce or adjust public investment plans⁽⁸⁾. In Ho Chi Minh City alone, VND 544 trillion was allocated in 2022, but by January 31, 2023, only 71.3% (VND 26,636 billion) was disbursed⁽⁹⁾; There are 11 units disbursing public investment capital at 0%⁽¹⁰⁾.

Thirdly, there is a widespread shortage of medicine, medical equipment, and supplies. During an urgent meeting on the shortage of medicine and medical supplies between the Ministry of Health and local health departments in June 2022, the Ministry of Health said that 28/34 health departments in provinces and cities, and 12/21 central hospitals faced shortages of medicine, medical equipment, and supplies⁽¹¹⁾, including Ho Chi Minh City⁽¹²⁾.

The above three phenomena that have appeared since 2020 show a warning of a silent condition in the system of state agencies, which is silence, with its basic manifestations:

(1) “Leaving” - is the highest, most recognizable expression of silence. Choosing to leave represents a silent but intense struggle beforehand by the subjects, ultimately choosing “silence” - giving up, not caring. The phenomenon of cadres, civil servants, public employees, and especially competent and highly qualified human resources leaving the state sector (which is considered an attractive sector because it represents society’s largest resource), shows that there is a phenomenon of brain drain in this sector, which is a reflection of instability in personnel policies in particular and the working environment in the public sector in general;

(2) “Being cautious” - an expression of avoiding risks in silence. Behaviors related to public resources, such as public investment decisions, become carefully considered. Behind that consideration is the calculation of the risk level of the policy implementation process. That consideration reduces risks for decision-makers (according to their perception), but also slows down other social processes;

(3) “Not daring to act” - silent self-defense in silence. This expression takes place silently but brings about a relatively large effect in social life. Not daring to act, signals fear within the subject of action. The recent phenomenon of shortage of medicine and medical supplies in Vietnam shows that people are worried, afraid of making mistakes, afraid of inspection, not daring to do things, and not daring to shop in some localities or units⁽¹³⁾. The hesitance in behavior signals a problem of fear, leading to a state of awaiting and shifting responsibilities of cadres, civil servants, and public employees. The situation of “not daring to act” reflects an invisible pressure that exists in the working environment and places a heavy weight on the behavioral choices of cadres, civil servants, and public employees in the public sector today.

The effort, daring to think, daring to speak, daring to do, daring to take responsibility, daring to cope with difficulties and challenges, and daring to act of cadres, civil servants, and public employees, especially leaders and managers are the driving force for breakthrough, creativity, and development. However, the phenomenon of silence is manifested in the behavior of “leaving”, “being cautious” and “not daring to act” by a part of cadres, civil servants, and public employees in Vietnam in general, Ho Chi Minh City in particular is one of the causes of decline in economic, political, and social development of the locality and the whole country.

From an economic perspective, reports note the slow economic growth of Vietnam and especially Ho Chi Minh City recently. In the first quarter of 2023, Ho Chi Minh City had the lowest growth rate among the 5 centrally run cities, ranked 56/63 provinces and cities in the country, reaching 0.7% over the same period in 2022⁽¹⁴⁾.

There are many reasons to explain the slow economic growth in Ho Chi Minh City, one of which that cannot be ignored: “The stagnation of the administrative system is an important cause”⁽¹⁵⁾, “There is concern about the performance of public duties by a number of cadres, civil servants and public employees”⁽¹⁶⁾. That “stagnation” and “concern” are manifestations of “caution” and “not daring to act” on the part of cadres, civil servants, and public employees.

On the political front, the “abandonment”, “caution” and “not daring to act” of cadres, civil servants, and public employees push the system into a difficult local situation. In fact, Ho Chi Minh City is facing the problem of a shortage of human resources in basic fields such as healthcare, and education, in particular, there is a shortage of high-quality human resources due to the phenomenon of “brain drain” because specialized and experienced cadres leave the public sector⁽¹⁷⁾. In addition, the lack of personnel stability in the organization is also a problem the City is having to solve. There is a lot of work, but the state administrative system shows signs of stagnation, which can lead to a lack of motivation in the system, increasing social pressure and decreasing people’s trust in the Party and State.

In the social field, the silence of cadres, civil servants and public employees creates negative public opinion about the bravery and responsibility of cadres and civil servants and the working environment in the public sector. Silence at work manifests itself in dependence, waiting for superiors, coping behavior, pushing responsibilities... leading to poor performance results, wasted resources, and people not being well served (especially related to basic public services such as health and education; The phenomenon of patients not receiving treatment due to lack of medicine or medical supplies, schools lacking teachers, etc.) causes insecurity and anxiety among the people.

2. Causes of “leaving”, “being cautious” and “not daring to act” behavior in cadres, civil servants, and public employees

The complex international context and development pressures are tangible issues that are putting Vietnam at a juncture of opportunities, difficulties and significant challenges. To be able to lead the country to achieve the goal of “ being a developing country with modern industry and high average income”⁽¹⁸⁾ and “striving to become a developed by 2030 and striving to become a high-income country by 2045”⁽¹⁹⁾, we require a team of leaders and managers with sufficient qualifications, capacity, and prestige on par with their tasks.

However, Vietnam’s endeavors to prevent and fight against corruption and waste in recent years has shown the deterioration of ideals, political stance, ethics, and lifestyle of a part of officials, including leaders and managers at a strategic level. Over 10 years (2012-2022), there have been 2,740 party organizations, more than 167,700 cadres and party members, including more than 190 centrally managed officials (4 members/former members of the Politburo; 36 members/former members of the Central Committee, more than 50 general-level officials in the armed forces) disciplined⁽²⁰⁾.

The fight against corruption and waste in Ho Chi Minh City also achieved many significant results. There were 1,056 party organizations and 2,207 party members inspected for signs of violating party discipline, increasing to 1,688 organizations (up 16%) and 2,750 members (up 12.5%) in the 2015-2020 term. In the 2015-2020 term, 40 party organizations were reviewed and enforced (an increase of 36 party organizations compared to that of the 2010-2015 term); 2,081 party members, including 5 members of the City’s Party Committee and 69 party members managed by the Standing Committee of the City Party Committees⁽²¹⁾.

The phenomenon of “leaving”, “being cautious” and “not daring to act” is a reflects the impact of the process of fighting against corruption and waste by the Party and the State in recent years.

The insecurity, fear of making mistakes, and fear of pressure among public employees include both tangible and invisible fears. Tangible fear creates a direct motive for “leaving”, “being cautious” or “not daring to act” and is the pressure on cadres, civil servants, and public employees, including: (1) pressure to perform public duties under conditions of having to comply with numerous policies, laws, and regulations, with many regulations, rules, policies, and laws that are not specific, overlapping, and contradictory; (2) work pressure and demands from society are increasingly high. Work overload in medical, educational, or grassroots government units is becoming increasingly common; People’s increasing demands for quality public services also create great pressure on the system; (3) pressure from the personal lives of cadres, civil servants, and public employees. Low income and uneven conditions do not motivate staff members to work. Although there have been adjustments, salary and allowance policies for public sector workers are still low and do not meet their living requirements⁽²²⁾. In addition to tangible pressure, there has been a significant increase in the number of party organizations and party members being disciplined across the country, especially in Ho Chi Minh City in recent years, putting an intangible pressure on leaders and managers. The perception is said to be “everywhere you touch, you will see something wrong ⁽²³⁾, etc., creating an invisible obsession with risks in the work of cadres, civil servants, and public employees.

According to the “spiral of silence” theory, beyond the fear of being wrong, there is the fear of “being isolated”. Fear of isolation demonstrates the ability to self-evaluate one’s opinion. People tend to be alone in a crowd or in front of an overwhelming force. People will not dare to express that opinion, leading to silence. The silence expressed through the behavior of “leaving”, “being cautious”, and “not daring to act” reveals the isolation tendency of cadres, civil servants, and public employees. That isolation is reflected in the following aspects:

(1) Breakthrough, creativity, and daring to renovate are actions that go against the consensus of the majority. Under the pressure of development, people are required to renovate, create, and make breakthroughs. According to the law of creativity, all creativity reflects progress, while regulatory institutions solve existing problems and are approved by the consensus of the majority. If cadres, civil servants, and public employees dare to be proactive, creative, and ahead of the curve, they may violate existing regulations, that is, go against the majority’s views.

(2) If it is seen from a system perspective, rules and regulations may be correct when standing alone, but when many regulations, institutions, and rules are combined together to handle many social phenomena in one system, those institutions may overlap, contradict, and exclude each other. Vietnam’s current policy and legal system is a concrete example. In such situations, cadres, civil servants, and public employees implementing policies and laws want to effectively solve practical problems but may violate the policies and laws implemented and agreed upon by the majority, leading to isolation.

(3) The current task of preventing and combating corruption and waste has achieved many achievements. On the one hand, it increases people’s confidence in the Party and the State’s determination to clean up the apparatus, while on the other hand, it creates a preventive mentality and lack of trust in the operating system, the phenomenon of “everywhere you look, you see mistakes” is a testament. This mentality makes people become critical and wary of cadres, civil servants, and public employees performing public duties, causing them to fall into an isolated position under the people’s close supervision.

(4) Currently, there is no institution powerful enough to protect cadres, civil servants, and public employees who dare to think, dare to do, dare to make breakthroughs and renovation. That is the loneliness of cadres, civil servants, and public employees under the pressure of development and the context of the work of cleaning up the apparatus of the Party and State.

3. Policy recommendations to protect officials from the “spiral of silence”

Development pressure requires creativity, renovation, and breakthroughs. But to be creative, innovative, and breakthrough, cadres, civil servants, and public employees must overcome the “Spiral of Silence”, or they must be protected from fear and isolation. The role of institutions and policies to protect officials in the current context is extremely important.

President Ho Chi Minh said that for the revolution to be successful, “we must respect talents and cadres”⁽²⁴⁾, “must retain cadres”⁽²⁵⁾, “If you want cadres to do their jobs, you must make them feel secure and happy to work with. If you want to do that, you must create an environment where cadres dare to speak and dare to suggest opinions”⁽²⁶⁾, “enabling officials to have the courage to take charge and have the courage to work”⁽²⁷⁾, “leaders must respect the confidence and self-esteem of their comrades”⁽²⁸⁾ and “The Party must love cadres, and so on. Loving them means helping them learn and progress further and to help them solve difficult living problems, and so on. Whenever you see shortcomings, help them correct them immediately and cultivate the habit of having the courage to take charge and the courage to do their own work. At the same time, it is necessary to clearly note their advantages and successes”⁽²⁹⁾.

Cadres work is always considered a key task by the Party, and protecting cadres is given special attention. Conclusion No. 14-KL/TW dated September 22, 2021, by the Politburo on the policy on encouraging and protecting dynamic and creative cadres for the common good clearly shows the Party’s viewpoint on protecting officials. The 2008 Law on Civil Servants also clearly states: “Cadres and civil servants are protected by law when performing public duties”. However, the concretization of the Party’s policy on protecting cadres still bears many limitations, the policy of protecting dynamic and creative cadres for the common good has not been institutionalized in State’s laws and policies or included in regular staffing work.

Conducting propaganda, encouragement, and raising awareness for cadres about the nature of anti-corruption work is to protect cadres; reforming income policies, and building a fair, flexible, creative working environment, etc., is essential. Moreover, to encourage cadres to dare to think, dare to do, and be dynamic and creative for the common benefit, a policy to protect cadres is extremely necessary. In order for cadres to overcome the barrier of the “spiral of silence”, the following synchronized policy solutions should be implemented:

Firstly, review and standardize the entire policy system across industries and fields, avoiding overlap and duplication. This is a barrier in the policy implementation process for cadres, civil servants, and public employees. Resolving this policy bottleneck helps cadres, civil servants, and public employees have a safe institutional fulcrum in the process of performing public duties.

Secondly, integrate policies to encourage and protect dynamic and creative cadres in staffing work. All processes of staffing work: recruitment, training, planning, appointment, etc., must incorporate content that encourages cadres to be competent, dynamic, creative, responsible, daring to think, daring to do, for the common good.

Thirdly, build a policy system to protect cadres, focusing on encouraging cadres to be committed and creative in handling practical situations where current policies are exceeded. Alongside rewarding the results of dynamism and creativity, there should be policies to protect and assist if the dynamism and creativity for the common benefits of cadres encounter difficulties, and challenges are ineffective or fail.

Fourthly, strictly handle those who misuse guidelines and policies to protect cadres for power abuse, going against the Party’s guidelines, the State’s laws, and the people’s interests.

Protecting cadres is an important and urgent job in the current period. However, in order for this work to achieve the goal of protecting dynamic and creative cadres for the common good and eliminating cadres who take advantage of policies to manipulate power, great care must be taken. Piloting policy implementation and drawing experience in practice is a necessity. Ho Chi Minh City is a locality with a suitable context and needs a breakthrough in this issue. The pilot development and implementation of policies and mechanisms to protect cadres in Ho Chi Minh City is currently one of the issues that need special attention and given priority in implementation.

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Received: April 22, 2023; Revised: May 22, 2023; Approved for publication: July 24, 2023.

Endnotes:

(1), (18), (9) CPV: Documents of the 13th National Congress, vol.I, National Political Publishing House, Hanoi, 2021, p.187, 217, 218.

(2) Elisabeth Noelle Neumann: The Spiral of Silence: Public opinion - Our social skin, The University of Chicago Press Chicago and London, 1984.

(3) Thanh Tuan: Civil servants and public employees resign: The needs to seriously acknowledge limitations and inadequacies, https://moha.gov.vn, December 23, 2022.

(4) Thu Hang: Nearly 6,200 officials and officers in Ho Chi Minh City quit their jobs in the past 2 years, https://vnexpress.net, August 12, 2022.

(5) CPV electronic newspaper: Ministries, branches, and localities are not allowed to return public investment capital plans, https://dangcongsan.vn, March 30, 2023.

(6), (8) Bidding Newspaper: The phenomenon of many ministries, branches, and localities returning public investment capital plans: You can’t just ask for payment if you have indigestion, https://baodauthau.vn, December 13, 2022.

(7) L. Thanh: 17 ministries and localities ask to return more than VND 6,800 billion public investment capital, https://tuoitre.vn, October 1, 2022.

(9) Ngoc An: Ho Chi Minh City considers the responsibility of the head of slow disbursement of public investment capital, https://tuoitre.vn, October 1, 2022.

(10) Vu Phong: In 2022, Ho Chi Minh City will have 11 units disbursing public investment capital reaching 0%, https://tphcm.chinhphu.vn, February 17, 2023.

(11) Duong Lieu: 40 hospitals and health departments across the country report medicine shortages, https://tuoitre.vn, June 29, 2022.

(12) Vu Phong: Why does Ho Chi Minh City lack of medicine and medical equipment?, https://tphcm.chinhphu.vn, March 2, 2023.

(3) Kien Trung: Overcoming the shortage of medicine and medical supplies, all for the health and lives of the people, https://hcmcpv.org.vn, June 23, 2022.

(14) General Statistics Office: Economic growth in the first quarter of 2023 of 5 centrally run cities, https://www.gso.gov.vn, March 30, 2023

(15), (16) Nha Mi: Explaining that Ho Chi Minh City’s economic growth in the first quarter of 2023 is only 0.7%, https://cafef.vn, April 16, 2023.

(17) Minh Tuan: Ho Chi Minh City: Solving the problem of shortage of medical human resources, https://laodongthudo.vn, October 7, 2022.

(20) See Nguyen Phu Trong: Resolutely and persistently fighting against corruption and negativity, contributing to building our Party and State increasingly transparent and strong, National Political Publishing House, Hanoi, 2023, p.26-27.

(21) Ho Chi Minh City 10th Party Committee: “Appendix on the Political Report at the 11th Ho Chi Minh City Party Congress, term 2020-2025”, p.238.

(22) Vu Linh: What we learn from the “wave” of civil servants and public officers quitting their jobs? https://dangcongsan.vn, November 11, 2022.

(23) See: Lam Anh: Wherever you touch, there’s something wrong? https://daibieunhandan.vn, May 23, 2018, and Ngo Nguyen, Nghiem Y: Wherever you touch, you’ll see something wrong, http://hanoimoi.com.vn, December 6, 2014.

(24), (25), (26), (27), (28), (29) Ho Chi Minh: Complete Works, vol.5, National Political Publishing House, Hanoi, 2011, p.313, 314, 319, 320, 322, 322-323.