Le Thanh Thuy - Tom Tat Tieng Anh.pdf

MINISTRY OF EDUCATION AND TRAINING MINISTRY OF JUSTICE HANOI LAW UNIVERSITY LE THANH THUY THE PRINCIPLE OF PUBLICITY IN INSPECTION ACTIVITIES Major Constitutional and Administrative Law Code 9 38 01 0[.]

MINISTRY OF EDUCATION AND TRAINING MINISTRY OF JUSTICE

HANOI LAW UNIVERSITY

The Thesis has been completed at Ha Noi Law University

Supervisors: 1 Assoc Prof Dr. Nguyen Van Quang

2 Dr Đinh Văn Minh

The Thesis can be found at the National Library of Vietnam

and the Library of Ha Noi Law University

INTRODUCTION

1 Rationale for the Topic Selection

Inspection serves as a core aspect of State governance, intricately woven into its operational fabric Upholding the principle of publicity within inspection activities isn’t just a procedural step - it embodies democratic ideals and underpins the State’s legitimacy in conducting inspection meticulously and within the confines of the law This commitment fosters a culture of integrity within the realm of inspection Publicity in inspections goes beyond mere compliance; it bolsters the competence and efficacy of inspection bodies It acts as a shield against corruption, preemptively guarding against unethical practices, and nurturing public confidence in these oversight entities Moreover, this commitment to publicity creates an inclusive platform that encourages open dialogue, fine-tunes legislation, and harmonizes the enforcement of legal standards

The practical operation of the inspection sector in recent years have showcased remarkable and encouraging progress, culminating in heightened effectiveness The legal framework and procedural intricacies within the field

of inspection have undergone steady refinement, leading to an increased identification of irregularities Subsequently, corresponding recommendations for rectification by the inspection sector have surged Nonetheless, practical inspection work reveals that the sector is concurrently contending with numerous persistent challenges and limitations These factors curtail the efficiency of inspection activities and impart implications on the sector’s reputation and credibility Several quality inspection activities still demonstrate limitations, characterized by extended inspection durations Some inspection activities deviate from their intended plans, and information requests frequently lack relevance to the core focus of the inspection Repetition of inspection topics can inconvenience the subjects under inspection In specific instances, those being inspected respond to inspectors by perceiving them as imposing, lacking a democratic approach, being bureaucratic, unfamiliar with legal and practical aspects, violating procedural norms, and conducting inspections in a mechanical manner Consequently, this has led to situations where the subjects of inspection contest inspection conclusions, fail to promptly implement recommendations and decisions post-inspection, or deliberately delay their execution Furthermore,

negative perceptions and inaccurate information dissemination about inspection activities and the inspection sector persist The monitoring, verification, and consistent enforcement of post-inspection recommendations remain areas that require improvement

There are multiple factors resulting in the aforementioned limitations, among which the reasons related to regulating and ensuring the implementation of the principle of publicity in inspection activities must be

highlighted A notable example includes the following: Firstly, the absence

of regulations concerning publicity throughout the process of formulating

and submitting inspection result reports Secondly, the existing provisions

governing the publicity of inspection conclusions in the current Inspection Law are broad and vague, posing difficulties for relevant parties to access

inspection findings Thirdly, the rights of subjects undergoing inspection

remain restricted One of their rights is to provide explanations on matters

related to the inspection's content during the inspection process Fourthly, the

confidential list within the inspection sector incorporates several unreasonable aspects that do not align with the context of contemporary administrative reforms, thereby diminishing publicity in inspection

endeavors Lastly, there is an absence of provisions for penalties pertaining

to breaches of the principle of publicity in inspection activities Therefore,

undertaking research on the subject of “The Principle of Publicity in

Inspection Activities” is imperative, aligning with the practical requirements

of inspection work in the current phase

2 Objectives and Research Tasks

2.1 Research Objectives

The aim of this dissertation is to elucidate the theoretical foundation of the principle of publicity in inspection activities, assess the current legal regulations and the practical enforcement of this principle, with a particular emphasis on highlighting relevant shortcomings and limitations Based on this analysis, the dissertation proposes specific solutions to ensure the implementation of the principle of publicity in inspection activities in our country’s present phase

2.2 Research Tasks

To achieve the aforementioned research objectives, the dissertation focuses on the following primary research tasks:

Firstly, providing an overview of domestic and international research

related to the dissertation's topic to evaluate the existing studies and identify areas that require further exploration

Secondly, analyzing and clarifying the theoretical underpinnings of

regulating and ensuring the implementation of the principle of publicity in inspection activities, including their essence, characteristics, content, and significance The study will also examine factors influencing the implementation of the principle of publicity in inspection activities

Thirdly, analyzing and assessing the present state of legal regulations

and the practical enforcement of the principle of publicity in inspection activities in conjunction with the establishment and progression of inspection agencies in our country from 1945 to the present This encompasses the identification of limitations and deficiencies in legal regulations and the actual execution of the principle of publicity in inspection activities Particularly, this evaluation extends to the period following the enactment of the 2010 Inspection Law up to the current moment It also entails an in-depth exploration

of the fundamental reasons behind these constraints and deficiencies

Fourthly, building upon the scrutiny of theoretical underpinnings and the

evaluation of legal regulations and their application, clarify the pathways toward

ensuring the principle of publicity in inspection activities Derived from this

groundwork, put forward specific strategies aimed at guaranteeing the robust

implementation of the principles of publicity within the ongoing inspection

practices in our country

3 Research Subjects and Scope

3.1 Research Subjects

The research subjects of the dissertation encompass theoretical matters concerning the principle of publicity in inspection activities, legal regulations related to publicity in inspection processes, and the practical application of the principles of publicity within inspection activities in Vietnam

3.2 Scope of Research

- Content Scope: The research predominantly explores theoretical aspects, legal provisions, and the pragmatic execution of the principle of publicity across the spectrum of State inspection procedures This encompasses the stages of inspection preparation, direct inspection

processes, inspection conclusions, and post-inspection procedures, all as stipulated by legal requirements

- Spatial Scope: The dissertation focuses on the study of the principle of publicity in inspection activities in Vietnam To fulfill the dissertation's objectives and research tasks, when analyzing and evaluating theoretical concepts and legal regulations pertaining to publicity in inspection activities, pertinent foreign theoretical and legal frameworks are also referenced to a certain extent

- Temporal Scope: The dissertation primarily centers on evaluating the current status of legal regulations and practical enforcement regarding the principle of publicity in inspection activities, encompassing the period from the implementation of the 2010 Inspection Law up to the present However,

to provide comprehensive assessments and valid conclusions, the research delves into the historical trajectory from 1945 (the establishment of the inspection agency of the Democratic Republic of Vietnam) to the present, examining actual legal provisions and enforcement related to the principle of publicity in inspection activities

4 Research Methodology

- The synthesis and analysis method is employed throughout the dissertation’s chapters to illuminate theoretical facets related the principle of publicity in inspection activities This method entails amalgamating collected data and information, delineating deficiencies and constraints, pinpointing the root causes of these limitations, and subsequently proposing pertinent remedies

- The interpretation and induction method is consistently applied across the entire dissertation to address research inquiries and validate the precision

of the formulated research hypotheses

- The historical and logical methods take center stage in Chapter 3 of the dissertation Their application is geared towards delving into the legal regulations and their practical implementation concerning the principle of publicity in inspection activities spanning from 1945 to the present The objective is to paint a comprehensive panorama of the principle of publicity within inspection activities in Vietnam This undertaking facilitates perceptive evaluations and conclusions, serving as the bedrock for advocating fitting solutions

- Comparative Method: This method is primarily employed in Chapters

1 and 2 of the dissertation to juxtapose and compare theoretical principles and legal regulations from foreign jurisdictions Its objective is to analyze the theoretical underpinnings of the principle of publicity in inspection activities and to compare the practical implementation of legal regulations related to the principle of publicity across different stages and periods from 1945 to the present

- Practical Summation Method: This method is predominantly used in Chapter 3 of the dissertation to evaluate and underscore limitations and deficiencies within legal regulations and their enforcement concerning the principle of publicity in inspection activities

- Sociological Survey Method (Questionnaire): This method is employed in Chapters 2 and 3 of the dissertation to collect practical insights concerning perceptions of the principle of publicity in inspection activities, pertinent limitations, drawbacks, and proposed strategies for ensuring the effective implementation of the principles of publicity To accomplish this, the researcher distributed 300 survey questionnaires through both direct and online channels to inspection agencies and units nationwide The survey participants encompass officials in roles such as Department Heads, Deputy Department Heads, Division Heads, Chief Inspectors, Deputy Chief Inspectors, Principal Inspectors, and Inspectors with participation in multiple inspection teams Furthermore, the researcher directly conducted interviews with officials holding positions such as Department Heads, Deputy Department Heads, and Division Heads within the Government Inspectorate The comprehensive questionnaire forms and the analysis results are presented in the dissertation’s appendix

5 Scientific and Practical Significance of the Study

- Scientific Significance: The research findings of this study contribute

to addressing various theoretical issues, particularly the understanding of the

principle of publicity in inspection activities within the context of

constructing a socialist State governed by the rule of law, “Of the People, By the People, For the People”, administrative reforms, the establishment of an accountable and ethical government that serves the people, and the diverse

factors influencing the implementation of the principles of publicity in

inspection activities

- Practical Significance: The research outcomes of this study provide a comprehensive, vivid, and authentic depiction of the current state of legal regulations and practical enforcement of the principle of publicity in inspection activities It highlights limitations, deficiencies, and particularly specific solutions to ensure the implementation of this principle in the present phase of our country

Consequently, this study can serve as a reference material for policy and legal institutions to further refine legal regulations It can guide organizations, entities, and individuals responsible for law enforcement in inspection activities, especially inspection agencies, in effectively adhering

to legal provisions regarding publicity Additionally, the study can serve as educational material for research and teaching activities related to inspection activities in educational and research institutions in our country

6 Structure of the Dissertation

In addition to the introduction, research overview, conclusions, reference list, and appendices, the dissertation comprises three chapters:

Chapter 1: Theoretical Issues Regarding the Principle of Publicity in

Inspection Activities

Chapter 2: Current Legal Framework of the Principle of Publicity and

Practical Implementation Thereof in Vietnam

Chapter 3: Viewpoints and Solutions to Ensure the Implementation of

the Principle of Publicity in Current Inspection Activities in Vietnam

RESEARCH ISSUE OVERVIEW

1 Research Situation in Vietnam

1.1 Pertinent Studies on Theoretical Aspects of the Principle of Publicity in Inspection Activities

First and foremost, concerning the concepts of inspection and inspection

activities, it is evident that there have been foundational studies delving into the concept of inspection These studies tackle the definition and establish diverse dimensions, shedding light on various facets associated with the essence of inspection and inspection activities

Secondly, the understanding of the principle of publicity in inspection

activities remains an area warranting continued exploration

Thirdly, regarding the factors that influence the implementation of the

principle of publicity in inspection activities, it can be asserted that, until now, there hasn’t been any published research that directly addresses the factors affecting the implementation of the principle of publicity in inspection activities

1.2 Relevant Research on the Practical Application of the Principle of Publicity in Inspection Activities

From a legal perspective, the practical application of the principle of publicity in inspection activities is evident in two aspects: the practical

implementation of legal regulations related to the principle of publicity in

inspection activities, and the actual execution of legal provisions concerning

the principle of publicity in inspection activities

1.3 Research Pertaining to Orientation and Solutions Ensuring the Principle of Publicity in Inspection Operations

Regarding the orientation and solutions to ensure the principle of publicity in inspection activities, there have been several relevant research works These serve as foundations that doctoral candidates can build upon and incorporate into their dissertations In the current context, publicity and transparency are fundamental issues highlighted in the operations of governmental agencies, particularly in the field of anti-corruption efforts Therefore, the task of inheriting and continuing research on the principle of publicity in inspection activities holds significant importance

2 Research Situation Abroad

In essence, foreign studies have not delved deeply into the the principle

of publicity in inspection activities However, upon analyzing and evaluating related content, the principle of publicity in inspection activities have been mentioned to varying degrees

3 Evaluation of Research Topic Situation

3.1 Inherited and Further Developed Topic Contents

The dissertation can inherit specific aspects, namely: theoretical considerations of inspection and inspection activities; theoretical discussions

on transparency in general, the correlation between publicity and accountability, and the obligation of explanation, as addressed in numerous preliminary research works, providing the foundation for studying publicity

in inspection activities; legal provisions and the practical implementation of

the principle of publicity in inspection activities; solutions to ensure the principle of publicity in inspection activities

3.2 Unresolved Issues Requiring In-Depth Analysis and Continued Research

From a theoretical perspective, it is evident that conducting thorough research and providing specific explanations regarding the theoretical aspects

of the principle of publicity in inspection activities represent a crucial gap that needs to be addressed This is particularly evident when considering the comprehension of publicity content within inspection activities, understanding the role of the principle of publicity in these activities, and identifying the influential factors affecting the implementation of the principle of publicity within inspection processes

On the practical side, a comprehensive analysis and evaluation of the legal regulations that establish the foundational framework for the principle

of publicity in inspection activities, coupled with an overarching assessment

of the practical implementation of these principles, including the identification of existing issues, limitations, and the underlying reasons for these limitations in relation to the implementation of the principle of publicity in inspection activities, are topics of significant concern that deserve attention

4 Research Hypothesis and Research Questions

4.1 Research Hypothesis

The research hypothesis of the dissertation is as follows: The practical

implementation and enforcement of legal regulations concerning the principle of publicity in inspection activities - principles that play a crucial role in ensuring the effectiveness and efficiency of inspection activities in our country - have yielded some positive outcomes but still exhibit numerous limitations and deficiencies Therefore, it is necessary to clarify the theoretical foundation, conduct in-depth analysis, and comprehensively assess the practical implementation and enforcement of legal regulations related to the principle of publicity in inspection activities This will provide the groundwork for proposing solutions to enhance the effectiveness of these principles

principle of publicity hold within inspection activities? What factors influence the assurance of the principle of publicity in inspection activities?

- Regarding the current state of legal regulations and the practical execution of the principle of publicity in inspection activities, what are the advantages and limitations, as well as the challenges and deficiencies that need to

be addressed? What are the reasons behind these limitations and challenges?

- When ensuring the principle of publicity in investigative operations, which guiding principles should be considered? What specific solutions are required to ensure the principle of publicity in investigative activities in our country during the present phase?"

Chapter 1 THEORETICAL ISSUES REGARDING THE PRINCIPLE OF

PUBLICITY IN INSPECTION ACTIVITIES

1.1 Concepts and Roles of Inspection Activities

1.1.1 Concepts

Inspection activities involve examining the compliance of State agencies, organizations, and individuals with policies and laws, as well as their tasks and plans set by the State These activities are carried out by specialized inspection authorities through inspection decisions or task assignments from competent management entities according to specified procedures and processes defined by law

1.1.2 Roles of Inspection Activities in State Management

- Inspection activities play a role in enhancing management mechanisms, policies, and laws

- Inspection activities serve as a means to ensure the socialist rule of law and State discipline

- Inspection activities contribute to promoting democracy and protecting the legitimate rights and interests of agencies, organizations, and individuals

1.2 Concepts and Characteristics of The principle of publicity in Inspection Activities

1.2.1 Definition of The principle of publicity in Inspection Activities

The principle of publicity in inspection activities are the guiding ideas within the organization and operation of inspections They aid governmental

entities responsible for natural resources management in effectively carrying out their tasks in assigned fields

1.2.2 Characteristics of The principle of publicity in Inspection Activities

Firstly, the principle of publicity is consistently implemented throughout

the inspection process

Secondly, the principle of publicity governs the content, scope, and

subjects of inspections

Thirdly, the principle of publicity reflects transparency and obligatory

execution during the course of conducting inspection activities

1.3 Interrelation between Publicity, Transparency, Confidentiality and Accountability in the Inspection Process

1.3.1 Publicity as an Integral Element of Transparency in Inspection Activities

Publicity stands as a vital element within the broader principle of transparency, consistently threaded throughout the inspection process It commences with the preparation phase, extends through the actual inspection, and endures until the conclusion This commitment to publicity aids both the Inspection Team and relevant agencies in maintaining a rigorous adherence to the inspection procedures, thereby minimizing misunderstandings, inconveniences, and unjust conclusions for the entities under inspection Moreover, publicity empowers inspection agencies to showcase their compliance with legal requirements to governmental bodies, organizations, citizens, and the media

1.3.2 Publicity, Transparency and State Confidentiality

Inspection activities constitute a specialized facet of State governance wherein inspection agencies oversee the adherence of inspected entities -ranging from State agencies and businesses to individuals - to legal regulations This process involves scrutinizing compliance with policies and laws, recommending necessary amendments or supplements Consequently, the realm of inspection covers the entirety of State governance encompassing politics, economics, culture, and society Confidential content could encompass national defense, security, economy, trade, and protected personal information, ensuring citizens’ rights, territorial integrity, and national

security As a result, the principle of publicity and transparency are relatively

observed within a defined scope This permits inspection agencies and State management entities to effectively identify and address violations while

making pertinent subjects public and transparent to safeguard the legitimate rights and interests of those being inspected This approach also facilitates corrective measures and compensation in instances of wrongdoing Furthermore, limited publicity and transparency serve to shield the reputation

of State agencies, guarding against hostile forces leveraging information to tarnish the State’s image, undermine governance, and jeopardize national security

1.3.3 The Relationship between Publicity and Accountability

Accountability practices in countries worldwide, including Vietnam, assert that the responsibility for accountability rests with State management agencies The subjects of accountability encompass citizens or entities falling under the oversight of these State management agencies These agencies are tasked with executing their duties and exercising their authorities Accountability functions as a means and tool for "monitoring" the execution

of executive and administrative powers, enabling the State, society, and the people to supervise the operations of State administrative agencies, along with officials and public servants within this structure This oversight is aimed at ensuring and safeguarding human rights, the legitimate rights and interests of citizens, organizations, and entities through honesty, accuracy, publicity, transparency, legality, and discipline in State administrative activities, ultimately contributing to the prevention and combat of corruption

1.4 The Content of Publicity in Inspection Activities

1.4.1 Information to be Made Public

During the course of conducting inspections, the content subject to publicity is determined as follows:

- Publicity to elucidate the activities of State management in the realm

of inspection, rendering them clear and comprehensible

- Publicity to ensure that the Inspection Team adheres to legal provisions, fostering a heightened sense of responsibility, furnishing accurate and objective evaluations of the inspected entity’s compliance with the law, and safeguarding the legitimate rights and interests of the inspected entity

- Publicity to facilitate the monitoring of the Inspection Team’s activities by State agencies, organizations, individuals, and the media

1.4.2 Forms of Publicity

Currently, publicity is manifest through various forms As stipulated by some countries, the forms of publicity encompass public media: traditional