ENVIRONMENTAL PROTECTION POLICY: PRACTICAL INSIGHTS F ROM HANOI

These methods are specifically applied according to each chapter of the dissertation as follows: - Chapter 1 aims to clarify the general issues regarding the research situation of the to

Vietnam Institute of Social Sciences Academy of Social Sciences

NGUYEN VAN DIEM

ENVIRONMENTAL PROTECTION POLICY:

The project was completed at:

ACADEMY OF SOCIAL SCIENCES Supervisors:

1 Assoc Prof Dr Le Bo Linh

2 Dr Nguyen Anh Tuan

Reviewer 1: Assoc Prof Dr Nguyen Huu Tung

Reviewer 2: Assoc Prof Dr Hoang Mai

Reviewer 3: Assoc Prof Dr Le Thi Thuc

The thesis will be defended before the Academy-level Thesis Examining Council at: Academy of Social Sciences

At hour, day month 2024

The thesis can be found at:

- Vietnam National Library

- Library of Academy of Social Sciences

INTRODUCTION

1 The Necessity of the Topic

Economic development in general, and market economy in particular, has improved the quality of life for people, but it also presents many negative aspects that adversely affect society in various ways These issues may include internal problems such as unhealthy competition, monopolies, market manipulation, or consequences resulting from the pursuit of profit, such as shortages of public goods, widening wealth gaps, and particularly, economic development often comes with environmental pollution

Environmental pollution arises from the extractive economy that many countries pursue and from waste generated by human activities, including production and consumption As human life becomes materially richer and choices become more diverse, environmental pollution worsens correspondingly This proportional relationship has been warned about by many countries and has become a global issue over the past several decades

The global economic shift compels developing countries to bear the role of the world's workshop, leading to widespread environmental pollution among these nations, with consequences lasting for centuries Among these countries is Vietnam

Environmental protection (EVP) is a primary goal for maintaining sustainable economic development, and Vietnam is no exception Therefore, the Party and the State of Vietnam consistently adhere to international regulations regarding environmental issues and are acutely aware of the importance of EVP in the nation-building and development process Since 1986, environmental protection policies, pollution prevention, and environmental degradation control have not been specifically regulated, but the enactment of the first Environmental Protection Law in 1993 shows the early concern of our Party and State for EVP To date, the State has enacted the Environmental Protection Law four times in 1993, 2015, 2014, and 2020 (effective from January 1, 2022), along with several decrees on sanctions for environmental violations Notably, in its governance, the Vietnamese government has always been one of the pioneering countries in commitments to EVP Specifically, at the COP21 Climate Summit in Paris, France, Vietnam committed to reducing greenhouse gas emissions by 8% compared to the normal development scenario using domestic resources, specifically reducing emission intensity

by 20% per unit of GDP compared to 2010, while increasing forest cover to

45% Moreover, the 8% contribution could increase to 25% with international support through bilateral and multilateral cooperation and the implementation of mechanisms in the new global climate agreement, aiming for a 30% reduction in emission intensity per unit of GDP compared

to 2010 Notably, in addition to the emissions reduction component, Vietnam's INDC also addresses adaptation components, focusing on institutional, policy, financial, human resource, and technological issues, along with prioritized adaptation measures for the period 2021-2030 These commitments have been continuously presented and executed by Vietnam

at various conferences from COP 21 to COP 26 At the COP26 Climate Summit in Glasgow (Scotland), Vietnam, along with many other countries, committed to achieving net-zero emissions by 2050

However, the effectiveness of current EVP efforts still does not meet societal expectations, as environmental pollution remains widespread, even expanding in scale, affecting the health of citizens and living conditions in society The causes of these limitations and weaknesses were identified in the document of the Party's 13th Congress: "State management of resources, EVP, and climate change adaptation is still limited in many aspects; laws and policies are inconsistent; inspection, monitoring, and handling violations are not strict The state of environmental pollution has not improved; pollution remains severe in many places, especially in certain craft villages and river basins; handling of environmental violations is not strict The awareness of EVP among the majority of citizens and businesses is still low Many natural ecosystems, especially forests, wetlands, and marine vegetation, have decreased

in area, quantity, and quality Forest protection efforts are still inadequate, and deforestation and forest fires still occur Many species and valuable genetic resources are at high risk of extinction The consequences of environmental pollution caused by war are still challenging The use of renewable energy (biomass power, wind power, solar power, etc.) remains minimal." Among these causes, it can be seen that the formulation and implementation of EVP policies in Vietnam still have many shortcomings and limitations The ineffectiveness of policies not only prevents the improvement of environmental pollution but also wastes considerable time and financial resources from the state budget Therefore, improving policies and enhancing the effectiveness of EVP implementation is one of the urgent demands for EVP work in Vietnam today Hanoi, as the capital of Vietnam, is the economic and political center

of the country with over ten million inhabitants The city plays a vital role

in the country's economic development and is seen as a symbol of the

nation on the international stage In recent years, Hanoi has experienced rapid economic and social development, becoming one of the largest economic regions among the 63 provinces and has been recognized by UNESCO as a "City for Peace." However, alongside these economic and social achievements, Hanoi is facing many negative issues such as traffic congestion, uneven population distribution, and wealth disparity and particularly, the issue of environmental pollution

Currently, prominent environmental pollution issues in Hanoi include air pollution, water pollution, soil pollution, and overload in the collection, transportation, and treatment of household waste These environmental pollution issues are increasing both in scale and complexity, severely affecting the living environment of citizens and hindering the economic and social development of Hanoi In response to this reality and recognizing the unique pressures on the natural environment of a capital city, the central government and Hanoi city government have issued numerous policies for EVP from various angles and content The results of policy implementation show many positive outcomes, with many EVP contents achieving their objectives, and many urgent environmental pollution issues have been addressed However, the overall results still have many limitations, as the effectiveness of EVP policies has not truly kept pace with the speed of environmental pollution; policy formulation is still not comprehensive and timely; policy implementation is not yet synchronized and effective; resources are still limited and unevenly distributed This has caused environmental pollution in Hanoi to remain a pressing issue that requires swift and decisive resolution Simultaneously, this reality also raises the need for improving and enhancing the effectiveness of EVP policy formulation and implementation in Hanoi in the future

To elucidate the theoretical and practical issues of EVP policies, systematic scientific research is necessary, with investment across specific time and spatial scopes This serves as a cognitive basis to affirm the urgency of conducting research on "EVP Policies from the Practice of Hanoi" within the framework of a doctoral dissertation in public policy

2 Research Objectives and Tasks of the Dissertation

- Statistical analysis and assessment of the research situation regarding

issues related to the dissertation topic Through this, identify the main

and new research contents of the dissertation

- Clarify the theoretical issues of EVP policies, focusing on key

theoretical contents including: concepts, roles, contents, analytical frameworks, and assessments Additionally, reference the EVP policies

of some countries and draw lessons for Vietnam

- Statistically analyze and assess the current state of EVP policies in

Hanoi Through this, identify achieved results, limitations, obstacles,

and the causes of these limitations

- Develop and propose principles and solutions to enhance EVP policies

in Hanoi specifically and nationwide generally

3 Research Subjects and Scope of the Dissertation

3.1 Research Subjects

The research subjects of the dissertation are the theoretical and practical issues of EVP policies in Hanoi

3.2 Research Scope

- Content Scope: The author does not approach the study, evaluation of

the steps in the policy formulation, construction, implementation, and assessment cycle of EVP policies, but focuses on the content of EVP policies (including the system of objectives, solutions, and tools established in policy documents) and the results of policy implementation to evaluate according to the criteria of a good public policy With the limited scope of the dissertation, the author focuses on

a systemic assessment without delving into each solution or tool of

EVP policies

- Spatial Scope: Hanoi city, Vietnam

- Temporal Scope: The dissertation studies the current state of EVP

policies in Hanoi from 2010 to 2023 The proposed solutions of the

dissertation aim for application from 2026 to 2031

4 Methodology and Research Methods of the Dissertation

4.1 Methodology

The methodology of the dissertation is based on the main principles and views of the Party, policies, and laws of the State regarding EVP in the new period Additionally, from a research approach, the dissertation uses theories of the policy cycle stages and other theories from public policy science, including four constituent theories: The theory of policy cycle stages; Advocacy Coalition Framework; Multiple Streams Theory

and Institutional Analysis and Development Theory Furthermore, to show the dialectical relationship of various elements with EVP activities as well as the development policies for this subject, the

dissertation also uses social system theory for research activities

4.2 Research Methods

During the dissertation process, the researcher employs a combination

of various research methods, including: Document analysis; Comparative methods; Historical methods; Proof methods; Expert consultation methods; Analytical and synthetic methods These methods are specifically applied according to each chapter of the dissertation as follows:

- Chapter 1 aims to clarify the general issues regarding the research situation of the topic, using mainly the following research methods: Document analysis; Comparative methods; Analytical and synthetic methods

+ The document analysis method is used to systematize research works

on EVP policies and provide preliminary assessments of the content of this system of works

+ The comparative method is used to contrast the summarized works to classify them into groups of issues that the dissertation intends to study, laying the groundwork for concluding the overall research situation + The analytical and synthetic methods are used to clarify research works on issues of EVP: theory, practice, and solutions From this, identify the researched contents, clarify, and point out the research gaps for the dissertation

- Chapter 2, which aims to clarify the theoretical issues of EVP policies, employs the following research methods: Analytical and synthetic methods; Comparative methods

+ The analytical and synthetic methods are used to present and analyze various concepts related to EVP policies This method also serves to indicate the content, influencing factors, and the role of EVP policies in Vietnam

+ The comparative method aims to compare EVP policies in several countries worldwide, drawing lessons for Vietnam

- Chapter 3 aims to study the current state of the enactment and implementation of EVP policies in Vietnam from the practice of Hanoi, utilizing several research methods: Statistical methods; Sociological

survey methods; Analytical and synthetic methods; Expert consultation methods

+ The statistical method is used to clarify the current state of the enactment and implementation of EVP policies in Vietnam and Hanoi from 2010 to 2023

+ The analytical and synthetic methods are employed to clarify the achievements and limitations of the legal institutional framework as well as the implementation of EVP policies

- Chapter 4, which aims to propose solutions to improve EVP policies, primarily uses analytical and synthetic methods

5 New Scientific Contributions of the Dissertation

The dissertation makes the following new scientific contributions:

- The dissertation successfully constructs a system of scientific theoretical issues regarding EVP policies, including concepts, roles, contents, and an evaluation framework for EVP policies The novelty primarily comes from the approach to the concept of EVP policies and the value of the analytical and evaluation framework successfully built

- The dissertation provides a scientific picture of the practical issues of the environment and EVP policies The most significant contribution comes from analyzing and assessing the effectiveness and efficiency of EVP policies concerning EVP work in Hanoi

- The dissertation proposes principles for constructing solutions and solutions for improving EVP policies in Hanoi specifically and nationwide generally to meet the needs and demands of the new economic development phase

6 Theoretical and Practical Significance of the Dissertation

6.1 Theoretical Significance

Theoretically, the dissertation enriches the scientific treasure regarding public policy issues in general and EVP policies in particular The theoretical values concerning EVP policies developed in the dissertation may still have many issues for further discussion, but overall, they will establish a new research direction that fully meets the current urgency and importance of the situation At that point, the values of the dissertation will provide a theoretical basis for future inheritable research

6.2 Practical Significance

Practically, the dissertation serves as an in-depth scientific report on the current state of the environment and EVP policies in Hanoi The

viewpoints and solutions proposed in the dissertation, if agreed upon by policymakers, could become scientifically valuable recommendations for practical transformation

7 Structure of the Dissertation

In addition to the Introduction, Conclusion, and References, the dissertation is divided into four chapters as follows:

Chapter 1: Overview of the Research Situation

Chapter 2: Theoretical Issues Regarding Environmental Protection Policies

Chapter 3: Current State of Environmental Protection Policies in Hanoi

Chapter 4: Some Solutions to Improve Environmental Protection Policies from the Practice of Hanoi

Chapter 1 OVERVIEW OF THE RESEARCH SITUATION

1.1 Research Situation Abroad

1.1.1 Research Studies on Theoretical Issues Related to the Dissertation Topic

Internationally, research on environmental protection policies (EPP) has been conducted early on from various perspectives Particularly in developed countries, the number of such studies is predominant However, research in these countries primarily focuses on examining EPP to promote sustainable economic development rather than addressing the state of environmental pollution and seeking solutions Establishing this correlation

is also the direction of the dissertation undertaken by the author

1.1.2 Research Studies on Practical Issues Related to the Dissertation Topic

Practical research on EPP at the international level has also been conducted by many authors The main content of this research can be categorized into two main groups: studies on the practical system of environmental policies; studies on the implementation of EPP

1.1.3 Research Studies on Solutions Related to the Dissertation Topic

Based on the practical research on EPP mentioned above, the issue of solutions related to EPP has also been proposed in the recommendations section of those studies

1.2 Research Situation in Vietnam

1.2.1 Research Studies on Theoretical Issues Related to the Dissertation Topic

Domestic studies have also explored and clarified various theoretical issues related to the dissertation topic According to the proposed structure

of the dissertation, the research history in this area can be summarized as follows: studying concepts related to the dissertation topic; studying other issues related to environmental policy

1.2.2 Research Studies on Practical Issues Related to the Dissertation Topic

Based on theoretical frameworks, studies have examined the actual situation concerning the dissertation topic from various perspectives The content of the research on the state of affairs can be grouped into sections such as: studying the current state of the environment, environmental pollution, and EPP in Vietnam today; studying the implementation of EPP; studying obstacles in the implementation of EPP

1.2.3 Research Studies on Solutions Related to the Dissertation Topic Some studies, based on the examination of the current situation, have pointed out limitations and analyzed their causes, proposing solutions to enhance the effectiveness of EPP implementation in Vietnam today

1.3 General Evaluation of the Research Situation

1.3.1 Issues Related to the Dissertation Topic Clarified by Research Studies

- Research has clarified the concepts of environment, environmental pollution, and EPP

- Research has elucidated other theoretical issues of EPP

- Research has statistically analyzed and evaluated the current status

of EPP across different research areas

- Research has also explored and proposed various solutions to improve policies and enhance the effectiveness of EPP linked to the practical research area

1.3.2 Research Issues That Need Further Clarification in the Dissertation

- Theoretical issues related to EPP such as: concepts, characteristics, roles, content (issues, objectives, solutions, tools of policies) approached from the perspective of public policy

- Practical issues regarding EPP in Hanoi from 2010 to 2023 This is

a spatial and temporal scope that has not been comprehensively analyzed or evaluated in existing studies

- Issues regarding solutions to improve policy content and enhance the effectiveness of EPP implementation in Hanoi

1.4 Research Questions and Research Hypothesis

The research questions of the dissertation include: (1) What are the contents of the environmental protection policy in Hanoi? (2) How is the environmental protection policy implemented in Hanoi? (3) What is the effectiveness of the environmental protection policy implementation in Hanoi? (4) How can the effectiveness of the environmental protection policy implementation in Hanoi be improved?

Based on these research questions, the author identifies the research hypothesis of the dissertation as follows:

The EPP in Hanoi is a synthesis of the political viewpoints of the central government and the Hanoi authorities regarding environmental protection issues The contents of this policy include: land environmental protection; water environmental protection; air environmental protection; and biodiversity protection The objective of the EPP in Hanoi is to protect and preserve the components of the natural environment, thereby maintaining safe and healthy living conditions to serve the sustainable development of Hanoi

The system of EPP in Hanoi is a comprehensive set of policies from the central government (EPP on a national scale) and specific policies dedicated to Hanoi from both the central and local authorities

The implementation of EPP in Hanoi is influenced by many factors, including unique factors specific to Hanoi These factors include: high emissions due to a large population; localized environmental issues due to uneven population distribution; limited waste treatment facilities; and vibrant economic activities creating significant pressure on the environment These impacts have made the implementation of EPP in Hanoi face many difficulties Therefore, alongside the achieved results, the implementation of EPP in Hanoi still encounters many limitations, with recovery rates lagging behind pollution rates Many environmental issues remain unresolved, such as waste collection, transportation, and treatment; soil pollution from agricultural activities; air pollution from traffic and construction These limitations continuously raise the demand for seeking solutions to improve EPP and enhance its implementation effectiveness in Hanoi specifically and in Vietnam generally

Chapter 2 THEORETICAL ISSUES ON ENVIRONMENTAL PROTECTION

POLICY 2.1 Definition and Characteristics of Environmental Protection Policy

2.1.1 Definition of Environmental Protection Policy

2.1.1.1 Definition of Environment and Environmental Protection

a Definition of Environment

The environment is the totality of biotic and abiotic components that form and operate independently of human intervention, playing a role in creating living space, providing resources, and receiving waste from human activities

b Definition of Environmental Protection

Environmental protection involves activities aimed at preserving the cleanliness and beauty of the environment, supporting ecosystem balance, and improving the quality of life for all organisms, especially humans This

is achieved through preventing, mitigating, and remedying the adverse effects caused by natural disasters and human actions on the environment

2.1.1.2 Definition of Public Policy

Public policy is the expression of the political will of the state through a set of related decisions, including goal orientation and methods to address public issues in society

2.1.1.3 Definition of Environmental Protection Policy

Environmental protection policy is a component of public policy that includes a system of institutional regulations regarding environmental protection activities established by competent state agencies, aimed at directing and regulating social relationships arising in life related to the environment to protect it from human encroachment, thereby establishing a clean living environment and building a sustainable economy

2.1.2 Characteristics of Environmental Protection Policy

First, the content of environmental protection policy is constructed, issued, and implemented by state agencies, social organizations, and citizens based on the guidelines of the Communist Party of Vietnam Second, the content of environmental protection policy is formed based on issues related to environmental protection All public policies stem from the problems they aim to solve

Third, the goals, solutions, and tools of environmental protection policy are established within the system of documents issued by state agencies

Fourth, environmental protection policy is complex, with a wide range of targets and impacts; furthermore, assessing its effectiveness is challenging and always exists within the corresponding political, economic, and social contexts The natural environment is a major and complex issue

2.2 Content of Environmental Protection Policy

The content of environmental protection policy, like that of public policy in general, includes five important components: (1) Policy issues; (2) Policy targets; (3) Policy goals; (4) Policy solutions; and (5) Policy tools

2.3 Position and Role of Environmental Protection Policy

Environmental protection policy creates a comprehensive framework for developing methods and measures for environmental protection, ensuring smooth coordination among activities in this field

Environmental protection policy plays an important role in coordinating the activities of state agencies, clearly delineating the rights and responsibilities of each involved authority and organization in environmental protection efforts

Environmental protection policy is crucial for encouraging citizen and community participation in environmental protection work

Environmental protection policy helps identify and control environmental pollution situations while enhancing effectiveness in mitigating pollution risks and addressing harmful behaviors towards the environment

Environmental protection policy is an essential part of the national policy system, aimed at ensuring sustainable development goals are met

2.4 Criteria for Evaluating Environmental Protection Policy

2.4.1 Relevance

The first criterion for evaluating the relevance of a policy is its connection to environmental protection issues, such as pollution and environmental degradation, along with the causes of these problems

2.4.2 Comprehensiveness, Consistency, and Unity

The comprehensiveness, consistency, and unity of environmental protection policy are demonstrated through a thorough and clear examination of the policy goals and the alignment of these goals with related solutions and tools