State liability for compensation in the development of vietnam proposals for further reform

To begin with, I looked at the literature 011 legal theory and doctrine relating to State liability íor com pensation as signiíìcant issues... T his w as expected to íìư ther prom ote th

ìTATE L IA B ILITY F O R C O M P E N SA T IO N ỈN T H E Đ E V E L O P M E N T

OF V IETN A M : PR O PO SA LS FOR F U R T H E R R E F O R M

By

Nguyen Minh Oanh

LL.B (Hanoi Law University, Vietnam) LL.M (Lund University, Sweden)

Submitted in total fulfilment of the rcquirements for the degree o f

Doctor o f Philosophy

TRUNG TÂM THÔNG TIN THƯ VIỆN TRƯỜNG DẠI HỌC LUẬT HÀ NỘI PHÒNG ĐỌC ^ ỹ Í-Ị à

College o f Law and Justice Victoria ưniversity Australia

SEPTEMBER 2015

T h e Law on State C om pcnsation L iability 2009 (SC L) is a turning point in the refo rm process in V ietnam vvith its aim s o f protecting hum an rights, boosting the developm ent o f a State based on the rule o f law and a socialist-oriented m arkct econom y This thesis critically exam in es th is legislation and the rem edies provided under it relating to w rongful d ecisions or action s by the executive and ju d icial branches

o f governm ent and for speciíìc w ro ng ful enfo rcem en t activities U sing m ixed

m ethodologies the aim s o f the sludy are to co n sid er appropriate rcíbrm s to im provc the SCL and enhance its im plem entation T he thesis considers the effectiveness o f the SCL and its enforcem ent Ít revicvvs and an aly ses th co ries and policics relating lo State liability for vvrongíul actions This estab lish es a p latío rm for the evaluation oí' the SCL

It critically investigates S C L ’s ap p ro p riaten ess Ít argues that the SCL has m any deíiciencies and needs íu rth er reíorm T he thesis review s and analyses the procedures under and for the en ío rcem ent of, the SC L It p oints out that the procedures and

m echanism s for settlem ent o f co m p en satio n claim s are com plex and inappropriate The eníorcem ent o f the SCL is poor and co n sid eratio n is gi ven to its im provcm cnt The thesis also com pares thc C hinese SC L w ith that o f V ictnam It cxam ines the sim ilaritics and difl'ei‘ênces in order lo (iraw 011 C hinese experiences whicli m ay bc relevant to

V ietnam ’s legal retb rm s Pinally, the th esis m ak es recom m endations to im prove the

SCL and its en íò rccm en t in order to sup p o rt the D o i m oi (innovation) in V ietnam

S t u đ e n í d e c l a r a í i o n

I N g u y en M inh O anh, declare that the PhD th esis is no m ore than 100,000 vvords in length in clu ding quotations and cx clu siv c o f tables, iìgưrcs, ap p en d iccs, bibliouraphy , reíercn ces and íbotnote T his ex egesis con tain s no m aterial thai has bcen subm iU cd previously, in w hole 01' in part, for the aw ard o f any other academ ic degree or diplom a

E xcept \vhere oth erw ise indicated, this ex cgesis is m y ow n w ork

Signed:

D a t e : , Ẵ Ầ Ị 3 J. í

To com plete this thesis, I ow e a grcat deal to m any peoplc and organisations

1 w ould like to thank H anoi Law U niversity, vvhcre I w ork, and the G overnm ent

o f V ietnam for providing m e w ith the opportunity to study in A ustralia M y spccial

ih an k s go to the C ollcgc o f Lavv and Justice o f V icto ria U niversity 1'or thcir ỉìnancial

su p p o rt for m y extra tu ition fees W ithout such kind support, I vvould not havc becn ablc

to undertake this thesis

[ ow e a p articu lar debt oi' gratitude to my p rin cip lc supervisor, P roíessor Ncil Andrev/S, for his kind acceptance in supervising my research; for spending a great dcal

o f tim e, energy and p atien ce in helping me to clarilỳ issues, shape ideas, reading various carlier d raíts oi' my thesis, and giving m e insightíul com m ents; i'or his sym pathy and

en co urag em en t vvith my life and íìnanciai difficulties I Ihank ray co-supervisors, Dr Jam es M c C onvill and M r B rendon Stew art -m y ío rm er co-supervisor- vvho kindly read

my d ralts and gave m e useiiil advice The thesis w ou ld never have been com pleted

w ith ou t their valuable support

M y deep gratitude goes to m y íầm ily: my ía th er w ho alw ays looked forw ard to hearing from m e during m y four years o f study; m y h usb and N guyen M anh C uong who has been p atien t and lonely in V ietnam w hile I w as in A ustralia ío r my PhD course; m y ílrst child N gan G iang (R uby) w ho has given me the courage and m ade me proud o f her; my second child C hau G iang (Sydney) - a baby b o m in A u stralia w ho has been living far from me for tw o and a hulí' years, thereby g iv in g me a strong incentive to íìn ish m y ch allenging w ork; and m y brother and sisters w ho have constantly encouraged m e vvith their interest in the progress o f m y studies

M y thanks is due to the staff and m y íriends at thc C ollege o f Law and Ịustice íor

th eir recognition and íricndship D eep thanks also go to colleagues in H anoi Law

U niversity, the oíTieials in D epartm ent o f State C o m pensation , M OJ especially M r Phuong, w ho supported m e by providing reports and docum ents, and gave me the opp ortu nity to attend several conicrences w hen I retu rned to V ietnam Also, in w riting this thesis, I b en eílted from the support o f m y íriencls and oíTicials írom SPC, SPP, NA,

M O J, laxvyers and claim an ts vvho participated in m y ficldw ork I w ould likc to thank all

o f them fo r their con tribu tion s to this thesis, m aking it com preh ensive and valuablc

S pecial thanks to H oan, Q uyen, U yen, m y close ữ ic n d s in M clb o u rn e, w ho supported m e in editing the th esis dralt.

ỉ am grateíul to m y ữ ie n d s, colleagues and m any o th er p eoplc in A u stralia and

V ietnam w ho in various w ays hclpcd m e to com plete this thesis

T his thesis is a special gift to my m other in heaven vvho dcv oted her w holc lifc to her íầm ily

I have been teaching Civil law including thc law o f obliiĩations and civil liability

at H anoi Law U niversity since 2000 The idea 1'or this ih esis em crgcd in 2003 aftcr the prom ulgation o f R csolution 388 As 1 had to teach m y students about the liability o l'th e State ib r vvrongíul convictions, I had to research and prcpare lectures on this issue Initially, I tbund that it w as diH ìcult lo understand evcn though 1 spent tim e and elTort

on it Through that research and com parisons m ade w ith ordinary civil liability that I

w as teaching, 1 found this R esolution had m any sh o rtco m in gs and w as very challenging

to apply in practice

The topic becamc m ore obvious aíter 1 had vvritten several papers íor the H anoi

L aw U niversity Project w hich aim ed to strcngthen legal reíb rm processes in V ietnam The 1110re 1 w orked 011 the issues, the m ore background ỉ obtained and the m ore interested J becam e I have also attended several co n íeren ces on the d raữ in g o f the lavv

on State liability for com pensation I observed the p ro cess o f m aking the lavv and the dcbatc betw een S tate oíĩicials The d raít lavv w as review ed by m any State agencies and citizens beỉore being approved by the NA A fter the enactm en t o f the SCL in 2009, I saw that although there had been a relatively long and tidy process o f law -m aking, the prcvious problcm s still rcm aincd in the ncvv lavv A d dition ally, the longer the lavv liad bccn in force, the m ore d eíìciencies it show ed ỉ also realized that there had been a lack

o f background in the theories and nature o f State liability and the task to prom ulgate law had im pacted on the quantity and quality o f law M oreov er, I w as interested in m any cases relaling to State liability for com pensation w h ich appear every day in the

V ietnam ese m edia I often asked m yscli' w hy claim an ts have íbund it so difficult lo claim for com pensation I decided to exam ine this topic seriously, and com m enced m y research for this thesis in 2010

A t the beginning o f the research, 1 thought that the SCL had been established w ilh little if any regard for any basic theories I intended to exam ine a legal theory or transplant research w hich w ould be expected to en rich the theory o f State liability and transplantation o f law in V ietnam

To begin with, I looked at the literature 011 legal theory and doctrine relating to State liability íor com pensation as signiíìcant issues It becam e clear that in legal

w ritings, m any w riters such as H arlow , Pcerenboom , M ilhaup t and Pistor conclude that

there is no one theory íbr the linked phenom ena and every governm ent prom oles eco no m ic and lcgal grovvth in its ow n vvay based on its contcxt I continucd to read

m aterial pertaining to (1) the relationship bctvvccn the developm cnt o i'th e econom y and the law studicd by M arx, N orth and Pccrcnboom ; (2) the dcbale about the priority o f develop in i’ the econom y or protecting hum an rights described by m any authors such as

P eerenboom , G illespie and Chen; (3) the three elem ents w hich are rcquired to build the institutional capacity to support econom ic grow th reíerred by N orth; (4) the reíorm process in V ietnam including legal refom is em phasising the im portance o f the SCL investigated by Pham Q uoc Anh, D uong Thanh M ai, D uong D ang H ue, N guyen Sy Dung, Le Ha Vu T hese suggested to m e that I should place the SCL in the context o f

V ietnam and approach the topic by conđucting research on lavv rcíbrm rather than on legal theories 01' theories oi’the transplantation o f laws

T he ỉaw reíorm aim o f the thesis iníbrm ed its design and the qualitative

m ethodology chosen T he first rcscarch question is about the quality o f SCL T here is also a larger question: w hy is it that in V ietnam it is difíìcult to cniorce not only the SCL bui also ihe general law? W hat I read in the relevant literature on the V ietnam ese legal system and institutions coníìrm ed m y rcsolve that the thesis should have a law reform orientation !t also established the fram ew ork for a revievv o f the law The literature review revealed vveak m cchanism s in the enforcem ent o f the general law in

V ietnam w hich em phasised the im portance o f context for the SCL It is n ecessary to investigate the less-than-satisíầctory eníb rcem ent o f the SCL in 01'der to discover its causcs and eíYects and determ ine vvays to im prove it

In m any w ays, the thesis exam ines State liability írom three perspectives: legal, political and social It view s the SCL in term s o f its position w ithin thc legal system and

in the context o f the V ietnam ese gov ern m ent’s desire for íurlher political and econom ic developm ent By conducting the intervievvs, reading the relevant literature and discussing the various em erging issues vvith my supervisor, my knovvledge has been enriched and the structure o f the thesis toolí form This included ío cu ses on the shortcom ings o f the substantive law (C hapter 4) the procedural law (C hapter 5), and its eníorcem ent (C hapter 6) T hese issưes w ere investigated w ith consideration givcn to the developm ent oi' V ietnam (C hapter 1), the realities oí' its legal and political system , theories, and the distinctive nature ol'State liability (C hapter 3) They are con sistcnt w ith the aim s w hich vvcre stated at thc bcginning o f the rescarch

T he research is signiiìcant because it contributes to a m ore com prehensive

u n derstanding o f State liability; m oreover, it is hoped that the iìndings will hasten the reíb n n p rocesses in V ietnani by lcading to a ran ee o f appropriate recom m endations, especially those given in C hapter 8

Table o í abbreviations

The follow ing abbreviations appear in th e m ain text and/or ío o tn o tes o f th is thesis M ost are spelled out in íull 01' othervvise exp lain ed w hen thcv arc lìrst m entioned

States and Organisations

C C P: C hinese C om m unist Party

EA M : E ast A sian M odcl

EU: E uropean U nion

H R EC : H um an Research E th ics C o m m ittee

MO.I: M inistry o f Justice (Bộ T ư p h á p , V ietnam )

N A : N ational A ssem bly (O uố c hội, V ietnam )

SPC: S uprem c Pcople"s C ourt

SPP: S uprcm c Pcople’s P ro curacy ( Viện K iểm sát nhân dâ n Toi cao, V ictn am )

V CCI: V ielnam ese C ham ber o f C o m m crce and ỉn dustry

V CP: V ietnam ese C o m m unist P arty (Đ ủ n g C ộ ng sả n Việt N u m )

W TO : W orld Trade O rg an isation

ECJ: Law on E n íbrcem ent o f C ivil Ju d g m en ts 2008 (Y ictnam )

ICCPR: International C ovenant on C iv il and Political R ig hts 1966

1CESCR: International C o n v en tio n on E conom ic, Social and C ultu ral R ights

IDHR: C on vention o f U niversal D eclaratio n o f H um an R ights 1948

R eport 114: Report 114/B C -B T P o f M O J 011 P relim inary assessm ent o f 3-year

im plem entation o f the SCL on 31/5/2013

Report 300: R eport 300/B C -C P o f G o v ern m en t 0 )1 State L iability AíYairs on 23/10/1012

R esolution 388: R esolution 388 N Q / U B T V Q H on C om pcnsalion íb r ihe V ictim s o f

W rongful C onvictions 011 17/3/2003

R csolution 48: R eso lu tio n 4 8 -N Q /T W on the Strategies for B uilding and

C om prehending the L egal S ystem until 2010, an oricnlation upw ard to 2020, adopted

Tabỉc of Appenclices

1- ln tcrv iew Schcdulc

2- In íbrm ation to P articipants

3- C o n sen t Form for P articipants

4- F lo w chart o í'in terv iew

5- T ranslatio n o f Interview S ch edu le

6- T ranslation o f Iníorm ation to P articip an ts

7- T ranslatio n o f C onsent F orm ío r P articip ants

8- L etter o f Invitation

9- In ío rm atio n for Law yers

10- T ranslation o f in íbrm atio n to L aw yers

11 - T ranslation o f the lettcr o f in vitation for Lavvyers12- C oniìrm ation o f sup ervisio n o f field w o rk in V ietnam13- D eclaration o f accurate tran slatio n

14- A n sw er sheet

15- E m ail explanation o f State o iììcial

16- Proposal

17- E thics Proposal

Some ỉnitial idcas in relatioii to tỉiis thesis vvere publishcd in

1 N g u y ễn M inh O anh, đồng tác giả, Phần I, C hương II "M ột sổ nội d u n g cơ bủn trong

q u y định cua p h á p lu ậ t Việt N am vù m ột số quốc gia khác vẻ trách nhiệm bồi thư ờng do lùi sà n g ây thiệt h ạ i" , sách chuyên khảo Tran Thi Hue "Trách nhiệm bui thư ờng thiệt hại do lài san g â y ra theo p h á p luật Dim sự Việt Nam ", N hà xuất bàn C hính trị- H ành

chính, 2013, trang 33-54

[N guyen M inh O anh, co-author, Part I, C hapter II “Som e f'undam ental issues on com pensation lỉa b ility fo r dam ages cciused by p ro p erty under Vietnam ese law a n d other

ịu r is d ic ìio m " in T ran Thi H ue (editor) "C um pem ation liabilỉty f o r dam age causcd by

p ro p e rty under Victnam esc C ỉvil L a w ", Politic and A dm inistrative Publisher, 2013, pp

33-54.]

2 N guyên M inh O anh, Overvievv o f the State C om pensation L iability in V ietnam , La\V

a n d D evelopm ení J o u rn a l, N o.5/2013, pp 30-41.

3 N guyễn M inh O anh, M ột số ý kiến góp ý sửa đổi, bổ sung L uật T rách nhiệm Bồi

thư ờng của N h à nư ớc, Tạp c h í NIÙI nư ớc vù P háp luật, số 7/2013, trang 13-20, 28.

[N guyên M inh O anh, Som e suggestions for am endm ent o f the State C om pensation

L iabilily La\v, State a n d Lcnv ỉournal, N o 7/2013, pp 13-20, 28]

4 N guyen M inh O anh, A critical review o f the V ietnam ese L aw 011 State Liability íbr

C om pensation in V ietn am , La\v a n d D evelopm ent JournaI, N o 3/2013, pp 27-38.

5 N guyen M inh O anh, "State liability fo r co m p em a tio n in Vietnam: a stu d y in le g a ỉ change", M elbourne U nivcrsity W orkshop, D ecem ber 2010.

6 N guyễn M inh O anh , K há i niệm và p h á n loại trách nlĩiệm bồi th ư ờ ng thiệt hại, Đe tài cấp Trường “T rách n hiệm bồi thư ờng thiệt hại do tài san g â y ra ", 2009.

[N guyen M inh O anh, D efm itio n a n d category o f liabiliíy f o r com pensation, Science Prọịect oí’ H anoi Lavv U niversity "C ivil ỉiability fo r com pensation fo r dam ages cau sed

by p r o p e r ty ”, 2009]

A vailable at H anoi L aw Library, Shclves Code: D SV D K H 000129

Also availablc at: http ://tho ng tinphapluatdansu.edu.vn/2010/04/05/4702-2/

7 N g u y ễn M inh O anh, P háp luật m ột sổ nước trên thé giới về trách nhiệm bồi thư ờng

N hà nước, Đe tài cấp T rư ờng "Trách nhiệm dân s ự vẻ thiệt hại do hành vi CIICI cán bộ

cô ng chứ c g â y ra- n h ữ n g vân để lý luận và thực tiên ”, 2009.

[N guyên M inh O anh The law on State liabiỉity f o r C um pensation in som c ịu risdiclion s

in the w orỉd- expcrience fo r Vietnam, Science P rọịect o f H anoi Law U niversity "C iviì liability fo r c o m p e m a liu n fo r dam ages ca u sed by Sta te officials- thcorclicaỉ a n d

p ra c tỉc a l issues ", 2009.]

A vailable at H anoi Law Library, Shelves Code: D SV D K H 000120

Table oỉ’ Contents

A b s tra c t ị

S tu d en t D e c la ra tio n ii

A c k n o w le d g e m e n ts iii

P r e íầ c e V T ablc o f A b b re v ia tio n s viii

T ab le o f A p p e n d ic e s X Sonic initial ideas in relation to this thesis w ere published i n xi

C h a p tcr one: In trodu ction i

1.1 C o ntcxt o f P ro ịe c t 1

1.2 L iterature review and conceptual ữ a m e w o r k 5

1.2.1 State liability: global o v e rv ie w 5

1.2.2 State liability in V ietnam ese reibrm p ro ccss 15

1.2.3 F ram ew ork íb r the research 21

1.3 A im s o f P r o je c t 26

1.4 C ore research q u estio n s 27

1.5 O utline o f the th e s i s 37

C h a p ter two: M ethodology in data collcction and a n a ly s is 40

2.1 ln tro d u c tio n 40

2.2 T he selection o f a m ethodological d e sig n 40

2.3 M etho d o f data co llectio n 43

2.3.1 C ollecting docum ents and m aterials 43

2.3.2 In terv iew 45

2.4 Interview p r o c e s s 47

2.4.1 S am pling for in te rv ie w s 47

2.4.2 The intcrview sch ed u le 48

2.4.3 C onduct o f intervievvs 48

2.4.4 T aking n o te s 52

2.4.5 Ethics is s u e 52

2.4.6 V alidity and R e lia b ility 55

2.5 M ethods o f D ata a n a ly s is 57

2.5.1 T hem atic a n a ly s is 57

2.5.2 C om parative a n a ly s is 58

2.5.3 C ontent a n a ly s is 59

2.6 C o n c lu s io n 60

C h a p ter three: Ovcrvie\v o f State iiability for conipcnsation in V ic t n a in 61

3.1 In tro d u c tio n 61

3.2 The V ietn am ese p o litical sy ste m s 61

3.3 The legal s y ste m 65

3.4 State liability in legal h is to r y 67

3.4.1 Period b eĩo re 1945 .67

3.4.2 P eriod from 1945 to 1986 70

3.4.3 Period from 1986 to 2 0 0 9 72

3.4.4 Period fro m 2009 to p re s e n t 74

3.5 T heories o f State lia b ility 76

3.6 N ature and sig n iiìc a n e e oi'State liab ility 81

3.6.1 N ature o f State liability for co m p e n sa tio n 81

3.6.2 S ign ificance o f the SCL in V ie tn a m 89

3.7 C o n c lu s io n 91

C haptcr four: A critical revie\v o f the SCL - T he neccssity for its íurthcr r c f o r m 92

4.1 In tro d u ctio n 92

4.2 The P rogressiv e asp ects o f the S C L 92

4.3 T h e lim itations o f the SCL w hich are inconsistent its overalỉ g o a ls 97

4.3.1 The scope o f liability for com pensation is lim itcd and inconsistent vvith the C onstitulion and Civil C o d c 98

4.3.2 The grounds ío r State com pensation liability lim it claim ants in cnibrcing their r ig h ts 110

4.3.3 The m ethod o f calculating dam ages is unclcar and in a p p ro p ria tc 115

4.3.4 T he responsibility o f the o fficials 118

4.4 C o n c lu s io n 122

C h a p ter fivc: The proccdures for claiming co m p cn satỉon - a com plex and indTective p r o c e s s 123

5.1 In tro d u c tio n 123

5.2 V ietnam ese C om pensation P rocedu re 123

5.2.1 O btaining a valid d o c u m e n t 123

5.2.2 Procedures for claim ing c o m p e n sa tio n 127

5.2.2.1 A gency-based com pensation p ro c e d u re s 127

5.2.2.2 C ourt-based com pensation p ro c e d u re s 132

5.2.3 C om pensation íu nd s and paym ent p ro c e d u re s 132

5.3 E v alu atio n o f the com pensation p ro c e d u re s 134

5.4 The agencies w hich are liable to pay c o m p e n sa tio n 140

5.5 A gencies w hich resolve com pensation c la im s 146

5.5.1 The relevant State a g e n c y 146

5.5.2 T he P eo p le’s C o u rt 146

5.6 Tim e lim itations on claim s 148

5.7 C o n c lu s io n 152

C hapter six: Im plcm cntation o f the SCL - A chieveincnts and íailing and their c a u s e s 153

6.1 In tro d u ctio n 153

6.2 A chievcm ents obtained in im plem entation o f the S C L 153

6.2.1 S econdary legislation guiding the im plem cntalion o f the L a w 153

6.2.2 B uilding proíessional institutions lo adm inistralc the Lavv 156

6.2.3 Publicising o f and education about the L a w 157

6.2.4 T raining in the skills for settling State com p en satio n claim s 159

6.2.5 A chievem ents o f com pensation s e ttle m e n t 159

6.3 Lim itations in the entbrccm ent o f the S C L 161

6.3.1 C laim ants íầce difficulties in m aking c la im s 161

6.3.2 T he difficulty o f determ ining and calculating d a m a g e 167

6.3.3 The lim ited am ount o f co m p e n sa tio n 171

6.3.4 C hallenges in determ ining the agency liable ío r co m p e n sa tio n 174

6.3.5 ln effectiveness o f the com pulsory n e g o tia tio n s 176

6.3.6 D elays in the settlem ent o f com pensation c la im s 178

6.3.7 D ifficulties and delays in eníbrcem ent o f ju d g m e n ts 181

6.4 Causes o f in e ffe ctiv en ess 183

6.4.1 T he shortcom ings oí' the SCL and secondary le g is la tio n 184

6.4.2 Inadequate publication o f and education ab ou t the S C L 187

6.4.3 T he lim ited capabilities o f State ofíĩcials and ju d g e s 188

6.4.4 The iníluence o i'th e legal c u ltu re 191

6.5 Intervievv an alysis 194

6.6 C o n c lu sio n 197

Chapter sevcn: A com parative perspective - State liability fo r com pcnsation in Chincse la w 198

7.1 In tro d u ctio n 198

7.2 Justification fo r the co m p ariso n 198

7.3 Sim ilaritics betw een V ictnam cse and C hinese SC’L 201

7.3.1 The b ack ground to State lia b ility 201

7.3.2 R ecogn ising State liab ility 205

7.3.3 L im itatio n in listing the vvrongiìil a c tio n s 206

7.3.4 C o m pensatio n ío r b oth m ental and physical lo s s 211

7.3.5 T he ag ency liablc fo r c o m p e n sa tio n 213

7.3.6 The p erso nal liab ility oi’the oíT icials 215

7.3.7 T im e lim itations ío r claim in g c o m p e n sa tio n 217

7.4 DiíYerences fro m V ietn am ese SCL and C hinese S C L 218

7.4.1 P ro v isio n ab ou t c la im a n ts 218

7.4.2 G rou nd s for State lia b ility 219

7.4.3 D eterm in in g and calcu latin g the d a m a g e 220

7.4.4 C o m p en satio n p r o c e d u r e 223

7.5 C o n c lu s io n 227

C hap ter cight: C o n clu sio n and R e c o m in c n d a tio n 228

8.1 In tro d u c tio n 228

8.2 C onclusions on rescarch q u e s tio n s 228

8.3 R c c o m m e n d a tio n s 239

8.4 Research co n trib u tio n 243

8.4.1 A cad em ic c o n trib u tio n 243

8.4.2 P ractical c o n tr ib u tio n 244

8.5 L im itations o f th e re s c a rc h 245

8.6 S uggestions íb r the future re s e a rc h 246

B ib lio g ra p h y 248

Chapter onc: Introducíion

1.1 C o n tex t o f the Projcct

S in ce W orld W ar II there has been a tcndency lo pro m ote lavvs vvhich create m ore

eg alita rian socictics and w hich better protect hum an rig h ts 1 T here are increasing

nu m b ers o i'p ro v isio n s in civil, socialist and co m m o n lavv national legal system s 011 State liab ility to protect the rig hts o f individuals and th e ir econ om ic interests.2 T here are also

in creasin g num bers o f p rovisions in international law w h ich im pose related obligations

on states L iability m ay be stipulated at an intem atio nal level, such as in the C onventỉon

o f U rtiversal D ecla ra tio n o f H um an Rights (U D H R ) 1948, In tern ation al C ovenant on

C iv il a n d P o litica l R ights (IC CPR) 19663, and D ra ft A ríic le s on the R espon sibility o f

S ta tes fo r In tern a tỉo n a lly W rongful A cts 2001 4 01' in the E uropean Union.'5 Increasing

1 L Morlino, Rule o f Law and Democracy: Inquiries into Internal and Externcd Issues (Brill 2010) Li Lin (ed), The China Legal Development Yecirbook Vol 2 (Brill, 2008) xix, ch 3, 4, 5 Giuseppe Dari-Mattiacci ct al, ‘State liability’ (2010) 18 (4) European Review o f Private Law 773; Lin, above n 1; and also see Universal Declaration o f Human Righís 1948, International Covenant on Civil and Political Righís 1966.

' The Universal Declaration o f Hunian Rights 1948 requires member states to comply witlì it in

protecting human rights If the State inữinges these provisions, it may have a sanction imposed

on it

International Covenant Oĩì Civìl and Political Rìghts 1966 (United Nation) Alt 14 (6) provides that'."ỈVhen a person has by a fin a l decision been convicted o f u criminaỉ ọffence and when subsequently his conviction has been reversed or he has be en pardoned 011 the ground ỉhat a new or newly discovcred fa c t shows conclusively that there has becn a miscarriage o f justice, the person who has suffered pimỉsìvnent as a result o f such conviction shall be compensated according to law, unless it ỉs proved that the non-discỉosure o f the Uỉikiwwn fa c t in liìììe ỉs

\vhoIIy or partìy attributabìe lo him ”

4 Draft Articles 011 the Responsibility o f States for International ly Wrongful Acts ("Draft Articles") by the International Lavv Commission (ILC) in August 2001

' Treaíy ơn the European Union (Europe) Alt 228 (2), (3):

“2 I f the Commissỉon considers that the Member State concerned has not taken the necessary measures to comply wilh judgm ent o f the Court, it may bring the case before the Court after giving thai State the opportunity to submit its observatỉons It shaỉì speciỳỳ the amouỉìí o f the lump sum or penalty paym ent to be paid by the Member State conceniecỉ \vhich it considers oppropriatc ỉn the circumstances.

3 ÌVhen the Commission brings a case before the Court pursuant to Article 226 on the groimcỉs that the Member State concerned has fa iled ío fu lfiì its obligation ío ỉìotiỳỳ measures transposing a directive aciopted ưnder a legisỉative procedure, ỉt may, xvhen it deems appropriate, speciýy the amount o f the hunp sum or enalty paym ent to be p aid by the Member State concerned which it considers appropriaíe in the circumstances I f the Court /ìncls tliat there is an in/ringemcní, it may impose a ìump sum or penalty paym ent 011 the Member State concerned Yìot exceeding the amount specifìed by the Commissioỉi The payinent obligation sliall take effect on the dcite set by the Court in its judgment.”

Protocoì 7 to the European Convention fo r the Proíection o f Hutììcm Rights and Fwìclanicníaỉ Freedoms 1984Alt 3; Andrea Francovich and Others V Itaìicm Republic, Joined Cases C-6/90 and C-9/90, [1991] ECR 1-5357; Duncan Pairgrieve, Mads Andenas and John Bell, Tort

globalisation o f com m erce and the harm onisation o f international regional and national lavvs has p ro íb u n d ly iníluenced nalional laws related lo civil w rongs.6

V ietnam started its D oi m oi (renovation) p olicy in 1986 w ith its olTicial

ratitìcatio n by the Sixth C ongress o f the V ietnam ese C om m un ist Party (V CP) This policy has led to a com prehensive reío rm process starting w ith econom ic reíb rm and leading to ad m inistrative, jud icial, legal and political reíbrm s T his has also been an international trend In V ietnam , as in R ussia, C hina and B razil, it represents a part o f

w hat a num ber o f observers have described as the 'cen tralised sy stem ’,7 ‘developm ental

S tate',8 4n ew m ercan tilisnv , ‘state-directeđ c a p ita lism ’, 1 ‘centrally-m anaged cap italism ’11 T his trend w as previously observed in G erm an y and France, and after

W orld W ar II, in Japan, South K orea and Taivvan

In this p ro cess, vvider legal relbrm s are an essential step The relationship betw een econom ic d ev elo pm ent and law is subject to considerable debate W eber, for exam ple, saw a rational legal system as essential for econom ic developm ent This issue has been extensively d iscu ssed since by w riters such as N orth, P eerenboom , G illespie, Chen,

M ilhaupt and P is to r.12 It is also an issue com m only identified in the V ietnam ese literature relating to econom ic and legal d cv elo p m en t.13 T he im portance o f law w as

Liability o f Public Aiithorities in Comparatỉve Perspective? British Institute o f International and

Comparative Law (2003) 571

6 Carol Harlovv, State liabiliíy: Tort law and Beyond (Oxiord University Press, 2004) 44; John Gillespie and Albert HY Chen (eds), Legal Re/onns in Chìna and Vietnam: A Compcirison o f Asiatì Commimist Regimes (Routledge Law in Asia, 2010) 7.

Milhaupt and Katharina Pistor, Law and Capitalism: What Corporate Crises Reveal about Legal Systems and Economic Development around the World (University of Chicago Press,

2008)183

8 Gordon White ‘Developmental States and Socialist lndustrialisation in the Third World’

(1984) 21 JournaI o f Development Studies 97; Gordon White and Robert Wade,

‘Developmental States and Markets in East Asia: An Introduction’ in Gordon Wlìite (ed),

Developmental States in Easí Asia (Macmillan Press, 1988) 1; Phil Deans, ‘The People’s Republic o f China: The Post-Socialist Developmental State’ in Linda Lovv (ed), Developmental States: Relevancy, Redimdancy or Reconfiguration? (Nova Science, 2004) 133; Alvin Y So introduction’ (2002) (35) The Chỉnese Economy 3.

9 Jonathan Holslag, *China’s New Mercantilism in Central Africa’ (2006) 5 Africatì c ỉ ì k I Asicin Studics 133.

ỉu Stefan Halper, The Beỳiỉig Consensus (Basic Books, 2010)11; Yasheng Huang, Capilalism wilh the Chinese Chưracíeristics (Cambridge University Press), ix.

1 Nan Lin, *Capitalism in China: A Centrally Managed Capitalism (CMC) and Its Puture'

(2010) 7 Management and Ovgcmisation Rcview 63.

This wi 11 be discussed íurther in the next sections: 1.2.2 and 1.2.3

13 For example, Bui Ngoe Cuong, kVai trò của pháp luật kinh lế trong việc bảo đàm quyền tự do kinh doanh’ [The role o f business law in ensuring the riglits o f íreedom to do business] (2002)

(7) Tạp chí Khoa hoe Pháp lý [Legal sicence journaI]; Phạm Duy Nghĩa, ‘Tính minh bạch của

especially recognised in the VCP P olitburo R csoluíion 48-N O /T ÌV in 2005 on the

strateg y o f legal re íb rm 14 As part o f im plem enting these íioals, in 2009, the V ietnam ese

N ational A ssem bly (N A ) passcd the Law on State C om pensation Liability (SCL) It

g ives to those injured by the actions o f State officials the right to sue ío r com pensation

in so m e circum stances It also m akes the State liable lo com pensate for speciílc actions

o f th e executive and jud icial branches o f governm ent and ío r speciíìc entbrcem ent activities The law cam e into iorce on l sl January 2010

The SCL is expected lo address a num ber o f problem s identiíìed in the íorm er law It was intended to create a u niíorm lcgal basis under w hich claim ants w ould bc

m ore easily able to claim dam ages from the State This vvas m eant to better protect the

interests o f individuals and legal persons when State oiììcials have engaged in unlawful actions The L aw also aims to enhance the accountability o f State officials by m aking

them ỉiable for reim bursem ent T his w as expected to íìư ther prom ote the developm ent

o f a State based on the rule o f law in V ietn am 15 O n 3 M arch 2010, the govcrnm ent

passed D ecree 16/2010/N D -C P providing g uidelines for the im plem entation o i'th e SCL

pháp luật - Một thuộc tính của nhà nước pháp quyên' [the transparency o f laws- one fealure of

the rule of law] (2002) (1) Tạp chí Dan chù và pháp luật [Dctììocracy and Law Journal]\ ‘Anh

hưởng của môi trường pháp luật trong kinh doanh quốc tế’ [Intluence o f laws 011 international

business] (2004) (169) Tạp chỉ Phát triển kinh tế [Economic Developmenl Joumaì]\ Nguyễn

Quang Thắng, ‘Hoàn thiện hệ thống pháp luật góp phần thúc đẩy kinh tế phát triển’ [lmproving the legal System in order to promote developm ent o f the economy] (1998) (10) Tạp chí Người đại biếu nhân dân [People’s Delegciíe JournaI] 16; Nguyễn Như Nhiên, ‘Cần hoàn thiện pháp

luật về kinh tế nhằm đảm bảo hiệu quả an ninh kinh tế trong điều kiện hội nhập hiện nay’ [The need to reíbrm economic lavv in order to ensure effectiveness o f economic security in the

integration] (2009) (15) Tạp chi Kiếm sát [Procuracial JounialJ 34; Đỗ Ngọc Thịnh, 'M ột số

vấn đề về vai trò pháp luật trong quá trình chuyển đồi từ kinh tế kế hoạch hoá tập trung sang kinh tế thị trường ở nước ta’ [Some issues relating to the role of law in the process of

transíerring from a planned economy to a market economy in Vietnam] (1999) (10) Tạp chí Nhà nước và Pháp luật [State and Law Joum al]\5\ Tào Hữu Phùng, T háp luật kinh tế trong

thời kỳ đổi mới: Thục trạng và phương hướng hoàn thiện’ [Economic law in the relbrm: the

iầcts and suggestions] (2002) (7) Tạp chí Nghiên cứu lập pháp [Legislative Research Journaì]

55; Bùi Ngọc Cường, ‘Quan niệm về pháp luật kinh tế trong cơ chế thị trường’ [Understanding

economic lavv in the market economy] (2004) (1) Tap chi Luật học [Jurisprudence Joum al] 3;

Trần Thị Nguyệt, T ín h quyết định xã hội của pháp luật kinh tế: một số vấn đề lý luận cơ bản’

[The decisive role of economic lavv in society: some theoreticai issues] (2006) (2) Tạp chí Nhà nước và Pháp luật [State andLaw Journcil] 39.

14 VCP Rcsolution 48-NQ/TỈV- The strategies on building a comprehensive legal system to 2010

and an orientation upvvard to 2020, adopted 011 24/5/2005

Ministry o f Justice, Department of Civil and Economic Law, Docuiììcỉìl Iníroduciỉìg the Lcnv

on State Compensaíion Liabỉỉiíy

<http://thonụtinphapỉiiatdansii.vvordprcss.com/2QQ9/08/04/3477-3/>

(D ccree 16) Then, the other G overnm ent agencies issued a series oi' sccondary

lcg islatio n to guide the im plcm entation o í'S C L as w ell as D ecree 7ố 16

O ne vear after the SCL cam e into íorce, a cc o rd in s to an evaluation by the

M inisíry o f Justice (M O J), it had not yet m et the exp ectations o f it A num bcr o f 1'actors bclieved to be responsible ío r tlìis w ere identitìed in c lu d in g :17

(1) the delay in issuing secondary legislation guiding the im plcm entation oi' SCL, m aking it d ifíìcu lt for State oíYieials lo accept and resolve State com pensation claim s;

(2) offícials acting slovvly and arbitrarily in resolving cases;

(3) the concepts vvere new and raised novcl issues and w ere seen to be com plcx including in requiring the application o f a num ber o f other laws;

(4) the different levels o f governm ent, from the Central to the local governm ent, from vvhich liability could em erge; and

(5) the large and increasing num ber o f cases w ith lim ited rcsources to address them and the lim itcd capacity o f State oíTicials

In spite o f this claim about the large num ber o f cases, because o f ineíYective resolution and enforcem ent processes, there w ere already in 2010 indications that thc num ber o f cases being resolved w as lovver than expected A ccording to an investigation

by the Suprem e P eo p le’s Procuracy (SPP), relev an t agencies had not properly understood their responsibilities and there w as a continuing practice o f dodging

u’ Tliey are the Joint C ircularl9/ 2010/ TTLT-DTP-DTC-TTCP guiding the implementation of tlie State liability in administrative activities o f 26lh November 2010; the Joint Circuìur 24/ 2011/ BTP-BQP guiding the iniplementation o f State liability in enforcem ent of civil ju d g m en t

o f 1511, December 2011; and Joint Circular 18/2011/TTLT- BTP-DNV guiding duties, rights,

organization and personnel o f local governm ent on State ỉiability for compensation o f 19lh

October 2011; Joint Circuìar 71/2012/TTLT- BTC-BTP on Deíining the estimation,

management, use and settlement o f íunds for implementation o f the State liability of 9U| May

2012; Joint Circuìar 01/2012/TTLT/TANDTC-VKSNDTC-BTP 18/09/2012 guiding the implementation o f the State's liability 111 civil and, administrative proceedings

17 Dáo cáo số 5 7 /BC- BTP cua Bộ Tư pháp về Sư kết một năm thi hành Luật Trách nhiệm Bồi thường cùa Nhà nước ngày 04/04/2011 [Report 57/DC- BTP of MOJ on lmplcmentation of ihe

Lavv 011 State Liabilitv for Compensation in its First Year 011 04/04/2011]

liab ility 1 T he M OJ"s reporl 011 the iìrst vcar o l t h e Lavv"s opcration coníĩrm ed ihis Il indicated that in th e :1

(1) pro cu racv system : 49 claim s had been acccpled vvith 18 resolved leading to

o fficials req u ữ ed to pay com pensation, and the d iũ ìc u lty ol' determ ining the personal rcsponsibility o f State o ffícials.20

In the co n tex t o f p rotecting h um an rights, the iu rth er devclopm ent o f V ietnam ese econom y, and thc legal system required to support it, it is im portant to conduct a Íuríher, thorou gh inv estig atio n inlo the lavv and the p ractices related to State liability regarding com pen sation T his has the potential to con tribu te to the im provem ent o f the

SC L and its im p lem en tatio n vvhich arc sig niíicant for ihc succcss o f the legal reform process in the d ev elo p m en t o f V ietnam

1.2 L itcrature revievv and conccptual íramevvork

1.2.1 State liability: global overview

II is generally accep ted, albeit w ith lim itations, that a p erso n w ho causes dam age to another in ten tio nally or carelessly should com pensate for th at loss The dam age m ight

18 Viện Kiểm Sát Nhân dân Tối cao, Tập huấn công tác nghiệp vụ về án hình sự, [The SupremePeople’s Procuracy o f Vietnam: Proíessional Training] 1/11/2010

< http://vvwvv.vksnd(c.»ov.vn/tintuc/1686.asp\>

19 Report 57, above n 17.

J ’ Phùng Hưong, Vướng mắc trong triển khai thi hành Luật Trách nhiệm Bồi thường của Nhà nước, Dai hieu lìhan dan [Challenges in Implementiiig the Lavv 011 State Liability for Compensation j <http://daibieunhandan.vn/derault.asp\?Uibid=8 ỉ &Nc\vsld=204578>; Huy Hoàng, Triên khai Luật Trách nhiệm bồi thường cua Nhà nước: Tô chức "bí" vì thiếu ngirài,

ỈVebsitc Btì Tu pltítp [Lack of Professional StaiT to implement the Lavv 011 State Liability for Compensation]

< h t tD: / /mo i » o v v n / c t / t i n t L i c / ! i st s / i m h i i i %2 0 cu % 2 0l r ao %2 0 i / v i e \ v _ de t a i l a sp \ ? l t c ni l D = 2 7 82 >

be cau sed not only bv indivicluals but also by au th o rities including governm ents and

th c ir agcncics T h ereíòre, lavvs protecting individuals and legal pcrsons from dam ages cau sed by State o lĩicials need to be considercd.21 The law regarding the liability o f the State has been evolving throughout thrce distinct periods: prior to the 19lh century,

d u rin g the 19lh century and early 2 0 lh century, and the late 2 0 lh century lo the prescnt

B eíb re th e 19lh century, in W estern E uropean statcs, both com m on law and civil ỉaw traditions had alm ost com plete im m unity from claim s by individuals, under prin cip les usually referred to as ‘sovereign im m u n ity ’ T h is was related to concepts o f

royal authority M axim s suclì as The K ing can ch no xvrong (Le Roi ne p e u t i ì ì c iI faire)

reílectcd these principles.22 The ju stificatio n s vvere that there can bc no legal right

ag ain st the au tho rity that m akes the law on w hich the rig h t depends and that no vvrong can be done by the State w hen there is no rem edy ag ainst the State.23 Justinian claim ed

th a t G od had sen t the em peror as a "living statute", to vvhom statutes them selves w ere sub ịect.24 E lsew here, Justinian h im se lf stated that the em p ero r alone had pow er to m akc statu tes and to interpret them 25 The acceptance o f R om an law increased royal authority and laid the foundations for ab solutism 26 The law ascribed to the king the attributes o f "sovereignty and independcncc" w ithin his ow n dom inions stating that thc king Mow es no kind o f subjection to any other potentate on eartlì” 7 B lackstone

w ritin g 011 E nglish lavv stated th a t:28

21 Wolfgang Peschorn, ‘Liability for Officer Fault - The Austrian Experience’ OECD and

European Union Con/erence 011 Organisation o f the Legal Services o f the Minisíry o f Pinance: The Experience o f EU Member States’ (Tbilisi, Georgia, 25-26 September 2009)

<www oecd org/dataoecd/18/24/44319890.pdf>

Dari-Mattiacci et al, above 11 2, 8

23 Francis Breidenbach, ‘Some Recent Trends in State Liability for Tort’ (1962) 38 North Dakota Laxv Revievv 7.

24 Nov 105, 2, 4 (536): "[imperator], cui et ipsas deus leges subiecit, legem animatam eum mittens hominibus11 cited in Dr Ana Malta González, Contemporary Perspecíives on Natural Law: Natural Law as a Limiting Concept (Ashgate Publishing, Ltd., 2008) 37.

c 1, 14, 12, 3-5 (529): "explosis itaque huiusmodi ridiculosis ambiguitatibus tam conditor quam interpres legum solus imperator iuste existimabitur", cited in Jean Betlìke Elshtain,

Sovereignty: God, State, and S clf (Basic Books, 2008).

20 D Johnston, T h e General Iníluence o f Roman Institutions o f State and Public Lavv', in D L Carey Miller and R Zimmermann, eds., The Civilian Tradition and Scots Lavv Aberdeen Ọuinccntenary Essays [Schrilten zur Europãischen Reclìts- und Verfassungsgeschichte, Bd 20] (Beiiin: Duncker & Humblot, 1997) (ISBN 3-428-09011-X) 87-101

27 E d w in M B o rc h a rd , 'G o v e r n m e n t L ia b ility in T o r t’ (1924) (34) (1) The Yale Law

J o u r n a l 7.

28 William Blackstone, Commentaries 011 the Laws o f Eỉìgỉcmd in Four Books Notes selected from the edỉlions o f Archibold, Christian, Coỉericlge, Chilty, Stewart, Kcrr, and oíhers, Barron

it is that 110 siiil 01' aclion can be brought against the kiim, evcn in civil

lìiatters, because no court can liavc jurisdiction over him For all iurisdiction

implies superiority of povver: authority to try wouId be vain and idle, vvithout

an authority to redress; and the sentence o f a court vvould be contcmptible,

unless thai court liad power to command the execution of it: but who shall

command the king?

C h itty added th at:29

The inviolability of the King is essential to the existence o f lìis povvers as

supreme magistrate; and thereíore lìis person is sacred The lavv supposes it

impossible that the King him selí can act unlawfully or impropeiiy It cannot

distrust him whom it has invested with the supreme povver; and visits 011

his advisors and ministers the punishment due to the illegal measures of

government Hence the legal apothegm tlìat the King can do no vvrong

Hovvever, contlicting statem ents about the relation ship betvveen the em peror or kin g and the law can bc íound In the C ode, a con stitu tio n oí' T heodosius and

V alentinian stated that it w as w orthy o f the em p ero r to pro ícss him selí' to be bound by statu tes.30 In E ngland, the E nglish R evolution savv lim its on royal authority em erge in statem ents o f th e law B lackstone, w riting in the 1700s? recognised that the king vvas subject to the law although the rem edies ag ainst the gov ern m ent conducted in the k in g ’s nam e may be im períect He w rote, echoing the statem ent in the C ode: 1

The King ought not to be subịect to man, but to God, and to the law; for the

lavv make the king Let the king thereíore render to the law, what the lavv has

invested in him vvith regard to others, dominion and povver: for he is not

truly king, vvhere vvill and pleasure rules, and not the lavv

In A sh b v V ỈVhiíe, H olt CJ indicated that as w ell as the possible liability o f the

king or the State, there w as also the possible liability o i'th e State offícer w ho had carried out the w rongful act: “ I f public ofíìcers w ill in íringe m e n fs rights they ought to pay

Ficlcỉ's Analysis, and Acìditional Notes, and a Life o f the Auíhor by George Sharswood ỉn Two Volumes (Vol 1) (Philadelphia: J.B Lippincott Co., 1893).

29 Joseph Chitty, A Treatise Oỉì the Law o f the Prerogatives o f the Croxvn: And the Relaíive Dutics cìììd Rights o f the Subject (J Buttervvorth and Son, 1820) 5.

30 c 1, 14, 4 (429): "digna vox maiestate regnantis legibus alligatum se principem protlteri"

31 Blackstone, above 11 28

greater dam ages than othcr men, to deter and hindcr othcr oiTicers from the ỉike

o f fe n c e s '\32

A lth o u g h there w as am biguity in the lavv reg ard in a the liability ol' thc State, thec? w J G O J

im m unily oi' the King, in this period, w as dom inant H cnce, in both com m on law and civ il lavv, the State was not liable to pay com pensation to indiviđuals in rcspect o f

w r o n g s done to them by the State The State had un lim ite d im m u n ity against any claim s

by indivicluals.33 H ow ever, it w as consistent vvith the h o n o u r ol' sovereigns and states to

m ake act-of-grace paym ents ío r w rongs com m ittcd

B y the late 19lh century and early 20lh century, the princip le o f absolute im m unity

o f th e State had experienced signiíĩcant erosion 4 The u s history o f State liability in lort ior exam plc, “reílecls the evolution from the un qualitìed and alm ost unquestioned receptio n o f a com m on law doctrine oi' sovereign im m unity” 35 The u s law on State liability has becn largely skeptical o f im posing liability on thc State, but also aw are o f the inconsistency in not allow ing the exercise o f legal rights against the State sim ilar to those outlined by B lackstone.36

T he grovvth o f w estern E uropean econom ies and the em ergence o f the m iddle class cam e to challenge royal authority in the E nglish and F rcnch R evolulions and to subsequcntly place constitutional lim its on thc exercise ot' State povver Lord M ansíielđ

LC J w rote o í'th e representatives o f the sovcrcign in ovcrseas co lo nies:37

32 Holt CJ Ashby V White (1703) 2 Ld Raym 938, 92 E.R 126 (QB), E.R at 137

" Dari-IVlattiacci et al, above n 2

34 Ibid, 13-14

Under common law, the State is traditionally immune íroni liability for damages vvithout its consent Most State constitutons in USA impose restriction on suits against the State Theretbre,

a couri cannot hear a case asking it to force the State pay dam ages absent legislative

authorization for payment; the remedy is itself unconstitutional Also, the Eleventh Amcndment protects states (but not the tederal government since it has immunity at common lavv) from

liability in reaction to 1793 decision by the Supreme Court in Chishohiì V Georgia With

respect to constitutional toits in particular, the immunity doctrines have bcen devised by the Supreme Court Lavvrence Rosenthal, ‘A Theory of Government Damages Liability: Torts,

Constitutional Torts, and Takings’ (2007) (9) University o f Petmsyỉvania Joum aI o f Constituíional Law 797.

36 Helene Goldberg, ‘Tort Liability for Peđeral Government actions in the United States: An Overvievv’ in Duncan Fairgrieve, Mads Andenas and Jolin Bell, 'To 11 Liability of public

Authorities in Comparatỉve Perspective', Brisíìsh Iììslitute o f International and Comparative Law (2003) 5 2 1

37 Nasser Hussain, The Ịurisprudence o f Enĩcrgency: Ctìlonialism and the Rule o f Law

(Micliigan Press, 2003) 78

to lay dovvn in an Eimlish Court o f Justice sueh a monstrous proposition,

as thai a governor acting by virtue of letters patent undcr the Great Seal, is

accountable only to God, and his ovvn conscience; that he is absolutely

despotic, and can spoil, plundcr and aíTect His Majesty's subjects, both in

their libeity and property, vvith impunity, is a doctrine that cannot be

maintained

A lso, the understanding o f the State after the T rcaty o f W estphalia o f 1648 about separation o f State, and John L ocke’s ideas about hum an nature and the natural State38 led to constitutionalism and the rule o f law íound in liberal capitalist states.39 W eber’s

d eíln itio n o f the State as an entity added to this.40 C onstitutionalism entails a com m itm ent that governm ent is lim ited by law and accou ntab le under law í01* the protection o f iundam ental rights The ‘essence o f civil lib e rty ’ is thai the law provides rem edies íor violations o f rights.41 The English and P rench revolutions and subsequent developm ents show vvhat M ilhaupt and Pistor describe as the rolling relationship betvveen econom ic and legal developm ent as well as the individual paths that states have taken to achieve this All types o f changes, especially th o se in the econom y, m ay create

a dem and for new law s to address the uncertainties p rod uced by changes Once the new law has been established by the lavvmakers, it is taken up by the stakeholders w ho use the rules to the lim il to m axim ise their interests T his creates further uncertainty that needs lo be addressed by new law 42 T his rolling relatio n sh ip betw een law and the econom y m ay bc intensiíìed as econom ic com plexity increases and as stakeholders who are not protected by existing lavvs dem and the protection o f their interests.43 U nder the

38 According to Locke, the State is created by a social contract In the natural State people vvere equal and independent, and everyone had a natural right to defend his “Life, health, Liberty, or

Possessions" Lee Ward, John Locke and Modern Life (Cambridge University Press, 2010) 84; Ernest Barker, Social Coììíract - essays by Locke, Hume, and Rousseciu (Oxford University Press, 1971) 1-145; Zuckert, Michael, The Natural Righls Republic (Notre Dame University

Press, 1996) 73-85

Blandine Kriegel et al, The State and the Rule o f La\v (Princeton University Press, 2001).

40 David Ovven and Tracy B Strong, “ Introduction," Max Weber: The Vocation Lectures, trans Rodney Livingstone (Indianapolis: Hackett, 2004) xii-xiii: In the late teens o f the tvventieth century, Max Weber, a sociologist and highly respecled intellectual, gave a series of tvvo lectures by invitation at the University o f Municli These lectures cover the topics of, íìrst

“Science as a Vocation” (in November 1917) and then “Politics as a Vocation” (in January 1919)

The lecture introduces a delìnition of the State that has bec o m e pivotal to Western social thought

th a t the State is th a i en tity w h ic h claims the monopoly o f the le g itim a te use o f force

41 Peschorn, above 11 21, 3

42 Milhaupt and Pistor, above n 7, 28

43 Ibid, 4 2 - 4 3

Dressure o f globalisation, states and individuals havc b ecom c increasingly equal, as blarlovv areues, as it creates pressure on State to cxpand thc circum slances in vvhich pecuniary com pensation is recoverable from stalcs.44

The P rench R evolution vvhich overturned royal absolutism , and ultim ately led lo a ỉystcm o f constitutionalism and State liability also show s this Prench law cam e to 2inphasize ihe distinction íound in Rom an law bctw een private and public lavv in reacũon to the role o f the aristocracy ju d ged to be oppressors o f the peoplc before thc revolulion M atters o f State liability w cre dealt vvith as m atters o f public law in the system o f adm inistrative courts under the C onscil d*Etat outside the general court It vvas created by N apoleon 1 to oversee public ad m in istratio n.45 It w as only in the 1870s,

a íte r the lầll o f the second em pire, that it em erged as a serious judicial body 6 ỉn

E ngland, as in Prance, this w as nol straight forw ard B innie claim s thai the signiíicanl State im m unity in tort recognised in E nglish law in thc 18ố0s w as the creation o f policy-

m inded ju d g e s and not the result o f adhercnce to oldcr prin ciplcs and precedents.47 A later generation had to reverse this by legislation

A ccordingly, an effective system o f gov ernm ent liability appears to be a requirem ent in contcm porary states It should regulate b o th substantive and procedural contents o f governm ental liability.48 The concept o f the rule o f law is that no person is above the law and every p erso n is subject to the law and under the ju risd ictio n o f the courts w ith the same responsibility for every act done vvithout legal ju stifícatio n as any other citizen or legal person 49 The developm ent o f the rule o f law has bcen seen in raany so cieties as an im portant value o f con stitutionalism 50

40 Jean Brissaud, Ả History o f French Public Law (Beard Book, 2001).

47 WIC Binnie, 'Toward State liability in tort: a comparative study’ (1964) (22) Fac L Rev 88; Tobin V The Queen (1864), 16 C.B N.s 310 143 E.R 1148 (C.P.); Feather V The Oucen (\ 865), 6B & s 257, 122 E.R 1191 (QB).

4S Peschorn, abovc n 21

Diccy, A V, Introductioỉi lo the Law o f the Consíituíion (Lightning Source, 2009) 189.

50 Vicki c Jackson, ‘Suing thc Fedcral Government: Sovercignty, Immunity, and Judicial

Indepcndcnce’ (2003) International La\v Review 521.

The í u r t h c r evolution o f the recognition o f slale liabilitv as a restraint on Government can be seen in various civil law systcm s suclì as those o f G crm any^1,

B razil52, C olom b ia53, U rim uavM and also in com m on law ju risd ictio n s o f E n g lan d " and

C an ad a56

llovvever, there are continuing ju stiíìc atio n s for p lacing lim itations on State liability because o f other reasons for restricting how govern m ents can allocate public resources Som e o f these also derive from co nstitutionalism and relate to control by the legislalure OVC1' the executive governm ent and require the legislature to approve botlì the raising o f revenue and its ex p en d itu rcv 7 N ew lim itations have em erged out o f concerns that states reduce governm ent debt and have balanced budgets.^8

Increasingly, in the 20lh and 21sl centuries, intcrnational lavv has recognised hum an rights vvhich íu rth er im plicitly and explicitly restrict the povver o f states and require that citizen s be able to seek rem edies against the State in independent and im partial tribunals.^9 C hem irinsky in 2001 sum m ed up the results o f the logical vvorking out o f this principle and concluded that sovereign im m unity, fo r governm ent at all leveỉs,

51 The Civil Code 2002 (Germany) Section 839; The Basic Law 1949 (Germany) Alt 34 F

Ossenbuhl, Staatshaftungsrecht, 5th edn 1998, 6 [in German] For German Lavv, see Gert Brilggemeier, Froin Ỉỉìdividual Tort for Civil Servants to Quasi-strict Liability of the State: Governmental 01* State Liability in Germany, in Duncan Fairgrieve, Mads Andenas and John

Bell, ‘Tort Liability o f Public Authorities in Comparative Perspective’ British Iiìsíiíute o f International and Comparative Law (2003) 571; Martina, K, Trcidiíion and change in Admiỉìisraíive Laxv: An Angìo-German Cornparison (Paperback, 2010); Briiggemeier, Gert, Aurelia Colombi Ciacclìi and Patrick 0 ’Callaghan, ed., Personality Rights in Eiiropean Tort Law (Cambridge University Press, 2010);

^ The Constitutioĩĩ 1988 (Brazil) Alt 37; The Civil Code 2002 (Brazil) Alt 43.

^ The Comtitutỉon 1991 (Colombia) Art 90.

54 The Constitution 1967 (Uruguay) Art 24.

55 Under the Crown Proceeding Act 1947 o f England, the Crovvn can be held liable under the

rules of tort lavv Fairgrieve presented that: ỉn Angland, the courts have applied ordinary tortrules to government liability (the most developed category being negligence) and only onespecific public lavv toit, misíeasance in public office, is consistently applied Duncan Fairgrieve,

State Liabiìity in Tort: A Comparcitive Law Stiidy (Oxiord University Press 2003) ch 4; Martina,

K, Tradition and change in Adminisrative Lavv, 2007, ISBN 3540486887; Martina, above n 51.'M> The Exchequer Court Act 1887 (Canada) section 16.c; the Crown LiabUiíy Act 1953 (Canada); Crown Liability andProceedings Act s c 1990 (Canada) c 8.

The Canadian Crown Liability was significant in that it imposed liability 011 the Crown in respect o f all torts committed by Crovvn servants

57 Vito Tanzi and Ludger Schuknecht, Public Spending in the 20th Century (Cambridge

ỉhould be elim inated ’1 There has also been a turn lo altcrnalivc 1'onns o í dispute

resolution rather than íbrm al lavv In w hat M ilhaupt and P istor dcscribe as a highly :e n tralise d legal system , the State has great leveragc in determ in in g the cxtent to vvliich law m ay be contested by privatc actors.6 The State m ay subslitute the dcm and íor lavv lYoni privatc actors w ith cxtra-legal devices such as no rm s.62 Such non-legal alternatives

m ay be p reíerred by both the State and private actors for v ario us reasons O ne reason is that these altcrnatives oitcn offer cheaper and m ore effective solutions than legal

m eans.63 Hovvever, this gives the State considcrable discretio nary po w ers.64 H ow ever, the rem cdies CỈO not all need to be ibund in íorm al ju d icial adjudicalion From the ịustice perspective, vvhat em erges from the literature is th a t possibly the sole virtue o f State liability is that it guarantees som e form o f co m pensatio n to victim s.65 A lthough such an objective could be achieved by insurance 01' other organized com pensation, in

m any circum stances, these m ay fa.il 01' not exist

D ari-M attiacci provides an econom ic ju stificatio n fo r State liability independent o f any concept o f íầirness or ju stice, Ĩ11 that the State can be a sig niiĩcant source o f negative externalities, both through the actions o f its em p lo yees, officials and agents, and through th e ir íầilure to act in particular w ays S tates have police íorces and prosecutors,

ío r exam ple, w ho can cause harm by thcir actions, as w ell by their om issions.66 From a political perspective, Lavvrence argues that governm ent liability creates an incentive for governm ent to invest in loss prevention to m ax im ize p olitical control over public reso u rces.67

T h crelo rc, m ost legal system s have com e to reco g n ize the liability o f the State in a separate law w hen the State’s officials have caused loss o r injuries to citizens These are

6 Ervvin Chemirinsky, ‘Against Sovereign lmmumty’ (2001) (53) Slanford Law Reviexv 1201.

61 Milliaupt and Pistor, above II 7, 7

ỉcen in legal devclopm ents in East A sia, in particular in thc law s o f Japan68, C hina69, South K orea70 T aiw an 71, and V ietnam í'or exam ple.

Corunion Iaw jurisdiction as an cxam ple of contcm porary S t a t e liabiíity

The com plexity o f the issues around State com pensalion and the d iíììc u h ies o f bringing

it in to a single concept o f the rule o f law can bc seen in d eveloped com m on lavv states

In com m o n lavv jurisd iction s, states have, often sought th ro ug h legislation to placc them selves under the sam e responsibilities as individuals for w rongdoings So in the

U nited K ingdom , the U nited States, C anada, and A ustralia at the federal level, national

go vernm ents have m ade them selves liable in tort and contract but have resisted liability for all irỹuries w hich they m ay inílict through other breaches o f the law 73 The com plexity o f the rem aining lavv relating lo State im m unity in these system s and various princip les underlying them are indicatcd by Scddon He finds im m unities in various tleld s oi' doctrinal lavv and processes including: (i) the separate lcgal personality oi' gov ern m ents and associated agencies; (ii) the separate legal personality o f corporations

or statutory bodies controlled by governm ents; (iii) rules o f interpretation excluding the State from obligations im posed by statute; (iv) im m unity íVom coercive j udicial orders; (v) im m unity ữ o m execution o f ju dg m ent; and, (vi) priority o f State debts over other

6 The Constitution 1946 (Japan) Art 17; The State Compensation Lcnv 1947 (Japan).

64 The State Competìsation Law 1994 amendcd in 2010 (China)

70 The National Conipensation Act 1951 (revised in 1967 and amended six times since then)

(South Korea)

71 The Saíe Compensation Lctw 1981 (Taivvan).

Dari-Mattiacci et al, above 11 2, 13-14; Lin, above 11 1, 100

73 Peter w Hogg and Patrick J Monahan, Liabiỉity tìf íìie Crown (Carsvvell, 3rd ed, 2000) 108-

:u rren tly no gu idelines associated w ith ex gratia paym ents í01' w rongful convietion, any :o n sid e ratio n o f the ex g ratia applications are often secret and the iầctors relevant lo the decisions are undisclosed T his has been criticized as unjust, inadcquate, and leading to ưbitrary aw ard s.76 T hese paym ents are also considered as discretionary w ith little Dpporiunity to have reíu sals revievved.77 W here there is the possibility o f obtaining a revievv, claim s m ay be d ifficu lt to m ake out and m ay be tim e-co nsu m in g and expensive

In th e absence o f statuto ry provisions, there is little guarantee that such claim s will be 3uccessful, ho w m uch com p en satio n w ill be avvarded, o r how long the process m ay take 8 Special Bills are criticized as an inadequate co m pen satio n solution, since they appear to depcnd on the political clim ate and a politiciaiVs iníluence G iven the ind iv id ualized nature and treatm ent o f each Bill, there is littỉe uniíorm ity betw een the

B ills and the con ditions and am ount o f the avvards.80

In term s o f State liability at com m on law, H arlow argues for a gcneral principal

lb r co m p en satio n th at relies on concepts o f distributive ju s tic e 81 She notes that som e com p en satio n is po litical and involves distributive ju stic e - ex gratia paym ent indicates that an aw ard is not ju stic ia b le 82 H ogg also stated that vvith the steady expansion o f the lunctions o f the Central governm ent, the im munity o f the Crovvn is a grave defect in the rem edial law 83 Harlovv ag rees that there should be a p rincip le o f com pensation to guide those vvho are han dlin g c l a im s 4 She analyscd m ass torts to indicate thai the com m on

(2) Civil Litigation: Individuals may seek redress from police olTicials, lavvyers, or State officials by a civil Litigation A tortious claim may have a basis in ỉầlse imprisonment, malicious prosecution, or misfeasance

(3) Spccialized Bills: Another form o f compensation is private bills 01* special legislation Private bills are created as a means o f directly compensating the individual through State legislature for irỳustice incurred ibr the wrongful conviction and incarceration

See: Susan Kneebone, Tort liability o f Public Authoritỉes (LBC Iníormation Services, 1998);

Harlovv, above n 6, 88; Dioso-Villa, Richel, ‘Without legal obligation: compensating the

wrongfully convicted in Australia’ (2012) 75 (3) Albany Law Review 1329-1372.

Dioso-Villa, above n 75

Ibid; Christine E Sheehy, Compensation for Wrongful Conviction in Nevv Zealand, 8

Auckland ư L Rev 979.

78 Dioso-Villa above n 75; Adele Bernhard, Justice Still Fails: A Revievv o f Recent EíTorts to Compensate Individuals Who Have Been Unjustly Convicled and Latcr Exonerated (2004) (52)

avv sy stem could not cope vvith m odels o f litigation bascd on individuaỉ actions M ass ort cases are now processed in m uch the sam e w ay as slalutory and adm inistrative ỉchem es.

T h e debate over the principles of, and the lim its to State liability, continue to be

ie b a te d in com m on law system s D ioso-V illa, R ichel and Harlovv suggest that

eg islato rs, law yers and policy-m akers in co m m on lavv systcm s necd to íầshion a new and less aggressive system o f State responsibility ioun dcd 011 com m unity values and BOcial so lid arity 86 H arlow , how ever, argues that thcrc sho uld bc a deíĩnite li ne dravvn - 31' a clear distinction m ade - betvveen liability and co m pensation, so that liability should not autom atically lead to com pensation In particular, she suggests that adm inistrative :o m p e n sa tio n should only extend to ‘abno rm al’ and ‘ex ce p tio n a l’ losses and vvhat she lerm s ‘b otheration p ay m en t’ In respect o f tort, she sees public liability as a 11101'e general problem o f tort law w hich is not to be rcsolved by special rules o f public liability but by a focus on tort law itselí' and on prin ciples o f corrective ju stice.87 She recom m en ds benchm arking o f the regulatory im pact o f n ew law s.88 H ogg also suggests that there should be an analysis oí' private losses caused by every new governm ent program w hich w ould íocus the attention oi' policy and lavv m akcrs and m ake them address issues o f com pensation 9

1.2.2 State liability in V ictnam cse reform process

As m en tio n ed above, in V ietnam the developm ent o f the law s regarding State liability

has been p art o f the im plem entation o i D oi moi V ictnani initiated this w ith its official

ratiíìcatio n by the Sixth C ongress o i'th e V ietnam ese C om m un ist Party (V CP) in 1986 vvhich represents a landm ark in the reíbrm oi' V ictn an v s econom ic, legal and political system s It has driven signitìcant reíorm in go vernm ent adm inistration and the role o f the law in regulating the sta te 's activities.91 In 1991, at its S eventh C ongress, thc V CP

85 lbid 48

86 Ibid 9; Dioso-Villa, above 11 75; Sheeliy, above n 77, 979

87 Harlow, above 11 6, 127

88 Ibid 133.

89 p w Hogg, Liability o f the Crown (Toronto: Carsvvell, 2"d ed., 1989); p w Hogg,

‘Compensation for Damage Caused bv Government' (1995) (6) N I.C.L 7 & 12

90 Gillespie and Chen, above n 6, 11

vl Mathieu and Ket, Developing a ỉa\v-based stale in Vietìicuìì cited in Gillcspic, J, Clicn, A, (cds), Legal Refonus Í 11 Clúna and Vietiiam: A comparisuìì o f Asiun Community (Routledge

Lavv in Asia, 2010)

iidopleđ the conccpt oi' nha nuoc phap quycn [the rule oi' la\v].l;2 T his derived from a

ỉim ìla r concept in the S oviet U nion, pravo voc g o s u d a r s t v o The idea o l'a State based

J11 th e rule o f law in V ielnam has sevcral charactcristics vvhich distinguish it irom its nse in othcr political and iegal system s A ccording to the VCP"s R esolution XI, thc

V ietnam ese State based on the rule o f law has th ese ieatures: (1) the State in V ietnam is

à so c ia list State o f the people, bv the peoplc and lo r the people, w ith the pow er belon ging to the people; (2) the structure and op erations o f the State are bascd on the

C on stitu tio n and respect and protect thc C onstitution; (3) the State m onitors society by law and ensures the suprem acy o f law; (4) the State respects and protects hum an rights, the irecd o m s and rights o f citizens, and m aintains thc relationship betw een the State and citizen s; (5) the pow er o f State is uniíìed w ith the dclegation o f pow er to, and co-

o rd in atio n am ong, State bodies in exercising legislative, executive and jud icial rights; and (6) the V CP is the leading íorce in the State,

The principle o f th e rule o f law was incorporated into A rticle 2 o ít h e C onstilulion

1992 as am ended in 2001 and 2013 The C onstitution affirnis its ow n suprem acy and

the law stating that ‘all State agencies and political parties m ust abide by the

C o n stitu tio n and the la w ’.94 A rticle 50 o f the C on stỉíuíỉon 1992, am ended in 2001, and

A rticle 14, am ended in 2013, also provide that hum an rights arc respectcd and protcctcd

u n d er V ietn am ese law O ne o f the m ạịor objectives o f introducing the concept o f the rule o f lavv, according to G illespie, ‘is to reío rm the operation o f State executive

o rg a n s ’.95 Indeed, to su ccecd in building a State based on the rule o f law in parallel w ith the creatio n o f a co m p rehensive legal system o f law eníorcem ent State oíTicials plays a vital role and their observance o f the law is signitìcant To both increase the

resp o n sib ility o f State o lììcials and to protect h u m an rights, the C o m titu íio n 1992, as

am end ed in 2001 and 2013, states that a person w ho has suffered a loss through

w ron gfu l acts has the rig h t to claim com pensation.% B ased on that provision, the C ivil

C ode 1995 and 2005 providcd lo r liability for co m pensation lor dam age caused by State

92 Many Vietnamese scholars describe the concept ot’ 'nha I1UOC phap quyeii’ as thc concept of

‘the rule o f law' but in the book Legal Reforms in Chinci and Vietnam: A Comparison o f Asiciìi Coinntunist Regimes the authors State that lliis concept is understood as lavv-based State.

Gillespie and Chen, above n 6, 11

94 The Constitution 1992 ciinencleci 2001 (Vietnam) A lt 4, 12, 146; The Coiìslitulion 1992 anieiiLỈecỉ 2013 (Vietnam) Art 4, 8, 9, 10.

93 Gillespie and Chen, abovc n 6, 12

% The Constitutiun ỉ 992 ameruỉed 2001 (Vietnain) Alt 72 and 74; The Comitution 1992 ameiicỉec/ 2013 (Vielnam) Art 31(5).

Dilieials.97 To entbrce these provisions, suborđinale lcgislation provided som c guidance mtl interpretation Hovvever, those provisions vvere insufficient and less than eíTective

rh e re íb re , the enactm ent o i'th e SCL 20Ơ9 w as expectcd to m ore eíTcctively prom otc the

Doi m oi policy, enhancing legal institutions and strengthening the protection o f hum an

riíĩhts vvhich supports the rule oílavv in V ie tn a m "

It is w idely accepted that the SCL is a sign iíĩcan t devclopm ent in the rule o f law

in V ietnam T he SCL, observes Pham Q uoc A nh w ho is C hair o f the V ietnam Law yer

A ssociation, rcílected íu rth er dem ocratization The L aw has elevated the role and position o f the individual to be equal w ith the State as it allow s the individual to sue the State íbr com pensation vvhen State ofiìcials have taken vvrongíul actions and caused dam age The Law , in his opinion, is o f great sig n iíĩcan ce in the process o f ịudicial and adm inistrative re íb rm 100 D uong D ang Hue, D irector o f the D epartm ent o f Civil-

E conom ic L aw (M O J), noted that the SCL is an eíYective rcm cdy for the “ bureaucratic

d isease” o f State oíìĩcials H e also believcs that the SCL is a m ajor legislative eiTort lo support a State based on the rule o f law in V ie tn a m 101 D uong T hanh M ai, íbrm er

D irector o i'th e Institution o f Legal Science (M O J) stated th at the enactm ent o f SCL and its cntbrcem ent represented sign iílcan t progress in bu ild in g a State based on the rulc oi' lavv.102 She arg u ed that in such a State, the C onstitution is the tundam ental law thai m ust

be im plem ented The SCL is one lavv w hich supports the provisions regarding hum an rights and the right to com pensation vvhich is providcd for in the C onstitulion She also

97 The Civil Code 1995 (Vietnam) Alt 619 and 620; The Civil Code 2005 (Vietnam) Alt 622 and

623

98 Decree No 47/CP (3/5/1997) Oìĩ Dealing wilh Compensaíion for Damage Caused by State Officials and the Standing Committee of the National Assembly of Vietnam, Resolution 388

NQ / UBTVQIÍ (17/3/2003) On Compensation for the Vicíinis ofW rongfuì Conviclions.

99 Ministry o f Justice, above II 15

100 'Bắt đầu thực hiện Luật Trách nhiệm Bồi thường cùa Nhà nước: Nhà nước dễ trờ t hành con

nợ’ [Al the early stage ot' implementation of the SCL: it is easy for State to become a ílcbtor]

04/01/20 ] 0 <http://vietinfo.eii/cuiig-suy-ngam/bat-dau-thuc-hien-Iuat-tracli-nhicm-boi-thuoiig- nlia-inioc-nha-nuoc-de-tro-thaiìh-eon-no.html>

101 'Luật Trách nhiệm Bồi thường cua Nhà nước- Không lo Nhà nước bù không xuể' [The lavv

on State Liability for Compensation: there is no vvorry tliat the State \vould not be able to

compensate] Dáo Pháp luật Thành phố Hô Clií Minh [Ho Chi Minh Law Iĩewspapcr]

<littp://vnlawfind.com.vn/defầult.aspx?tabid=170&ID=6278&CatelD=>

102 Dương Thanh Mai, Ban hành và thục tlii Luật Trách nhiệm Bồi thường của Nhà nước- một

bước tiến quan trọng trong tiến trình xây dựng Nhà nước pháp quyền XHCN ỏ' Việt Nam, Tọa đàm ngày 16/3/2010 do VCCI, D ự án Jica lo chức tại T/iànli pho Hồ Chí Minh [promulgation

and implementation o f SCL- a major step in the process o f building the State based on the rule

o f Iavv in Vietnam vvorkshop on 16/3/2010 organised by VCC1 and Jica project in Ho Chi Minh

TRUNG TÂM THÔNG TiN THƯ VìẺNỈ17

TRƯỜNG ĐẠI HỌC lA NỘIj

itated that the Lavv represents the leg islatu re's intention to em ph asise law reío rm and a

;h a n g e in the conduct o f agencies and oiììcials w orking in them based o n the principle :>1' th e rule o f lavv.103

W hile one oỉ' the outcom es o f D oi moi is 1ÌOVV inlended to bc a State bascd on the 'ule o f law , w ith the SC L being instrum cntal in this, m any scholars hav e been critical o f :he dcvelopm ents It is claim ed that lavv reíb rm is aim ed only at stren g th en in g and legitim izing the V C P and the State, and iầils to prom ote and realize h u m an rights and tium an developm ent, vvhich, this critique presum es, is the ultim ate p u rp o se o f the 1‘ule o f

la w 104 Ít is also claim ed that the rule o f law is prom oted only in the eco n o m ic dom ain and that civil and political rights are not protected by lavv and that the ịu diciary lack the independ ence rcquircd to eiTectivcly review the povver exercised by the V C P and the State.10 These critics o f the State often describe the V ietnam ese g o v crn m en t as

‘a u th o rita ria n ’ or ‘illib e ra l' 11)6

A s indicated above in section 1.1, there is sig niiicant literature 011 the relationship bctvvecn econom ic and legal developm ent N orth reíềrs to three elem cn ts w h ich are req uired to build the institutional capacity to support cco no m ic g row th: (1) íb n n a l vvritten rưles such as statu te lavv, com m on law and regulations; (2) in ío rm al rules such

as co n v en tio n s, norm s o f behaviour and voluntary codes o f co nd uct; and, (3) the effectiv en ess o f related en fo rcem en t m ech an ism s.107

In his com pariso n o f C hina and V ietnam , P eerenb oom has arg ued, on the b asis oi'

an "East A sian M o đel' (E A M ), that there can be a sequencing o f eco n o m ic and legal develo pm en t This m odel show s that it may be appropriate, legitim ate and p rag m atic for eco n o m ic dev elop m ent to be pursued bciore lib eralisation and dem o cratizatio n Ít should bc noted that, to a lesser extent than M ilhaupt and Pistor, he sees thai there arc

e x cep tio n s to Ihe gen eralỉsations he m akes and that all states have th eir ow n variation s from any m odel H is arg um en t is based 011 both em pirical evidence and socio-political analysis H e observes th a t in A sia there are m any co untries such as Jap an, South K orca, and T ahv an w hich hav e successíullv developed th eir econom y ílrst an d dem ocracy

103 Ibid

Gillespie and Chen, above 11 6, 21

105 Ibid.

106 Blandine Kriegel, The State and The Ruìe o f Lcnv (translated by Marc A LePain and Jeffrey

c Cohen) (Princeton University Press, 1995) 11

107 Nortli, Douglass, hìstitutiưns, Imtitutional Change and Econoìiìic Performance (Cambridge

Universitv Press, 1990)3-4

ater H e also points out that countries pursuing dem o cratizatio n w ith low lcvels oi' ĩconom ic developm ent often expericnce m ajor p roblem s vvith social instability and )o liiical violence as scen, for exam ple, in T hailand In his analysis, "authoritarian

■egimes are b etter suited to low er levels o f d ev elopm ent because thcy can íorcc through

ou gh eco nom ic decisions and m aintain social stability, albeit by restricting civil and Dolitieal rig hts.” 108

Pecrenboom con clu dcs that there are preco nd itio ns ío r the creation o f dem ocratic ìnd liberal states, such as particular levels o f vvealth, sp eciíìc elTcctive institutions and :he d ev elo p m en t o f a civil so ciety 109 He also states th at dem ocratization alone is not

m o ug h to lcad to the rule o f lavv il'in stitu tio n s are w eak or absent, and com petcnt corps

D Í'ju d g es, law yers, and prosecutors are m issin g 110 H e is critical o f a scquential

ip p ro ach vvhich puts th c developm ent o f h u m an righ ts first, vvhich he calls the cap ab ilities ap p ro ach ’: 111

More generally, the experieuces o f Asian countries suggests tlial the

‘capabilities’ approaclì is likely to lead to political instability vvlien ruling

parties in low er-incom e countries are not able to meet the inílated

expectations o f citizens The capabilities approach promiscs citizens morc

than evcn traditional socio-cconomic rights, vvhich have been and still are in

most countries considered to be non-jIisticiablc

He indicates that the íocus on econom ic grow th and rights is both com plem entary and con trad ictory and n eeds to be b alan ced 112 H e also dem onstrates that there are

ob vious differences b etw een a liberal dem ocratic co nceptio n o f rule o f law and statist socialist v e rsio n s.113 H ow ever, P eerenboom points out there are negaúve aspects to the

EA M w hich parìly su p p o rt the claim that the rule o f law is being m ainly pursued in the cconom ic d o m a in :114

There is 110 doubt tliat the ISAM, vvith its tvvo-írack legal system, is not

pretty In many cases, the restrictions on civil and political rights are

108 Randall Peerenboom, Ruìe o f law, democracy and sequencing debate: lessons/rom China and Vietncim’ in John Gillespie and Albert HY Chen (eds), Legal Reịornis in China and Victnaiii: A Coinparison o f Asian Comnmnist Regimes (Routlcdge Lavv in Asia, 2010) 37.

egregious Abuse of povver is ữequent Well-iiiteníioned ‘political

dissidents,’ human rights activists and corruplion-exposing vvhistle blovvers

may be harassed and persccuted, causing sevcre hann to individuals

involvcd and deterring others from pressiiig for wclfare-enhancing rclorms

There is also a danger that authoritarian rulers vvill hang 011 lo povver too

long, or move too slowly on reíorms

P eeren b o o m 's observation are also con sistent w ilh M arxist vicw s o f the dcv elopm ent oí' hum an society, given greater ex plan atio n in the letters o f Engels, that the econom ic structure oí' socicty raised is its real ío u n d atio n On this base is the

po litical and legal superstructure vvhich corresponds vvith the social consciousncss that

d o m in ates the econom ic base The m odc oi' prod uctio n and exchange determ ines the social, political and intellectual life processes in g e n e ra l.113 M orcover, it exem pliíìes

M ilh a u p t's and P is to r s thesis that diíTerent governm en ts m ay prom otc econom ic

g row th in different w ay s.116

A lthough not rejecting P eeren b o o m ’s and o th er au th o rs’ argum ents, G illcspic and

C hen w arn that the m ode o f legal developm ent that has co n trib u tcd ío econom ic grovvth and the m aintenance o f V C P dom ination m ay be the p rice V ietnam has to pay They

im ply that the increase in m aterial vvcalth m ay have b een achieved; how ever, this achievem ent is attributable in parí to heavy-handed rep ressio n o f civil libcrties \vhich is

a heavy pricc to pay 1

A s m entioned, in ihe retbrm process, V ietnam has not only íocused on the develop m ent o f the econom y; it has also sought to reíb rm the institutions o f the executive governm ent, the courts, and the procuracy Legal reform has not only been directed to developing the econom y through, for exam ple, com m ercial law, and íoreign investm ent law and com petition law, but also to p ro m u lg atin g laws w hich respect hum an rights The SCL is evidence that V ietnam has paid attentio n to protecting hum an rights at the sam e tim e that it seeks to develop the econom y It also evidenccs efforts to build institutional capacities to support the d evelopm ent o f the rule o f law H ow ever,

115 Marx, Capital, 3:437, 876; Critique o f the Gollia Programme (Nevv York: International Publishers, 1966); Frederick Engels, The Housing Question (Moscow: Progress Publishers, 1979); Marx, Theories o f Surpỉus Vaìue, part l(Moscow: Progress Publishers, 1963); Marx, Theories o fS u rp lm Value, part 3 (Moscow: Progress Publishers, 1971); Frcderick Engels: From

a Lettcr Tu wDorgius (London, January 25, 1894); Predcrick Engels, Anli-Diihring (Nesv York:

International Publishers, 1939)

116 Milliaupt and Pistor, above n 7

117 Gillespie and Chen, abovc 11 6, 22

vh eth er the purpo ses o f the Law have been achicved and the institutional capacitics

eq u ire d for it liave been dcvelopecl, rem ain questionable as statcd by N orth The n ext icction and the ansvvers to Ihc research qucstions addresscd throughout the thesis are ntend ed lo provide a satisíầcto ry conclusion to these issucs

In short, alth oug h there is a debale about the m anner and d irection o i'V ictn am cse

•eíbrm s, the d ev elo p m en t o i'th e lavv on State liability is in line w ith global trcnd it has

n o v e d from the absence o f any provisions, to including several provisions in the Civil

2 o d e and, íìnally, to separate law The em ergence o f the SCL expresses the intention o f he V C P and State to develop a State bascd on the rule o f law w hich protects hum an :ights in V ie tn a m 118 It is consistent w ith som e o th er íeatures o i'th e reibrm s vvhich have seen strong econom ic grovvth over a long period together w ith the m aintenance o f grealer equality su g g estin g that availablc rcsources arc being partly used to ‘eíTectivcly prom ote hum an w e ll-b e in g ’ 119

1.2.3 F ram ew ơ rk for the rescarch

The V ietn am ese State has been engaged in the D oi moi process since 1986 It should be acknovvledged that th e legislation on public ad m inistration is n ow clearer and m ore transparent w ith m o re sp eciílc accountabiiities than il w as nearly three decades a g o 120

1 he procedu res for p rom u lg atin g legislation have been reíbrm ed The legal system is

m ore ccrtain and m ore protective o f citizen s’ rights M any law s have created a legal íramevvork en abling the State to ensure that society is regulated by the lavv M athieu and

K et íìn d it im p ressive th a t legislative eíTort has been m ade lo build a com prehensive regulatory fram ew o rk ío r the State and its civil servants to operate w ithin a clear la w 121

H ow ever, scho lars and legal experts have revealeđ a nu m ber o f problem s O ne is

‘legislative inA ation' w ith m any poor-quality lavvs A n other is described as luat khung, luat o n g [law -fram e, law -pipc] w hich m eans the law states only general principles 122 or luat treo [suspended law] w hich indicates that the law exists in the books but not in

118 The V CP's Resolution 49; Ministrv o f Justice, above n 15

119 Peerenboom, above 11 108, 42

120 Mathieu and Ket, above n 91, 149

1 2 1 I b i d

-Bảo Minh, "Tranh tinh trang luat ‘khung’, luat ‘ong’” [The Situations o f ‘Law-Frame’ and

‘Law-pipe’ Have to Be Avoided] Sài Gòn Giải Phỏng

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