Political Dynamics of Grassroots Democracy in Vietnam Political Dynamics of Grassroots Democracy in Vietnam

Hai Hong Nguyen

POLITICAL DYNAMICS OF GRASSROOTS DEMOCRACY IN VIETNAM Copyright © Hai Hong Nguyen 2016 All rights reserved. No reproduction, copy or transmission of this publication may be made without written permission. No portion of this publication may be reproduced, copied or transmitted save with written permission. In accordance with the provisions of the Copyright, Designs and Patents Act 1988, or under the terms of any licence permitting limited copying issued by the Copyright Licensing Agency, Saffron House, 6-10 Kirby Street, London EC1N 8TS. Any person who does any unauthorized act in relation to this publication may be liable to criminal prosecution and civil claims for damages. First published 2016 by PALGRAVE MACMILLAN The author has asserted their right to be identified as the author of this work in accordance with the Copyright, Designs and Patents Act 1988. Palgrave Macmillan in the UK is an imprint of Macmillan Publishers Limited, registered in England, company number 785998, of Houndmills, Basingstoke, Hampshire, RG21 6XS. Palgrave Macmillan in the US is a division of Nature America, Inc., One New York Plaza, Suite 4500, New York, NY 10004-1562. Palgrave Macmillan is the global academic imprint of the above companies and has companies and representatives throughout the world.

ISBN 978-1-137-58088-7 ISBN 978-1-137-57776-4 (eBook) DOI 10.1057/9781137577764

Distribution in the UK, Europe and the rest of the world is by Palgrave Macmillan®, a division of Macmillan Publishers Limited, registered in England, company number 785998, of Houndmills, Basingstoke, Hampshire RG21 6XS. Library of Congress Cataloging-in-Publication Data Nguyen, Hai Hong, 1974– author. Political dynamics of grassroots democracy in Vietnam / Hai Hong Nguyen. pages cm Includes bibliographical references and index. Summary: “In Political Dynamics of Grassroots Democracy in Vietnam, Hai Hong Nguyen investigates the correlation between independent variables and grassroots democracy to demonstrate that grassroots democracy has created a mutually empowering mechanism for both the party-state and the peasantry”— Provided by publisher. ISBN 978-1-137-58088-7 (hardback : alk. paper) 1. Democracy—Vietnam. 2. Political participation—Vietnam. 3. Vietnam— Politics and government—1975– I. Title. JQ881.N56 2016 323 Ј.04209597—dc23 2015031088 A catalogue record for the book is available from the British Library. For those dearest to my heart: my wife and sons and my parents and my wife’s parents

And to Vietnamese poor peasants, whose plight inspired my research Contents

List of Illustrations ix Foreword xi Acknowledgments xiii List of Abbreviations xv Name Conventions xix

Chapter 1 Introduction 1 Chapter 2 Grass-Roots Democracy: History and Context 15 Chapter 3 Conditions and Democracy 43 Chapter 4 An Analytic Framework 63 Chapter 5 The Case of Th á i B ình 85 Chapter 6 The Case of H ng Y ê n 117 Chapter 7 The Case of Đà N ng 145 Chapter 8 Case-Study Analysis: Explaining Variation 175 Chapter 9 Conclusion: Shoots of Hope 183

Appendix 1: Fieldwork Interviews in Thái Bình 187 Appendix 2: Fieldwork Interviews in Đà Nng 189 Appendix 3: Fieldwork Interviews in Hng Yên 191 Appendix 4: Fieldwork Interviews in Hanoi 193 Appendix 5: Governance Structure and Local Democracy in Vietnam 195 Appendix 6: Consolidated List of Legal Normative Documents on Grass-Roots Democracy 197 viii ● Contents

Notes 199 References 203 Index 251 Illustrations

Figures 2.1 Vietnamese village/commune democracy 19 2.2 CPV’s theoretical model of socialist democracy 38 2.3 CPV’s de facto and de jure model of socialist democracy 38 3.1 Path to Making Democracy Work model 57 4.1 Political concentration equation 69 4.2 Vicious correlation of types of inequality 71 4.3 Causal link between corruption and democracy 72 8.1 Causal mechanism between preconditions and grass-roots democracy 180 A.5 Governance structure and local democracy in Vietnam 195

Tables 2.1 Characteristics of liberal democracy and socialist democracy 37 3.1 Conditions conducive to democracy based on Lipset’s modernization theory 50 3.2 Conditions conducive to democratization based on human empowerment theory 53 3.3 Conditions conducive to democracy based on social capital theory 60 4.1 Analytic framework 64 4.2 Independent variables 67 4.3 Negative correlation between the independent variables and the dependent variable 80 4.4 Positive correlation between the independent variables and the dependent variable 81 5.1 Average monthly per capita income in 1996 and 1999 by province 88 5.2 Poverty rate by region and province/city 96 5.3 Monthly income per capita by sources of income in province 2010 96 5.4 Th á i B ì nh socioeconomic statistics between 2000 and 2005 97 5.5 Monthly income per capita by sources 99 5.6 Contributions by villagers for infrastructure construction between 2000 and 2003 102 x ● Illustrations

5.7 Complaints and denunciations by issues 105 5.8 Complaints and denunciations settlements between 2001 and 2004 106 5.9 Compiled PCI results in 2007–2012 107 5.10 Penalty application to party members and government offi cials 109 5.11 Comparative results for 2011–2012 of participation at local level in Th á i B ì nh 112 6.1 Average monthly income per capita in 1996–1999 by province 119 6.2 Average monthly income of the poorest and the richest in H ng Y ê n in 1994 120 6.3 Gini coeffi cients between rural and urban areas in H ng Y ê n in 1994 120 6.4 Monthly income per capita by sources of H ng Y ê n between 2002 and 2010 120 6.5 Proportion of monthly income per capita by sources of income 121 6.6 Poverty rate by region and province/city 127 6.7 Status of complaints and denunciations in H ng Y ê n 2002–2013 132 6.8 Compiled PCI results of H ng Y ê n in 2007–2012 133 6.9 Comparative results of participation at local level in H ng Y ê n in 2011–2012 140 6.10 People’s participation in infrastructure decision making 140 7.1 Th e average monthly income per capita in 1994 147 7.2 Change of labor ratio in three economic sectors between 1997 and 2010 148 7.3 Nonparty members elected in CPC and VBH in Đà N ng between 1998 and 2005 149 7.4 Satisfaction of people using public services in 2012 151 7.5 Poverty reduction rate in Đà N ng between 2001 and 2012 152 7.6 National and Đà N ng poverty lines by years 153 7.7 Poverty rate in four major cities 153 7.8 Proportion of monthly income per capita by sources of income in Đà N ng between 2002 and 2010 153 7.9 Monthly income per capita by sources of income of Đà N ng between 2002 and 2010 154 7.10 Dialogues between governments and citizens in 2008–2011 in Đà N ng 158 7.11 Complaints and denunciations in Đà N ng between 2008 and 2011 159 7.12 Compiled PCI results of Đà N ng between 2005 and 2010 160 7.13 GRD transparency in Đà N ng 162 7.14 Penalty application to party members and government offi cials 164 7.15 Score of “Law and Order” sub dimension of Đà N ng by year 166 7.16 Participation at local level in Đà N ng in 2011 and 2012 168

Boxes 4.1 Defi nitions of Governance 75 4.2 Defi nitions of Good Governance 76 Foreword

guyen Hong Hai’s Political Dynamics of Grassroots Democracy in Vietnam is a path-breaking study of Vietnam’s attempt to apply its concept of grass-roots N democracy to local government in response to rural unrest in the late 1990s. According to Hai, by the late 1990s the party-state apparatus had begun to decay as the state lost control over local institutions due to structural tensions between state and society, and between state cadres and peasantry. The program to develop grass- roots democracy was later extended to all of Vietnam’s provinces and administrative units. Hai’s analysis covers developments up to 2013. Political Dynamics of Grassroots Democracy in Vietnam addresses political change in authoritarian Vietnam at the microlevel, whereas most political studies focus on the macrolevel. These studies invariably focus on why democratization failed. Hai’s study, in contrast, examines why grass-roots democracy has progressed in Vietnam. Hai identifies a major gap in academic research on contemporary Vietnam. Whereas there is an extensive literature on human rights, civil society, and democra- tization in Vietnam, this literature treats grass-roots democracy in a superficial way and is not based on fieldwork. There are no in-depth book-length studies in English on grass-roots democracy in Vietnam, and Hai’s Political Dynamics of Grassroots Democracy in Vietnam fills this gap. Hai critically examines three major schools of thought on the casual factors that promote democratization in developing states—modernization theory, human empowerment theory, and social capital theory. On the basis of his critique, Hai expands the definition of democracy and develops his own framework for explaining the paradox of how Vietnam’s one-party state can promote democracy at the local level while retaining its authoritarian features at the national level. Hai identifies six independent variables—inequality, corruption, governance, human rights, rule of law, and social capital—that shaped grass-roots democracy in Vietnam. Hai applies his conceptual framework to three provincial case studies where he conducted fieldwork. Hai finds that there was considerable variance in his case studies—grass-roots democracy succeeded in Đà N ng, achieved some success in Thá i Bì nh, and was least successful in H ng Yê n. What accounts for this variance? Hai identifies three important interrelated variables—development, leadership, and vibrant civic networks. xii ● Foreword

Hai also finds that the process of implementing grass-roots democracy was highly contextual and, more importantly, reveals important insights into the functioning of Vietnam’s one-party state, state-society relations, and cadre-peasant relations in the countryside. Hai concludes that grass-roots democracy created a mutually empowering mecha- nism for both the state and the peasantry. Grass-roots democracy empowered the state because it restored stability in the countryside and thus bolstered the state’s legitimacy. Equally important, grass-roots democracy encouraged the peasants to raise their concerns and hold local officials accountable. This altered the traditional relationship between state and society from a top-down direction to an interactive relationship between state cadres and peasants. In other words, grass-roots democracy succeeded in reducing structural tensions between the state and society at the local level. Hai’s detailed analysis of domestic politics in Vietnam sheds important insight on the durability of revolutionary regimes. He argues that it is possible for Vietnam to undergo a nonviolent democratic transformation in the future. This book will appeal to comparative politics specialists as well as China country specialists who study gov- ernment reforms at the local level in China. Political Dynamics of Grassroots Democracy in Vietnam represents a major mile- stone in the study of politics in Vietnam. It is the first book on domestic Vietnamese politics to be published by a scholar resident in Vietnam and by a major publisher outside Vietnam. The book is academically sophisticated and rich in empirical detail, and makes an original and constructive contribution to the general field of democ- ratization theory and political change in Vietnam in particular. This work will be the foundation for all future studies on political change in Vietnam and will set the benchmark for Vietnam country specialists carrying out fieldwork at the local level. Carlyle A. Thayer Canberra, Australia June 2015 Acknowledgments

his book is drawn on my doctoral thesis, which could have never been com- pleted without the support and kind assistance of many people from various T backgrounds and institutions. I owe all these people a great debt of gratitude. Although my special thanks go to specific individuals, I am equally grateful to many others whose names are not mentioned here. First, I would like to express sincere thanks to my former academic supervisors: Dr. Melissa Curley, who traveled with me along the way and provided myriad valu- able inputs and guidance at every stage of this research, and Associate Professor David Martin Jones, for his guidance on democratic theories and political regimes, includ- ing timely advice on the Chinese regime’s adaptation tactics for survival as a good source of reference for the case of Vietnam. My special thanks go to Dr. Charles Knight at Macquarie University. He tirelessly and patiently proofread every draft of my thesis. I really enjoyed his friendship. Within my personal circle, I wish to thank my mother and mother-in-law for their moral support, and my father and father-in-law, who could not stay in this life until they could see the completion of my doctorate and the coming into life of the first book I have written. Above all, my beloved wife and sons were a great source of inspiration for me to complete the doctoral journey. My wife, Huong Mai Hoang, while voluntarily taking the role of a time keeper and work reminder everyday, had to bear the most difficulties when she had to leave everything and her big and sup- portive family behind to come to Australia to take care of our sons, in order for me to concentrate on my studies. My sons, Minh Hoang Nguyen and Duy Hoang Minh Nguyen, made my student life less boring and stressful as I had to take them frequently to beaches, mountains, and parks for relaxation. They were so cheerful when I completed my doctorate. My wife and sons are the driving force that has led me through my scholarly pursuits. Therefore, this book is particularly dedicated to my wife and sons. The University of Queensland provided a scholarship for the three and a half years of my studies, while the School of Political Science and International Studies provided a supplementary research grant for fieldwork. I wish to thank these institutions. I also wish to thank my Vietnamese friends for their invaluable assistance in arrang- ing my interviews with the local communities, Vietnamese scholars, and high-ranking officials for kindly having conversations with me and sharing their thoughts on the xiv ● Acknowledgments

Vietnamese polity. Their views in this regard were invaluable inputs for my research. Words of special thanks must also go to all the villagers, peasants, and residents in three provinces, Th á i B ì nh, H ng Y ê n and Đà N ng, for their kind responses to my questions. These people’s lives provided the core of my research and this book. Last but not least, I wish to express my special thanks to three people who gave me their kind support and assistance in completing the manuscript of this book. Emeritus Professor Carlyle A. Thayer at the University of New South Wales made invaluable comments on both the contents and formatting of the manuscript and kindly wrote the foreword to this book. Mr. Neville Anthony Feeney and Mrs. Pamela Joan Winter, my dearest neighbors and daily chatting partners, spent their well-deserved resting time to edit my English expression to make the manuscript readable. Any remaining linguistic errors and mistakes in this book should be considered my own. Abbreviations

BNC-TUTB Thá i B ì nh Provincial Party Commission for Internal Affairs CI Confidence interval CISB Community Investment Supervision Board CPC Communist Party of China CPV Communist Party of Vietnam CPVMMC Communist Party of Vietnam Mass Mobilization Commission CTHADS-TB Thá i B ì nh Administration of Civil Penalty Enforcement CPVCPE Communist Party of Vietnam Commission for Propaganda and Education CPE- Đ N Committee for Propaganda and Education of Đà N ng Municipal Party Committee DOLISA- ĐN Đà N ng Department of Labor, Invalids and Social Affairs DPI- Đ N Đà N ng Department of Planning and Investment DPI-TB Th á i B ình Provincial Department of Planning and Investment DPS- Đ N Đà N ng Department of Public Security ECNA Economic Committee of the Vietnamese National Assembly FDI Foreign direct investment FEI Foreign Economic Information Joint-Stock Company of H ng Y ê n FF- Đ N Đ à N ng Fatherland Front FH Freedom House GRD Grass-Roots democracy GDP gross domestic product GoIV Government Inspectorate of Vietnam GoV Government of Vietnam GoVO Government office HCMYU H Ch í Minh Communist Youth Union H Đ ND- Đ N Đà N ng Municipal People’s Council H Đ ND-HY H ng Y ê n Provincial People’s Council H Đ ND-VG V ă n Giang District People’s Council HKH- Đ N Đà N ng Association for Learning Promotion IS Institute of Sociology (under the Vietnam Academy of Social Sciences) xvi ● Abbreviations

MOF Ministry of Finance MTTQ-TB Th ái B ì nh Provincial Fatherland Front NPAA National Public Administration Academy PAPI The Vietnam Provincial Governance and Public Administration Performance Index (PAPI is a policy tool that monitors and measures the performance of governance and public administration (including public service delivery) in all 63 provinces in Vietnam based on citi- zens’ experiences and perceptions. It is jointly developed by the CPV- led Vietnam Fatherland Front (VFF), the Centre for Community Support and Development Studies (CECODES), and the United Nations Development Programme (UNDP) in Vietnam.) PAR Public Administration Reform PAR INDEX Public Administration Reform Index (PAR Index is a tool consisting of a set of indicators to monitor and measure administration reforms in different areas, including institutional reform, organizational reform, personnel quality improvement and reform, public adminis- tration reform, and administration modernization.) PC- Đ N Đà N ng Municipal People’s Court PCI The Provincial Competitiveness Index (PCI was developed in 2005 by the Vietnamese Chamber of Commerce and Industry (VCCI) and the US Agency for International Development (USAID). The PCI has come to be seen as a critical tool for measur- ing and assessing the standards of economic governance in Vietnam’s 63 provinces from the perspective of private sector businesses, covering business-critical issues of entry costs, compliance costs, land access, informal charges, and governance qualities on proactivity, transpar- ency, labor development, and legal institutions.) PEII Provincial Economic Integration Index (PEII is an annual report compiled by the National Committee on Economic Cooperation of Vietnam. The main goal of PEII is to identify the capacity for eco- nomic integration of each province or city. The report includes surveys of the opinions of local residents and enterprises. It also addresses the impact of integration on the social welfare of people, and businesses’ abilities to develop enterprises.) PIB People’s Inspection Board PM Prime minister RFA Radio of Free Asia RWB Reporters Without Borders SCNA Standing Committee of the National Assembly DoHA- Đ N Đà N ng Department of Home Affairs SO- Đ N Statistics Office of Đà N ng TI International transparency TU Đ N Đà N ng Municipal Party Committee TUHY H ng Y ê n Provincial Party Committee TUTB Th á i B ì nh Provincial Party Committee Abbreviations ● xvii

TT-TB Thá i B ì nh Provincial Inspectorate UBBC- Đ N Đà N ng Municipal Electoral Commission UBKT-TB Th á i B ình Provincial Party Commission for Inspection UBND- Đ N Đà N ng Municipal People’s Committee UNDP United Nations Development Programme VCCI Vietnam Chamber of Commerce and Industry VFF Vi t Nam Fatherland Front VFU Vi t Nam Farmers’ Union VND Vietnamese Currency Unit (known as Đ ng ) VPTDTW Central Office for Admission of Citizen Complaints and Denunciations VVA Vi t Nam Veterans’ Association VWU Vi t Nam Women’s Union WB World Bank WJP World Justice Project (WJP was initially founded in 2006 as a presi- dential initiative of the American Bar Association (ABA). In 2010, it was turned into an independent and nonprofit organization, which develops communities of opportunity and equity by advancing the rule of law worldwide. AJP engages leaders in countries across the globe and from all work disciplines to advance the rule of law. For further details about WJP, visit: www.worldjusticeproject.org) WU- ĐN Đà N ng Municipal Women’s Union Name Conventions

s far as possible, Vietnamese names are spelled in full. This happens in most situations in which Vietnamese names are used because they are very often A mentioned in this book. Where it is necessary to repeat a person’s name, or when a person needs to be addressed, his or her given name rather than the family name is used, in keeping with the Vietnamese practice of addressing people by first names. An exception is made with H Ch í Minh, who is addressed by his full name as a sign of respect. Names of frequently cited sources are abbreviated. As far as possible, Vietnamese names and terms are spelled with their diacritics and tone marks. Exceptions are when they are not used in the original text that I quote.