Overview
States are tasked with evaluating their current situation against existing laws and constitutional provisions to address urgent issues impacting national security and development However, stringent legal requirements can hinder citizens from expressing their views to government agencies To promote effective governance and democracy, state officials must develop reasonable regulations while minimizing barriers between citizens and the government Public policy advocacy has emerged as a vital mechanism in many countries, facilitating communication and engagement in the policy-making process This advocacy, conducted by individuals or organizations, aims to influence policy formulation and modification for the benefit of the community Despite potential negative consequences, the growing importance of public policy advocacy in political life is undeniable.
Public policy advocacy in Vietnam is limited compared to other countries, primarily due to the dominance of the Communist Party, which is the sole political entity in power As a result, most significant decisions are made exclusively by the Party, hindering broader public participation in the policymaking process.
In Vietnam, the National Assembly, composed of nearly 80% Communist Party members, serves as the institutional framework for implementing the Party's policy decisions Unlike in developed countries where public policy advocacy occurs within the parliamentary lobby, advocacy in Vietnam is conducted through the Party lobby, reflecting the unique political structure of the nation.
In modern international politics, various political institutions and power organization models lead to differing impacts of policy advocacy on regulation across countries However, a commonality exists: in nations where advocacy plays a role in the public policy process and is supported by a legal framework, policymaking tends to be more transparent This openness results in greater access to information, enhancing the quality of public policies Consequently, policy decisions are often more accurate, grounded in comprehensive, multi-dimensional information that has been thoroughly analyzed.
To reduce barriers between the State and citizens in exercising public power, Vietnam is developing a public policy advocacy mechanism, which is crucial for its growth While policy advocacy in Vietnam is still limited in theory and practice, it is gaining recognition Current public policies have addressed various social issues, yet significant limitations and shortcomings remain in the policymaking process and the quality of these policies This highlights the need for research into the role of the public sector in developed capitalist countries to identify valuable lessons for Vietnam Therefore, studying and referencing experiences from these nations is essential for improving Vietnam's public policy framework.
According to John Hopkins University (Johns Hopkins University Center for Civil Studies, 2011), which the process of public policy advocacy includes the following steps:
1.Analysis of policy issues; 2 Formulating policy advocacy strategy; 3 Build alliances, deliver policy advocacy messages; 4 Coordinate policy advocacy action; 5 Evaluation of campaign results; 6 Track policy results
This thesis systematically addresses key aspects of public policy advocacy, including its definition, objectives, necessity, and framework It provides a comprehensive evaluation of public policy advocacy and examines its current state in Vietnam through specific case analyses The study identifies challenges faced in advocacy activities within the country and proposes solutions based on the experiences of developed nations to enhance public policy advocacy in Vietnam.
Research objectives and questions
This research explores the fundamental aspects of public policy advocacy and underscores the necessity of a legal framework for its effectiveness It examines the current landscape of public policy advocacy in the United States and France, focusing on the legal dimensions, while also providing an overall evaluation of public policy advocacy in Vietnam Based on these insights, the author presents recommendations to enhance public policy advocacy in Vietnam.
- Is public policy advocacy indispensable and if so, how should the State behave to promote positive effect and controlling its negative influence of policy advocacy?
Vietnam can leverage the experiences of developed countries in establishing a robust legal framework and enhancing public policy advocacy By examining the specific characteristics of political institutions and the policy-making process in these nations, Vietnam can identify effective strategies for improving governance and public engagement Key lessons include the importance of transparency, stakeholder involvement, and adaptive policy responses, which can significantly strengthen Vietnam's approach to public policy development.
Research scope
This thesis examines policy advocacy activities specifically in the United States and France, while also exploring the concept and expression of policy advocacy in contemporary Vietnam By analyzing these elements, the study aims to draw insightful conclusions regarding policy advocacy practices.
US, and France, find suggestions for Vietnam.
Methodology
This study employs an inductive approach to analyze Party documents and State laws, aiming to clarify key issues surrounding public policy advocacy Additionally, it incorporates practical analysis and evaluation to identify emerging trends in policy advocacy within Vietnam.
This article explores the themes and patterns of policy advocacy in Vietnam, analyzing specific expressions to draw generalized conclusions By employing a comparative approach, it examines the manifestations of advocacy within the unique political contexts of various countries, highlighting both similarities and differences to provide insightful and well-rounded assessments of policy advocacy practices.
Research structure
In addition to the introduction, conclusion, list of references, the thesis has 3 chapters and 10 sections
LITERATURE REVIEW ON PUBLIC POLICY ADVOCACY
Literature review
- The research works on theoretical issues
Lobbying is defined as the act of individuals or interest groups exerting pressure on the government to align its actions with their interests (Wasserman, 1997) This process often involves former MPs or individuals with relevant expertise and political experience who maintain connections with policymakers Additionally, lobbying encompasses both direct and indirect interactions between organized groups and public officials, aiming to influence the formulation and execution of public policies (Mulcahy, 2015).
The California Law Review article "Contracts: Illegality: Lobbying" (1927) highlights that Clause 35 of Article IV of the California Constitution defines lobbying as the act of influencing a parliamentary vote through bribery, gifts, threats, or other dishonest methods Furthermore, Article 89 of the California Penal Code categorizes lobbying as a criminal offense, prescribing a prison sentence ranging from 6 months to 5 years for those engaged in such activities.
Particularly, Luxon (2012) derives from the conclusion of an earlier study that lobbying can exist in many different forms and the most important form is
―information advocacy‖ which is understood as ―persuading policymakers to take concrete action through strategic terms of information to influence debate or policy adoption‖ (Luxon, 2012)
Hunter and Wilson (1991), considers interest groups as the main actors of the political struggle and divides interest groups involved in the political struggle in the US into 15
6 large groups based on the interests that these groups represent includes the agricultural production group; cultural activities group; economic development group; financial, insurance and real estate groups; etc
Bennedsen and E Feldmann (2002) emphasize the role of interest groups in advocating specifically to the legislative branch, viewing legislators as primary targets for policy advocacy In contrast, Ainsworth (1997) highlights that while interest groups also focus on the executive branch, legislators are crucial in shaping the decisions of these groups to effectively influence policy and achieve their objectives.
This collection of studies explores various aspects of public policy and advocacy, including the conceptual foundations of public policy, the nature of policy advocacy, and the specific objects of advocacy efforts It also examines the diverse forms, methods, and means of advocacy, as well as the environmental factors and influences that impact policy advocacy Additionally, the studies analyze the outcomes and effects of policy advocacy initiatives.
- About public policy advocacy in the developed countries, there are the following works
Holman and Luneburg (2012) examine advocacy regulations across different countries, with a particular emphasis on the self-regulation model for advocacy in the UK Zetter (2008) dedicates a chapter to exploring broader issues within the campaign context, detailing activities of various organizations in the UK, including the Scottish Parliament, the Parliament of Wales, the Parliament of Northern Ireland, the British Government, local governments, and associated associations, as well as the Legislature and judiciary.
In 2015, Vymětal conducted an in-depth comparative study of advocacy regulations, offering valuable classifications based on various criteria This research highlights the regulatory frameworks for advocacy in several European countries Notably, France introduced a Code of Conduct for Policy Advocacy in its Senate and House of Representatives in 2009, while the UK established its own advocacy law, showcasing the diverse approaches to advocacy regulation across Europe.
Transparency in Policy Advocacy, Non-Party Campaigning and the Law on Trade Union Administration in 2014
In a comparative study summarized by Presthus (1974), it is highlighted that, despite varying political cultures and institutional structures in the US and Canada, interest groups significantly contribute to public policy advocacy These groups serve as vital links between public power actors and other social entities across North America, indicating that such factors influence advocacy practices in the region.
Hunter and Wilson (1991) made an elaborate study of public policy advocacy practice in the United States
The works in this group focus on the following: laws or regulations on advocacy, works that refer to the practice of policy advocacy in developed countries
- The studies refer to recommendations and solutions to promote the positive aspect as well as the effectiveness of public policy advocacy
There are not many works discussing this issue, of which 3 main works by Luxon
Unregulated policy advocacy, as highlighted by Mulcahy (2015), Marsteller (2013), and others, poses significant risks, leading to negative influences when subjected to public scrutiny The absence of a robust ethical divide between the public sector and campaigners can result in decisions driven by personal rather than public interests This misalignment can lead to severe social repercussions, including environmental degradation, financial system failures, human rights violations, and threats to public health and safety.
- Group of research works on public policy and advocacy in Vietnam
Vu Xuan Tien (2008) defines policy advocacy as the act of promoting, explaining, and motivating individuals to research, draft, and implement policies that align with the legitimate aspirations of advocates The article identifies and analyzes five key challenges that represent significant obstacles in this process.
In Vietnam, there are eight critical issues that need to be addressed for effective policy advocacy: first, the legal foundation for policy advocacy is insufficient; second, public and business community consultations on legal documents lack thoroughness; third, agencies responsible for drafting economic and social policies often lack objectivity in their processes; fourth, the legal framework for receiving and addressing diverse opinions is incomplete and unclear; and fifth, the current approach to policy advocacy through public and business consultations is becoming increasingly unfeasible for the future.
Vu Thi Nhai (2009) emphasizes the necessity of establishing a fundamental legal framework to support business advocacy activities This framework should address three key aspects: the legal and practical foundations provided by businesses and economic associations, the crucial role of advisory agencies, and the importance of formulating effective recommendations.
Nguyen Huu De (2014) examines the influence of interest groups on policy-making in Vietnam, highlighting both positive and negative effects The author identifies the beneficial impacts of these groups, which include economic, political, and social advancements However, De also warns of three significant negative consequences: the rise of monopolistic and manipulative interests, inequality among interest groups—particularly between powerful and marginalized entities—and the potential for illegal practices, such as bribery, to influence decision-makers.
Dao and Vu (2015) present a comprehensive collection of 17 essays from global and Vietnamese public policy advocacy experts, showcased at a seminar of the same name These articles delve into key aspects of public policy advocacy, covering its definition, foundational principles, nature, and stakeholders, as well as the advantages and disadvantages associated with it The work highlights the history and characteristics of lobbying in the Soviet Union and contemporary Russia, alongside practices in Vietnam, ultimately offering insightful recommendations This compilation stands out as a significant and focused study on public policy advocacy.
Advocacy practices and experiences vary across different countries, including Vietnam, where public policy advocacy is addressed in legal frameworks However, the insights shared in seminars often lack depth and persuasiveness, highlighting the need for more comprehensive discussions on the subject.
A research group in Vietnam has provided a comprehensive analysis of public policy issues and advocacy, highlighting the shortcomings in current practices due to the unique political system and various conditions The study identifies the foundations of policy advocacy in Vietnam and explores its manifestations, including the roles of non-governmental organizations, the advocacy efforts of Vietnamese enterprises, and government initiatives both domestically and abroad Based on these insights, the group has proposed several solutions to enhance active public policy advocacy in the country.
Public policy advocacy concept and basis
In political life, individuals and societal actors often seek to influence state policy to ensure that these policies are advantageous or, at the very least, not detrimental to their interests This necessity underscores the significance of policy advocacy Definitions of policy advocacy can be categorized into distinct groups.
Advocacy for public policy involves utilizing various strategies to influence the policy-making process, aiming to drive changes that align with the interests of the advocacy group.
Public policy advocacy involves activities that influence policy-making and is regulated by specific guidelines It encompasses various nonprofit organizations dedicated to shaping public information, policies, and programs, as well as promoting social and political change (Reid, 2000) This approach highlights the essential role of nonprofits in advocating for meaningful reforms.
Advocacy is also defined as active, covert, or unintentional support for a particular policy or group of policies (Lackey, 2007)
Advocacy is a political process undertaken by individuals or groups to influence decision-making and resource allocation within political institutions or systems This definition highlights the broader context in which advocacy operates, emphasizing its role in shaping policies and outcomes.
12 addition to pointing out the purpose of advocacy is to influence policy decisions, also including the allocation of resources in certain conditions
Policy advocacy aims to influence state agencies by promoting solutions and resources to address specific interests through effective policies (Dao & Vu, 2015) This approach highlights the primary goal of advocacy: to modify particular interests by shaping and changing policy outcomes.
Public policy advocacy is a process that influences governments and government agencies by providing information on the public policy agenda (Zetter, 2008) This concept emphasizes how to conduct advocacy
Advocacy involves efforts to influence public policy through various means, such as sharing information, engaging with decision-makers, and expressing a commitment to policy change, all aimed at achieving the desired outcomes in legislation and governance.
The second group approaches public policy advocacy as a positive activity with the meaning of making the policy process more transparent and effective:
Policy advocacy is the action of solving a problem that causes difficulties, contradictions or impedes the socio-economic development of a country (Casey,
2011) Policy advocacy is a systematic effort to influence decision-makers to create policies that are more suitable with practical conditions
Advocacy involves generating support and building consensus around a specific issue through a coordinated system of actions It requires careful planning and organization by a collective of individuals or organizations working collaboratively to create a conducive atmosphere and supportive environment for addressing the identified problem.
According to this group, advocacy in the most common sense is understood as the process of influencing policymakers, decision-makers to create a more appropriate, transparent and effective policy
Another group saw public policy advocacy as an activity with many negative signs:
Advocacy is perceived as the means by which groups deemed to have negative influence use to challenge and change the laws, policies and governing systems
Advocacy is sometimes perceived as a disruptive force attempting to infiltrate the National Assembly's departments and corridors for manipulation This perspective is reinforced by numerous scandals involving parliamentarians in various countries, which have surfaced due to policy advocacy activities (Dao & Vu, 2015).
Regardless of the approach, public policy advocacy has the following basic characteristics:
Firstly, public policy advocacy is the process of influencing and influencing policy processes through different modes and means to change policies in a favorable direction for the advocator
Advocacy subjects can be individuals or organizations, either hiring others to campaign or being directly involved in the campaign themselves While these roles can sometimes overlap, a growing trend sees actors preferring to hire external companies or individuals for their advocacy efforts To be effective in policy advocacy, these actors must possess certain strengths, such as financial resources, relationships, information, and expertise.
The target of advocacy can include individuals, agencies, or organizations capable of influencing policy decisions This may encompass government officials, parliamentarians, and expert policy committees, as well as professional advisory organizations and other institutions with the potential to effect policy change.
Advocacy involves strategic actions that require a clear understanding of the policy changes desired, the methods for implementing these changes, the intended impact, and the target audience By thoroughly addressing these critical questions, advocates can significantly enhance the effectiveness and success of their campaigns.
In this thesis, the author adopts a unified perspective on lobbying and policy advocacy, defining public policy advocacy as a systematic and intentional effort by political actors to influence the decisions of relevant authorities This influence aims to modify policies in a manner that is more advantageous to these actors, contingent upon specific circumstances.
Purpose of public policy advocacy
Advocacy, whether formal or informal, plays a crucial role in influencing decision-makers by providing them with comprehensive information, evidence, and community opinions Although it is not a mandatory part of the policy-making process, advocacy significantly impacts decisions that benefit society and interest groups This behind-the-scenes activity complements the decision-making stages by ensuring that the voices of voters and stakeholders are heard Policy advocacy involves efforts by individuals or organizations to sway state agencies in a direction that serves their interests or the public good, aiming to secure valuable government policies, contracts, and projects for their groups.
Policy advocacy serves as a vital link between policymakers and beneficiaries directly affected by policies It involves conveying the desires and aspirations of specific interest groups or corporations to decision-makers By addressing issues, problems, and shortcomings in existing policies, advocacy facilitates communication with policymakers, leading to potential changes that remove barriers and enhance the functioning of both the state and its citizens.
The primary goal of advocacy is to influence policy decisions made by state officials and relevant agencies To accomplish this, policy advocacy can engage at every stage of the policy process.
Advocacy plays a crucial role in persuading policymakers to prioritize specific issues on the national agenda while also working to prevent other issues from gaining policy attention.
Advocacy plays a crucial role in shaping the policy discussion stage, guiding the formulation of policy options and identifying optimal solutions once the policy has been placed on the agenda and is being debated in the National Assembly.
Advocacy plays a crucial role in the policy decision-making process by facilitating the enactment of essential legal procedures needed for formal policy approval Conversely, it can also hinder or postpone the adoption of policies that may be detrimental to the interests of the advocating entity.
Policy advocacy plays a crucial role in the implementation phase, ensuring that the process aligns with the intended goals and benefits the involved stakeholders At times, advocacy efforts may also aim to hinder policy execution or influence the process to serve the interests of the advocates, potentially diverting it from its original objectives.
Advocacy plays a crucial role in the public policy process by providing essential information and analysis that benefits advocacy groups and persuades decision-makers to develop and implement effective policies Its primary goal is to deliver relevant information and documents to key state officials and politicians, thereby influencing policy-making and decisions that positively impact society and specific interest groups While advocacy is present throughout the policy process, it is particularly vital in the early stages.
Advocacy plays a crucial role in influencing policy changes, focusing on specific outcomes that benefit stakeholders Initially, when a policy is not yet enacted, advocacy efforts should concentrate on drafting and promoting new policies Once a policy is established, the focus shifts to fostering a supportive environment and ensuring effective implementation across all levels Over time, as policies are implemented, it becomes essential to advocate for adjustments and enhancements to align them more closely with real-life needs, or even to propose their termination if necessary.
The Necessity of Legal framework for Public Policy Advocacy
Legal framework for advocacy is needed in democratic institutions:
Laws must be adapted to address emerging phenomena that arise as necessities or irresistible trends To prevent these trends from evolving into societal issues, it is essential to establish regulations that govern them effectively.
Lobbying is often viewed as illegal in Vietnam due to its potential role in fostering policy corruption, which is perceived as occurring 'under the table.' This form of corruption has clear and significant impacts, yet it remains challenging to identify Dr Nguyen Si Dung's book, "Discussing the National Assembly" (2017), highlights two primary reasons for this difficulty: first, policymaking is inherently political, with differing perspectives on the same policy, and second, the consequences of policies are hard to predict initially There is a notable lack of capacity to analyze and assess policy impacts within Vietnam's legislative and policy-making processes.
To effectively combat policy corruption, it is essential to promote transparency and accountability within the policy-making process This begins with the understanding that policies should address significant national issues rather than serve the interests of decision-makers Implementing tools to identify problems and establish priorities is crucial for effective problem-solving.
The framework aims to enhance transparency in government decision-making by encompassing all forms of lobbying related to public policy, recognizing advocacy as a legitimate and essential component of democracy It acknowledges the involvement of various social actors, including civil society and individuals beyond professional lobbyists, in influencing public officials Consequently, advocacy regulations should focus on promoting accountability and transparency, reflecting lobbying's rightful place in public discourse.
Lobbying regulation is essential for ensuring that advocacy influences public decision-making in a transparent manner These regulations establish specific rules that lobbyists must follow when engaging with public officials, ultimately enhancing transparency and accountability Without such regulations, democratic values and good governance are at risk It's important to clarify that the proposed lobbying regulations are not related to corruption; rather, they aim to bolster public confidence in political systems By increasing individual awareness of the decision-making process and the various influences involved, these regulations can help legitimize the political system, reduce public distrust, and lay the groundwork for greater civic engagement.
18 participation in public life and decision-making It is worth considering that civil society organizations have also fought to improve lobbying openness
Lobbying regulations may also help to level the playing field for all parties involved
Increased transparency in lobbying activities empowers citizens, stakeholders, politicians, and civil employees to understand the public policy development process and the dynamics of lobbying relationships This heightened awareness will enhance accountability among politicians.
The primary aim of advocacy regulations is to enhance transparency in lobbying activities, ensuring they occur in a more open manner rather than "behind closed doors." This transparency allows the public to track lobbyists' interactions with public officials and their involvement in decision-making processes, thereby clearly identifying all interests that influence outcomes By promoting transparency, the regulations help prevent misconduct and combat corruption, ultimately making public officials more accountable to citizens One significant indirect benefit of increased transparency is the improvement of democratic quality of life, as it fosters equal access to decision-making processes Engaged citizens are more likely to view government institutions as legitimate.
The author considered it necessary to create a legal framework for policy advocacy, with the goal of making this activity transparent and limiting detrimental social repercussions (corruption)
The need of policy advocacy:
Policy planning and implementation arise from the information needs of policymakers, navigating the diverse and often conflicting interests present in modern societies Essentially, this process involves the redistribution of benefits through legal mechanisms, a primary responsibility of parliamentarians The policies enacted by parliament focus on public goods, and while they aim to serve the community, they can sometimes disproportionately benefit specific individuals.
Individuals with shared interests often come together to form pressure groups that aim to influence parliamentary policymaking, particularly when their interests may be adversely affected Policy decisions reflect the actions taken or not taken regarding specific issues.
Campaigners play a crucial role in influencing parliamentary behavior, acting as key catalysts in the policy-making process The close relationship between policymakers and beneficiaries drives the need for policy advocacy activities Typically, policies and social plans are formulated based on the insights of legal experts and influential societal members However, the diverse interests, rights, economic and political statuses, as well as gender and ethnic differences, mean that not all population groups benefit equally from these policies While some groups reap significant advantages, others may experience negative impacts Consequently, various interest groups actively lobby policymakers to establish favorable norms, conditional incentives, or more effective legislative solutions that balance their benefits against potential drawbacks.
Policy advocacy is essential for empowering citizens to effectively engage in the policy process While democratic institutions guarantee citizens' rights through the Constitution, many individuals lack the means to fully exercise these rights due to insufficient mechanisms for participation Often, citizens face barriers in accessing competent authorities to voice their opinions, leading them to rely on informal channels through intermediaries This highlights the necessity of policy advocacy as a vital link between the public and the government Furthermore, advocacy fosters a democratic environment that encourages open debate and facilitates connections between non-governmental actors and governmental bodies, enhancing the process of information exchange and response Additionally, the competition among social development priorities underscores the importance of advocacy in shaping effective policies.
20 with each other, especially in the context of limited national resources Therefore, policy advocacy is necessary to establish and select priorities
Advocacy plays a crucial role in consolidating the power of ruling actors, fostering a symbiotic relationship between policy advocates and government authorities While tensions may arise, advocates rely on beneficial policies for their clients, necessitating collaboration with public actors who seek relevant information to inform the policy-making process Policy advocates control vital information sources, offering insights on issues that public authorities may address, while government entities often lack the resources to gather such data independently This dependence on advocates allows public actors to propose solutions, draft legislation, and influence decision-making effectively As public agencies respond to various pressures, their collaboration with campaigners not only strengthens their position but also enhances their public image, which is essential for future re-election efforts Consequently, public power actors are keen to cultivate strong relationships with these experts.
PUBLIC POLICY ADVOCACY IN FRANCE AND IN THE US
Laws on advocacy in the US
The basis for the establishment of the public policy advocacy activities stems from the
The US Constitution safeguards the right of individuals to peacefully assemble and petition the government for redress of grievances, as outlined in the First Amendment This amendment ensures personal freedoms, including religion, speech, press, and assembly, while establishing legal protections for advocacy within the country.
"petitioning to the government to correct any wrongdoing" This provision is very important for policy advocates
The first act to be applied to advocacy was the Federal Regulation of Lobbying Act of
The 1946 Act mandates that organizations and individuals involved in advocacy must register with the Secretaries of the House and Senate, provide detailed financial disclosures, and submit quarterly reports on their advocacy activities.
The Lobbying Disclosure Act of 1995 regulates lobbying activities within and outside the United States, offering more detailed provisions compared to the 1946 law.
Lobbying activities encompass a range of strategic actions, including planning, researching, and coordinating advocacy efforts These activities involve purposeful communication, either written or verbal, with legislative or executive officials on behalf of a client The primary goal is to influence the establishment, modification, or adoption of federal laws, rules, and government policies, as well as to shape federal programs and initiatives.
24 enforcement management; nominate or confirm individuals to relevant positions within the jurisdiction of the Senate
Advocacy activists are mandated to register within 45 days of initiating their first campaign or being hired for one This registration must be completed with both the Secretary of the Senate and the Secretary of the House of Representatives Furthermore, it is essential to disclose information about clients, contacts, advocacy issues, and compensation related to the campaign.
To enhance transparency and integrity in governance, it is essential to implement restrictions on policy advocates by prohibiting Senators and their office staff from accepting gifts or entertainment exceeding $100 per person annually, as well as from participating in privately-funded trips and entertainment activities.
The law mandates that advocates report biannually to the state on the financial support they receive from companies, detailing the amounts, benefits received, and their clients It defines a policy advocate as anyone compensated for lobbying lawmakers and government officials who dedicates at least 20% of their time to client representation over six months Additionally, both professional and non-professional advocates, including those engaging with lower-level congressional or state employees, must register; failure to comply can result in fines of up to $50,000.
The Honest Leadership and Open Government Act of 2007 enhances regulations on gifts for Members of Parliament (MPs), prohibiting gifts valued at $20 or more, including air tickets and holiday trips from organizations or individuals It mandates that policy advocates must consistently detail and publish their activities in the official gazette Additionally, the Act imposes criminal penalties of up to five years in prison for violations.
The Lobbying Disclosure Act Guidance (2008) enforces strict penalties, including fines of up to $200,000 and potential jail sentences of up to five years, for advocates who do not adhere to the required registration and public reporting protocols.
In addition, related to policy advocacy activities are the Internal Revenue Code (IRC) and the Foreign Agents Registration Act (1938 - FARA) This law provides for
Twenty-five individuals and organizations representing foreign governments are required to register if they engage in activities such as disseminating political propaganda or influencing American public opinion This includes collaboration with U.S government agencies and officials, as well as members of Congress, in planning or altering domestic and foreign policies.
The advocacy policy system in the United States is well-developed at both federal and state levels, with most states implementing their own advocacy laws The effectiveness of federal advocacy regulations is closely linked to the establishment and evolution of similar systems within individual states.
Laws on advocacy in France
In the lead-up to the French Revolution of 1789, advocacy groups emerged in France due to rapid capitalist development and British influence, leading to increased political engagement in the French Parliament However, the revolution prompted Jacobins to advocate for the elimination of corporate influence in public discourse, resulting in the Le Chapelier law of 1791, which barred interest groups from political participation This reflected the belief that the relationship between the state and citizens should be direct, devoid of private intermediaries, as echoed in Jean-Jacques Rousseau's warning about personal interests corrupting public policy Consequently, the French Constitution, particularly Article 3 of the 1958 version, emphasizes that national sovereignty resides with the people, rejecting any laws favoring private interests Despite this historical context, the formation of the European Union later significantly influenced policy advocacy efforts in France.
Article 79 Procedural Law prohibits parliamentarians from using their positions or permitting the use of their positions other than exercising the MP's responsibilities
26 with specific penalties for noncompliance French parliamentarians are also prohibited from joining personal, local or professional interest groups or groups or making commitments to them in their Parliamentary activities
The French Transparency Organization has introduced a guide to calculate the cost of advocacy, intended to complement the Registration Law of the French Parliament, in collaboration with various companies This guide serves as a reference for all organizations and was developed with input from private sector partners, including professional federations, associations, NGOs, unions, and advisory organizations It establishes a common set of standards for advocacy budget reports in parliament and is continuously refined based on feedback and potential future regulatory changes.
The new lobbying regulation in France has been completely enforced since May 1,
In 2016, France adopted the Sapin II package, establishing a regulated framework for lobbying and a mandatory national register for lobbyists, known as 'le répertoire' This register, which all active interest representatives must join, was implemented on July 1, 2017, requiring them to declare their lobbying activities by April 30, 2018, after registering by January 1, 2018 The Haute Autorité pour la Transparence de la Vie Publique (HATVP) oversees this register, which currently has over 1,000 registrants The new law aims to enhance public accountability and transparency in decision-making processes, following a model similar to Ireland's, despite the cultural reluctance towards lobbying in France Prior to the HATVP's establishment in January 2014, only minor efforts were made to promote integrity and openness in national public institutions.
In January 2014, the Haute Autorité de la Transparence pour la Vie Publique (HATVP) was created to enhance financial transparency in public life, taking over from the previous commission with expanded powers and improved oversight capabilities.
It was created as an autonomous administrative entity with complete power to carry out a variety of functions, including: Avoiding conflicts of interests, Improving transparency in governance
The HATVP is an independent body comprised of nine members responsible for decision-making This includes six members from France's top administrative bodies and two members appointed by the speakers of both parliamentary chambers, following recommendations from relevant committees The president of the HATVP is selected by the President of the French Republic.
Jean-Louis Nadal, the former general prosecutor of the Court of Cassation, currently serves as the president of the High Authority To ensure impartiality, all members are appointed through a collegial vote and hold a six-year mandate that is both non-renewable and non-revocable Additionally, they are prohibited from receiving or soliciting orders or instructions from the government.
The law has been gradually implemented to facilitate compliance for those affected, requiring lobbying organizations to register with the French government since January 1, 2018 The initial statements detailing the previous year's activities must be submitted by April 30 The regulatory authority is responsible for addressing complaints and has the power to request documents through court orders or on-site inspections Non-compliance with legal requirements or failure to adhere to a HATVP order can result in penalties ranging from a €15,000 fine to a year in prison.
The regulation encompasses all lobbying organizations, excluding public agencies, and includes foreign entities and individuals compensated for representing interests and engaging in relevant activities.
Law No 2016-1691, commonly known as Loi Sapin II, was enacted on December 9, 2016, to enhance transparency, combat corruption, and modernize economic life in France This legislation builds upon the earlier anti-corruption law from 1993, introduced by then-Minister of Finance Michel Sapin Loi Sapin II mandates the implementation of various anti-corruption measures in financial and economic sectors, alongside increasing government decision-making transparency It establishes a legal framework to protect whistleblowers and requires mandatory lobby registration accompanied by a Code of Conduct Additionally, the law creates a new anti-corruption agency for enforcement and includes provisions in Title II that govern the transparency of interactions between interest groups and government officials, with detailed definitions of relevant activities and public officials outlined in an annex to a government decree.
Influencing public decisions, particularly in legislation or regulation, involves direct contact with public officials initiated by interest representation Such activities must be documented when conducted regularly or as a primary function, regardless of the organization's location Acceptable communication methods include meetings, phone or video calls, letters, emails, and other private electronic means Although opinion surveys, protests, and monitoring public decisions are not classified as covered activities, they must still be reported in annual registrant updates Registrants are obligated to declare their previous year's activities and complete an annual update, with potential suspension or removal from the register for non-compliance.
The Second Sapin Law was implemented to enhance lobbying regulations, addressing concerns over inadequate oversight Prior to the introduction of a mandatory lobbyist registration system on July 1, 2017, existing rules allowed for no such requirements Both the Upper and Lower houses of Parliament operated under a voluntary registration framework.
Registering with legislative registries offers significant advantages, primarily by allowing access to restricted areas of the Senate and National Assembly Currently, only a limited number of lobbyists seem to be registered under existing laws.
Some comments about the US and France‘s legal framework
Both the US and France share similarities in their lobbying regulations, requiring lobbyists to register with Congress and maintain accurate, up-to-date information Compliance with these regulations is essential for lobbyists and lobbying firms to operate legally Transparency in the decision-making process necessitates the disclosure of advocacy actions, and timely access to lobbying data is crucial for effective public oversight Most regulatory frameworks outline the specific information that public officials and lobbyists must make available to the public.
Registered lobbyists are required to keep their information up to date, including their own name, address, and phone number, as well as the names, addresses, and phone numbers of their clients They must also provide details about the issues they are lobbying on, identify the individuals, organizations, or legislative bodies they are engaging with, and disclose any compensation received or owed, along with any expenses incurred in the course of their advocacy efforts.
The following information must also be included in the reports: a Lobbying activities' subject
- the focus of lobbying contacts and communications (specifically, information of targeted areas of public policy or legislation)
- the interests represented or promoted
- the date and amount of each activity cost
- each beneficiary's name and position, as well as a description and an amount
If not the beneficiary, the name of the expense receiver
30 b The client's or employer's identity
Lobbyists are prohibited from providing meals, vacations, or entertainment to legislators and their staff, with noncompliance potentially leading to civil and criminal penalties.
There is currently no definitive research linking advocacy regulations to the practical development of this activity This suggests that without stringent regulations, policy advocacy can thrive similarly to the vibrant environment seen in the US Conversely, a lack of regulations allows for unrestricted advocacy activities Nonetheless, it is important to acknowledge that establishing more robust institutions for policy advocacy can effectively mitigate the negative impacts of such activities, while also enhancing the overall quality of public policy.
Why did the laws get issued?
Lobbying is an essential mechanism for effective governance, enabling governments to navigate the diverse interests of their citizens It provides individuals with direct access to government officials, serves as an educational resource, and empowers citizens to amplify their voices through collective action.
Lobbying is often misconstrued as bribery, but it is actually a legitimate practice where individuals or organizations advocate for specific public policy actions through legally registered campaigns Transparency is essential, as the public deserves to know who is lobbying on behalf of whom and for what purposes, making it easier to hold lobbyists accountable for their actions.
Lobbying remains essential despite the existing legal framework due to its significant advantages It consolidates personal interests into organized lobby groups, amplifying their voices and exerting consistent pressure on government legislators, who often have their attention diverted This ongoing influence ensures that important issues are addressed and considered in the legislative process.
31 provided with expert knowledge of a subject matter on which they may not be adequately educated to provide for their constituents
Lobbying regulations encompass both the implementation of specific rules and the creation of a lobbyist registry Transparency in influence-seeking assesses the public disclosure of intentions by top officials, the presence of a legislative footprint, and the identification of members within permanent advisory groups.
The Lobbying Disclosure Act (LDA) of 1995 was established by Congress to enhance the transparency and accessibility of the lobbying process for the American public This law requires all lobbyists engaging with the United States Congress to register with both the Clerk of the House of Representatives and the Secretary of the Senate However, mere registration has proven inadequate in preventing some lobbyists from exploiting the system, leading to widespread disdain for their practices.
In 1987, the Wedtech Scandal exposed how a small New York manufacturing company secured significant federal defense contracts through lobbying and bribery, involving legal firms that employed members of the House of Representatives The revelation led to prison sentences for two House members and highlighted the need for stricter lobbying regulations Consequently, Congress enacted the Lobbying Disclosure Act of 1995, which clarified lobbyist qualifications and enhanced transparency, enabling citizens to track lobbying expenditures by various sectors and interests.
Public disdain for lobbyists reached a high point in 2006 after Jack Abramoff, a lobbyist for the growing Indian casino industry, admitted to bribing Congressional members, leading to several convictions In response to this scandal, Congress enacted the Honest Leadership and Open Government Act (HLOGA) in 2007, significantly changing the regulations governing lobbyist interactions with lawmakers.
In France, the voluntary lobby registration system, established in 2009, required interest representatives to sign a register to visit Parliament, but public watchdogs criticized it for having an unrealistically low number of registered representatives This led to demands for a single, reliable register with mandatory registration In response to these concerns, a proposal for a mandatory registry for interest representatives was introduced in 2016.
To prevent unethical behavior in lobbying, the government enhances transparency in lobbyists' actions Various entities, including companies and advocacy groups, engage with Congress and the Executive Branch to influence public policy decisions To safeguard the interests of the general public, laws and ethical guidelines are established to restrict special interests from lobbying at their expense.
PUBLIC POLICY ADVOCACY IN VIETNAM
Concept of advocacy for public policy in Vietnam
Public policy advocacy in Vietnam differs significantly from that in many other countries due to the dominance of the Communist Party, which is the sole political entity in power Major policy decisions are primarily made by the Party, with the National Assembly—comprised of nearly 80% Communist Party members—serving to formalize these decisions Consequently, advocacy in Vietnam operates within a "party lobby" framework, contrasting sharply with the parliamentary "lobby" system prevalent in Western nations.
Research on policy advocacy is essential due to its recent and sensitive perceptions In recent years, collective efforts from various institutions, including those outside the state, have led to numerous seminars and exchanges at different scales There is a growing consensus that advocacy involves influencing policymakers and decision-makers to develop more integrated, transparent, and efficient policies.
The success of discussions and scientific seminars on policy advocacy in Vietnam not only unifies perceptions and concepts but also highlights the significance and necessity of advocacy efforts This analysis emphasizes two key points regarding the importance of these discussions.
Over the past thirty years of renovation, the planning and implementation of economic and social policies in our country have seen progress; however, significant limitations remain Many policies were not suitable at the time of issuance, leading to frequent revisions that resulted in a patchy and unsynchronized system Additionally, certain policies lack objectivity and transparency, particularly in areas such as land management, construction investment, and taxation Furthermore, some policies remain rigid, heavily influenced by centralized planning and bureaucracy (Dinh, 2019).
Subsidies often lag behind the evolving demands of life, particularly in areas such as labor management, salaries, wages, and social insurance for businesses These limitations render the implemented policies ineffective Given that socio-economic policies are broad in scope, a misguided policy can lead to significant repercussions, potentially rivaling the fallout from a national economic crisis.
Following Vietnam's accession to the World Trade Organization (WTO), a key commitment is to enhance transparency by publishing draft legal regulations from the National Assembly, its Standing Committee, and the Government This process allows for public feedback within a 60-day window, ensuring that all documents are made accessible to the public.
"Each individual enjoys expressing their thoughts, but the development and implementation of economic and social policies must not be delayed It is essential that these policies address the immediate needs of society effectively."
Policy advocacy is an essential aspect of political practice, even if it is not officially mandated As international economic integration progresses, the role of advocacy in shaping trade policies becomes increasingly significant While businesses and associations in many countries actively engage in these activities, Vietnam's involvement remains limited in both frequency and effectiveness This gap can be attributed to a lack of understanding among Vietnamese enterprises and associations regarding the importance and execution of policy advocacy To enhance Vietnam's participation in the global arena, it is crucial to grasp the rules of engagement and leverage them strategically Therefore, comprehensive studies on policy advocacy are necessary to determine its potential legalization in Vietnam and to ensure its effective utilization as the country integrates with others, particularly those where advocacy is a recognized practice.
Advocacy plays a crucial role in the policy-making process in the US and other Western nations It's important to recognize that advocacy should not be equated with bribery, despite the often thin line separating the two To engage in effective advocacy, a clear and formal legal framework is essential for proper understanding and implementation of these activities.
Expression of public policy advocacy in Vietnam
3.2.1 Regulations related to advocacy in Vietnam
In Vietnam, the legal framework supporting civil society organizations in advocacy is established through several key documents, including Law 102/SL 1957, which outlines the right to form associations, the amended Constitution of 1992, Directive 202/1990 from the Prime Minister, and Decree 88/2003 These legal instruments collectively affirm the rights and responsibilities of civil society organizations in their advocacy efforts.
Article 39 of the Law on Organization of the People's Councils and the People's Committees of 2003 provides for delegates of the People's Council: ―Must have close contact with the voters in their constituencies, subject to the supervision of the voters , has the responsibility to collect and truthfully reflect the voters' opinions, aspirations and recommendations; protect the legitimate rights and interests of voters; implement the regime of contact and at least once a year report to voters on their activities and of the People's Council, respond to requests and proposals of voters "
The Xth Congress of the Communist Party of Vietnam emphasized the importance of the State in establishing and updating laws that empower the Fatherland Front and other people's unions to effectively carry out their roles in social supervision and criticism (Vietnam Communist Party, 2006).
The 2013 Constitution of the Socialist Republic of Vietnam emphasizes citizens' rights in its chapter on human rights, basic rights, and obligations Article 28 outlines that citizens have the right to engage in state and societal management, participate in discussions, and provide recommendations to domestic agencies regarding local and national issues Furthermore, the State is responsible for creating favorable conditions for citizens to exercise these rights.
36 participate in state and social management; publicity and transparency in receiving and responding to citizens' opinions and recommendations "
The 2014 Law on Organization of the National Assembly and the 2015 Law on Organization of Local Governments emphasize the role of citizen delegates in gathering public opinions Article 28 of the 2014 law mandates National Assembly deputies to receive citizens, address complaints, and manage petitions effectively They are required to study these issues, forward them to the appropriate authorities, and keep complainants informed about the resolution process Additionally, the Vietnam Fatherland Front and other organizations have the right to comment on draft legal documents Citizens and organizations can also propose laws and resolutions to the National Assembly and its Standing Committee through various channels Furthermore, Party and Government documents stress the importance of social supervision and public consultation in governance, highlighted by the Central Committee's Decision No 217-QD/TW.
The issuance of Regulation 203 by the Vietnam Fatherland Front outlines the framework for social monitoring and criticism by mass organizations, emphasizing the importance of civic engagement in political and social matters Additionally, the 2007 Ordinance on implementing democracy at the commune, ward, and town levels aims to enhance participatory governance and empower local communities in decision-making processes.
Current legal provisions regarding policy advocacy activities are insufficient and do not effectively differentiate professional advocacy from negative practices like corruption and bribery Therefore, there is a pressing need to enhance the laws governing policy advocacy.
37 advocacy even if it does not aim to promote it will at least help control negative manifestations of policy advocacy as a practical need in Vietnam today
While the confirmation of public policy advocacy in Vietnam remains uncertain, there is a noticeable increase in advocacy activities and efforts aimed at promoting public policy in the country today.
3.2.2 Advocate for public policies by domestic and foreign actors in Vietnam
Vietnamese enterprises actively engage in policy advocacy, recognizing it as a legitimate necessity for their development The initial steps to enhance this advocacy began in 2007, despite the lack of a clear framework for such activities At a seminar, participants—including associations, entrepreneurs, managers, and researchers—unanimously agreed that "advocacy for public policy is a necessary job and must be considered reasonable."
The "Award Experience in Policy Advocacy of Business Associations" event, co-hosted by the Vietnam Competitiveness Initiative Project (VNCI) and the Ho Chi Minh City Young Business Association, highlights the significant impact of policy advocacy on Vietnam's political and economic landscape However, the organizers note that a comprehensive legal framework for such activities is still lacking.
In Vietnam, associations have emerged and evolved alongside the country's economic and political innovations over the years To safeguard their interests, these associations frequently employ various strategies.
(1) Have personal contacts with people with positions and powers in state agencies or have meetings with senior leaders of the State;
(2) Attend sessions of the Ethnic Council, Committees of the National Assembly;
(3) Working in appraisal groups of state agencies;
(4) Listen to reports on law projects and make recommendations, contribute ideas to participate in law projects;
(5) Impact through social opinion and mass media
Interest groups in Vietnam strive to protect their members' interests, but their mobilization and pressure on state agencies often remain passive, only reacting when their interests are threatened This can lead to conflicts between the interests of these groups and those of the broader community and national priorities To address this, businesses must adopt a proactive stance through lobbying and policy advocacy, ensuring that beneficial policies are quickly implemented for both businesses and the community However, management often struggles to keep pace with real-world challenges, resulting in delayed policy development and a reactive approach that leads to bans when issues arise, highlighting a persistent problem within the business sector.
The Vietnam Chamber of Commerce and Industry (VCCI) and various international Chambers of Commerce prioritize international trade policies, recognizing their crucial role in global commerce These organizations actively engage in advocacy through petitions, recommendations, and seminars, often inviting relevant government agencies to participate in discussions.
The Vietnam Chamber of Commerce and Industry (VCCI) effectively utilizes communication tools to influence policy-making They participate in the process by responding to requests from state agencies and initiating their own suggestions When state agencies draft relevant documents, they are required to send these drafts to VCCI, which then shares them with businesses and associations for feedback Many drafts cannot be issued without VCCI's comments, as this is a mandatory requirement for Vietnam's compliance as a member of the international community.
The Vietnam Chamber of Commerce and Industry (VCCI) develops advocacy plans that often include objective reports highlighting existing economic issues in Vietnam and offering recommendations to the government In collaboration with NGOs and international organizations, VCCI initiates specific advocacy programs aimed at integrating key policy changes Notable efforts include lobbying for Vietnam's participation in the Extractive Industries Transparency Initiative (EITI) and influencing the negotiation process of the Trans-Pacific Partnership (TPP).