VIETNAM ACADEMY OF SOCIAL SCIENCES
GRADUATE ACADEMY OF SOCIAL SCIENCES

LE VAN QUYEN

Court of the first instance of criminal
cases of the provincial People's Court in
Southeast Vietnam nowadays

Major: Criminal Law and Criminal Procedure
Major code: 62.38.01.04

ABSTRACTTHESIS LAW DOCTORAL THESIS

Ha Noi - 2017


. PERFECT
WORKS ARE
.

GRADUATE ACADEMY OF SOCIAL SCIENCES

SCIENTIFIC ADVISORS: 1. DR. Tran Thi Quang Vinh
2. DR. Nguyen Van Diep

The first Scientifi critic:
Associate Professor Ph.D Trần Văn Độ
The second Scientifi critic:
Associate Professor Ph.D Cao Thị Oanh

The thirth Scientifi critic :
Associate Professor Ph.DNguyễn Văn Huyên

The dissertation will be protected at the thesis-dissertation panel
of the Academy, meeting at the Academy of Social Sciences.
By ........the day....... of the month.......in 2017

The dissertation can be found at:
- National Library
- Library of the Academy of Social Sciences


OPENING
1. Necessity of the research
Trial is the act in the name of state power, which is done by the court
to solve criminal, civil, marriage and family, economic, administrative and
labor cases.
Therefore, judgments and decisions of the Court are guaranteed by
the power of the state. Court of the first instance is determined to be the
end of the process of resolving a criminal case, in which every documents
and evidence of cases collected by investigating bodies and procuracies
collected in the course of investigation and prosecution shall all be
publicly considered at court sessions. In other words, court of the first
instance is considered the culmination of the judicial power at the court.
During this stage, the rights and obligations of the procedure-conducting
persons and the persons participating in the proceedings are fully and
publicly served, and also concerns of the accused, the victim and other
participants in the proceedings are resolved at the trial.
In the Southeast region of Vietnam, there are 6 provinces and cities
under the Central Government: Ho Chi Minh City, Dong Nai, Tay Ninh,

Binh Duong, Binh Phuoc, and Ba Ria - Vung Tau. Corresponding to these
provinces and cities are established provincial People's Courts, with the
function of adjudicating criminal cases under the jurisdiction of the
provincial People's Courts. The report of the 10-year review of the
implementation of Resolution No. 49 of the Politburo on the Judicial
Reform Strategy up to 2020 of the People's Courts of the Southeastern
Provinces shows that: the activities of trial in general and trial of criminal
cases in particular of the provincial People's Courts in the Southeast region
has contributed to preserving political security, order and safety and
creating a stable environment for the socio-economic development in the
Southeast region. Specifically, according to the report of the trial activities
of the People's Courts of the Southeastern region, the criminal cases are
always increasing every year, the quality of trial activities in some courts
remains some issues to be concerned. The proceedings still lack of bases
or have errors that lead to the cancellation or modification of judgments.
This has affected the rights and legitimate interests of citizens, human
rights and affects the belief of the people in the system of judicial bodies in
the Southeastern provinces of our country.
The author has an awareness and desire to clarify the factors
affecting the quality of activities in court of the first instance of criminal
cases of the Provincial People's Courts in the Southeast of Vietnam. At the
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same time, from theoretical and practical research, the author also
proposes solutions and recommendations to improve the quality of the
court of the first instance of criminal cases of the provincial people's court
in Southeast Vietnam. This will also meet the requirements of Resolution
No. 49-NQ/TW dated 02/6/2005 of the Politburo on the judicial reform
strategy of our country up to 2020.

For these reasons, the author chose the topic "Court of the first
instance of criminal cases of the provincial People's Court in Southeast
Vietnam nowadays" to be the doctoral dissertation.
2. Research purposes and tasks
2.1. Research purposes
Firstly, the study proposes solutions to improve the quality of the
court of the first instance of criminal cases by provincial People's Courts,
so that the judgments and decisions of the Courts can be pronounced
properly, accurately and in accordance with law; Court judgments and
decisions are not faulty or leave out criminals.
Secondly, it studies the court of the first instance of the criminal case
of the provincial people's court in the Southeast region in order to propose
solutions to meet the requirements of combating crimes and protecting
human rights, citizenship in accordance with the requirements of building
a socialist rule-of-law state.
Thirdly, the researcher finds subjective and objective causes that
affect the quality of judicial activities. On this basis, the author proposes
solutions to improve the quality of court of the first instance of criminal
cases by provincial People's Courts in criminal proceedings in the spirit of
judicial reform in Vietnam nowadays.
2.2. Research tasks
To complete the thesis, the author has set out the following tasks.
Firstly, the theoretical study of court of the first instance for
criminal cases serves as the foundation for the author to determine how
judicial activities differ from that of the legislature or the executive bodies.
On the basis of that argument, the author develops the concept,
characteristics and role of the trial panel of Criminal Cases.
Second task is the development of assessment criteria for the
performance of court of the first instance of criminal cases by provincial
People's Courts.

Third is the study the provisions of the criminal procedure related to
activity of court of the first instance of criminal cases.
2


Fourth, the study looks into legal provisions related to court of the
first instance and the practical application of these regulations by
provincial People's Courts, and finds out the causes of constraints and
obstacles met when applying the regulations set in trial practice.
Fifth, the study researches practical implementation of court of the
first instance of criminal cases by Provincial People's Courts in the Eastern
South from 2006 to 2015.
3. Subjects and scope of research
3.1. Research subjects
First, theoretically, the author focuses on studying the provisions of
criminal procedure law relating to the court of the first instance of criminal
cases;
Secondly, in practice, the author researches quality of court of the
first instance of criminal cases by the competent entities involved in court
of the first instance of criminal cases activities at provincial level, as
provided in the Criminal Procedure Code (2003);
Third, the paper studies the quality of the outcome and first instance
verdict of provincial People's Courts.
3.2. Research scope
First, theoretically, the author focuses only on the provisions of the
Criminal Procedure Code on the preliminary trial of criminal cases of
provincial People's Courts, from the step of receiving the case to the time
of the Court's pronouncement, petition or protest.
Second, in practice, the paper studies the difficulties in the Criminal
Procedure Code and legal documents related to trial activities.

Third, in terms of study time and space, the author studies about
activities of court of the first instance of criminal cases of provincial
People's Courts in the South East of Vietnam from the year 2006 to 2015.
4. Methodology and methods of the research
As regards methodology, the study bases on the Marxist-Leninist
worldview of state and legislation, as well as Ho Chi Minh Thought about
rule of law.
In terms of research methods, the author uses a number of methods:
statistics, comparison, aggregation and sociological investigation.
5. New contributions of the thesis
First, the author examines the judicial activity of the People's Courts
with an approach from the judiciary activities and gives the general concept
of trial. Basing on that concept, the author develops the concept of court of
the first instance of criminal cases activities of provincial People's Courts.
3


Second, the author develops the criteria and conditions to ensure
court of the first instance of criminal cases. On the basis of these criteria,
the author investigates and evaluates the status of trial activities.
Third, the author analyzes subjective and objective causes that affect
the activities of court of the first instance of criminal cases of the
provincial People's Court in the Southeast of Vietnam nowadays.
Fourth, the author proposes suggestions to improve the quality of
court of the first instance of criminal cases activities of provincial People's
Courts in the Southeast region.
Fifth, from the results of the study of practical data on court of the
first instance of criminal cases activities of provincial People's Courts in
the Southeast, it will be a scientific basis to help state agencies to continue
implementing well the Criminal Procedure Code in 2015

6. Theoretical and practical significance of the thesis
6.1. Scientific significance
The author's research can be used as a source for research or teaching
of legal science in general and training judges in particular. On the other
hand, the contents of the dissertation can also contribute to the building of
the skills of investigation of documents, judicial skills and skills involved
in the proceedings of judicial teams, people's jurors, Prosecutor and
lawyers under the demand for judicial reform of the country.
6.2. Practical significance
The author has accesses judicial proceedings of the People’s court
from trial preparation to trial activity at the trial session. The author also
analyzes the shortcomings and limitations of the trial. The research results
of the author are the basis for contributing to the theoretical development
related to judicial activities, proposing solutions to continuously improving
the quality of judicial activities of the People's Courts in the judicial
reform process happening now in our country.
7. Structure of the thesis
In addition to the introduction, conclusion and bibliography, the
content of the thesis consists of four chapters:
Chapter 1: Overview of related research
Chapter 2: Theory of court of the first instance of criminal cases
Chapter 3: Provisions of the Procedure Code 2003 on court of the
first instance of criminal cases and implementation practices at provincial
People's Court in the Southeast of Vietnam.
Chapter 4: Requirements and solutions to improve the quality of court
of the first instance of criminal cases by the provincial People's Courts.
4


Chapter 1

AN OVERVIEW OF RELATED RESEARCH
1.1. RESEARCH IN VIETNAM

1.1.1. Theoretical studies and general regulations related to court
of the first instance
Many research papers refer to the theoretical issues related to the trial
of criminal cases of the People's Courts in Vietnam. Prof. Dr. Vo Khanh
Vinh produces "Curriculum of law enforcement agencies" published by
the People's Public Security Publishing House in 2003, which consists of
15 chapters. The content of this monograph specifically analyzes the basic
concepts of object and system of legal enforcement bodies, regulations on
law enforcement agencies; judicial power and judicial system. The
monograph "Human Rights Protection and Assurance Mechanisms",
edited by Prof. Dr. Vo Khanh Vinh, includes many articles related to
Human rights protection mechanisms in the judicial process such as:
"Improving the human rights protection mechanism in criminal
proceedings in Vietnam through the principle of presumption of innocence
and “mechanism for protection of human rights by the Courts in Vietnam”.
1.1.2. Studies concerning quality of court of the first instance of
criminal cases, the principle of procedure to ensure the quality of
court of the first instance.
The scientific project co-authored by Assoc. Prof. Hoang Thi Minh
Son, "Improving criminal procedure law to improve the effectiveness of
court of the first instance in the spirit of judicial reform" [87] has
summarized shortcomings in the Criminal Procedure Code and give
recommendations related to the criminal proceedings, including the
activities of the People's Courts. Regarding trial activities, there is an
article by Assoc. Prof. Ho Si Son: "The role of procurator, supervisor in
judicial activity", Journal of Law and State, No. 09, 1994 [85] and article
"Perfecting the relationship between the Court and the Procuracy in the

course of handling criminal cases", Journal of State and Law, Vol. 02,
2005 [86], the author has analyzed the role the role of the Procuracy in
the process of exercising the right to prosecution and controlling the
adjudication of the People's Courts and some obstacles on the
coordination mechanism between the People's Courts and the People's
Procuracies.
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1.1.3. Studies about preparation for trial and court of the first
instance of criminal cases
A number of monographs as well as articles on pre-trial preparation
and trial such as the article "Preparation for criminal cases - some
theoretical and practical issues" by Ass. Prof. Dr. Pham Hong Hai Journal
of State and Law, No. 6, 1999 [40] analyze the role of judges in the pretrial
preparation stage, and also the obstacles to the filing of additional records.
In addition to these articles, there is the master thesis "Preparation for
court of the first instance of criminal cases - Current situation and
solutions" by Bui Thi Hong [47]. These works have helped the author
with an approach to the role and significance of pretrial preparation in
helping the Court perform correctly the function of examining and
evaluating the nature and extent of the circumstances of the case before
bringing the case to trial.
1.1.4. Studies concerned with the application of law in judicial
work and the improvement of the legal system on justice
In the dissertation for Doctor in Law, "Application of the law in trial
of the People's Court System in Vietnam" [90] by Le Xuan Than, the
author has systematically analyzed the concept, characteristics of the
application of the law in general and the application of the law in criminal
proceedings in particular. At the same time, the author has studied the

factors that directly influence the application of the law of adjudication,
from legal factors to human factors, and offers a number of solutions to
improve efficiency of application of law in trial of criminal cases in our
country. In addition to the above works of Dr. Le Xuan Than, there is also
a doctoral dissertation on "Sanctions on criminal liability in Vietnamese
criminal law" [51], which analyzes criminal responsibility as a legal
consequence that the offender take before the State due to committing the
offense. The application of criminal sanctions to offenders results in the
offender being subjected to coercive measures (penalties, judicial
remedies) of criminal law. Therefore, the application of criminal justice
legislation should be implemented correctly.
1.2. INTERNATIONAL RESEARCH

1.2.1. Studies on trial proceedings according to the case law
system (United Kingdom – United States)
Concerning the limitation of trial, there is a book titled "Supreme
Court Powers – Cases that must be, can be and cannot be brought to trial"
by Professor John Paul Jones of the University of Richmond [55]. He has
analyzed very precisely the jurisdiction power of US Federal Courts and
6


District Courts in adjudication and binding on the liability of each court in
trial. Regarding the way the system operates, the book "Supreme Court of
the United States", by Charles Evans Hughes, Judge of the United States
Supreme Court stated that The United States Supreme Court, when
exercising its judicial functions, duties or final jurisdiction has to direct to
federal law and decisions cannot be left to the state courts to decide.
1.2.2. Studies on judicial activity in accordance with continental
European law (the French Republic and the Federal Republic of Germany)

The study of the Federal Republic of Germany and the French
Republic prosecution models has helped the author to better understand the
organization of court system of the Federal Republic of Germany and the
Republic of France, as well as the Code of Conduct when dealing with a
criminal case. These articles help the researcher to be equipped with the
theoretical background of judicial interrogation in some countries around
the world, which is the basis for the author to see how the organization
operates in Vietnam now.
1.2.3. Studies on judicial activity of several countries in the AsiaPacific region
Through the study of the criminal procedure model and the principles
of the trial of criminal cases in China and Japan, the authors realize that
the papers of oneself only show the analysis of the principles of criminal
procedure, criminal evidence and highlight the advantages of models of
litigation, prosecution and interrogation proceedings.
1.3. EVALUATION OF THE RESEARCH SITUATION AND ISSUES
OF FOCUS OF THE PAPER

1.3.1. Evaluation of the research situation
For research in Vietnam
The authors have scientifically studied the workings of the judiciary
bodies, the advantages and disadvantages of litigation models. Noticeably,
some works have analyzed the stages of criminal procedure in our country
and the meaning of each stage of criminal proceedings.
For international research
Studying overseas works related to judicial activity gives the author a
comprehensive comparison of international litigation models and provides
objective and scientific evaluation of the proposition in order to build a
model of legal proceedings in Vietnam to meet the socio-economic
conditions in the near future.
1.3.2. Issues of focus of the research

The thesis focuses on the following fundamental contents:
7


First, theoretically, the author studies theoretical issues related to the
court of the first instance of criminal cases.
Second, in practice, the author focuses on studying the provisions of
the Criminal Procedure Code 2003 relating to adjudication, obstacles in
application of the provisions of the Criminal Procedure Code that affect
the quality of the court of the first instance of criminal cases of the
provincial People's Courts.
Third, in order to have the basis for the study, the author collects a
number of court of the first instance of criminal cases conducted by
provincial People's Courts that were appealed or protested; as well as
violations in the application of the Criminal Procedure Code 2003 and
their causes.
Fourth, from the actual situation of trial activities, the author of the
dissertation proposes the requirements and recommendations to improve
the quality of the court of the first instance of criminal cases of the
provincial People's Courts in the Southeast region in particular and the
whole country in general.
Chapter 2
THEORY OF COURT OF THE FIRST INSTANCE
OF CRIMINAL CASES
2.1. DEFINITION, CHARACTERISTICS, CONTENTS, MEANING OF
COURT OF THE FIRST INSTANCE OF CRIMINAL CASES

2.1.1. Definition of court of the first instance of criminal cases
Through the study of documents related to the activities of judicial
authorities both in Vietnam and abroad as well as from the provisions of

the Criminal Procedure Code 2003, the author developed the concept of
court of the first instance of criminal cases as follows:
Definition of court of the first instance of criminal cases:
Court of the first instance of criminal cases is the function of
exercising the judicial power of a state performed by a court at the first
level of trial, in which the court reviews all documents and evidence
related to the criminal case, on the basis of public disputes at the trial, the
court issues a judicial or procedural decision to declare a person guilty or
not guilty, to apply or not to apply penalties and resolve other problems
involved in criminal cases.
By analyzing the characteristics of court of the first instance of criminal
cases, the author develops the concept of court of the first instance of
criminal cases activities of the Provincial People's Courts as follows:
8


The activities during court of the first instance of criminal cases done
by the Provincial People's Courts are criminal proceedings conducted by
the Trial Panels of the provincial People's Courts at the first level of trial
to review, assess and check all documents or evidence contained in the
case file, through the act of debate at the trial, on this basis the Trial
Panel, according to the provisions of the law, decides whether a person is
guilty or not guilty, to apply penalties or not and resolve issues involved in
criminal cases.
2.1.2. Characteristics of the court of the first instance of criminal
cases by provincial People's Court
Court of the first instance of criminal cases is a criminal procedure
which has similar characteristics to the investigation and prosecution
activity, but the court of the first instance of a criminal case by a provincial
People's Court is different in comparison with activities of the

investigating and prosecuting agencies and from the court of the first
instance of criminal cases of the district-level People's Courts in the
following points:
First, the court of the first instance of criminal cases is the
proceedings act of the Judge and a provincial People's Council.
Second is about the jurisdiction power of court of the first instance
of criminal cases of provincial people's court.
Third is that it is different from trial activities of the court of appeals
Fourth is the difference about trial space
In addition, in spatial terms, district-level People's Courts will only
adjudicate cases that occur within the district level, while the provincial
People's Courts are spatially involved in the affairs within provincial level.
In cases where the defendants commit offenses abroad and get adjudicated
in Vietnam, the provincial-level people's courts of the locality where the
defendants register their permanent residence will be responsible.
2.1.3. Contents of the court of the first instance of criminal cases
of the provincial People's Court
The court of the first instance of criminal cases shall be conducted by
the following contents:
First, the preparation for trial
Preparation for the trial is the time for the Judge to study the entire
case file before the hearing. During this time, the judge studies the case
file shall be entitled to apply the procedural decisions related to the case
9


such as the decision whether or not to bring the case to trial, the decisions
to suspend or temporarily suspend and return the case file for additional
investigation.
Second, the procedure to start the trial

In this section, the Judge presiding over the hearing shall examine
the identity, explain the rights and obligations of the accused, the victim,
the witness. At the same time, the Judge explains the rights and obligations
of participants in the proceedings.
Third, the interrogation activities at the trial
This is a very important content for determining the objective
truthfulness of the case, because the activities before the proceedings cannot
be publicized.
Fourth, litigation at the trial
Litigation is conducted after the Procuracy presents an impeachment.
Litigation is a requirement of the spirit of judicial reform, ensuring that the
conduct of criminal cases is democratic and objective.
Fifth, active deliberation
The deliberation proceedings are conducted by Judges and assessors
of the people’s council. Judge presiding over the deliberation activities
will have to address each issue of the case that must be settled so that the
Trial Panels can discuss and decide.
Sixth, sentencing activities
The sentencing activity of the People's Courts is carried out in the
name of the state, conducted by a Judge representing the Trial Panel to
publish judgments on penal liability and other judicial decisions related to
the case.
2.1.4. The role of the court of the first instance of criminal cases
First, from a legal point of view
Judicial activity is the proceeding of a direct investigation at the trial,
on the basis of the outcome of the public and democratic litigation of the
parties, the Court serves as the one to re-examines and evaluates in a
comprehensive and objective manner with complete evidence, details of the
criminal case to resolve the nature of the case - judge on the nature of the
criminal nature (or not) of the conduct, of guiltiness (or not) of the accused.

Second, in terms of socio-political aspects
Court of the first instance contributes to educate law consciousness,
Court of the first instance of criminal cases contributes to the
protection of human rights in procedural activities
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Human rights are "sacred" and protected by the Constitution and the
law. Through adjudicating activities, the legitimate rights and interests of
individuals and organizations are ensured when being infringed upon, and
the offenders know what is guilty of their offense and how criminal acts
are defined in the Penal Code.
2.2. CRITERIA FOR QUALITY EVALUATION OF COURT OF THE
FIRST INSTANCE OF CRIMINAL CASES

In order to assess the quality of the trial activity, the author shall base
on the purpose of the proceedings, the purpose of the trial of the court. The
author has built up the following criteria:
First, about the time to resolve the case
Second, on the form of court hearings
Third, on the application of procedural decisions related to trial
activities
Fourth, the quality of first instance criminal judgment
Fifth, the sentence must meet the requirements of society
2.3. OVERVIEW OF THE CRIMINAL PROCEDURE OF VIETNAM FOR
THE OBSERVATION OF COURT OF THE FIRST INSTANCE OF CRIMINAL
CASES UP TO 2003

To have a basis for studying the trial activities of the People's Courts,
the author has studied the criminal law of the country through historical

periods of the country such as:
Feudal period
French Colonization Period
The period from the August Revolution to 1954
The period from 1954 to 1975
The period from 1975 to 1988
The period from 1988 until 2003
Chapter 3
PROVISIONS OF CRIMINAL PROCEDURE CODE 2003 ON
COURT OF THE FIRST INSTANCE OF CRIMINAL CASES AND
IMPLEMENTATION PRACTICES AT PROVINCIAL PEOPLE'S
COURT IN THE SOUTHEAST OF VIETNAM
Provisions of the Procedure Code 2003 on the court of the first
instance of criminal cases and implementation practices at the Provincial
People's Court in the Southeast of Vietnam.
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3.1. PROVISIONS OF CRIMINAL PROCEDURE CODE 2003 ON COURT
OF THE FIRST INSTANCE OF CRIMINAL CASES

3.1.1. Regulations on first instance jurisdiction
Jurisdiction power in court of first instance according to cases
The Criminal Procedure Code 2003 provides for case-by-case
jurisdiction to determine jurisdiction between courts at all levels. The
determination of jurisdiction according to the case is based on the nature of
the offense.
Jurisdiction by subject matter, jurisdiction over the main object is
the separation of judicial power between the People's Courts and the
Military Courts based on the offender.

Territorial jurisdiction of the People's Courts, as provided for in
Article 171 of the Criminal Procedure Code in 2003, is the determination
of jurisdiction based on where the crime was committed and the place
where the investigation ended.
3.1.2. Regulations on preparation for court of the first instance of
criminal cases
After accepting the case, the chief judge shall assign the judge to
study the documents and evidence in the case, which is the procedural act
of the court which initiates the new stage of legal proceedings: court of the
first instance. During the preparation for hearing, the Judge shall study the
circumstances of the case and shall, based on the provisions of the
Criminal Procedure Code, make decisions such as:
First, decision on cancellation or changing preventive measures
Second, the decision on returning of the case file for additional
investigation, dismissal or temporary suspension of the case
Third, decision on the decision to bring the case to trial
3.1.3. Regulations on jurisdiction power
During the process of accepting the case, the judge is assigned to
handle the case file and must determine whether the case falls under the
jurisdiction of the provincial People's Courts or not. If the power falls
under the competence of the provincial People's Courts, they shall
continue carrying out the proceedings to settle the cases. If not within its
jurisdiction, the proceedings shall be conducted to transfer the case to the
competent court for settlement.
3.1.4. Regulations on trial limits
The limitation of hearing is stipulated in Article 196 of the Criminal
Procedure Code 2003 "the court shall only adjudicate the defendants and
the offense which the prosecutor has prosecuted and the court has decided
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to taken to trial. The court may treat the defendant in a different way than
the prosecutor has prosecuted under the same law or another offense equal
to or less serious than the offense the prosecution has prosecuted.
3.1.5. Content of court of the first instance
Firstly, the procedure to start the trial
Second, the interrogation procedure at the trial
Third, debate at the court of the first instance
Fourth, active deliberation activities
Fifth, sentencing activities
3.2. THE PRACTICE APPLICATION OF THE CRIMINAL PROCEDURE
CODE 2003 ON COURT OF THE FIRST SENTENCE OF PROVINCIAL
PEOPLE'S COURT IN THE SOUTHEAST REGION

3.2.1. Time frame to solve criminal cases
Regarding the time to resolve the case,
Time to resolve a criminal case is still long. In particular, real study
of 2743 criminal cases that were adjudicated, if counting from the time the
case was prosecuted to the time the case was brought to trial, it shows that
697 cases last for 8 months; 1059 cases last for 9 months, 574 cases last
for 12 months; 376 cases last for 24 months, and especially 37 cases with
the duration of up to 8 years (Le Ba Mai case, Nguyen Quang Hoa case,
Thai Hoang Trong case).
Regarding the number of remaining cases in the year, the data on
the annual criminal cases of the People's Courts of the Southeast
provinces, basically most of the crimes have been handled, the annual
average proportion of remaining cases was about 3.98%.
Specifically, it is shown through the following table:
Table 3.1. Number of processed cases Number and cases brought
to trial, Number of overdue cases

Number

Court

01

Ho Chi Minh City

02

Dong Nai

03

Ba Ria – Vung Tau

04

Tay Ninh

05

Binh Duong

06

Binh Phuoc
Total

Number of

processed
cases

Number of
cases brought
to trial

Number of
overdue cases

Percent

7945
2309
2178

7641
2249
2068

304
60
110

3,82 %
2,59 %
5,01 %

2216
2576

1072
18296

2149
2449
1011
17567

67
127
61
729

3,02 %
4.93 %
5.69 %
3,98 %

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3.2.2. On jurisdiction and trial limits
The jurisdiction in accordance with the provisions of the Criminal
Procedure Code 2003, there are many inadequacies, unclear delineation
between competence level according to the case, competence according to
the object and territorial jurisdiction. The limitation on judicial
proceedings also restrains Court's right to independence.
3.2.3. On the accuracy of the issuance of procedural decisions
during the pretrial preparation stage
In real situation from 2006 to 2015, preparatory activities of court of

the first instance of criminal cases, Provincial People's Court in the South
East have handled cases with data that are aggregated annually as follows:
Table 3.2. Number of VAHS at the provincial People's Courts in
the eastern region of Southern Vietnam process and return the file for
additional investigation, suspension, suspension and prosecution
judging from 2006 to 2015
Decision to
Number of
Decision to
Decision to
return for
Year
processed
suspend the bring the case
additional
cases
cases
to trial
investigation
1576
36
20
1520
2006
1689
71
31
1587
2007
1660

21
9
1632
2008
1772
78
37
1657
2009
1798
41
25
1732
2010
1813
73
29
1711
2011
1891
66
32
1793
2012
1937
28
15
1894
2013
2043

40
11
1992
1014
2117
60
8
2049
2015
18296
514
217
17567
Total
Source: Summary of data of court of the first instance of provincial
People's Court from 2006 to 2015.
From the summary table 3.1. of data for the years 2006 to 2015,
basing on the statistics (table 3.1), these issues are demonstrated:
First, the decision to return the records for additional investigation
Second, about the suspension of the case
Third, the decision to bring the case to trial
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Generally, decisions during the preparation for adjudication have
been issued, but besides, due to various reasons, there have been cases
where cases of issuance of procedural decisions have not been timely, or
not been correct, which affects the legitimate rights and interests of the
accused or defendants.
3.2.4. Content of the court of the first instance of criminal cases

- Procedures for commencing court of the first instance of
criminal cases
- About the interrogation activities at the trial
+ Interrogation activities of the Judge
+ Interrogation activities by people's jurors
- On the debate at the trial
- The outcome of the litigation,
- On deliberation activity
- On sentencing activities
3.2.5. The reality of stringency and general prevention
For 10 years, the provincial People's Courts in the South East have
done well the task of judicial work. Criminal sentence has served the right
person guilty of crime, which has contributed to ensuring the maintenance of
security, order and general prevention. However, there are also many verdicts
after the declaration that have not been convincing to general public, and
many of the verdicts were reported by the media agencies doubting about the
authenticity and persuasiveness of the case, many cases were prolonged more
than usual to resolve. Many inmates who have completed the sentence got
back to criminal activities. Thus, on a certain level, it is found that the
sentence does not guarantee general deterrence and prevention.
3.3. Situation of the first instance judgment being appealed,
protested, results of the appellate trial, wrongful violations in the
application of the Criminal Procedure Code 2003 into adjudication
activity and their causes
3.3.1. The situation of the first-instance judgment being
appealed, protested and the result of the hearing of the appeal
From 2006 to 2015, the Provincial People's Courts in the Southeast
of Vietnam have adjudicated 13,646 criminal cases in the first instance, in
which the number of cases subject to annual appeals varies as follows:
Extracted data from Table 3.2 and 3.6

Number of cases
Number of cases
Percentage
Year
being appealed
brought to trial
%
again
15


2006
2007
2008
2009
2010
2011
2012
2013
2014
2015

1559
1738
89,7 %
1279
1533
83,43 %
1244
1336

93,11 %
906
1240
73,06 %
682
1184
57,6 %
457
1955
23,37 %
485
1125
43,11 %
490
1161
42,2 %
524
1179
44,44 %
546
1195
45,69 %
Total
8172
13646
In 2006, the People's Court judged 1738 cases of first instance, in
which 1559 cases were appealed, the appeal rate is 89.7%. By 2015, the
total number of cases handled by the provincial court in the Southeast was
1195 cases, in which there are 546 appeals or protests, the rate accounted
for 45.69%.

Table 3.2. Number of cases being appealed or protested
and the results of those cases
Result of court of the first instance
Total
number of
cases being
appealed or
protested

Total
number of
offenders

2006

694

749

2007

719

2008

Year

Amendment of the convictions
Court of
first

instance

Suspension of court
of the first instance
ProceedCrimes
ings
left
infringuntried
ement
27
29

More
severe
sentence

Less
severe
sentence

Amended as
civic

Not
guilty

667

9


5

11

1

771

691

12

15

9

0

20

27

783

820

751

11


16

8

0

15

19

2009

754

791

722

7

11

5

0

24

22


2010

775

818

744

6

18

9

2

19

20

2011

769

790

738

9


14

8

0

17

10

2012

805

836

773

2

6

20

0

18

17


2013

895

923

860

7

7

8

1

19

21

2014

993

1037

954

8


15

12

1

21

26

2015

991

1018

952

8

16

10

1

16

15


Tatal

8178

8562

7852

79

123

100

6

196

206

Source: Appeal Court – The Supreme People’s Court of Ho Chi
Minh City
16


First, the status of maintaining the verdict of court the first instance
Basing on the analysis of data from Table 3.2, the Court of Appeal's
verdict rate of remaining unchanged throughout the years is as follows:
Cases being
Maintain court of the

Year
Rate
appealed
first instance
71.58%
2006
1559
1116
73.72%
2007
1279
943
72.34%
2008
1244
900
74.06%
2009
906
671
69.35%
2010
682
473
68.49%
2011
457
313
65.97%
2012

485
320
69.79%
2013
490
342
71.56%
2014
524
375
71.79%
2015
546
392
Average
70,82%
From 2006 to 2015, the outcome of court of the first instance, the
retention rate of the first instance verdict was 70.82%.
First, for 10 years, the provincial People's Courts in the Southeast
province adjudicated 13646 criminal cases. The number of cases that were
appealed and the outcome of the court of appeal that missed out on criminals
was 109 cases and violation of criminal proceedings was 158 cases.
Second, the statistics for the first-instance court for criminal crimes
that were amended by the court of appeal
For 10 years, the provincial People's Courts in the Southeast province
adjudicated 13,646 criminal cases. Of the total number of cases brought to
trial, still many cases after being sentenced by the court of first instance
were appealed or protested. The Court of Appeal corrected these cases.
Specifically, there were 501 cases of aggravation of penalties, 1206 cases
of reducing penalties, 348 cases of amending civil liability, and 5 nonoffenses recorded.

3.3.2. Violations in the application of the provisions of the Criminal
Procedure Code 2003 to the first-instance trial of criminal cases
First, wrongful identification of the litigant
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According to aggregated data from Table 3.2, the number of crimes
left untried was 109 cases and 158 cases were dropped due to procedural
violations. Of the total of 158 cases of procedural violations, there were 51
cases of procedural violations due to wrong determination of the persons
involved in the proceedings and the guardians.
Second, wrongful identification of evidence in the case
Specifically, through the study of 158 cases of procedural violations,
69 cases identified the wrong evidence.
Third, the wrong identification of components of the jury
Of the 158 cases that were canceled due to procedural breach, 38
cases had incorrectly identified the composition of the jury and
jurisdiction.
Fourth, the violation of time to resolve the case
Annually, many cases still remained untried, the time to resolve a
case is still too long
Fifth, the violation of the principle of litigation
The Criminal Procedure Code 2003 has not materialized the
litigation as a principle, and the rules of procedure are only scattered in
some articles of the code, so it does not bind on the responsibility of the
Procuracy to fully join in with this responsibily, and also lawyers have not
fully played his role in the litigation.
3.3.3 The causes of inappropriateness in the application of the
provisions of the Criminal Procedure Code 2003 relating to
adjudication activity

Through investigating, reviewing cases that have been canceled,
altered, and placed in relation to operational quality assurance conditions,
it can be indicated that some of the causes of erroneous application of the
provisions of the CPC 2003 in adjudication are:
First, the inadequacies of Criminal Procedure Code 2003 relating to
judicial activity
Second, the inadequacies of the Criminal Procedure Code 1999
Third, the judicial capacity of the judges
Fourth, the judicial capacity of the people's jurors
Fifth, the litigant capacity of lawyers and procurators
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Sixth, the coordination mechanism in the trial operation
Seventh, inadequate equipment for the trial
Chapter 4
REQUIREMENTS AND SOLUTIONS TO IMPROVE
THE QUALITY OF ACTIVITIES OF COURT OF THE
FIRST INSTANCE OF CRIMINAL CASES BY PROVINCIAL
PEOPLE'S COURTS
4.1. REQUIREMENTS AND SOLUTIONS TO IMPROVE THE QUALITY
OF ACTIVITIES OF COURT OF THE FIRST INSTANCE OF CRIMINAL
CASES OF THE PEOPLE'S COURT OF THE PROVINCES IN THE
SOUTHEAST REGION

4.1.1. Requirement of judicial reform
First, bodies conducting legal proceedings: the investigating bodies,
the procuracies and the courts shall perform each procedural function, and
the agencies shall bear independent responsibility for the evidences and
decisions during the implementation of the proceedings.

Second, it is required when conducting trial activities to ensure
objectivity and strictly follow the two-level trial.
Thirdly, the request for trial activities, the right to defense of the
accused or defendants should be properly exercised.
Fourth, it is an urgent necessity to apply case law method in the trial
Fifth, the Courts are required to renovate the administrative-justice work.
This is to publicize and clarify the activities of the Court; to renovate
the judicial administrative procedures, eliminate unnecessary papers and
procedures, apply the one-door procedure; apply information technology
into administrative and judicial activities of the Court
Sixth, it is demanded to raise political and ideological education for
court officials
Every year, the leaders of the court should promote the movement of
stuyding and following Ho Chi Minh's example for the court staff.
Particularly, the Judge team need to implement well the code of conduct, the
moral of the service and the spirit and sense of devotion to serve the people.
4.1.2. Requirement to ensure rule of law principles in adjudication
Trial activities of the Court are activities of settling disputes in
society, handling law violations. The activity is directly related to the
rights and interests of people and of citizens. Therefore, the court's
adjudicating activities must comply with the principle of adjudication. This
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is the foundation for ensuring the quality of judging, protecting the human
rights, legitimate rights and interests of organizations and individuals.
4.1.3. Requirement of protection of human rights in adjudication
It is necessary to protect human rights in adjudicating activities, and
this requires the Court to fully implement the principles provided for by
the Criminal Procedure Code, including principles of presumption of

innocence. This is the basis for the perception of litigants who really
understand that any criminal act must be substantiated by the bodies
conducting the proceedings, and the demonstration needs to be in
conformity with the law. This is to ensure that the case is not unfairly
concluded and no criminals escape easily.
4.1.4. Requirement of the Court holding a central location, and
trial activity is the focus
First, the special position of the Court as a judicial enforcement
authority, derived from the Constitution. It is only the Court that has
jurisdiction in the name of the state to declare a person guilty and must
take punishment.
Second, the court must really secure the rights of the defendant with
the characteristics of civil human rights.
Third, stemming from the purpose of the proceedings, it is required
that the Court perform well the function of judgment.
4.1.5. Requirement of crime prevention
The verdict not only has a direct impact on the offender,
demonstrates the strictness of the law, but also has the effect of preventing
other evils in the general public. Therefore, it is required that the
pronouncement of a judgment comes to the right person, with the right
crime, in accordance with the law and this will have a common deterrent
and preventive effect.
4.2. SOLUTIONS TO IMPROVE THE QUALITY OF COURT OF THE
FIRST INSTANCE OF CRIMINAL CASES AT PROVINCIAL PEOPLE'S COURTS

From the actual situation of judicial activity and the analysis of
subjective and objective factors that affect the quality of judicial activities as
analyzed in Chapter 3, the researcher strongly recommends the following
solutions done in a consistent manner.


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4.2.1. Prepare the necessary and sufficient conditions for training
about the Criminal Procedure Code 2015
First, classify the participants of training
Second, distribute and convey the provisions of the CPC related to
trial limits
Third, implement the provisions relating to jurisdiction
Fourth, implement the principles of litigation in the trial
4.2.2. Continue to improve the provisions of the Criminal Procedure
Code in 2015 on court of the first instance
The CPC 2015 has addressed the limitations of the former versions,
however, CPC 2015 still meets with a number of different opinions on
some aspects of judicial activity that needed to be continuously improved.
Specifically, there are following points:
Article 278. Application, change and cancellation of preventive
measures and coercive measures
Article 296. The presence of investigators and others
Article 298. Concerning the trial limits.
Clause 1, Article 325, when procurators withdraw part of their
prosecution decisions or conclude on less serious offenses, the Trial Panels
shall continue hearing the cases.
Clause 1, Article 329, to arrest the accused after pronouncement of
the judgment, except for cases specified in Clauses 4 and 5 of Article 328
of this Code.
4.2.3. Raise the capacity for trial operation of persons conducting
legal proceedings
First, renew the method of selection, working term of the judge
Second, enhance the judicial skills of the judges

Third, there is a need to specialize judges
Fourth, improve the quality of the trial of people's jurors
Fifth, improve the quality of work for the Court’s clerk team
4.2.4. Improve the quality of litigation
In order to improve the quality of litigation, the author proposes
basic solutions related to litigation such as:
First, for procurators
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Procurators are authorized by the procuracy to exercise their right to
prosecution, to supervise trial activities. Under the new conditions, CPC
2015 that is in force now has provided litigation as a guiding principle.
Therefore, the procurator must constantly learn to improve legal levels,
gain adequate valor to protect justice amd meet the requirements of
judicial reform.
Second, for the lawyers involved in litigation
Lawyers are subjects allowed by law to protect the legitimate rights
and interests of defendants and other participants in the proceedings. The
role of the lawyer involved in the debate process is to clarify the content
and circumstances of the case. Therefore, in order to ensure the impartiality
of the trial, the lawyer must fulfill all the functions and duties of the lawyer.
In order to carry out this task, lawyers need to constantly learn to improve
their occupational ethics and professional ethics, thus meeting the
requirements in the current conditions.
4.2.5. Strengthen inspection, supervision and review of trial work
Inspecting, supervising and speeding up the work is the task of
agencies and organizations when performing their functions and tasks.
People's Courts also the body to exercise jurisdiction. Therefore, for the
Court to perform well its functions and duties, the inspection and

monitoring, summing up the trial work is fundamental.
4.2.6. Strengthen the use of case law in judicial activities
Based on the advantages of case law, looking at the current
conditions of our country, the application of the case law is necessary in
order to improve the effectiveness of the trial.
4.2.7. Complete the provisions of the Penal Code
The Penal Code in 2015 is promulgated, but many laws were not
detail and have not enough capacity to adjust social relations. Therefore, in
order to meet the requirements of ensuring security and social order in the
immediate and long-term conditions, the Penal Code 2015 should be
adjusted accordingly to current situation is a necessary requirement.
4.2.8. Invest in equipment for the operation of the court
Apart from the functions and tasks assigned to the court by the state,
it is necessary to invest in court equipment in order to ensure continuous
22


operation. In reality of the equipment of the People's Court, in order to
ensure that the Court performs its function of trial, the State should pay
attention to some specific issues as follows:
First, the technical facilities that directly serve the court proceedings.
Second, more funds invested to renovate working offices with full
functional rooms.
Third, renew apparels for the judge, people's jury, court clerk and
lawyer.
4.2.9. Build the legal culture while strengthen legal education in
adjudication
Build a lifestyle that respects the law, builds a culture of legal
obedience when practicing trial. First of all, judges, people's procurators,
procurators, defendants and defense counsels must really respect the law.

The pronouncement of a judgment must be based on the foundation of
evidence. Once the judgment is pronounced to the right person with the
right crime, it will be the basis for the citizen to strictly abide by the law of
the state and also it is possible to prevent social evils for society.
CONCLUSION
Judicial activity contributes significantly to the fight against crime
and the protection of human rights. Therefore, the author chose the topic
"Court of the first instance of criminal cases of the provincial People's
Courts in the Southeast of Vietnam". On the basis of the results obtained
from the study of the topic, the author gives the following summarizing
points:
First, to get an overview of the judiciary bodies, the author has
studied domestic and foreign works related to judicial activity.
Second, during the process of approaching judicial rights as well as
the provisions of the Criminal Procedure Code 2003, the author has
developed the concept, characteristics, role, meaning, contents and criteria
of judicial review of activities in court of the first instance of provincial
People's Courts.

23