MT S VN NHN T GC T TNG TRONG V KIN U TIN CA VIT NAM TI WTO

Posted on 05/08/2011 by Civillawinfor

THS. NGUYN TIN VINH Khoa Lut, i hc Quc gia TPHCM Ngy 11/1/2007, Vit Nam chnh thc tr thnh Thnh vin th 150 ca T chc thng mi th gii (WTO)[1]. T cch Thnh vin ca WTO cho php Vit Nam tham gia vo mt sn chi bnh ng, tip cn vi th trng hng ho, dch v ca cc Thnh vin khc ca WTO trn c s nguyn tc khng phn bit i x, minh bch v da trn lut l. c bit, t cch Thnh vin cng em li cho Vit Nam c hi s dng c ch gii quyt tranh chp ca WTO nhm chng li nhng vi phm ca cc Thnh vin khc[2]. Khng lu sau thi im gia nhp, ngy 1/2/2010, theo th tc quy nh ti Ngh nh th v c ch gii quyt tranh chp ca WTO (DSU), Vit Nam gi yu cu tham vn cho Hoa K v mt s bin php m nc ny p dng i vi cc sn phm tm nc m ng lnh ca Vit Nam, m u v tranh chp u tin ca Vit Nam ti WTO[3]. Ngy 7/4/2010, sau cc cuc tham vn bt thnh, Vit Nam trnh ln C quan gii quyt tranh chp ca WTO (DSB) yu cu thnh lp Ban Hi thm (Panel) gii quyt cc khiu kin ca mnh[4]. Vit Nam yu cu Panel tuyn b Hoa K vi phm Hip nh v chng bn ph gi ca WTO by ni dung khc nhau[5]. Ngy 19/5/2011, Panel ca WTO chnh thc cng b Bo co gii quyt tranh chp v v khiu kin[6]. Cn c ni dung ca Bo co v xt n thi im hin ti, c th coi v kin tm l mt thng li ca Vit Nam, tuy cha phi l mt thng li trn vn v chung cuc[7]. Mt mt, bn cnh vic ng h a s cc ni dung khiu kin ca Vit Nam (ni dung 1, 2, 3, 4, 5) trong c bit l khiu kin v bin php Quy v khng, Bo co ca Panel cng bc b hoc khng xem xt 2 ni dung khc (ni dung 6 v 7). Mt khc, t thi im Bo co c cng b, theo quy nh ca DSU, c Hoa K v Vit Nam cn c thi hn 60 ngy khng co theo th tc phc thm. Trong trng hp c khng co nh vy, Bo co ca Panel s c xem xt li bi C quan phc thm (AB) v v kin s cn ko di cho n thi im DSB thng qua bo co ca AB. L v kin u tin m Vit Nam tham gia mt cch ch ng v thng li ti WTO, v kin tm cn c nghin cu mt cch kp thi nhm rt ra nhng bi hc cn thit cho qu trnh hi nhp ni chung v s dng c ch gii quyt tranh chp ni ring ca Vit Nam ti WTO trong thi gian ti. Bn cnh vic nghin cu cc ni dung tranh chp c t ra v c phn x trong v kin, vic tm hiu cc vn c tnh cht th tc m Vit Nam gp phi v gii quyt trong v kin cng ht sc cn thit. I. Quy ch nc ang pht trin: tham gia vi ch i x khc bit v c bit hay vi t cch ch ng v bnh ng? 1. Tnh km hiu qu ca ch i x khc bit v c bit dnh cho cc nc ang pht trin trong c ch gii quyt tranh chp ca WTO Ging nh hu ht cc Hip nh khc ca WTO, Ngh nh th v c ch gii quyt tranh chp cng c cc quy nh i x c bit v khc bit (Special and Defferentiel Treatment SDT) dnh cho cc nc ang pht trin (CNPT). Cc quy nh ny c th c tm thy trong tng giai on gii quyt tranh chp, t giai on tham vn, thnh lp Panel n giai on xem xt bi Panel, bi AB hay trong giai on thng qua v thc thi cc khuyn ngh v quyt nh ca DSB. Chng c xy dng nhm gip CNPT khc phc hai tr ngi chnh khi tham gia c ch gii quyt tranh chp ca WTO: tr ngi v tim lc ti chnh, kinh t v tr ngi v nng lc, kinh nghim t tng ti WTO[8]. Thc tin gii quyt tranh chp ti WTO cho thy cc quy nh SDT ca DSU l khng hiu qu, rt t c vin dn thnh cng bi CNPT[9]. iu ny c gii thch bi ba nguyn nhn c bn. Th nht, i a s cc quy nh SDT ca DSU ch mang tnh cht tuyn b, thiu tnh chi tit v khng c c ch m bo s thc thi. Th hai, mt s quy nh nu khng c nhng hn ch ny th li nhm gii quyt nhng vn

 khng thc s l mi quan tm, hay nhng kh khn thc t ca CNPT. Th ba, cc quy nh SDT khng cp n cc quyn, li th v ni dung ca CNPT trong v tranh chp. Chng ch nhm mang n mt s nhng thun li, li th v mt th tc. V vy, vic s dng chng c th to ln nhng bt li v d lun cho CNPT. Trong khun kh Vng m phn Doha hin thi[10], gia nhng xut nhm hon thin c ch gii quyt tranh chp ca WTO, c kh nhiu xut nhm tng cng hiu qu ca cc quy nh SDT dnh cho CNPT[11]. Tuy nhin, c rt t trong chng t c s ng thun ca cc nc Thnh vin[12]. ng trc thc t nu trn, cu hi t ra l lm th no CNPT c th s dng mt cch hiu qu c ch gii quyt tranh chp ca WTO, c bit khi i mt vi h trong mt v tranh chp l mt nc pht trin c tim lc kinh t, nhn lc cng nh kinh nghim t tng ni tri hn hn?[13]. Bn cnh nhng kin nhn mnh n vic phi tng cng v s dng thng xuyn ch SDT, nhiu kin cho rng, CNPT thay v tm kim mt s i x u i v khc bit, cn ch ng tham gia mt cch bnh ng trn c s tn dng trit nhng c hi c c c trong v ngoi cc quy nh ca DSU[14]. ng h cho quan im ny, mt s nghin cu thc nghim ch ra rng, c nhiu nc trong CNPT s dng kh thng xuyn v thnh cng c ch gii quyt tranh chp ca WTO, bo v tt nhng li ch thng mi ca h ngay c trong cc tranh chp vi cc cng quc thng mi hng u nh Hoa K, EU[15] 2. V kin Tm ca Vit Nam: mt v d v s tham gia ch ng v bnh ng vo c ch gii quyt tranh chp ca WTO Trong qu trnh m phn gia nhp WTO, Vit Nam yu cu v c cc Thnh vin coi l mt nc ang pht trin vi thu nhp thp v n nc ngoi cao[16]. Vi t cch ny, Vit Nam nhn c mt s i x linh hot nht nh. Khi tr thnh Thnh vin ca WTO, Vit Nam cng c quyn vin dn cc quy nh SDT trong cc hip nh ca WTO, bao gm c Ngh nh th v gii quyt tranh chp. Ti v kin Tm, trong c giai on tham vn, thnh lp Panel ln trong qu trnh xem xt bi Panel, Vit Nam khng vin dn hay yu cu p dng bt k mt quy nh SDT ca DSU. Ngoi ra, rt ng lu l trong ton b Bo co ca Panel, cm t nc ang pht trin nhm ch Vit Nam khng h xut hin. T thc t ny, c th nhn nh rng, ngoi vic l nc ch ng khi kin, Vit Nam cn thc hin v kin vi t th hon ton bnh ng viHoa K, cng quc thng mi s mt ca WTO. Nhn nh trn y khng nhm loi tr vic nghin cu v tm kim nhng kh nng Vit Nam vn dng ch SDT trong tng lai. Kinh nghim ca mt s nc trong CNPT cho thy, mc d c nhng hn ch c hu, cc quy nh SDT trong DSU vn c th c p dng thnh cng, c bit khi nc ang pht trin l b n trong v tranh chp. Chng hn, trong trng hp cn c thm thi gian thch ng cho vic chun b h s v kin, CNPT c th yu cu p dng iu 10.12 ca DSU cho php kh nng ko di thi hn th tc tham vn. Tng t nh vy, nu l nc thua kin c ngha v phi thc thi phn quyt, h cng c th vin dn quy nh ti iu 21.2 ca DSU yu cu trng ti hoc cn nhc ni dung, mc ca bin php phi thc thi, hoc ko di thi hn c coi l hp l thc thi phn quyt ca DSB[17]. II. Mi quan h Nh nc T nhn: vai tr ca doanh nghip, ting ni ca chuyn gia v cc t chc dn s 1. Vai tr ca doanh nghip, cc Hip hi doanh nghip Trn phng din php l, cc tranh chp c gii quyt ti GATT trc y, cng nh ti WTO hin nay l cc tranh chp gia cc chnh ph. Tuy vy, trn thc t ng sau cc chnh ph trong mi v tranh chp li l nhng doanh nghip (DN) vi nhng li ch thng mi c th. Xut pht t cc hot ng thng mi mang tnh quc t ca mnh, cc DN hng ngy sng vi cc quy nh php lut, thc tin hnh chnh ca cc chnh ph nc ngoi. Trong i a s cc trng hp, chnh h ngi pht hin ra nhng bin php bo h, nhng hnh vi vi phm ca chnh ph nc ngoi v yu cu chnh ph ca h can thip i ph vi cc vi phm khi cn thit. Khi v tranh chp c a ra WTO, cc DN tr thnh i tc ca chnh ph: h cung cp chng c, lp lun php l cho cc c quan ca chnh ph theo ui v kin. c bit, xu hng ngy cng nhn mnh n vn cung cp chng c, thc hin ngha v chng minh

ca thc tin gii quyt tranh chp ti WTO mt cch gin tip lm tng ln ng k vai tr ca cc DN[18]. Ring i vi CNPT, DN cn c vai tr r nt hn, th hin vic h ng gp cng nh nc ngun kinh ph, gii thiu v cung cp ngun nhn lc chuyn gia, t vn v lut s trong mi v kin. Ti hu ht cc cng quc thng mi, t kh sm hnh thnh nhng c ch phi hp cht ch gia cc c quan ca nh nc vi x hi dn s ni chung v khi DN ni ring trong gii quyt cc tranh chp quc t v thng mi[19]. Cc nghin cu thc nghim ti CNPT c coi l thnh cng nht trong vic s dng c ch gii quyt tranh chp ca WTO cng i n kt lun l c ch hp tc hiu qu gia nh nc vi DN v cc hip hi DN l mt trong nhng nhn t tin quyt m bo s thnh cng[20]. Thc t trong v kin tm ca Vit Nam, vai tr ca Hip hi Ch bin v xut khu thu sn Vit Nam (VASEP) c th hin mt cch rt tch cc ngay t giai on cc DN ch bin, xut khu tm ca Vit Nam phi i mt vi cc bin php iu tra chng bn ph gi ca Hoa K t u nhng nm 2000[21]. Chnh VASEP l ch th ch ng xut a v kin tm ra WTO. Trong qu trnh theo ui v kin, vai tr ng gp ti chnh, gii thiu chuyn gia v lut s cho Chnh ph Vit Nam ca VASEP cng c th hin r. Tuy vy, v kin tm cng cung cp mt bi hc t gi cho cc DN Vit Nam, cho thy s cn thit tng cng nhn thc v tnh ch ng ca cc DN trong vic gii quyt cc tranh chp thng mi quc t. Trong v kin ny, ti ni dung khiu kin th 6 ca mnh, Vit Nam yu cu Panel tuyn b Hoa K vi phm iu 6.10.2 ca Hip nh chng bn ph gi ca WTO khi Hoa K gii hn cc DN Vit Nam c la chn iu tra ring r. Trong phn phn bc ca mnh, Hoa K lp lun rng theo quy nh ti iu 6.10.2 Hip nh chng bn ph gi, Hoa K ch c ngha v iu tra ring r i vi DN khng c la chn ban u nhng t nguyn cung cp thng tin c th xem xt iu tra. Theo Hoa K, trong qu trnh tin hnh cc r sot hnh chnh ang b khiu kin, khng c DN Vit Nam no khng c la chn nhng vn t nguyn cung cp thng tin nh theo quy nh ti iu 6.10.2[22]. Chp nhn lp lun ny ca Hoa K v sau khi khng nh Vit Nam khng a ra c bng chng tri ngc, Panel bc khiu kin ca Vit Nam[23]. Nh vy, ni dung khiu kin duy nht ca Vit Nam b bc trong v kin Tm c gii thch l xut pht t hnh vi th ng t cc DN Vit Nam. Nhn mt cch khi qut, s th ng ca cc DN, vai tr hn ch ca cc hip hi DN, ngnh hng Vit Nam c th c gii thch bi hai l do c bn. Mt mt, i a s cc DN Vit Nam l DN va v nh, s hiu bit v kinh nghim giao thng quc t, c bit l kinh nghim i ph vi cc tranh chp quc t cn hn ch. Mt khc, xt v phng din qun l nh nc, s lin kt gia cc DN, ngnh hng cng cn mt khung php lut ph hp[24]. iu ny cho thy, vic ban hnh mt vn bn tm mt o lut v hi, c bit c ni dung iu chnh v cc hip hi, ngnh hng l iu cn thit. Vai tr ca cc DN, cc hip hi DN, ngnh hng, c bit mi quan h gia cc ch th ny vi cc c quan nh nc trong gii quyt cc tranh chp thng mi quc t hin c cp ch yu trong mt ch th ca Th tng Chnh ph nm 2005[25]. Do ban hnh t trc thi im Vit Nam gia nhp WTO, Ch th c nhng ni dung tr nn lc hu. Chng hn, Ch th mi ch nhn mnh n cc tranh chp thng mi ti nc ngoi, cha cp hp l n vic gii quyt cc tranh chp ti cc t chc quc t nh WTO. Mt khc, Ch th cng cha thit lp c mt c ch phi hp chung gia cc c quan nh nc vi cc DN, cc hip hi DN. c bit, v l mt ch th ca Th tng, nhiu ni dung ca vn bn ch mang tnh cht iu hnh, gi tr quy phm thp. Nhng hn ch trn y cho thy, Vit Nam cn c mt vn bn c tnh quy phm, c gi tr php l cao gii quyt thch ng c ch phi hp gia cc DN, hip hi DN, ngnh hng vi cc c quan nh nc c thm quyn trong vic i ph vi cc tranh chp thng mi quc t ni chung v cc tranh chp ti WTO ni ring. 2. Ting ni ca chuyn gia, cc t chc dn s Khc vi cc DN, cc t chc dn s phi chnh ph khng c li ch thng mi trc tip trong cc v tranh chp ti GATT 1947 trc y, cng nh ti WTO hin nay. Xut pht t tin cc tranh chp ny l cc tranh chp gia cc chnh ph m trong c thi k ca GATT 1947 cng nh trong thi gian u ca WTO,

x hi dn s ni chung, cc c nhn, cc t chc phi chnh ph ni ring khng, hoc c ting ni rt hn ch, trong qu trnh gii quyt tranh chp. iu ny v ang tip tc c nhng thay i quan trng ti WTO[26]. T thc tin xt x ca mnh, AB tng bc d b nhng hn ch, thm ch khuyn khch s tham gia tch cc hn ca x hi dn s, c bit ca cc t chc phi chnh ph, thng qua c ch gi l amicus curiae[27]. ng thi trn y ca AB ngy cng gp phi s phn ng t cc nc thnh vin ca WTO, c bit t CNPT. Ngoi vic cho rng, amicus curiea khng c c s php l trong DSU, nh vy vic chp nhn chng nh din gii ca AB l mt hnh vi tim quyn ca c quan ny, CNPT cho rng, vic chp nhn rng ri amicus curiaeem li rt nhiu bt li cho h[28]. Th nht, vic chp nhn rng ri amicus curiaec ngha l chp nhn s can thip tch cc hn ca cc t chc phi chnh ph vo qu trnh gii quyt tranh chp ca WTO. Trn thc t, a s cc t chc phi chnh ph quan trng u c ngun gc t cc nc pht trin, v hu nh ch cc t chc ny mi c kh nng ti chnh, nhn lc tham gia. Th hai, nhng vn m cc t chc phi chnh ph thng quan tm l bo v mi trng, bo v ngi lao ng hay cc tiu chun thng mi lin quan n bo v sc khe con ngi, ca ng thc vt. y li chnh l nhng vn m CNPT ri vo v th yu v thng b ch trch. Th ba, v nhng l do trn, chp nhn s tham gia rng ri hn ca x hi dn s vo c ch gii quyt tranh chp ng ngha vi vic to thm s bt cn xng vn su sc trong tng quan gia CNPT vi cc nc pht trin. Nhng tranh ci v vai tr ca amicus curiae ang tip tc din ra ti Vng m phn Doha, bt chp n l ca AB vn tip tc c vin dn, p dng. Trong v kin Tm, ting ni ca chuyn gia ng gp mt phn ng k vo thng li quan trng nht ca pha Vit Nam. Trong v kin ny, chng minh phng php Quy v khng n gin (simple zeroing) c s dng bi USDOC trong cuc iu tra bn ph gi ban u cng nh cc t r sot hnh chnh tip theo i vi cc DN Vit Nam (ni dung 1), Vit Nam trnh ln Panel Bn khai c tuyn th ca mt chuyn gia phn tch thng mi c tn l Michael Ferrier, ngi tng lm vic cho USDOC trong phn tch c s d liu trn my tnh dng p dng phng php Quy v khng. Bn khai c tuyn th ca ng Michael Ferrier c Panel chp nhn nh mt phn trong h s ca Vit Nam, c dng nh mt chng c hu hiu Panel i n kt lun l phng php Quy v khng n gin trn thc t c p dng bi pha Hoa K[29]. Tng t, lin quan n ni dung khiu kin 2 ca Vit Nam v phng php Quy v khng v mt php l (zeroing as such), Bn khai c tuyn th ca ng Micheal Ferrier cng c Panel s dng nh mt chng c quan trng, lm c s cho kt lun v s vi phm ca Hoa K[30]. c bit, lin quan n ni dung ny, bc b lp lun ca Hoa K cho rng Bn khai c tuyn th ca ng Micheal Ferrier khng c coi l mt kin ca chuyn gia nhm chng mnh phng php Quy v khng as such ca Hoa K, Panel trch dn cc n l ca AB, theo Panel c quyn s dng cc ti liu trong h s ca cc bn trong v tranh chp bt chp mc ch ban u ca ngi cung cp chng c [31]. Din tin trn ca v kin chng t Vit Nam nhn nh v vn dng c hiu qu vai tr ca chuyn gia trong v tranh chp, gp phn quan trng vo thng li ca v kin. Tuy nhin, nhn v di hn, Vit Nam cn theo di cht ch din bin ca Vng m phn Doha lin quan n vn amicus curiae. c bit, khi cc doanh nghip Vit Nam phi i mt vi nguy c cao i vi cc hng ro k thut, cc bin php v sinh dch t, cc bin php nhm bo v mi trng hay cc tiu chun x hi cc th trng nc ngoi, Vit Nam cn ng v pha quan im chung ca CNPT v vn ny. Mt cch ch ng hn, Vit Nam cn c nhng c ch hp tc vi cc t chc phi chnh ph, cc t chc dn s hot ng trong lnh vc bo v ngi lao ng, bo v mi trng. Mc d cha lin quan n mt v tranh chp thng mi c th, nhng nhng s kin din ra va qua trong quan h vi Qu bo v ng vt hoang d th gii (WWF) Chu u l mt kinh nghim cho vn ny[32]. III. Bn th ba trong v tranh chp: ngha ca vic tch cc tham gia v nh hng t s tham gia ca cc Thnh vin khc 1. ngha ca vic tch cc tham gia vo cc v tranh chp vi t cch bn th ba

Vic mt nc tham gia vo qu trnh gii quyt tranh chp ca WTO vi t cch l bn th ba c hnh thnh t thc tin ca GATT trc y v hin c quy nh kh chi tit trong DSU ca WTO[33]. Theo quy nh ca DSU, mt nc Thnh vin c th tham gia vo tin trnh gii quyt tranh chp gia cc nc Thnh vin khc t giai on tham vn[34], trong giai on xem xt bi Panel[35]cng nh trong giai on phc thm[36]. iu kin mt nc c th tr thnh bn th ba trong mt v tranh chp c quy nh kh n gin. Trong giai on tham vn, nc yu cu tham gia vi t cch bn th ba phi c mt li ch thng mi ng k trong v tranh chp, v yu cu tham gia phi c bn c yu cu tham vn chp thun. Trong giai on xem xt bi Panel, nc yu cu tham gia ch cn c li ch ng k trong v kin v khng cn phi c s chp thun ca cc bn trong v tranh chp. Mt nc yu cu tham gia vi t cch bn th ba trong giai on xem xt bi Panel c th tip tc tham gia vi t cch trong giai on phc thm. Trn thc t, tuyt i a s cc yu cu tham gia vi t cch bn th ba u c chp nhn, thm ch trong nhiu trng hp, nc yu cu ch cn vin l do c li ch mang tnh h thng trong v kin[37]. Vi t cch l bn th ba, nc Thnh vin tham gia c quyn th hin kin ca mnh i vi cc vn c cp trong v tranh chp bng cch gi vn bn n Panel, hoc pht biu trc tip ti cc phin hp, c nhn cc vn bn trnh ca cc bn tranh chp cho phin hp u tin ca Panel. Cc kin ca bn th ba phi c gi cho cc bn tranh chp v phi c phn nh trong bo co ca Panel[38]. Trong giai on phc thm, kin ca bn th ba cng phi c lng nghe bi AB. Trong trng hp bn th ba thy rng quyn li thng mi ca mnh b nh hng bi bin php ang l i tng ca v tranh chp, h c quyn khi ng mt v kin mi theo trnh t quy nh ti DSU[39]. Cn c cc quy nh ca DSU, quyn can thip vi t cch bn th ba c quy nh l nhm cho php cc nc khng phi cc bn trong mt v tranh chp c th bo v c cc li ch ca mnh. Tuy nhin, trn thc t, cc nc thng s dng c ch can thip ny vi nhng mc ch khc nhau. Th nht, vic mt nc tham gia vi t cch bn th ba c th nhm theo di mt cch c h thng qu trnh gii thch, p dng cc quy nh ca WTO khng nhng bi cc nc Thnh vin khc, m cn bi c cc c quan gii quyt tranh chp ca WTO. Th hai, bng vic tham gia vi t cch bn th ba, c bit trong giai on Panel v phc thm, mt nc Thnh vin c th hy vng nh hng n quan im v phn quyt ca c quan gii quyt tranh chp ca WTO. Theo quy nh ca DSU, quan im v quyn li ca bn th ba phi c cn nhc y trong qu trnh gii quyt tranh chp. Th ba, c ch tham gia vi t cch bn th ba cng c th c s dng, c bit bi CNPT, cc nc mi gia nhp WTO nh mt bin php tp dt, lm quen vi cc th tc, quy trnh t tng gii quyt tranh chp ti t chc ny. Theo thng k chnh thc ti WTO, cho n nay, Vit Nam tham gia vo 9 v kin khc nhau vi t cch l bn th ba[40]. Vi mt khong thi gian ngn k t thi im tr thnh Thnh vin ca WTO, Vit Nam c th c coi l mt trong nhng nc tch cc nht tham gia vo c ch gii quyt tranh chp vi t cch l bn th ba. Phn ln cc v vic m Vit Nam tham gia u lin quan n vic s dng cc bin php t v thng mi nh bin php chng bn ph gi, chng tr cp[41]. c bit, trong c nhng v vic gii quyt trc tip cc khiu kin v bin php Quy v khng ca Hoa K[42]. Khi tham gia vi t cch bn th ba vo hng lot cc v vic nu trn, Vit Nam hu nh khng by t thi v ni dung cc v tranh chp thng qua vic a ra cc kin bng vn bn hay pht biu ti cc phin tranh tng trc tip. Duy nht, trong v vic Hoa K kin ch thu nhp khu b sung ca n , Vit Nam by t quan im c trong giai on xem xt bi Panel[43] v trong giai on phc thm[44]. Ngoi ngha lm quen vi quy trnh t tng ti WTO, s dng cc c hi th hin quan im trong cc v vic m Vit Nam nh gi c li ch ng k, vic tch cc tham gia ca Vit Nam vi t cch bn th ba vo cc v tranh chp hn c nhng tc dng tch cc trong qu trnh thc hin v kin Tm, c bit lin quan n ni dung khiu kin phng php Quy v khng ca Hoa K. Thc t, trong cc lp lun ca mnh, Vit Nam vin dn nhiu ln thc tin xt x ca WTO v bin php Quy v khng. V phn mnh,

Panel cng thng xuyn s dng cc n l ca AB ca WTO a ra cc kt lun c li cho Vit Nam lin quan n ni dung khiu kin ny[45]. C th ni, vic nm bt v s dng nhng n l phong ph ti WTO v bin php Quy v khng ca Hoa K ng gp mt phn rt quan trng vo mt chin thng c d bo trc ca Vit Nam trong v kin Tm[46]. 2. nh hng t s tham gia ca cc nc Thnh vin th ba khc trong v tranh chp Vn tham gia vi t cch bn th ba cng c th c nhn nhn t mt gc khc trong v kin Tm. Thc t, c 7 Thnh vin khc tham gia vo v kin vi t cch l bn th ba, bao gm Trung Quc, Hn Quc, n , Nht Bn, M-hi-c, Thi Lan v EU[47]. Lin quan n cc ni dung khiu kin 1, 2 v 3 ca Vit Nam v vic p dng phng php Quy v khng ca Hoa K, tt c nhng Thnh vin l bn th ba c a ra kin u ng h quan im ca Vit Nam v ngh Panel i theo nhng n l c ca AB c li cho quan im ca Vit Nam. Nh thy, Panel xt cho Vit Nam thng kin trong c ba ni dung ny. Tuy nhin, lin quan n ni dung khiu kin th 4, v vic Hoa K p dng thu sut ton quc (country wide rate), tr Trung Quc ng h quan im ca Vit Nam, tt c cc bn th ba c kin u ng h quan im ca Hoa K[48]. Ti ni dung ny, Panel kt lun ng h quan im ca Vit Nam v Trung Quc. Nhng din tin trn y ca v kin cho php i n mt s nhn nh sau: Th nht, i vi cc ni dung khiu kin v phng php Quy v khng ca Hoa K, mc d kt lun ca Panel c c s vng chc t n l ca AB, s ng h rng ri ca cc bn th ba trong v kin hin nhin l mt li th i vi Vit Nam. Mt s ng h nh vy v nguyn tc cng s c li trong qu trnh gim st, m bo thc thi phn quyt gii quyt tranh chp sau ny. Th hai, s ng h rng ri ca cc bn th ba i vi cc ni dung khiu kin v phng php Quy v khng ca Hoa K l iu hon ton d hiu: hu ht cc Thnh vin ca WTO u hoc s c th tip tc l i tng b thit hi t phng php ny trong lnh vc iu tra chng bn ph gi. Tuy nhin, i vi ni dung khiu kin th 4 ca Vit Nam, v vn thu sut ton quc (country wide rate) trong chng bn ph gi ch c t ra i vi nhng nc b i x l nn kinh t phi th trng, tiu biu nht l Trung Quc v Vit Nam, do vy, cc nc khng nhng khng c li ch khi phn i bin php ca Hoa K, m thm ch h cn c li ch ng h bin php . Trn thc t bn thn h cng c th ang i x vi Vit Nam (v Trung Quc) mt cch tng t nh Hoa K ang lm. Nh vy, s tham gia ca bn th ba vo v tranh chp l c tc ng hai mt, tu thuc vo vic cc bn th ba c quan im ng h hay phn bc i vi mi bn trong v kin. Th ba, nu nhn t li ch ca nguyn n, s tham gia ca bn th ba trong v kin, ngay c khi c c s ng h ca h, cng c th em li bt li cho vic gii quyt v vic. S ng h rng ri ca nhiu bn th ba ng v quan im ca nguyn n s to nn sc p ln i vi b n, to nguy c h phi nhng b nhiu hn so vi trng hp nu h ch phi nhng b ring vi nguyn n. Do vy, trong giai on tham vn, b n s kh chp nhn mt gii php da trn thng lng nh mc ch u tin ca DSU[49] v v vic c kh nng ln hn phi c gii quyt bng th tc t tng ko di. Trong giai on thng qua bo co gii quyt tranh chp, sc p t vic phi nhng b ln hn cng a n kh nng b n s khng co cao hn. Tng t, trong giai on thc thi phn quyt gii quyt tranh chp, kh nng bn b n thua kin sa i lut l, tun th vi quyt nh gii quyt tranh chp s thp hn, xut pht t vic h phi tnh ton li ch m h phi t b c trong vi quan h ca bn th ba tham gia vo v vic, c bit nu bn th ba chim mt v tr quan trng trong chnh sch thng mi quc t ca h. Nhn nh th ba trn y c th c ngha quan trng trong vic nh gi din tin tip theo ca v kin Tm. Chng hn, t nhn nh ny, c th i n gi nh rng nu Hoa K khng co bo co ca Panel, th kt lun ca Panel v ni dung khiu kin th 4 ca Vit Nam s l vn c u tin trong n khng co. Hn na, ngay c khi Hoa K khng khng co, kh nng Hoa K chp nhn sa i lut l, t

b vic p dng thu sut chung ton quc trong iu tra bn ph gi i vi cc DN t nn kinh t phi th trng l rt thp, xt nhng h qu i vi Hoa K trong mi quan h thng mi vi Trung Quc. IV. Xc nh phm vi v thi im khi kin: bi hc quan trng t v kin Tm Vic xc nh phm vi ca v kin v thi im khi kin c ngha c bit quan trng i vi mi v kin ti WTO. y chnh l hai trong s nhng nhn t to nn s cha trn vn trong thng li ca Vit Nam ti v kin Tm. Trn thc t, cc ni dung m Vit Nam khiu kin lin quan cc bin php ca Hoa K trong t iu tra ln u, trong cc t r sot hnh chnh v r sot cui k ca v kin chng bn ph gi tm ca Vit Nam ti Hoa K. V t iu tra ln u v t r sot hnh chnh th nht hon ton din ra trc khi Vit Nam gia nhp WTO[50], cc bin php do Hoa K thc hin vo thi gian khng th b khiu kin v xem xt bi Panel. i vi t r sot hnh chnh ln 4[51] v 5[52] cng nh t r sot cui k[53], v vo thi im Vit Nam khi kin ra WTO u cha c kt qu cui cng, v nguyn tc cng khng thuc thm quyn xem xt ca Panel. Vi nhng l do ny, phm vi khiu kin cng nh cc kt lun ca Panel ch lin quan n cc t r sot hnh chnh ln 2 v 3 ca Hoa K. Tuy nhin, vic c c phn quyt ca WTO i vi c cc t r sot th 4, 5 v t r sot cui k mi thc s c ngha i vi cc DN Vit Nam. Mt mt, v cc quyt nh gii quyt tranh chp ca WTO ch c gi tr hiu lc cho tng lai, vic cc DN Vit Nam c gim hoc d b thu bn ph gi trn c s thc thi quyt nh gii quyt tranh chp ch c th c thc hin t t r sot ln 4. Mt khc, theo quy nh ca php lut Hoa K, cc DN Vit Nam s c d b lnh p dng thu bn ph gi v thot khi v kin nu trong ba ln r sot hnh chnh lin tip bin bn ph gi ca h c xc nh bng khng (0) [54]. iu ny ch c th t c khi tnh c t r sot hnh chnh ln 4. C l xut pht t bi cnh trn, Vit Nam xc nh vic tip tc s dng cc bin php b khiu kin ca Hoa K l mt trong nhng ni dung khiu kin, yu cu Panel gii quyt. Nu c c thng li v ni dung khiu kin ny, th cc kt lun ca Panel s c p dng c vi cc t r sot hnh chnh ln 4, 5 cho d vo thi im xem xt, kt qu cui cng ca cc t r sot ny cha c cng b. i mt vi ni dung khiu kin ny ca Vit Nam, Hoa K cho rng Panel khng c thm quyn, vi hai lp lun c bn: th nht, Vit Nam khng nu trong vn bn yu cu thnh lp Panel vic tip tc s dng bin php b khiu kin l bin php m Vit Nam khiu kin[55]; th hai, vic tip tc s dng bin php b khiu kin khng th c coi l bin php c th b khiu kin v c gii quyt theo c ch gii quyt tranh chp ca WTO bi n cp n nhng bin php trong tng lai[56]. Lin quan n lp lun th nht, Hoa K vin dn iu 6.2 ca DSU, theo , thm quyn gii quyt tranh chp ca Panel ch c hnh thnh khi: 1) cc ni dung khiu kin c cp n trong cc cuc tham vn gia cc bn; 2) vn bn yu cu thnh lp Panel nu r cc bin php b khiu kin; 3) trong vn bn yu cu thnh lp Panel trnh by mt cch ngn gn c s php l ca cc khiu kin. Xem xt lp lun th nht ca Hoa K, Panel nhn nh rng trong vn bn yu cu thnh lp Panel ca Vit Nam, khng c d kin no chng t Vit Nam nu vic tip tc s dng cc bin php b khiu kin l mt trong nhng ni dung khiu kin[57]. T nhn nh ny, Panel t chi gii quyt ni dung khiu kin th 7 ca Vit Nam v vic tip tc s dng bin php b khiu kin, m khng cn xem xt lp lun th hai ca Hoa K[58]. Nh vy, lin quan n ni dung khiu kin th 7, bi hc kinh nghim rt ra t v kin Tm l vic xc nh phm vi v kin v thi im khi kin. V kin rt c th c kt qu trn vn hn i vi Vit Nam nu thi im khi kin c thc hin sau t r sot hnh chnh ln 4 ca Hoa K, hoc n yu cu thnh lp Panel nu r vic tip tc s dng cc bin php b khiu kin l mt trong nhng ni dung khiu kin. Qu trnh hi nhp ngy cng su rng vo nn kinh t, thng mi quc t ng ngha vi vic tham gia ngy cng ph bin vo cc tranh chp thng mi quc t, xt c t pha DN cng nh t pha Nh nc. Trong bi cnh , vi t cch l v kin u tin Vit Nam ch ng tin hnh v ginh thng li ti WTO, v kin Tm c ngha quan trng i vi Vit Nam. Bn cnh nhng li ch thng mi cho DN, li th v

ngoi giao kinh t cho Nh nc, v kin tm cng c th em li nhng kinh nghim hu ch trong gii quyt cc tranh chp thng mi quc t, nc ngoi cng nh ti WTO trong tng lai. V kin Tm cho thy, thi ch ng chun b, tch cc tham gia c t pha cc DN ln t pha cc c quan nh nc l yu t quan trng hng u trong gii quyt cc tranh chp. iu ny cng nhn mnh n nhu cu to dng v hon thin mt hnh lang php l ph hp cho s lin kt, phi hp gia cc DN, s tham gia tch cc ca cc DN, hip hi DN ni ring cng nh ca cc t chc thuc x hi dn s ni chung cng vi cc c quan nh nc phng nga v gii quyt cc tranh chp thng mi quc t. V kin Tm cng cho thy, c th s dng tt c ch gii quyt tranh chp ca WTO nhm bo v nhng chnh sch thng mi quc gia, i ph hiu qu vi nhng chnh sch, bin php bo h ca nc ngoi, vic vic nm vng v s dng linh hot cc c ch t tng ti WTO l iu ht sc quan trng. V im ny, chng ta cn y mnh nghin cu, vn dng cc n l v thc tin gii quyt tranh chp ca C quan phc thm ca WTO. Cui cng, nhng phn tch t gc li ch ca DN cho thy, c th t c tt c nhng li ch t v kin Tm, vic khi ng mt v kin mi ti WTO nhm vo cc t r sot hnh chnh ln 4, 5 v t r sot cui k ca Hoa K nn sm c xem xt. V im ny, c hai kh nng cn c nghin cu mt cch thu o: hoc v kin mi s l mt v kin tng t nh v kin hin ti, trn c s tip tc s dng nhng yu cu v lp lun php l ca v kin hin ti nhng p dng cho cc t r sot hnh chnh ln 4, 5 v t r sot cui k ca Hoa K; hoc v kin mi s l mt s ko di ca v kin hin ti trn c s a ra khiu kin v vic tip tc s dng bin php b khiu kin ca Hoa K, vi cc lp lun php l tng ng[59]./. Ch thch: [1] Xem Ngh quyt ca Quc hi s 71/2006/QH11 ngy 29/11/2006 Ph chun Ngh nh th gia nhp Hip nh thnh lp T chc thng mi th gii ca nc CHXHCN Vit Nam. [2] Xem T trnh s 150/TTr-CP ca Chnh ph ngy 11/11/2006 V kt qu m phn gia nhp T chc thng mi th gii v ph chun Ngh nh th gia nhp Hip nh thnh lp T chc thng mi th gii. [3]United-State Antidumping measures on certain shrimp from Viet Nam- Request for Consultations by Viet Nam, Doc. WT/DS404/1, 4 February 2010. Sau y gi tt l v kin Tm, theo k hiu v kin ti WTO l v DS404. [4] DS404, Request for the Establishment of a Panel by Viet Nam, Doc. WT/DS404/5, 9 April 2010. [5] Cc ni dung ny bao gm: 1) Vic Hoa k s dng phng php Quy v khng (Zeroing as applied) tnh bin bn ph gi i vi cc doanh nghip b iu tra bt buc; 2) Phng php Quy v khng ca Hoa K v mt php l (as such); 3) Vic Hoa K s dng bin bn ph gi theo phng php Quy v khng tnh mc thu chung (all others rate); 4) Vic Hoa K p dng mc thu sut ton quc (country wide rate) cho mt s doanh nghip khng b iu tra hoc r sot ring r; 5) Vic Hoa K s dng cc d liu c sn bt li cho vic tnh ton mc thu sut ton quc; 6) Vic Hoa K gii hn cc doanh nghip Vit Nam c la chn iu tra ring r (sampling); 7) Vic Hoa K tip tc s dng bin php b khiu kin (continued use of challenged practices). Xem: DS404, Report of the Panel, Doc. WT/DS404/R, 11 July 2011, para. 3.1, p.3. [6] DS404, Report of the Panel, Doc. WT/DS404/R, 11 July 2011. [7] Xem nhn nh ca ng Nguyn Hu Dng, Ph Ch tch thng trc ca Hip hi ch bin v xut khu thu sn Vit Nam (VASEP) trn bo in t Ngi lao ng ngy 12/7/2011: V kin Tm: mi thng mt na http://nld.com.vn/20110712112951140p0c1014/vu-kien-tom-moi-thang-mot-nua.htm [8]FRANOIS, Joseph, HORN, Henrik and KAUNITZ, Niklas, Trading Profiles and Developing Country Participation in the WTO Dispute Settlement System, IFN (Research Institute of Industrial Economics) Working Paper No. 730, 2008; BOWN, Chad P., HOEKMAN, Bernard M., Developing Countries and Enforcement of Trade Agreements: Why Dispute Settlement is Not Enough, Journal of World Trade, Vol. 42, 2008, pp. 177-203.

[9] ROESSLER, Friedder, Special and differential treatment of developing countries under the WTO dispute settlement system: http://www.scribd.com/doc/17249044/Special-and-Differential-Treatment-of-DevelopingCountries-Under-the-Wto [10] Vng m phn Doha ca WTO c khi ng t nm 2011, sau rt nhiu thay i lch trnh, hin vn trong tnh trng b tc. Xem thm thng tin ti:www.wto.org/english/tratop_e/dda_e/dda_e.htm [11] Xem cc bo co ca Ch tch cc Phin hp c bit ca C quan gii quyt tranh chp: ti liu WTO -TN/DS/9 ngy 6/6/2003; WTO JOB(08)81 ngy 18/6/ 2008. [12] BALS, P., Chairing the DSU Negotiations: An Overview, in GEORGIEV, D., and VAN DER BORGHT, K. (edited by), Reform and Development of the WTO Dispute Settlement System , 2006, p.16. [13] NORDSTROM, Hakan and SHAFFER, Gregory, Access to justice in the wto: a case for a small-claims procedure?, in THOMAS Chantal, TRACHTMAN, Joel P. (Edited by), Developing countries in the WTO legal system, Oxford University Press, New York, 2009. [14] Xem QURESHI, Asif H., Participation of developing countries in the WTO dispute settlement system, in ORTINO, Federico and PERTESMANN, Ernst-Ulrich (edited by), sd., Ch thch 13, tr. 494. [15] SHAFFER, Gregory and al., Brazils Response to the Judicialized WTO Regime: Strengthening the State through Diffusing Expertise, ICTSD South America Dialogue on WTO Dispute Settlement and Sustainable Development, Sao Paolo, Brazil 22-23 June 2006. [16] Xem Bo co ca Ban cng tc v vic Vit Nam gia nhp WTO, ti liu WT/ACC/VNM/48 ngy 27/10/2006, on 6, tr.5. [17] Nm 1998, theo yu cu ca Indonesia, Trng ti c thnh lp theo th tc quy nh ti iu 21.3c p dng iu 21.1 ca DSU trao cho Indonesia thm 6 thng so vi thi hn hp l nhm thc thi phn quyt ca C quan gii quyt tranh chp. Xem: Indonesia Certain measures affecting the automobile industry, Arbitration under article 21.3 c) of the DSU, doc. WT/DS54/15, 7/12/1998, para. 24. [18] ALAVI, Amin, On the (Non)-Effectiveness of the World Trade Organizations Special and Differential Treatments in the Dispute Settlement Process, Journal of World Trade, Vol. 40, 2007, pp. 319-349. [19] SHAFFER, Gregory C., Whats new in EU trade dispute settlement? Judicialization, public-private networks and the WTO legal order, Journal of European Public Policy, Vol. 13, No 6, 2006 , pp. 832-850. [20] BOHL, Kristin, Problems of developing country access to WTO dispute settlement, Chicago-Kent Journal of International & Comparative Law, Vol.9, 2009, p. 175. [21] c thm thng tin, c th xem: Bao Anh Thai, An analysis of lessons learned from catfish and shrimp anti-dumping cases: http://www.baolawfirm.com.vn/dmdocuments/an_anylysis_of_lessons_learned_from_antidumping_case.pdf [22] DS404, Bo co ca Panel, on 7.182. [23] DS404, Bo co ca Panel, on 7.183. [24] Chng hn, xem CATBAGAN Aaron, Rights of Action for Private Non-state Actors in the WTO Dispute Settlement System, Denver Journal of International Law and Policy, Vol. 37, 2009, p. 295. [25] Ch th s 20/2005/CT-TTg ngy 9/6/2005 ca Th tng Chnh ph V vic phng, chng cc v kin thng mi nc ngoi. [26] STERN Brigitte, Lintervention des tiers dans le contentieux de lOMC, R.G.D.I.P, Tome CVII-2003, pp. 258-259; VAN DEN BOSSCHE, Peter, NGO involvement in the WTO : A lawyers perspective on a glass half-full or half-empty?, Maastricht Faculty of Law Working Paper 2006/10, Maastricht, 2006. [27] Amicus curiae l mt thut ng La-tinh (Bn ca quan to) din t trng hp mt bn th ba trong mt v tranh chp gi n to n kin ca mnh v mt s vic hay php l nhm gip to n a ra phn quyt cho v tranh chp. Xem ZAMBELLI Mirko, lAMICUS CURIAE dans le rglement des diffrends de lOMC: tat des lieux et perspectives, Revue internationale de droit conomique, 2005, pp. 199-200. [28]BERGSTROM Amanda, Imbalance of Power: Procedural Inequities within the WTO Dispute Settlement System, Pacific McGeorge Global Business & Development Law Journal, Vol. 22, 2009, pp. 95-97. [29] Xem DS404, Bo co ca Panel, Mc D.2, t on 7.73 n on 7.101.

[30] DS404, Bo co ca Panel, Mc D.3, t on 7.102 n on 7.142. [31] DS404, Bo co ca Panel, on 7.114, c bit Ch thch s 170. [32] Thng tin v v vic, chng hn xem: Chu Khi, C tra Vit Nam li b chi xu, VnEconomy, 19/4/2011: http://vneconomy.vn/20110419092037741P0C10/ca-tra-viet-nam-lai-bi-choi-xau.htm [33] FOOTER Mary E., Some aspects of third party intervention in GATT/WTO dispute settlement proceedings, in PETERSMANN Ernst-Ulrich (Edited by), International trade law and the GATT/WTO dispute settlement system, Kluwer law, London-The Hague-Boston, 1997, pp. 213-245. [34] DSU, iu 4.11. [35] DSU, iu 10. [36] DSU, iu 17.4. [37] BUSCH Marc L., REINHARDT Eric, With a little help from our friends? Developing country complaints and third-party participation, in THOMAS Chantal, TRACHTMAN Joel P. (Edited by), Developing countries in the WTO legal system, Oxford University Press, New York, 2009, pp. 250-251. [38] DSU, iu 10.2 v 10.3. [39] DSU, iu 10.4 [40] Xem thng k ti Mc Dispute cases involving Viet Nam trn tranh Web ca WTO: http://www.wto.org/english/thewto_e/countries_e/vietnam_e.htm [41] Xem United States Use of Zeroing in Anti-Dumping Measures Involving Products from Korea (Report of the Panel), Doc. WT/DS402/R, 18 january 2011; European Union Anti-Dumping Measures on Certain Footwear from China (Request for Consultations by China), Doc. WT/DS405/1, 8 february 2010; China Countervailing and Anti-Dumping Duties on Grain Oriented Flat-rolled Electrical Steel from the United States (Request for Consultations by the United States), Doc. WT/DS414/1, 20 september 2010. [42] Xem v DS343, DS402 nu trn. [43] India Additional and Extra-Additional Duties on Imports from the United States (Report of the Panel), Doc. WT/DS360/R, 9 june 2008, paras. 563-567. [44] India Additional and Extra-Additional Duties on Imports from the United States (Report of the Appellate body), Doc. WT/DS360/AB/R, 30 october 2008, paras. 111-112. [45] V d, xem DS404, Bo co ca Panel, on 7.112, ch thch s 136; on 7.119. [46] V d bo thng li ca Vit Nam trong v kin Tm, chng hn xem bi vit Vit Nam kin M ra WTO: kh nng thng rt cao, Bo in t Din n doanh nghip, ngy 27/3/2010, ti a ch: http://dddn.com.vn/2010032310594626cat81/viet-nam-kien-my-ra-toa-kha-nang-thang-rat-cao-.htm [47] DS404, Bo co ca Panel, on 1.7. [48] DS404, Bo co ca Panel, on 7.243. [49] iu 3.7 ca DSU c on: Mt gii php tho thun m cc bn cng chp nhn v ph hp vi cc hip nh c lin quan c bit u tin [50] iu tra ln u c B Thng mi Hoa K (USDOC) khi ng vo ngy 20/1/2004, kt lun vo ngy 8/12/2004. Ngy 1/1/2005 USDOC chnh thc cng b quyt nh p thu bn ph gi. t r sot hnh chnh ln 1 p dng cho giai on t 16/7/2004 n 31/1/2006, kt lun cho t r sot ny c a ra vo ngy 12/12/2007. Xem DS404, Bo co ca Panel, on 7.24 v 7.25. [51] c p dng cho giai on t 1/2/2008 n 31/1/2009, kt lun cho t r sot ny c cng b ngy 9/8/2010. Xem DS404, Bo co ca Panel, on 7.28. [52] c p dng cho giai on t 1/2/2009 n 31/1/2010. Trong thi gian v kin Tom c xem xt bi Panel, t r sot ny vn ang c tin hnh. Xem DS404, Bo co ca Panel, on 7.29. [53] c bt u t 4/1/2010, 5 nm k t ngy c quyt nh p thu bn ph gi. Ngy 7/12/2011, USDOC chnh thc cng b kt qu r sot cui k, theo nu lnh p thu bn ph gi c d b, hin tng bn ph gi vn tn ti hoc ti din vi bin bn ph gi c xc nh t 4,30 n 25,76%,

khng thay i so vi kt qu c c t ln iu tra ban u nm 2004. Xem DS404, Bo co ca Panel, on 7.30. [54] iu 351.222 Mc 19 ca B lut Lin bang (19 CFR 351.222) ca Hoa K. [55] DS404, Bo co ca Panel, on 7.39. [56] DS404, Bo co ca Panel, on 7.39. [57] Theo Panel, Vit Nam ch cp n vic tip tc s dng cc bin php khiu kin nh bin php khiu kin trong cc vn bn gi Panel sau vn bn yu cu thnh lp Panel. [58] DS404, Bo co ca Panel, on 769-770. [59] Trong v kin Tm, Vit Nam vin dn kh nhiu thnh cng ca EU trong mt v kin c ni dung tng t nh ni dung khiu kin th 7 ca Vit Nam. Xem v United-States Continued existence and application of zeroing methodology, Report of the Appellate Body, Doc. WT/DS350/AB/R, 4 february 2009. Mt v kin tng t khc do Brazil khi ng v ginh thng li ngay trc v kin Tm ca Vit Nam, xem United States Anti-Dumping Administrative Reviews and Other Measures Related to Imports of Certain Orange Juice from Brazil Report of the Panel, doc. WT/DS382/R, 25/5/2011.