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MỘT SỐ VẤN ĐỀ NHÌN TỪ GÓC ĐỘ TỐ TỤNG TRONG VỤ KIỆN ĐẦU TIÊN CỦA VIỆT NAM TẠI
MỘT SỐ VẤN ĐỀ NHÌN TỪ GÓC ĐỘ TỐ TỤNG TRONG VỤ KIỆN ĐẦU TIÊN CỦA VIỆT NAM TẠI
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.