Luận văn, báo cáo, luận án, đồ án, tiểu luận, đề tài khoa học, đề tài nghiên cứu, đề tài báo cáo - Kinh tế - Quản lý - Kinh Tế - Economic NHA NirdC VA PM^i; KIM NGHI H O A N T H I E N CAC DIEU KIEN AP DUNG BIEN PHAP TU VE DOI Vdl HANG HOA NHAP KHAU Kim Ihi Hanh ThS. NCS. Pho ban Van hoa - Xa hoi. HDND tinh Tav Ninh. Thong tin bai viet: Tit khoa: cac dieu kien ap dung bien phap tu ve, bien phap tir ve, dien tien khong luong tmoc duac, Luat Quan ly ngoai thucmg, WTO Ljch su bai viit- Nhan bai Bien tap Duyet bai 30032019 07042019 16042019 Article Infomation: Keywords: conditions for imposition of safeguard measure; safeguard measures; Law Foreign Trade Management, WTO. Article History. Received : 30 Mar. 2019 Edited : 07 Apr. 2019 Approved 16 Apr. 2019 Tom tat: Cac dieu kien ap dung bien phap tu ve doi voi hang hoa nhap khau vao Viet Nam quy dinh tai Dieu 92 Luat Quan ly ngoai thuang nam 2017 chua the hten ddy dii cac cam kh Viet Nam da ky kt voi WTO va FTA Viet Nam - Nhat Ban, do la quy dmh vS danh gia yeu to "dien tien khong luong tnroc duoc", mot trong nhung yeu cau can dam bao khi xem xet cac dieu kien ap dung bien phap tu ve. Day la mot van de can dugc nghien cuu de hoan thien phap luat ve tu ve doi voi hang hoa nhap khau vao Viet Nam. Abstract The conditions for imposition of safeguard measures against the imports into Vietnam as stipulated at Article 92 of the Law on Foreign Trade Management of 2017 do not hjlly reflect Vietnam''''s commitments signed with the WTO and FTA by Vietnam - Japan, that is the provision on evaluation of "unforeseen developments" as one of the requirements to be taken into consideration when considering the conditions for imposition of safeguard measures. This is an issue needed to be reviewed for improvement ofthe law on safeguard measures to the imports into Vietnam. 1. Khai quat chung Hiep dinh chung ve Thue quan va Thuang mai (GATT 1994) cho phep qu6c gia thanh vien duac quyen ap dung cac bien phap phong ve thucmg mai nhimg khong dugc phuang hai den muc dich chung la thiic day va tang cuong he thong thuong mai quoc te. Cac bien phap phong ve thucmg mai dugc cho phep bao gom: chong ban pha gia, chong trg cap va tu ve thuang mai. Bien phap tu ve dugc quy dinh tai Dieu XIX cua GATT 1994 va Hiep dinh ve cac bien phap tu ve (SG). Mac dii hai van ban nay deu khong dua ra djnh nghia the nao la bien phap tu ve, tuy nhien, can cu Bieu XIX. 1 (a) co the thay rang, bien phap tu ve dugc ap dung khi "do hau qua ctia nhung dien tiin khong luong truc dugc va do ket qua ciia nhimg nghTa vu, trong do co nhung nhan nhugng thue quan ciia mgt ben ky ket theo Hiep dinh nay, —. NGHIEN Ciru I -yi S6l0(386)T52019 \ L A P P H 5 " I " NHA NUQC VA PHAP LUAT mgt san pham dugc nhap khdu vao lanh tho ciia ben ky ket do vai so lugng gia tang va vai cac dieu kien dhn muc gay thiet hai hoac de dga gay thiet hai nghiem trgng cho cac nha san xuSt nhung san pham tucmg tu hay san pham canh tranh true tiep trong nuac". Ben canh do, Diau XIX cua GATT 1994, Di6u 2.1 va Dieu 4.2 cua SG quy dinh, chi dugc ap dung bien phap tu vedoi vol hang hoa nhap khau sau qua trinh dihu tra va chung minh dugc tren thuc ta co su t6n tai d6ng thai ciia ba yhu td: (1) su gia tang nhap khiu tuyet d6i hoac tuang doi mat hang do vao thi truang ngi dia; (2) nganhsan xudt trong nuac san xuat ra cac san pham tuong tu hoac cac san pham canh tranh true tiep bi thiet hai nghiem trgng hoac de dga thiet hai nghiem trgng; (3) co moi quan he nhan qua giira sir gia tang nhap khau vai nhirng thiet hai do. Mat khac, trong boi canh hinh thanh cac Hiep dinh Thucmg mai tu do (FTA), viec giam thue, uu dai thue thucmg thap hem miic thue dugc thuc hien theo nguyen tac toi hue quoc (MFN) dugc quy dinh cua WTO, vi the, nganh san xuat trong nuoc cua cac ben tham gia FTA se gap rat nhieu riii ro, gay ton hai hoac de dga gay ton hai cho nganh san xuat trong nucrc khi nen kinh te phai thich img vai su canh tranh trong moi trucmg mai. Do do, cac bien phap tu ve tro thanh cong cu bao ve rat quan trgng trong FTA, dac biet la trong giai doan chuyen tiap. Vi vay, cac thoa thuan ve bien phap tu ve trong cac FTA rdt chii y den each thirc ap dung cac bien phap tu ve. Day la mgt quy dinh gi6ng nhu "mgt van cuu sinh" de ngan ehan tac dgng tieu cue den nganh san xuat trong nuac do qua trinh tu do hoa thuang mai. 2. So sanh quy dinh diSn tien khong iirffng truc du^c, vi dihu ki^n ap dung oi?n phap tu- v6 theo phap luat Viet Nam Dieu 92 Luat Quan ly ngoai thuang (QLNT) nam 2017 quy dinh dieu kien ap dung bien phap tu ve. Theo quy dmh nay, bi?n phap tu ve chi dugc ap dung doi voi hang hoa nhap khdu khi co dii cac dieu kien: (a) Nhap khdu qua miic khi kh6i lugng hoac so lugng hang hoa nhap khau gia tang nigt each tuyet doi hoac tuang d6i so vai khoi lugng hoac s6 lugng hang hoa tuang tu dugc san xuat trong nudc; (b) Nganh san xudt trong nuac bi thiet hai nghiem trgng hoac bi de dga gay ra thiet hai nghiem trgng; (c) Viec gia tang khdi lugng hoac s6 lugng hang hoa nhap khau quy dinh tai dihm a khoan nay la nguyen nhan chinh gay ra thiet hai nghiem trgng hoac de dga gay ra thiet hai nghiem trgng cua nganh san xuat trong nuac''''. Khi so sanh quy dinh ve diSu kin ap dung bien phap tu ve theo quy dinh cua Phap le''''nh va Tu ve nam 2002^ va Luat QTNT nam 2017, ta thay co mgt su khac biet ve quy dinh danh gia yeu to "dien tien khong luong truoc" trong vice xac dinh dieu kien ap dung bien phap tu ve. Hien nay, Viet Nam chua c6 van ban huang dan chi tiat ve viec danh gia yeu to "dian tian khong luong truoc dugc" khi diau tra va ket luan cac dieu kien de ap dung bien phap tu ve. Do vay, ca quan diau tra se khong co nghia vu phai xem xet, danh gia cac rigi dung lien quan den viec xac dinh CO yau t6 "diln tian khong luang truae dugc" khi diau tra va ket luan viec ap dung bien phap tu'''' ve da dam bao cac dieu kien danh gia theo quy dinh chua. Truae do, quy dmh danh gia yau t6 "dien tien khong luong truoc dugc" trong mgt cugc dieu tra ve tu ve doi vai hang hoa nhap khau vao Viet Nam da dugc cu thi hoa tai Dieu 6 ciia Phap lenh ve Tu ve nam 2002 nhu saui Cac bien phap tu ve chi dugc ap Khoan 2 Dieit 92 Lugt QLNT 2017, Di6u 6 Phap l?nh vi Ti; v nam 2002. 18 I NOHIlN CUU , I LAP PHAP— Si 10(386)152019 NHANirdCVAP..,.. dung d6i vai hang hoa nhap khau khi co du cac dilu ki^n sau dy: (1) Khoi lugng, so lugng hoac tri gia hang hoa nhap khau gia tdng dot bien mgt each tuyet d6i hoac tuong d6i so voi khoi lugng, so lugng hoac tri gia cua hang hoa tuong tu hoac hang hoa canh tranh true tilp dugc san xuat trong nuoc; (2) Viec gia tang khoi lugng, so lugng hoac tri gia hang hoa nhap khau quy dinh t^i khoan 1 Dieu nay gay ra hoac de doa gay ra thiet hai nghiem trgng cho nganh san xuat hang hoa tuang tu hoac hang hoa canh tranh true tihp trong nuac. Hoac tai Dieu 20 cua FTA song phuong Viet Nam - Nhat Ban quy djnh dieu kien ap dung bien phap tu ve vai ngi dung: (1) Moi Ben co the ap dung mgt bien phap tu ve d6i vdi hang hoa xuat xu ciia Ben kia theo Diau XIX, Hiep dinh GATT 1994 va Hiep dinh ve Tu ve trong Phu luc IA cua Hiep dinh WTO (sau day dugc ggi la Hiep dinh veTy ve)...; (2). Trong truong hgp can thiat nhat, .... hoac neu Ben do phai chiu hau qua tir nhiing thay doi khdng thi du dodn truc va nhung tac dgng tir viec thuc hien nghTa vu cam ket trong Hi^p dinh nay, gia tang so lugng hang hoa xuat xir nhap khau tir Ben kia, a muc tuyet doi hoac co lien quan den san xuat ngi dia, va a nhiing dieu kien gay ra hoac CO nguy co gay ra ton thuang nghiem trgng doi vai nen cong nghiep ngi dia cua Ben san xuat cac hang hoa tuong tu hoac canh tranh true tiep. Nhu vay, quy dinh ve danh gia yeu to "dian tien khong lucmg truoc dugc" da cii the hoa vdi cum tir "dot bien" trong Diau 6 Phap lenh vS Tu ve nam 2002 hoac cum tir "khong the du doan truae" tai Diau 20 ciia FTA Viet Nam - Nhat Ban^ da khong dugc Luat QLNT nam 20i7 ka thira va duy tri. Cho den nay, mac dii Viet Nam chua bi khoi kien den Co quan giai quyet tranh chap WTO lien quan din cac bien phap tu ve thuong mai da ap dung, tuy nhien, trong trudng hgp nay, kha nang Viet Nam tro thanh nguyen don hay bi don trong tuong lai la kha Idn. Cau hoi dugc dat ra o day la, phap luat ve tu ve ciia Viet Nam co nen bat bugc phai quy dinh viec danh gia yau td "diln tiln khong lucmg trudc dugc" khong? Trong qud trinh dieu tra vu viec tu ve, cac ca quan dilu tra CO bat bugc phai xem xet, danh gia ylu t6 "dien tien khdng ludng trudc dugc" trudc khi tien hanh dieu tra thiet hai va ket luan khi ngi dung nay khdng dugc Luat QLNT 2017 ghi nhan khdng? Do khi dam phan de trd thanh thanh vian cua WTO vao nam 2007, Viet Nam khdng dua ra bao luu nao ddi vdi cac Hiep dinh cua WTO, vi vay, cac tjuy dinh phap luat ve tu ve cua Viet Nam gan nhu tiep thu toan bd cac dieu khoan GATT 1994 va SG, dac biet trong FTA Viet Nam - Nhat Ban ciing thda thuan phai thuc hien viec danh gia yeu td "dien tien khdng ludng trudc dugc" khi dieu tra va ket luan cac dieu kien thda man cho phep ap dung bien phap tu ve. Do do, viec danh gia lai quy dinh ciia phap luat hien hanh ve dieu kien ap dung bien phap tu ve la mgt viec lam can thiet, 3. Thirc tien ap dung C) nudc ta, tir nam 2009 den nay, qua thuc tiln dieu tra 05 vii viec ap dung bien phap tu ve da xuat hien kha nhieu tranh luan vl tinh phii hgp cua cac dieu kien ap dung bien phap tu ve so vdi cac quy dinh cua WTO", nhdt la viec danh gia yeu td "dien tiln khdng ludng trudc dugc" vdi cac ket luan ciia Ban ghi nhd va cac quy tac ya thu tuc dilu chinh viec giai quyat tranh chap ciia WTO (Dispute Settlement Understanding - DSU), cu the nhu sau: FTA Viet Nam - Nhat Ban, khoan 2 DiSu 20 vcri cum tir khdng the dir doan dirge. Xem D6 t^i nghiSn ciru khoa hoc nam 2017 ciia Trucmg Dai hpc M6 TP,H6 Chi Minh. Su xung dot quan dilm phap ly v^ m6i hen he giiia ''''nhimg diln tign khong luong trirdc dugc'''' va cac dieu kien ap dyng bien phap tu v^, Nguyen Thu Huang (2017), "Cac bien phap phong ve thirong mai theo Hiep dinh thucmg mai tu do", Luan an Tien si, Hoc vien KJioa hgc va Xa hoi. , NGHitN eini I 4 n So 10(336)T52019 \ LAP P f f - '''' i " NHA NU6C VA PHAP LUAT - Vu "Diiu tra dp dung bien phdp tic vi ddi vi sdn phdm ddu thuc vgt tinh luyen nhdp khdu vdo Viet Nam " nam 2012. Trong phan lap luan, phan tich cac ngi dung dugc xem la yeu td "dien tien khdng ludng trudc dugc", co quan dieu tra vu dau thuc vat tinh luyen neu hai ly do de chung minh cho ylu td "diln tiln khdng ludng trudc dugc" nhu sau: + Ly do thu nhdt: "Trong dieu kien nganh san xuat dau thuc vat con phat trien cham, viec giam thue nhap khau xudng con 0 nam 2012 (do Viet Nam ap dung bieu thul mdi cua Hiep dinh Thuang mai hang hoa ASEAN) da tao ra mot ap luc vugt ngoai su tfnh toan cua nganh san xuat trong nudc". Tuy nhien, lap luan cho rang, su kien Viet Nam ky ket va thuc hien cac cam ket theo FTA ASEAN ve nhan nhugng thue quan dugc xem la mdt trong nhung yeu td "dien tien khdng ludng trudc dugc" chua mang tinh thuyet phuc. Bdi le, vao thdi diem dam phan ky ket FTA, Viet Nam phai thdy trudc dugc viec nhap khau hang hoa se tang len do hang rao thue quan da bi thao bd. Vi vay, day la tinh hudng phai biet ro va Viet Nam cd the ludng trudc dugc tac dgng cua no. Trong khudn khd cac vu kien lian quan din bien phap tu ve tai WTO, ylu td "nhan nhugng thue quan" lam gia tang sir nhap khau khdng the la "diln tiln khong ludng tnrdc dugc" da dugc EU lap luan vdi cac ly le kha thuyet phuc ve viec khdng thi dua ly do "nhan nhugng thue quan" lam gia tang nhap khau la "dien tian khdng ludng trudc dugc" khi ddi chieu vdi quy dinh tai diem a, khoan 1 Dilu XIX GATT 1994^ Hoac trong vu Argentina - Giay dep, DSU da giai thich rdng, theo djnh nghTa ciia tir diln ddi vdi cum tir "khdng ludng trudc dugc", dac biet khi no lien quan den tir "phat tnen thi se dong nghTa vdi "bdt ngd"^ Y nghia cum tir "khdng ludng trudc dugc" theo dinh nghia trong tir diln cd nghTa la "khong the doan trudc duoc"^. Nhu vay, y nghia thong thudng cua cum tu "diln tiln khdng ludng trudc dugc" ddi hdi mgt san pham dugc n h p khdu vdi sd lugng tang len trong nhung dieu kien nhu gay ra hoac de dga gay ra thiet hai nghiem trgng cho nganh san xuat trong nudc phai la "bdt ngd"^ Vi vay, DSU cho rang nghTa gdc cua cum tir"dien tien khdng ludng trudc dugc" ddi hdi nhirng dien tien do din din mdt san phdm dugc nhap khau gia tang v l sd lugng, gay ra hoac de dga gay ra thiet hai cho nha san xuat ngi dia phai la "khdng du doan dugc"''''. Trong khi do, viec hgi nhap thuang mai la mgt chien luge dugc tinh toan rat ky ludng va than trgng trong chfnh sach thuon^g mai cua moi qudc gia, cac qudc gia da mat rat nhieu thdi gian de dam phan va can nhac ky cang tac dgng cua no. Do do, nhung tac dgng ciia hdi nhap thucmg mai gay ra (nhu cdt giam hay xoa bd thul quan) la nhiing van dd ma cac qudc gia khi ky cac FTA phai ludng trudc dugc. + Ly do thu hai: "giam gia ban hang nhap khau lam thay ddi nhanh chdng dilu kien canh tranh" khdng thi dam bao ydu cau "dien tien khdng ludng trudc dugc". Vi bien phap tu ve co the ap dung cho hanh vi thuong mai binh thudng nhung phai cd ylu td bat ngd, khdng ludng trudc dugc. N I U viec ha gia dl canh tranh cd thi xem la "diln tien khdng ludng trudc dugc" thi mgt hanh vi thucmg mai binh thudng cung cd thi trd thanh yeu td "diln tiln khdng ludng trudc dugc". Ban hang vdi gia thap la hanh vi canh tranh thuang mai binh thudng giiJa cac WTDS121R, doan 5.3 va 5,5, doan 5,55 va doan 5 56 Webster''''s Third New International Dictionary, (Encyclopaedia Bntamica Inc., 1966) Vol 3 trana 9^o^ Black''''s Law Dictionary, 6th ed., (West Publishing Company 1990) trang 1530 ''''^ang2496v Webster''''s Third New Intemalional Dictionary, (Encyclopaedia Briiamiica Inc., 1966) Vol 3 trana 2496 v Dictionary, 6th ed., (West Publishing Company, 1990) trang 1530 WTDS121ABR.doan9t. WTDS98ABR, doan 84; WTDS121ABR, doan 91 " '''' '''' NHA NlfdC VA P H A P LUAT - Vu "Diiu tra dp dung biin phdp tu vi ddi vi sdn phdm bdt ngpf nSm 2015. Trong vu dieu tra nay, cum tir "su suy giam trong phat triln kinh t l tai Trung Qudc trong nam 2014" dugc co quan dieu tra dua ra de vien ddn cho ylu td "dien tien khdng ludng trudc dugc" la chua hgp ly. Theo ly thuyet tang trudng va phat triln kinh te cua kinh tl hgc phat triln, "phat triln kinh te" la khai niem cd ndi dung phan anh rdng han so vdi khai niem "tang trudng kinh te". Neu nhu "tang trudng kinh tl" ve ca ban chi la sy gia tang thuan tiiy vl mat lugng cua c^c chi tieu kinh tl tong hap: GNP, GNPddu ngudi hay GDP, GDPdau ngudi thi "phat triln kinh t l " ngoai viec bao ham qua trinh gia tang do, cdn cd mgt ngi ham phan anh rgng ldn hon, sau sac han, dd la nhiing bien ddi vl chdt cua nin kinh te - xa hdi, ma trudc hit la sy chuyin dich co cau kinh te theo hudng cdng nghiep hda, hien dai hda kem theo do la viec khdng ngimg nang cao muc sdng toan dan, trinh do phat trien van minh xa hdi the hien d hang loat tieu chi nhu: thu nhap thuc te, tudi thp trung binh, ty le chdt cua tre sa sinh, trinh do dan tri, bao ve mdi trudng va kha nang ap dung cac thanh tyu khoa hgc - ky thuat vao phat trien kinh te - xa hdi''''^. Do dd, trong trudng hgp ben bi ap dung bien phap tu ve khdng ddng tinh vdi quyet dinh ap dung bien phap ty ve cua Viet Nam, khdi kien den WTO thi trach nhiem ciia Viet Nam khi chiing minh van de nay rat ldn, tham chi khd thu thap sd lieu chung minh cho cac van de lian quan neu tran cua ngudi dan Trung Qudc. Trong trudng hgp nay, chiing ta sir dung cum tir "tang trudng kinh te" thi se phii hgp hem vdi muc dich chiing mmh ndi dung Viet Nam dang dl cap trong vu dieu tra nay. - Vu "Dieu tra dp dung bien phdp tu ve ddi vi sdn phdm phdi thep va thep dai nam 2015. Trong vu viec nay, ca quan dieu tra da neu cac ndi dung vin ddn cho yeu to '''' dien tiln khdng ludng trudc dugc". Ve m^t tong thi, cac ndi dung nay c6 the la yeu to dien tiln khdng ludng trudc dugc", tuy nhien, each trinh bay cac y l u td trong van ban cua CO quan dilu tra trong vy viec nay chua logic va chua chiing minh dugc mdi quan he nhan qua theo cac tieu chf can dam bao khi thye hien bi?n phap ty ve, do la: + Khi ban hanh van ban dudi hinh thirc thdng bao v l viec tien hanh dieu tra ap dung bien phap tu v ? '''' ^ ca quan dilu tra da khdng dua ra cac ly do de minh chung cho ylu td "diln t...
Trang 1KIM NGHI H O A N T H I E N CAC DIEU KIEN AP DUNG BIEN PHAP TU VE DOI Vdl HANG HOA NHAP KHAU
Kim Ihi Hanh*
*ThS NCS Pho ban Van hoa - Xa hoi HDND tinh Tav Ninh
Thong tin bai viet:
Tit khoa: cac dieu kien ap dung bien
phap tu ve, bien phap tir ve, dien tien khong luong tmoc duac, Luat Quan ly ngoai thucmg, WTO
Keywords: conditions for imposition of
safeguard measure; safeguard measures;
Cac dieu kien ap dung bien phap tu ve doi voi hang hoa nhap khau vao Viet Nam quy dinh tai Dieu 92 Luat Quan ly ngoai thuang
nam 2017 chua the hten ddy dii cac cam kh Viet Nam da ky k§t
voi WTO va FTA Viet Nam - Nhat Ban, do la quy dmh vS danh gia yeu to "dien tien khong luong tnroc duoc", mot trong nhung yeu cau can dam bao khi xem xet cac dieu kien ap dung bien phap tu ve Day la mot van de can dugc nghien cuu de hoan thien phap luat ve tu ve doi voi hang hoa nhap khau vao Viet Nam
A b s t r a c t
The conditions for imposition of safeguard measures against the imports into Vietnam as stipulated at Article 92 of the Law on Foreign Trade Management of 2017 do not hjlly reflect Vietnam's commitments signed with the WTO and FTA by Vietnam - Japan, that is the provision on evaluation of "unforeseen developments" as one of the requirements to be taken into consideration when considering the conditions for imposition of safeguard measures on safeguard measures to the imports into Vietnam
1 Khai quat chung
Hiep dinh chung ve Thue quan va Thuang mai (GATT 1994) cho phep qu6c gia thanh vien duac quyen ap dung cac bien phap phong ve thucmg mai nhimg khong dugc phuang hai den muc dich chung la thiic day va tang cuong he thong thuong mai quoc te Cac bien phap phong ve thucmg mai dugc cho phep bao gom: chong ban pha gia, chong trg cap va tu ve thuang mai Bien
phap tu ve dugc quy dinh tai Dieu XIX cua GATT 1994 va Hiep dinh ve cac bien phap tu ve (SG) Mac dii hai van ban nay deu khong dua ra djnh nghia the nao la bien phap tu ve, tuy nhien, can cu Bieu XIX 1 (a) co the thay rang, bien phap tu ve dugc ap dung khi "do
hau qua ctia nhung dien tiin khong luong tru&c dugc va do ket qua ciia nhimg nghTa
vu, trong do co nhung nhan nhugng thue quan ciia mgt ben ky ket theo Hiep dinh nay,
— NGHIEN Ciru I -yi
Trang 2mgt san pham dugc nhap khdu vao lanh tho ciia ben ky ket do vai so lugng gia tang va
vai cac dieu kien dhn muc gay thiet hai hoac
de dga gay thiet hai nghiem trgng cho cac nha san xuSt nhung san pham tucmg tu hay san pham canh tranh true tiep trong nuac" Ben canh do, Diau XIX cua GATT 1994,
Di6u 2.1 va Dieu 4.2 cua SG quy dinh,
chi dugc ap dung bien phap tu v e d o i vol
hang hoa nhap khau sau qua trinh dihu tra va chung minh dugc tren thuc ta co su t6n tai d6ng thai ciia ba yhu td: (1) su gia tang nhap
khiu tuyet d6i hoac tuang doi mat hang do vao thi truang ngi dia; (2) nganhsan xudt trong nuac san xuat ra cac san pham tuong tu hoac cac san pham canh tranh true tiep bi thiet hai nghiem trgng hoac de dga thiet hai nghiem trgng; (3) co moi quan he nhan qua giira sir gia tang nhap khau vai nhirng thiet hai do
Mat khac, trong boi canh hinh thanh cac Hiep dinh Thucmg mai tu do (FTA), viec giam thue, uu dai thue thucmg thap hem miic thue dugc thuc hien theo nguyen tac toi hue quoc (MFN) dugc quy dinh cua WTO, vi the, nganh san xuat trong nuoc cua cac ben tham gia FTA se gap rat nhieu riii ro, gay ton hai hoac de dga gay ton hai cho nganh san xuat trong nucrc khi nen kinh te phai thich img vai su canh tranh trong moi trucmg mai Do do, cac bien phap tu ve tro thanh cong cu bao ve rat quan trgng trong FTA, dac biet la trong giai doan chuyen tiap Vi vay, cac thoa thuan ve bien phap tu ve trong cac FTA rdt chii y den each thirc ap dung cac bien phap tu ve Day la mgt quy dinh gi6ng nhu "mgt van cuu sinh" de ngan ehan tac dgng tieu cue den nganh san xuat trong nuac do qua trinh tu do hoa thuang mai
2 So sanh quy dinh diSn tien khong iirffng
tru&c du^c, v&i dihu ki^n ap dung oi?n
phap tu- v6 theo phap luat Viet Nam
Dieu 92 Luat Quan ly ngoai thuang (QLNT) nam 2017 quy dinh dieu kien ap dung bien phap tu ve Theo quy dmh nay, bi?n phap tu ve chi dugc ap dung doi voi hang hoa nhap khdu khi co dii cac dieu kien: (a) Nhap khdu qua miic khi kh6i lugng hoac so lugng hang hoa nhap khau gia tang nigt each tuyet doi hoac tuang d6i so vai khoi lugng hoac s6 lugng hang hoa tuang tu dugc san xuat trong nudc; (b) Nganh san xudt trong nuac bi thiet hai nghiem trgng hoac bi de dga gay ra thiet hai nghiem trgng; (c) Viec gia tang khdi lugng hoac s6 lugng hang hoa nhap khau quy
dinh tai dihm a khoan nay la nguyen nhan
chinh gay ra thiet hai nghiem trgng hoac de dga gay ra thiet hai nghiem trgng cua nganh san xuat trong nuac'
Khi so sanh quy dinh ve diSu k i | n ap dung bien phap tu ve theo quy dinh cua Phap le'nh va Tu ve nam 2002^ va Luat QTNT nam 2017, ta thay co mgt su khac biet ve quy dinh danh gia yeu to "dien tien khong luong truoc" trong vice xac dinh dieu kien ap dung bien phap tu ve Hien nay, Viet Nam chua c6 van ban huang dan chi tiat ve viec danh gia yeu to "dian tian khong luong truoc dugc" khi diau tra va ket luan cac dieu kien de ap dung bien phap tu ve Do vay, ca quan diau tra se khong co nghia vu phai xem xet, danh gia cac rigi dung lien quan den viec xac dinh CO yau t6 "diln tian khong luang truae dugc" khi diau tra va ket luan viec ap dung bien phap tu' ve da dam bao cac dieu kien danh gia theo quy dinh chua
Truae do, quy dmh danh gia yau t6 "dien tien khong luong truoc dugc" trong mgt cugc dieu tra ve tu ve doi vai hang hoa nhap khau vao Viet Nam da dugc cu t h i hoa tai Dieu 6 ciia Phap lenh ve Tu ve nam 2002 nhu saui Cac bien phap tu ve chi dugc ap
Khoan 2 Dieit 92 Lugt QLNT 2017, Di6u 6 Phap l?nh vi Ti; v | nam 2002
18 I NOHIlN CUU ,
Trang 3dung d6i vai hang hoa nhap khau khi co du cac dilu ki^n sau d§y: (1) Khoi lugng, so
lugng hoac tri gia hang hoa nhap khau gia tdng dot bien mgt each tuyet d6i hoac tuong
d6i so voi khoi lugng, so lugng hoac tri gia cua hang hoa tuong tu hoac hang hoa canh tranh true tilp dugc san xuat trong nuoc; (2) Viec gia tang khoi lugng, so lugng hoac tri gia hang hoa nhap khau quy dinh t^i khoan 1 Dieu nay gay ra hoac de doa gay ra thiet hai nghiem trgng cho nganh san xuat hang hoa
tuang tu hoac hang hoa canh tranh true tihp
trong nuac Hoac tai Dieu 20 cua FTA song phuong Viet Nam - Nhat Ban quy djnh dieu kien ap dung bien phap tu ve vai ngi dung: (1) Moi Ben co the ap dung mgt bien phap tu ve d6i vdi hang hoa xuat xu ciia Ben kia theo Diau XIX, Hiep dinh GATT 1994 va Hiep dinh ve Tu ve trong Phu luc IA cua Hiep dinh WTO (sau day dugc ggi la Hiep dinh veTy ve) ; (2) Trong truong hgp can thiat nhat, hoac neu Ben do phai chiu hau qua
tir nhiing thay doi khdng thi du dodn tru&c
va nhung tac dgng tir viec thuc hien nghTa vu cam ket trong Hi^p dinh nay, gia tang so lugng hang hoa xuat xir nhap khau tir Ben kia, a muc tuyet doi hoac co lien quan den
san xuat ngi dia, va a nhiing dieu kien gay ra
hoac CO nguy co gay ra ton thuang nghiem trgng doi vai nen cong nghiep ngi dia cua Ben san xuat cac hang hoa tuong tu hoac canh tranh true tiep Nhu vay, quy dinh ve danh gia yeu to "dian tien khong lucmg truoc dugc" da cii the hoa vdi cum tir "dot bien" trong Diau 6 Phap lenh vS Tu ve nam 2002 hoac cum tir "khong the du doan truae" tai Diau 20 ciia FTA Viet Nam - Nhat Ban^ da khong dugc Luat QLNT nam 20i7 ka thira va duy tri
Cho den nay, mac dii Viet Nam chua bi khoi kien den Co quan giai quyet tranh
chap WTO lien quan din cac bien phap tu ve thuong mai da ap dung, tuy nhien, trong trudng hgp nay, kha nang Viet Nam tro thanh nguyen don hay bi don trong tuong lai la kha Idn
Cau hoi dugc dat ra o day la, phap luat ve tu ve ciia Viet Nam co nen bat bugc phai quy dinh viec danh gia yau td "diln tiln khong lucmg trudc dugc" khong? Trong qud trinh dieu tra vu viec tu ve, cac ca quan dilu tra CO bat bugc phai xem xet, danh gia ylu t6 "dien tien khdng ludng trudc dugc" trudc khi tien hanh dieu tra thiet hai va ket luan khi ngi dung nay khdng dugc Luat QLNT 2017 ghi nhan khdng?
Do khi dam phan de trd thanh thanh vian cua WTO vao nam 2007, Viet Nam khdng dua ra bao luu nao ddi vdi cac Hiep dinh cua WTO, vi vay, cac tjuy dinh phap luat ve tu ve cua Viet Nam gan nhu tiep thu toan bd cac dieu khoan GATT 1994 va SG, dac biet trong FTA Viet Nam - Nhat Ban ciing thda thuan phai thuc hien viec danh gia yeu td "dien tien khdng ludng trudc dugc" khi dieu tra va ket luan cac dieu kien thda man cho phep ap dung bien phap tu ve Do do, viec danh gia lai quy dinh ciia phap luat hien hanh ve dieu kien ap dung bien phap tu ve la mgt viec lam can thiet,
3 Thirc tien ap dung
C) nudc ta, tir nam 2009 den nay, qua thuc tiln dieu tra 05 vii viec ap dung bien phap tu ve da xuat hien kha nhieu tranh luan vl tinh phii hgp cua cac dieu kien ap dung bien phap tu ve so vdi cac quy dinh cua WTO"*, nhdt la viec danh gia yeu td "dien tiln khdng ludng trudc dugc" vdi cac ket luan ciia Ban ghi nhd va cac quy tac ya thu tuc dilu chinh viec giai quyat tranh chap ciia WTO (Dispute Settlement Understanding -DSU), cu the nhu sau:
FTA Viet Nam - Nhat Ban, khoan 2 DiSu 20 vcri cum tir khdng the dir doan dirge
Xem D6 t^i nghiSn ciru khoa hoc nam 2017 ciia Trucmg Dai hpc M6 TP,H6 Chi Minh Su xung dot quan dilm phap ly Huang (2017), "Cac bien phap phong ve thirong mai theo Hiep dinh thucmg mai tu do", Luan an Tien si, Hoc vien KJioa hgc va Xa hoi
, NGHitN eini I 4 n
Trang 4- Vu "Diiu tra dp dung bien phdp tic
vi ddi v&i sdn phdm ddu thuc vgt tinh luyen nhdp khdu vdo Viet Nam " nam 2012
Trong phan lap luan, phan tich cac ngi dung dugc xem la yeu td "dien tien khdng ludng trudc dugc", co quan dieu tra vu dau thuc vat tinh luyen neu hai ly do de chung minh cho ylu td "diln tiln khdng ludng trudc dugc" nhu sau:
+ Ly do thu nhdt: "Trong dieu kien nganh san xuat dau thuc vat con phat trien cham, viec giam thue nhap khau xudng con 0% nam 2012 (do Viet Nam ap dung bieu thul mdi cua Hiep dinh Thuang mai hang hoa ASEAN) da tao ra mot ap luc vugt ngoai su tfnh toan cua nganh san xuat trong nudc" Tuy nhien, lap luan cho rang, su kien Viet Nam ky ket va thuc hien cac cam ket theo FTA ASEAN ve nhan nhugng thue quan dugc xem la mdt trong nhung yeu td "dien tien khdn_g ludng trudc dugc" chua mang tinh thuyet phuc Bdi le, vao thdi diem dam phan ky ket FTA, Viet Nam phai thdy trudc dugc viec nhap khau hang hoa se tang len do hang rao thue quan da bi thao bd Vi vay, day la tinh hudng phai biet ro va Viet Nam cd the ludng trudc dugc tac dgng cua no
Trong khudn khd cac vu kien lian quan din bien phap tu ve tai WTO, ylu td "nhan nhugng thue quan" lam gia tang sir nhap khau khdng the la "diln tiln khong ludng tnrdc dugc" da dugc EU lap luan vdi cac ly le kha thuyet phuc ve viec khdng thi dua ly do "nhan nhugng thue quan" lam gia tang nhap khau la "dien tian khdng ludng trudc dugc" khi ddi chieu vdi quy dinh tai diem a, khoan 1 Dilu XIX GATT 1994^ Hoac trong vu Argentina - Giay dep, DSU da giai thich rdng, theo djnh nghTa ciia tir diln ddi
vdi cum tir "khdng ludng trudc dugc", dac biet khi no lien quan den tir "phat tnen thi se dong nghTa vdi "bdt ngd"^ Y nghia cum tir "khdng ludng trudc dugc" theo dinh nghia trong tir diln cd nghTa la "khong the doan trudc duoc"^ Nhu vay, y nghia thong thudng cua cum tu "diln tiln khdng ludng trudc dugc" ddi hdi mgt san pham dugc n h | p khdu vdi sd lugng tang len trong nhung dieu kien nhu gay ra hoac de dga gay ra thiet hai nghiem trgng cho nganh san xuat trong nudc phai la "bdt ngd"^ Vi vay, DSU cho rang nghTa gdc cua cum tir"dien tien khdng ludng trudc dugc" ddi hdi nhirng dien tien do din din mdt san phdm dugc nhap khau gia tang v l sd lugng, gay ra hoac de dga gay ra thiet hai cho nha san xuat ngi dia phai la "khdng du doan dugc"' Trong khi do, viec hgi nhap thuang mai la mgt chien luge dugc tinh toan rat ky ludng va than trgng trong chfnh sach thuon^g mai cua moi qudc gia, cac qudc gia da mat rat nhieu thdi gian de dam phan va can nhac ky cang tac dgng cua no Do do, nhung tac dgng ciia hdi nhap thucmg mai gay ra (nhu cdt giam hay xoa bd thul quan) la nhiing van dd ma cac qudc gia khi ky cac FTA phai ludng trudc dugc
+ Ly do thu hai: "giam gia ban hang nhap khau lam thay ddi nhanh chdng dilu kien canh tranh" khdng t h i dam bao ydu cau "dien tien khdng ludng trudc dugc" Vi bien phap tu ve co the ap dung cho hanh vi thuong mai binh thudng nhung phai cd y l u td bat ngd, khdng ludng trudc dugc N I U viec ha gia d l canh tranh cd t h i xem la "diln tien khdng ludng trudc dugc" thi mgt hanh vi thucmg mai binh thudng cung cd t h i trd thanh yeu td "diln tiln khdng ludng trudc dugc" Ban hang vdi gia thap la hanh vi canh tranh thuang mai binh thudng giiJa cac
WT/DS121/R, doan 5.3 va 5,5, doan 5,55 va doan 5 56
Webster's Third New International Dictionary, (Encyclopaedia Bntamica Inc., 1966) Vol 3 trana 9^o^ Black's Law Dictionary, 6th ed., (West Publishing Company 1990) trang 1530 • ' • ^ a n g 2 4 9 6 v Webster's Third New Intemalional Dictionary, (Encyclopaedia Briiamiica Inc., 1966) Vol 3 trana 2496 v
Dictionary, 6th ed., (West Publishing Company, 1990) trang 1530 WT/DS121/AB/R.doan9t
WT/DS98/AB/R, doan 84; WT/DS121/AB/R, doan 91
<'va Black's Law
20 I NGHlfeN Cini I
Trang 5doanh nghiep, mdt chien luge kinh doanh cua mdi doanh nghiep Cac doanh nghiep
dugc quyln six dung nhiing hanh vi canh
tranh lanh manh nhu giam gia hang hda, miln sao viec giam gia do khdng cau thanh nen hanh vi ban pha gia Neu so sanh cac l^p luan vl "su thay ddi dang ke dieu kien canh tranh" da dugc kit luan trong vu Hoa Ky - Mil Idng nam 1951 thi chung cii nay ciia Viet Nam se khdngdii thuyet phuc Lap luan cua Hoa Ky vien din cho danh gia "dien tiln khdng ludng trudc dugc" la nhiing tac ddujg ciia mdt sir kien thuc te nhu "su thay doi thdi trang len vi the canh tranh" Do viec du doan mdt su kien thuc te la khdng khd, tuy nhien, dl danh gia tdt ca nhung tac ddng cua su kien do la mdt van de rat khd khan "Sy thay ddi thdi trang" de cap d day lidn quan din m^t hang non vai nhung (hats with nap or pile finishes), mdt su kien "khdng ludng trudc dugc" tai thdi diem dat ra nhiing cam kit, dugc xem la "diln tien khdng ludng
tnxoc dugc" Viec san xuat san pham mii
non ciia Hoa Ky can nhieu lao ddng de thuc hien cac cdn^ doan gia cdng thu cdng ban viec san xuat mu non tron thdng thudng (non nhung) cua Tiep Khdc Trong khi mat hang ndn vai nhung tron khdng cd kieu hoac khdng cd hoa van tai nudc xuat khau khdng can su dung nhieu lao ddng thu cdng vdi chi phf thue nhan cdng rat cao de san xudt cac mat hang ndn truyen thdng nhu cua Hoa Ky Do vay, gia ban mdt san pham ndn cua Hoa Ky dat han nhieu so vdi san pham ndn nhung cua Tiep Khac Cac nha san xuat ciia Hoa Ky khdng the san xuat ra san pham canh tranh vdi mat hang tuong tu la ndn cua Tiep Khdc do san pham dugc nhan mire uu dai thul quan tir viec ky ket nam 1947 Ket qua la mgt su gia tang nhap khau ve mat sd lugng tdi hon 95% trong sudt khoang thdi gian tir nam 1949 din sau thang dau nam 1950 Tdm lai, kit luan cudi ciing trong vu
viec nay la su thay ddi thdi trang khdng tao nen "dien tien khdng ludng trudc dugc" theo Didu XIX cua GATT, nhung tac ddng den vi the canh tranh la mdt tinh hudng khdng the biet trudc dugc Nhu vay, cac tac ddng ma khdng du doan trudc dugc se la nhiing
"dien tien khdng ludng trudc dugc"'" Ngoai ra, mgt diem luu y niia trong vu dieu tra tu ve ddi vdi san pham dau thuc vat la each the hien va thdi diem thd hien yeu td "dien tien khdng ludng trudc dugc" Muc 8 cua Thdng bao ve viec tidn hanh dieu tra ap dung bien phap ty ve dugc ban hanh kem theo bdi Quylt dinh sd 7968/QD-BCT cua Bd trudng Bg Cdng thuong ngay 26/12/2012 ve viec dieu tra ap dung bien phap tu ve ddi vdi mat hang dau thuc vat tinh luyen nhap khdu vao Viet Nam (Quyet dinh 7968) quy dinh: "sau khi xem xet don yeu cau ap dung
bien phap tu ve cua nguyan dan, Bg Cdng
thuong danh gia da cd nhiing dau hieu ve viec gia tang dot biln lugng nhap khdu hang hda thudc ddi tugng dieu tra va theo do gay thiet hai nghidm trgng cho nganh san xuat hang hda tuong ty d trong nudc Vi vay da du dilu kien dl Bd tien hanh dieu tra ap dung bien phap tu ve ddi vdi mat hang thudc ddi tugng dilu tra" Nhu vay, cac thdng tin Hen quan din ylu td "didn tien khdng ludng trudc dugc" chua dugc co quan dieu tra ghi nhan trong Thdng bao ve viec tidn hanh dilu tra tu ve Vi_ thieu sdt nay ma trong phan phan hdi y kiln cua minh, Hiep hdi Dau thuc
vat Indonesia (GIMNI) da dh nghi Viet Nam
phan tich rd hon van dl sy gia tang hang hda nhap khdu la do ylutd "diln tiln khdng ludng trudc dugc"" Vdn dl nay da dugc khdc phuc khi cac Bao cao so bg va Bao cao cudi ciing diu cd ghi nhan ndi dung danh gia ylu td "diln tiln khdng ludng trudc dugc" Day la mgt ndi dung cdn quan tam trong qua trinh thuc hien cac thu tuc dieu tra va kdt luan khi ap dung bien phap ty ve chinh thirc
10 GATT/CP/106, doan 11
11 Muc 111(4) cua Bao edo so bo (trang 10) va Bao cao cu6i cung (trang 10) cua w viec "Dieu tra ap dung bien phap tu ve
d6i vdi san phSm D4U thuc vat tmh luyen nhap khSu vao Viet Nam"
, NGHIEN eini I 9 4
Trang 6- Vu "Diiu tra dp dung biin phdp tu
vi ddi v&i sdn phdm bdt ngpf nSm 2015
Trong vu dieu tra nay, cum tir "su suy giam trong phat triln kinh t l tai Trung Qudc trong nam 2014" dugc co quan dieu tra dua ra de vien ddn cho ylu td "dien tien khdng ludng trudc dugc" la chua hgp ly Theo ly thuyet tang trudng va phat triln kinh te cua kinh t l hgc phat triln, "phat triln kinh te" la khai niem cd ndi dung phan anh rdng han so vdi khai niem "tang trudng kinh te" Neu
nhu "tang trudng kinh t l " ve ca ban chi la
sy gia tang thuan tiiy v l mat lugng cua c^c chi tieu kinh t l tong hap: GNP, GNP/ddu ngudi hay GDP, GDP/dau ngudi thi "phat triln kinh t l " ngoai viec bao ham qua trinh gia tang do, cdn cd mgt ngi ham phan anh rgng ldn hon, sau sac han, dd la nhiing bien ddi v l chdt cua nin kinh te - xa hdi, ma trudc hit la sy chuyin dich co cau kinh te theo hudng cdng nghiep hda, hien dai hda kem theo do la viec khdng ngimg nang cao muc sdng toan dan, trinh do phat trien van minh xa hdi the hien d hang loat tieu chi nhu: thu nhap thuc te, tudi thp trung binh, ty le chdt cua tre sa sinh, trinh do dan tri, bao ve mdi trudng va kha nang ap dung cac thanh tyu khoa hgc ky thuat vao phat trien kinh te -xa hdi'^ Do dd, trong trudng hgp ben bi ap dung bien phap tu ve khdng ddng tinh vdi quyet dinh ap dung bien phap ty ve cua Viet Nam, khdi kien den WTO thi trach nhiem ciia Viet Nam khi chiing minh van de nay rat ldn, tham chi khd thu thap sd lieu chung minh cho cac van de lian quan neu tran cua ngudi dan Trung Qudc Trong trudng hgp nay, chiing ta sir dung cum tir "tang trudng kinh te" thi se phii hgp hem vdi muc dich chiing mmh ndi dung Viet Nam dang d l cap trong vu dieu tra nay
- Vu "Dieu tra dp dung bien phdp tu
ve ddi v&i sdn phdm phdi thep va thep dai
nam 2015
Trong vu viec nay, ca quan dieu tra da neu cac ndi dung v i | n ddn cho yeu to ' dien tiln khdng ludng trudc dugc" Ve m^t tong thi, cac ndi dung nay c6 the la yeu to dien tiln khdng ludng trudc dugc", tuy nhien, each trinh bay cac y l u td trong van ban cua CO quan dilu tra trong vy viec nay chua logic va chua chiing minh dugc mdi quan he nhan qua theo cac tieu chf can dam bao khi thye hien bi?n phap ty ve, do la:
+ Khi ban hanh van ban dudi hinh thirc thdng bao v l viec tien hanh dieu tra ap
dung bien phap tu v ? ' ^ ca quan dilu tra da
khdng dua ra cac ly do de minh chung cho ylu td "diln tiln khdng ludng trudc dugc" Myc 8 cua Thdng bao v l viec tiln hanh dilu tra ap dung bien phap ty ve ddi vdi mat hang phdi thep va thep dai dugc ban hanh kem theo Quylt dinh sd 14296/QD-BCT ciia Bd trudng Bd Cdng thuang ngay 25/12/2012 (Quyet dinh 14296) neu ro: "sau khi xem xet don yeu cau ap dung bien phap ty ve cua nguyen don, Bd Cong thuang danh gia da cd nhiing dau hieu ve viec gia tang dot bien lugng nhap khau hang hda thudc ddi tugng didu tra va theo dd gay thiet h^i nghiem trgng cho nganh san xuat hang hda tuong tu d trong nudc Vi vay da du dieu kien de Bd tien hanh dieu tra ap dyng bien phap tu ve ddi vdi mat hang thudc ddi tugng dilu tra" Day la tinh hudng xay ra lan thu hai, sau vu dieu tra san pham ddu thye vat Do vay, khi dieu tra mdt vu tu ve, Viet Nam cdn luu y vd thdi diem va hinh thirc thi hien ndi dung danh gia yeu td "dien tiln khdng ludng trudc dugc"
Thye tiln giai quylt tranh ehdp tren
the gidi cho thdy, trong vu kien Hoa Ky
-Thit cih/'"" khi Hoa Ky khang cao d i n co
12 Tran Anh Phuang (2008), MQI SO khai mem cua 1^- thuya kinh tS hoc phat tnin dang duoc van dung 6 nuoc ta h ' truy cap ngay 10/8/2018 tren https ://thongtmphaplnatd an su edu vn/?.008/04/l 1/5672526/ '^" "^^' 13 Quyet dinh so 14296 kem Thong bao, muc 8
14 WT/DS177/AB/R, WT/DS178/AB/R, Hoa Ky - Thit ciru
22 I NGHlfeN CUU ,
Trang 7quan phiic thdm WTO ve viec diem a khoan 1 Dilu XIX GATT 1994 khdng cd bdt ky hudng din nao ve each ma cac ben cd the tilp c^in vdi van de "dien tieri khdng ludng trudc dugc" Australia chi ra rang, Didu 11.1 (a) ciia Hi?p dinh ve Cac bien phap ty ve yeu cdu cac thanh vidn thye hidn hanh ddng ty ve theo Dilu XDC ciia GATT 1994 dl dam bao rdng cac bien phap dd tuan thu cac quy dinh cua Hiep dinh ve Cac bien phap ty vg Do do, cac thanh vien ap dung cac bien phap tu ve phai dap ung cac yeu cau cua ca Dilu XIX ciia GATT 1994 ya Hiep dinh vl Cac bien phap ty ve, bao gdm Dieu 3.1 cua SG yau cau cac co quan cd tham quyen thdng bao cdng khai cho "tat ca cac ben lien quan" v l " bao cao ket qua dieu tra cac kit luan thda dang tren co sd cac van de thuc te va phap ly" Australia cilng cho rdng, dl dap ling "cac dieu kien" ap dung theo Didu 2 va 4 cua SG, ca quan cd tham quyen phai dua ra quyet dinh bao gdm danh gia "tat ca cac yeu td Hen quan" va Dieu 4.2 (c) yeu cau phai cdng bd ngay lap tuc "mdt ban danh gia chi tiet ve vy viec dugc dieu tra cung nhu trinh bay cac nhan td lien quan dugc xem xet" Ddng thdi, de dap ung yeu cau "dien tien Ididng ludng trudc dugc", cac co quan cd tham quyen can kiem tra su tdn tai ciia "dien tien khdng ludng trudc dugc" dya tren bang chiing thye te trudc khi hg tien hanh dieu tra; chiing minh sy tdn tai cua yeu td "dien tien khdng ludng trudc dugc" nhu mdt van de ciia thye td va trinh bay ket luan do, theo mdt each nao do, trong bao cao dugc cdng bd'^ Nhu vay, can cii ndi dung khoan I Diau 3 cua SG quy dinh rang " Viec dieu tra se bao gdm viec thdng bao cdng khai cho tat ca cac ben lien quan va cac ben lien quan cd the dua ra chimg cu, quan diem ciia hg " thi viec co quan dieu tra khdng the hien ndi dung "dien tien khdng ludng trudc
dugc" trong phdn Thdng bao tiln hanh dilu tra ty ve se gay khd khan cho cac ben lidn quan trong viec chuan bi cac chung cu, lap luan de trao ddi, bao cao y kiln ciia ben bi khdi kien den ca quan dilu tra
+ Khiing hoang kinh tl tai Trung Qudc, su du thira cdng suat cung nhu san lugng thye ta ket hgp vdi lugng ton kho ldn cua cac san pham thep ciia Trung Qudc, mgt sd qudc gia ap dung bien phap phdng ve thuong mai ddi vdi san pham phdi thep va thep dai nhap khau cua Trung Qudc'^ viec pha gia ddng nhan dan te nham thuc day xuat khau cua Trung Qudc'"' dugc xem la yeu td "diln tiln khdng ludng trudc dugc" trong bao cao khi ap dung bien phap ty ve tam thdi va chinh thirc cua ca quan dieu tra Viet Nam trong vu ap dung bien phap ty ve ddi vdi phdi thep va thep dai theo an le xet xii cua cac ca quan giai quyet tranh chap WTO
Lien quan ddn van de "khung hoang kinh te" da dugc Ban Hdi tham trong vu
Ukraine - Xe o td ch& khdch khang dinh,
"khung hoang kinh te" cd the la mdt ndi dung thudc yeu td "dien tien khdng ludng trudc dugc"'^ Nhin chung, cac ly do dugc vien dan trong vu dieu tra phdi thep va thep dai dugc ca guan dieu tra su dung de chung minh cho yeu td "dien tien khdng ludng trudc dugc" co ban phu hgp Tuy nhien, d day van de can luu y la sy lien ket phap ly giiia cac yeu td dugc vien dan nay vdi sy gia tang nhap khau chua dugc ca quan dieu tra phan tich va cdng bd day dii trong bao cao cudi ciing de ket luan viec ap dung bien phap tu ve chinh thiic Cac minh chimg cho nh|n dinh "khung hoang kinh te" d Trung Qudc se thuydt phyc va chat che hon nau cd cac s6 lieu minh hga dudi hinh thuc cac biau dd, sd lieu cu the qua timg thdi ky dan den mdt sd tac ddng ciia nd ddi vdi viec nhap khau
15 WT/DS 177/AB/R, WT/DS 178/AB/R, doan 23 16 Quyet djnh 862 kem Thong bao, muc 7, 17 QuySt dinh 862 kem Thong bao, muc 6 18 WT/DS468/R, doan 7.64, chu thich 99
23
Trang 8hang hda ciia Trung Qudc Day la cac minh chimg vien ddn cho tinh trang cd hay khdng cugc khiing hoang kinh te d Trung Qudc nhung chua dugc co quan dieu tra vu vigc nay chu trgng phan tfch Su giai thich day
du ve cac vdn de lien quan den cac yeu td
can chung minh ciia ylu td "dien tiln khdng ludng trudc dugc" da dugc DSU ciia WTO trong cac vu kien'' kit luan DSU trong cac vu kien nay xac nhan-" cac nhan dinh do Hoa k y dua ra cd thi la "diln tiln khdng ludng trudc dugc" nhung vi Hoa Ky khdng ghi ro rang cac can cii chiing minh cho ydu td "diln tian khdng ludng trudc dugc" trong cac van ban cdng bd cdng khai nen cac can cii nay khdng dugc thira nhan ja diing d l chiing minh cho danh gia yeu td "diln tiln
khdng ludng trudc dugc" Vi du: Trong vu
kiin Hoa Ky - Thep, mgt trong nhung sai
lam va bai hgc kinh nghiem ciia Hoa Ky ddi vdi viec chiing minh yau td "dien tidn khdng ludng trudc dugc" la da khdng tu tao ra dugc tinh lien ket gitta cac dii lieu vdi nhau^^
Hoac d vu kien Ukraine -Xeotd ch& khdch,
DSU khi xem xet cac chiing cii mgt each rdi rac ciia Ukraine vien dan cho viec danh gia yeu td "dien tidn khdng ludng trudc dugc" nhung khdng xac dinh ro ndi dung nay trong bao cao dugc cdng bd, ndn ket luan Ukraine da khdng chimg minh dugc cd "anh hudng ciia nhitng nghia vu, trong dd cd nhiing nhan nhugng thue quan cua mdt ben ky ket theo Hiep djnh nay" Kdt qua, DSU da ket luan bien phap tu ve dugc ap dung khdng tuan thii Dilu XIX 1(a) ciia GATT^l
Nhu vay, each thiic ghi nhan kit qua dieu tra ddi khi cung anh hudng dang ke d i n
tinh phii hgp vdi cac quy dinh phap luat_ Vi khi cac dir kien khdng ket ndi.dugc vai ntiau, CO quan giai quylt tranh chap se khong co dii CO sd khach quan d l dua ra ket man, ttii lieu CO quan cd thdm quyen cua quoc gia ap dung cd dimg du lieu nay de chiing minh
hay khdng? Chinh tir viec khdng co ca sa
dh xem xet, nen se khdng tao ra dugc cac
chiing cii bd sung cho kit qua dieu tra Mgt khdng dinh don thudn khdng kem theo dii lieu minh chimg se khdng dugc thira nhan khi CO tranh chap xay ra
- Vu "Diiu tra dp dung bien phdp tu
vi ddi v&i sdn phdm phdn bon^' nam 2017^^
Mdt mua do thien tai va h^n han nam 2016 gay ra sy sut giam nhu cau tieu thu phan bdn ndi dia; du thira cdng suat toan cau va suy giam nhu cau tidu thy tai cac thi trudng ldn, din tdi viec giam gia manh cua hang hda nhap khau trong giai doan 2015 -2016-'* la cac vien dan chung minh cho yeu td "diln tidn khdng ludng trudc d u g c " trong vu dieu tra tu ve ddi vdi san pham phan bdn Viec anh hudng cua thidn tai va khung hoang kinh t l toan cau ciing da dugc DSU xem xet,
ket luan trong vu kien Ukraine -Xe did ch&
khdch^^ Ben canh viec neu cac ly do cho
yeu td "dien tidn khdng ludng trudc dugc" neu tren, cac sd lieu phan tich kem theo cho nhan dinh do anh hudng cua thien tai cung nhu viec thi trudng phan bdn the gidi dang bi thira cung (An Do va Trung Qudc tdn kho hang hda nhidu, cd the cung cap cho toan bg nhu cdu nam 2016 ngay tir nhiing thang dau nam 2016) gdp phan minh chimg thuyet phuc cho cac lap luan neu tren Neu so sanh
19 Hoa Ky - Thit ciru (WT/DS177/R, WT/DS178/R), Hoa Ky - Thep (WT/DS 259/AB/R), Ukraine - Xe 6 to che, WhSrh
(WT/DS468/R)
20 WT/DS177/R, WT/DS178/R, cloan7 42 21 WT/DS 259/AB/R, doan 322 22 WT/DS468/R, doan 7.98 va 7 99
23 Quylt dinh so 1682A/QD-BCT ngay 12/5/2017 ciia Bo truong Bo Cong thuong vk viec tiln hanh dj^u tra an d
phap tu ve toan cSu doi mat hang phan b6n nhap khiu vao Viet Nam ^ ^ •" 24 Xem Quyet dinh 686, Bao cao k a luan diSu tra so bo (trang 17-18) va Chinh thiic (trang 24 d6n trang 261
ve so 6 doi vol san pham phan bon ^'^'" 'V 25 WT/DS468/R doan 7.64, chii thich 99
24 I NOHItH CUU
Trang 9vdi viec danh gia, nhan dinh va cac thdng tm vien ddn kem theo cho cac ly do dugc xem la "diln tiln khdng ludng trudc" trong cac vu dilu tra tu ve trudc, vu dieu tra ty ye ddi vdi san phdm phan bdn da co ban khdc phuc dugc nhiing ldi thieu sdt ve the thiic van ban, mdi lien ket hgp ly giiia "diln tiln khdng ludng trudc dugc" vdi "sy gia tang nhap khau"
Tir thye trang tien hanh dieu tra va quylt dinh ap dung bien phap tu ve cua Cue Canh tranh - Bd Cdng thuong cho thay, cac sy kien, lap luan, thdi dilm cdng khai cac nhan dinh dimg de chiing minh cho yeu td "diln tiln khdng ludng trudc dugc" trong cac thu tuc va ndi dung cdng bd cua Cyc cdn nhilu thilu sdt va han che can dugc quan tam, khdc phyc trong thdi gian tdi 4 Ket luan va ki^n nghi
Phap luat cua cac qudc gia thanh vien WTO cd nghia vu tuan thd va dam bao thuc hien diing cac quy dinh cua WTO Phap luat vl tu ve cua Viet Nam ciing khdng nam ngoai thdng le nay Tuy nhien, quy dinh ve yeu td "diln tien khdng ludng trudc dugc" chua dugc cu the hda trong Luat QLNT va
cac van ban hudng din thi hanh Vi vay, viec dan thuan ap dung Dilu 92 Luat QLNT ma khdng xem xet yeu td "diln tiln khdng ludng trudc dugc" nhu la mdt trong nhiing dieu kien can danh gia khi ap dung bien phap ty ve dd ket luan nguyen nhan thiet hai va ap dung bien phap tu ve chinh thirc se dan den kha nang vi pham khoan 1 Dilu XIX cua GATT 1994 va Dilu 20 cua FTA Viet Nam - Nhat Ban Day la mdt khoang trdng phap ly ma Viet Nam can phai quan tam, xii ly kip thdi de dam bao tuan thii cac quy dinh ciia WTO va FTA Viet Nam - Nhat Ban da ky ket Vdi ly do dd, chiing tdi kien nghi:
(1) Vd ndi dung, can xac dinh ro cac tieu chi cho viec danh gia yau td "dien tien khdng ludng trudc dugc" nhu cac sd lieu, bieu dd, thdng tin vien dan se dugc ghi nhan trong timg giai doan diau tra cua cac van ban dugc eg quan didu tra Viet Nam cdng khai
(2) v l thii tyc, Bd Cdng thuang, tren CO sd quy dinh ciia Luat QLNT va Nghi dinh hudng ddn thi hanh luat, can ban hanh Thdng tu quy dinh cu thi nhdm tao dieu kien thuan Igi cho cac co quan dieu tra Viet Nam trong qua trinh thye hien"
TAI LIEU THAM KHAO I VSn ban phap luat
Hiep djnh chung v6 Thu6 quan va Thuong mai - GATT 1994; Hiep dinh vS Cac bien phap tu ve (SG);
Hiep dinh Thuong mai hang hoa Asean (ATIGA); Hiep dinh Thuang mai tu do ASEAN - Trung Qu6c (ACFTA);
Higp dinh v^ Thuang mai Hang hoa trong khuon kh6 Hiep dinh khung giiia ASEAN - An Do Hiep djnh thuang mai tu do Viet Nam - Lien minh Kinh te A Au (EAEU)
Hiep dinh vk thuang mai hang hoa thupc Hiep dinh khung va hop tac kinh tk loan dien giiia hiep hoi cac quoc
gia Dong Nam A va Trung Quoc
Hiep dinh thuang mai tu do Viet Nam - Lien minh Chau Au (EVFTA)
Hiep dinh Thuang mai tu do ASEAN - Han Qu6c (AKJFTA);
Hiep dinh Thuang mai tu do ASEAN - Uc - Niu Di Lan (AANZFTA); Hiep dinh Thuang mai tir do ASEAN - Nhat Ban (AJCEP); Hiep djnh Thuang mai Ur do Viet Nam - Han Qu6c (VKFTA); Hiep dinh Thuong mai tu do ASEAN - An Do (AIFTA); Hiep dinh Thuang mai Ur do Viet Nam - Chile (VCFTA); Hiep dinh d i i tac kinh tg Viet Nam - Nhat Ban (VJEPA); Luat Quan ly ngoai thuong 2017;
NQHICN CUU I O C
Trang 10hoa nuo'C ng< 1 vao
Phap lenh s6 42/2002/PL-UBTVQHIO ngay 25/05/2002 vk tu ve trong nhap khSu hang
Viet Nam; i i v ^ T u v e Ngh, dinh cua Chinh phu S6 150/2003/ND-CP ngay 08/12/2003 Quy dinh chi tiet thi hanh Phap Icnn y
trong nhap khju hang hoa nuac ngoai vao Viet Nam; r "t O an Iv Nghi dinh 10/2018/ND-CP ngay 15/01/2018 cua Chinh phu quy dinh chi ti6t mpt so dieu cua Lua V y
ngoai thuang vk cac bien phap phong ve thucmg mai
II Vu kifn tham khao , , ,
1 Report of The Intersessional Working Party on the complaint of Czechslovakia ^°"'=^^"^'"/,?^J'*/^^^^^^^ by The Umted States of a concession under the terms of article XIX, GATT/CP/106, dated 22 October 1951 (Vi^t tdt la US - Hatter's Fur hoac Hoa Ky - Mii)
2 Panel Report, Turkey - Restrictions on Imports of Textiles and Clothing Products, WT/DS34/R, dated 31 May 1999 (Viit tat la Th6 NhT Ky - Det may)
3 Appellate Body Report, Turkey - Restrictions on Imports of Textiles and Clothing Products, WT/DS34/ AB/R, dated 22 October 1999 (Vi^t tat la Th6 NhT Ky - Det may)
4 Appellate Body Report, Korea - Definitive Safeguard Measure oil Imports of Certain Dairy Products ("Korea - Dairy"), WT/DS98/AB/R, adopted 12 January 2000 (Viet tat la Han Quoc - San pham sUa) 5 Appellate Body Report, Argentina - Safeguard Measures on Imports of Footwear, "Argentina - Footwear
(EC)"), WT/DS 121/AB/R, adopted 12 January 2000 (Vi§t tit la Argentina - Giay dep)
6 Appellate Body Report, United States - Definitive Safeguard Measures on Imports of Wheat Gluten from
the European Communities ("US - Wheat Gluten"), WT/DS 166/AB/R, adopted 19 January 2001 (Viit ik
la Hoa Ky - Liia mi Gluten)
/ Appellate Body Report, United States - Safeguard Measures on Imports of Fresh, Chilled or Frozen Lamb Meat from New Zealand and Australia ("US - Lamb"), WT/DS 177/AB/R, WT/DS178/AB/R, adopted 16, May 2001 (Via tat la Hoa Ky - Thit cmi)
8 Appellate Body Report, United States - Definitive Safeguard Measures on Imports of Circular Welded Carbon Quality Line Pipe from Korea ("US - Line Pipe"), WT/DS202/AB/R, adopted 8 March 2002 (Vi^t tit la Hoa Ky - Ong Carbon)
9 Appellate Body Report, United States - Definitive Safeguard Measures on Imports of Certain Steel Products, ("US - Steel"),WT/DS248//\B/R, adopted 10 December 2003 (Vi6t tat la Hoa Ky - Thep khong gi); 10 Appellate Body Report, United States - Definitive Safeguard Measures on Imports of Certain Steel Products,
("US - Steel"), WT/DS259/AB/R, adopted 10 December 2003 (Vi6t tit la Hoa Ky - Thep khong gi); 11 Panel Report, Ukraine - Definifive Safeguard Measures on Certain Passenger Cars - Communication fi"om
Ukraine (Ukraine - Passenger Cars) WT/DS 468/R, adopted 30 October 2013 (Vi£t tit la Ukraine - Xe 6 to cha khach)
12 Vu viec Ur ve s6 2: Quygt djnh s6 7968/QD-BCT, ngay 26/12/2012 ciia Bo tnrong Bp Cong thuang vh viec
diau tra ap dung bien phap tir ve d6i voi mat hang D5u thuc vat tinh luyen nhap khdu vao Viet Nam; Quyit thoi doi voi san pham D^u thuc vat tinh luyen; Quyit dmh 5987/QD-BCT ngay 22/8/2013 ciia Bp truong Bp Cong thuang ban hanh ap dung bien phap tu ve chi'nh thuc d6i vai san phSm D^u thuc vat tinh luyen; cac van ban nhu dan khai kien, thong bao, bao cao so bp, bao cao cu6i cimg lien quan den vu viec di^u tra s6 2 13 Vy viec ty v6 s6 3: Quyit dinh s6 9269/QD-BCT ngay 01/9/2015 cua Bo uuong Bo Cong thuang v i viec
dieu tra ap dung bien phap ty ve d6i vai mat hang bpt ngpt nhap khSu vao Viet Nam; Quyet dinh 920/QD-BCT ngay 10/3/2016 cua Bo truong Bp Cong thuang v i viec ap dung bien phap tu ve chinh thiic dSi vol san pham bpt ngot; cac van ban nhu dan khoi kien, thong bao, bao cao so bp, bao cao cuii ciing hen quan den vu viec dieu tra so 3
14 Vy viec tu ve so 4: Quyit dinh s6 14296/QD-BCT ngay 25/12/2015 ciia Bo mrang Bp Cong thuang v i viec
diiu tra ap dung bien phap tu ve d i i vai san ph^m phoi thep va thep dai nhap khiu vao Viet Nam- Ouv'r rf h voi san pham phoi thep va thep dai; cac van ban nhu don khoi kien, thong bao, bao cao so tin w „ •^'^ ;!
I J- ~ J' • » ' "-''^ao cao cuoi
cung uen quan den vu viec dieu tra so 4
n n IHGHlfeHCtfU ,