L NT

KINH T LUT

NXB TRI THC

TP H CH MINH 2006

MC LC

CHNG 1: GII THIU V KINH T LUT ....................................... 12

I.

KHI NIM V NGHA CA MN KINH T LUT ................. 12

1.

Kinh t lut l g? ..................................................................................... 12

2.

Hiu qu - mc tiu ca kinh t lut ...................................................... 15

3.

Ni dung ca mt gio trnh kinh t lut ............................................... 17

II. LCH S PHT TRIN CA MN KINH T LUT....................... 18

III.

KINH T VI M V KINH T V M ........................................... 23

1.

Cu trc ca l thuyt kinh t vi m ...................................................... 23

2.

Kinh t v m ............................................................................................ 24

IV.

PHNG PHP NGHIN CU V CC TRNG PHI ........ 25

V.

CC CNG C NGHIN CU CA MN KINH T LUT ......... 26

1.

La chn duy ch (rational choice) ...................................................... 26

2.

Hiu qu v cn bng hai yu t quan trng ca kinh t .................. 30

3.

nh l Coase ............................................................................................ 32

4.

Chi ph giao dch ...................................................................................... 35

5.

L thuyt tr chi (u tr) ..................................................................... 36

6.

Ti sn cng ("ca cha") v ti sn ca nhm ("ca lng") ............. 40

7.

Tnh trng "tic ca" (endowment effects) ........................................... 42

8.

Hiu ng mng ................................................................................... 43

1

9.

Thng tin bt i xng ............................................................................ 44

10.

Hc thuyt v cc nh ch .................................................................. 45

VI.

TRCH NHIM PHP L V TRCH NHIM O C....... 46

VII.

KINH T LUT QUI PHM PHP LUT V PHP CH ..... 48

VIII. SAI LM KHI THC THI LUT DI GC KINH T...... 50

CU HI: ......................................................................................................... 51
CHNG 2: KINH T LUT V NHM CHUYN NGNH LUT
HNH CHNH ................................................................................................. 53
I.

KINH T LUT V LUT HIN PHP ............................................ 53

1.

Hin php v khoa hc v s la chn ca cng chng ....................... 53

2.

C ch t qun ......................................................................................... 56

3.

T qun a phng v m hnh nh nc lin bang .......................... 57

II. KINH T LUT V L LUN V NH NC V PHP LUT 58

1.

Bn cht hp ng ca cc l lun v nh nc ................................... 58

2.

Bn cht hp ng ca cc ngnh lut .............................................. 59

III.

KINH T LUT VI CCH THC BAN HNH LUT .............. 61

IV.

KINH T LUT V CC QUY NH HNH CHNH-KINH T63

V.
VI.

KINH T LUT V VIC BAN HNH VN BN DI LUT ... 67

KINH T LUT V TP QUN O C .................................. 69
2

CU HI .......................................................................................................... 71
CHNG 3: KINH T LUT V NHM CHUYN NGNH LUT
DN S ............................................................................................................ 72
I.

KINH T LUT V LUT V S HU ............................................ 72

1.

Cn c pht sinh quyn s hu .............................................................. 72

2.

Quyn chim hu, s dng, nh ot ................................................... 73

3.

Hnh thc s hu ..................................................................................... 74

4.

Bo v quyn s hu ................................................................................ 76

II. KINH T LUT V QUYN S HU TR TU .............................. 77

1.

Quyn tc gi ............................................................................................ 77

2.

Sng ch .................................................................................................... 78

3.

Nhn hiu .................................................................................................. 79

4.

B mt kinh doanh.................................................................................... 79

5.

Nhng i tng khc v s hu tr tu ................................................ 80

III.

KINH T LUT V LUT HP NG ......................................... 80

1.

Son tho hp ng ................................................................................. 81

2.

Gii thch hp ng v cc iu khon ngm hiu ............................... 82

3.

Phn chia ri ro trong hp ng ............................................................ 83

4.

Ch ti khi vi phm hp ng................................................................. 84

5.

Kinh t lut v iu khon bo hnh trong hp ng mua bn .......... 85

6.

Kinh t lut v bn th ba trong hp ng ........................................... 86

3

7.

Kinh t lut v hp ng thu khon trong nng nghip .................... 86

IV.
KINH T LUT V BI THNG THIT HI THEO HP
NG................................................................................................................ 87
1.

Nguyn tc bi thng thit hi ............................................................. 87

2.

Pht vi phm v bi thng thit hi n nh ....................................... 89

V.
KINH T LUT V LUT BI THNG THIT HI NGOI
HP NG ...................................................................................................... 90
1.

Nn tng kinh t ca lut bi thng thit hi ngoi hp ng .......... 90

2.

Bi thng thit hi theo li v khng theo li ..................................... 92

3.

Nhiu ngi cng gy ra thit hi .......................................................... 94

4.

Mi quan h nhn qu ............................................................................. 95

5.

Thit hi xy ra ........................................................................................ 96

6.

Yu t li ................................................................................................... 98

7.

Bi thng thit hi khng ph thuc yu t li ................................... 98

8.

Kinh t lut v bi thng trng pht (punitive damages) ................. 99

VI.
KINH T LUT V CC QUI NH V C LI KHNG C
CN C PHP LUT .................................................................................. 100
VII.

KINH T LUT V LUT LAO NG ....................................... 101

1.

Kinh t lut v hp ng lao ng ....................................................... 101

2.

Mc lng ti thiu................................................................................ 101

3.

Phn bit i x ..................................................................................... 102

4.

Cc qui nh v an ton lao ng v bo v sc kho ngi lao ng

103

5.

Kinh t lut v bo him x hi ............................................................ 104

VIII. KINH T LUT V LUT HN NHN GIA NH ................... 105

1.

Quan h v chng................................................................................... 105

2.

Quan h gia cha, m v con ................................................................ 106

IX.

KINH T LUT V LUT T TNG DN S .......................... 108

1.

Kinh t lut v vic iu chnh hnh vi ca ngi tham gia t tng . 108

2.

Kinh t lut v nghin cu v c cu t chc to n .......................... 110

3.

Kinh t lut v vic i bi thng chi ph lut s ............................. 111

4.

Kinh t lut v cc qui nh v th tc ho gii .................................. 113

5.

Kinh t lut v th tc trng ti ........................................................... 114

X.

KINH T LUT V CC V KIN TP TH ............................... 115

CU HI : ...................................................................................................... 116
CHNG 4: KINH T LUT V CHUYN NGNH LUT HNH S
.......................................................................................................................... 119
1.

Khi qut chung v vai tr kinh t lut trong ngnh lut hnh s .... 119

2.

Kinh t lut v mn ti phm hc ........................................................ 120

3.

Kinh t lut v ti mua bn, tng tr, s dng tri php cht ma tu ...
.................................................................................................................. 122

4.

Kinh t lut v n t hnh ..................................................................... 122

CU HI: ....................................................................................................... 123

5

CHNG 5: KINH T LUT V CC CHUYN NGNH LUT

THNG MI .............................................................................................. 124
I.

KINH T LUT V LUT T AI ................................................ 124

1.

Vn thng nht qun l ca nh nc i vi t ai .................. 124

2.

Vn n b gii to ........................................................................... 126

II. KINH T LUT V LUT MI TRNG ..................................... 128

III.
1.

KINH T LUT V LUT KINH DOANH BO HIM ............ 132

Bn cht lut kinh doanh bo him ..................................................... 132

2. Thc hin nhim v ca kinh t lut trong vic nghin cu lut kinh
doanh bo him .............................................................................................. 134
IV.

KINH T LUT V LUT CNH TRANH ................................. 136

1.

L thuyt v cnh tranh v mn kinh t lut ...................................... 136

2.

Qui nh gi sn phm ca cc doanh nghip ..................................... 138

3. Kinh t lut i vi cc doanh nghip c quyn trong qu trnh cnh

tranh ................................................................................................................ 139
4.

Kinh t lut v vn tp trung kinh t .............................................. 142

V.

KINH T LUT V LUT DOANH NGHIP ................................. 142

1.

Kinh t lut v l thuyt v doanh nghip (theory of the firm) ......... 142

2.

Ch trch nhim hu hn ca doanh nghip ................................. 147

3.

Vn qun l doanh nghip ............................................................... 149

4.

Kinh t lut v th tc cp giy php kinh doanh .............................. 150

5.

Kinh t lut v cc ngnh ngh kinh doanh c th - ngh y ............ 152

6

6.

Kinh t lut v ngnh ngh c th - ngh lut s ............................. 154

VI.
KINH T LUT V CC QUI NH V DOANH NGHIP NH
NC ............................................................................................................. 154
VII.

KINH T LUT V MT S HNH VI THNG MI .......... 156

1.

Kinh t lut v cc qui nh v qung co ........................................... 156

2.

Kinh t lut v vic ng k cht lng sn phm ............................. 157

3.

Kinh t lut v hot ng nhng quyn kinh doanh ........................ 159

VIII. KINH T LUT V TH TC PH SN DOANH NGHIP ... 160

IX.

KINH T LUT V LUT TI CHNH NGN HNG ............. 163

1.

Kinh t lut v th trng chng khon .............................................. 163

2.

Cc qui nh v giao dch ni gin........................................................ 165

3.

Kinh t lut v cc qui nh v th trng ti chnh ........................... 166

X.

KINH T LUT V LUT THU ..................................................... 167

1.

Kinh t lut v nhng vn v m trong lnh vc thu.................... 167

2.

Kinh t lut v cc hnh vi trn thu v trnh thu ........................... 168

3. Kinh t lut v thu thu nhp c nhn (thng xuyn v khng thng
xuyn) .............................................................................................................. 169
4.

Kinh t lut v thu thu nhp doanh nghip ....................................... 171

5.

Kinh t lut v thu i vi vic s hu ti sn .................................. 172

6.

Kinh t lut v thu gin thu ................................................................ 173

CHNG 6: KINH T LUT V NGNH LUT QUC T .............. 175

7

I.

KINH T LUT V T PHP QUC T........................................ 175

II. KINH T LUT V CNG PHP QUC T ................................. 175

III.

KINH T LUT V LUT THNG MI QUC T .............. 176

IV.

KINH T LUT V LUT THU QUC T .............................. 176

CU HI: ....................................................................................................... 178

LI M U
T lu nay, nhiu ngi nghin cu php lut ch gii hn trong lnh vc
khoa hc php l. Vic m rng ra cc lnh vc khc ch p dng cho
nhng ngnh lut c lin quan mt thit n kinh t nh lut cnh tranh
hay lut thu, ch khng phi nhng mn truyn thng nh lut dn s
hay hnh s. Khung sn cc ti nghin cu khoa hc thng bao
gm ba phn: c s l lun, thc trng v gii php. Tuy nhin cch phn
tch h thng nh vy i khi vic ny ch p v l thuyt ch cha chc
hiu qu. L ra, theo phng php lun ca ch ngha Marx, chng ta
nn bt u bng trc quan sinh ng, ri mi n t duy tru tng.
Th nhng nu bt u bng trc quan sinh ng ch khng phi cc qui
nh ca php lut th mi ngi li e ngi khng bit ly ci g nghin
cu tnh hnh thc tin. Khi t cu hi nh vy, mi ngi tm kim
cc phng thc nghin cu khc hiu qu hn phng thc nghin cu
php l thun ty. Trong s , vai tr ca kinh t hc c c bit coi
trng. Ngc li, kinh t hc cng pht trin, n cng c n nhn
nhng ngnh khoa hc khc nh mt cng c hu hiu tm hiu v
ra gii php cho ngnh hc ca mnh.
Kinh t lut (law and economics) tm hiu nhng trng hp xy ra trong
cc quan h x hi vn cn cha hiu qu, v bn thn c ch th trng
khng th no mang li hiu qu cho cc quan h. Khi , kinh t lut s
tm hiu nguyn nhn ca s km hiu qu v xut gii php - bng
cc qui nh ca php lut - cc quan h pht trin theo hng c
hiu qu hn. Tht vy, lch s pht trin ca loi ngi l lch s thay
i cc cng c, pht trin khoa hc k thut, tng cng lc lng sn
xut dn n thay i quan h sn xut. y l qu trnh ti u ho nng
sut lao ng, hay ni khc i l lm mi vic mt cch hiu qu hn.
Khi bnh xe xut hin th con ngi c th xy dng c nhng cng
trnh ln. Ch chim hu n l ra i thay th ch cng sn nguyn
thy. Sau tru b v cc cng c canh nng ra i lm cho cc hnh
thc lao ng th cng ca n l tr nn km hiu qu, v h khng th
lm tt nu h khng c tr thng xng ng. Cc n l ni dy
xo b ch chim hu n l v thay bng ch phong kin. Phi rt
lu sau khi cch mng cng nghip ra i th ch sn xut t bn
mi thc s pht trin. Khi quan st ton b qu trnh pht trin nh vy,
9

chng ta thy mc tin sau cng ca loi ngi l xy dng mt ch

ngy cng hiu qu, mang li li ch ngy cng cao vi chi ph ngy cng
thp. Ngy hm nay tt hn ngy hm qua, ngy mai tt hn ngy hm
nay. Trong nn kinh t cnh tranh tan cu hin nay, km hiu qu ng
ngha vi vic gim sc cnh tranh v a t nc tr nn l thuc cc
nn kinh t nc ngoi. Nhim v ca ti l lm sao ngi c suy
ngh v tnh hiu qu trong tng vn bn php lut v tm gii php cc
vn bn ng gp vo tnh hiu qu ca nn kinh t ni chung.
Trong nhng nm t 1950 tr li y, kinh t lut ni ln nh mt tro
lu nghin cu mi. Bt u t hai cng trnh ni ting ca Ronald Coase
(Bn cht Doanh nghip The Nature of the Firm, v Chi ph X hi
The Problem of Social Costs), kinh t lut c hng ng nhit lit
hu ht cc trng lut ti Hoa K. Chu u, mn kinh t lut c
du nhp mnh m vo cc trng i hc nh Hamburg (c), London
School of Economics (Anh), Leuven (B) hay Zurich (Thy S) v ngy
cng c cc trng i hc khc trong chu lc quan tm. Ti ng ,
kinh t lut c a vo ging dy ti Nht Bn v Hn Quc. Ti
ng Nam xut hin nhiu hc gi v kinh t lut ti Trng i
hc Quc gia Singapore v Trng i hc Malaya (Malaysia).
Nhm mc ch cung cp ti liu chuyn kho cho mt phng php t
duy khoa hc mi kinh t lut, quyn sch Kinh t Lut, do TS L Nt,
ging vin Trng H Lut TP HCM bin son bn lun v nhng i
tng nghin cu ca mn kinh t lut trong tng ngnh lut c th
nc ta hin nay. Quyn sch c phn thnh cc chng sau y:
Chng I:
Chng II:
Chng III:
Chng IV:
Chng V:
Chng VI:

Gii thiu v mn kinh t lut

Kinh t lut v cc chuyn ngnh lut hnh chnh
Kinh t lut v cc chuyn ngnh lut dn s
Kinh t lut v cc chuyn ngnh lut hnh s
Kinh t lut v cc chuyn ngnh lut thng mi
Kinh t lut v cc chuyn ngnh lut quc t.

10

Xin trn trng gii thiu quyn sch cng bn c.

TS L Nt
Lut s, LCT Lawyers
Ging vin BM Lut Dn s, Trng i hc Lut TP H Ch Minh
Net.le@lctlawyers.com
NXB TRI THC 2006

11

CHNG 1: GII THIU V KINH T LUT

I.

KHI NIM V NGHA CA MN KINH T LUT

1.

Kinh t lut l g?

Hin nay nc ta, mt s ngnh lut c th ang s dng cc l thuyt

v kinh t, l lut cnh tranh, lut v mt s ngnh cng nghip do
Nh nc c quyn, lut thu, lut ngn hng v ti chnh. Cc cu hi
t ra cho cc ngnh lut ny thng l th phn ca doanh nghip A l
bao nhiu?, nn nh thu linh kin t vi thu sut l bao nhiu?,
nn qui nh gi bn in nh th no?, li sut ngn hng nn tng
hay gim trong 6 thng ti? i vi nhng ngnh lut quan trng khc
nh lut dn s, lut hnh s, lut hnh chnh, mc tham gia ca kinh
t hc cn hn ch. Mc d t lu Marx ch ra rng mi vn , d
n gin hay phc tp, u c th gii quyt c khi a v cc nguyn
nhn kinh t, song chng ta cha s dng phng php kinh t l gii
cc vn php lut hay son tho cc vn bn php lut. Cch thc
nghin cu lut i khi mang tnh siu hnh (lut l lut dura lex, sed
lex), hn l xem xt xem cc qui nh php lut do chng ta to ra ang
tc ng tch cc hay tiu cc n nn kinh t, hoc gi c thc s cn c
cc qui nh hay khng.
T nm 1960, trn th gii xut hin mn hc mi kinh t lut (law
and economics), dng cc l thuyt kinh t nghin cu cc ngnh ch
nh lut truyn thng nh quyn s hu, hp ng, bi thng thit hi
ngoi hp ng, lut hnh s v Hin php. Hai nh kinh t c cng khai
ph ra mn hc ny l Ronald Coase v Guido Calbresi.1 Kinh t lm
thay i b mt ca ngnh khoa hc php l. Ti Hoa k v Ty u hin
nay, khoa lut ca mi trng i hc ni ting u c cc gio s kinh
t.2 Mn kinh t lut c a vo ging dy nhiu trng i hc.,
Nhiu tp ch khoa hc v kinh t lut ra i nh Journal of Law and
Economics (t nm 1958), Journal of Legal Studies (t nm 1972),
1

Coase, R. (1960) The Problem of Social Cost, 3 Journal of Law and Economics 1; Calabresi,
G. (1961) Some Thoughts on Risk Distribution and the Law of Torts, 70 Yale Law Journal 499.
2
Cooter, R. and Ulen, T. (1996) Law and Economics, 2nd ed., Wesley Addison, p. 2.

12

International Review of Law and Economics, European Journal of Law

and Economics, Review on Economic Studies of Copyright Issues, v.v..
Cc hip hi v kinh t lut ra i ti M, Canada, Chu M La tinh v
Chu u. Ngnh kinh t lut thc s ng quang nm 1991 v 1992 khi
hai hc gi ni ting, Ronald Coase v Gary Becker nhn c gii Nobel
kinh t do nhng cng hin cho mn kinh t lut. tng kt, GS Bruce
Akerman ca Trng Lut i hc Yale m t mn kinh t lut cng
vi cc phng php lun ca n nh thnh tu rc r nht ca khoa hc
php l th k 20.
Mn kinh t lut t ra nhiu cu hi lm bt ng cc lut gia, song thc
s hu ch, nh: c nn qui nh mt s ti sn thuc s hu ton dn tr
thnh s hu t nhn hay khng?, nn qui nh v trch nhim do vi
phm hp ng nh th no cc bn khng vi phm hp ng?, nn
qui nh v trch nhim i vi sn phm nh th no bo v ngi
tiu dng song vn thc y sn xut?, nn qui nh v ngha v cung
cp chng c nh th no c mt bn n cng bng? Trn ht, cu
hi hm nay ca chng ta l: nn c nhng qui nh php lut nh th no
t c mc tiu dn giu, nc mnh, x hi cng bng vn minh?
Cc cu hi v cng trnh nghin cu v kinh t lut lm thay i
mnh m v su sc t duy v cch thc ban hnh chnh sch v vn bn
php lut ti Hoa K v Chu u. Kinh t lut l cng c ci cch ca
chnh quyn Reagan ti M v Thatcher ti Anh. Cc ci cch to bo
nh cho php t do cnh tranh v doanh nghip t quyt nh gi bn
trong ngnh hng khng, vin thng, in lc, giao thng cng cng
em li nhng li ch to ln cho ngi tiu dng. Cc bn n ca to
phc thm v To Ti cao ti Hoa K cng bt u trch dn cc cng
trnh v kinh t lut.3
Ta c th tm gn: Kinh t lut l mt ngnh hc nghin cu cch s
dng kinh t hc nh gi hiu qu ca cc qui nh php lut.

Cc thm phn tin phong l Stephen Breyer, Richard Posner, Frank Easterbrook, Guido
Calbresi, Douglas Ginsburg, Robert Bork and Alex Kozinski.

13

Ti sao mn kinh t lut li thnh cng n nh vy? l v n trm

c ch trng trong khoa hc php l t by lu nay. gii thch, hy
xem mnh sau y v lut thc nh: lut bao gm nhng qui phm
iu chnh cc quan h x hi, c Nh nc bo m thc hin bng
ch ti.
Th nhng, cc nh lm lut v p dng lut thng t hi: ch ti s
nh hng nh th no n cc quan h x hi? Th d, vic tng cng
ra bn n t hnh c lm gim s ti phm bun ma ty hay khng?
Thng thng, chng ta cho rng ch ti cng nng th hiu qu cng cao.
Tuy thc t khng hn l nh vy, song chng ta cng khng bit l
gii iu nh th no.
Kinh t lut cung cp mt l thuyt khoa hc v d on hiu qu ca ch
ti i vi quan h x hi. i vi cc nh kinh t, ch ti ging nh ci
gi phi tr cho mt hnh ng, v nh vy, mt ngi phn ng i vi
ch ti cng nh ngi mua phn ng trc gi ca ngi bn a ra.
Nu ngi bn ra gi cao, ngi mua s mua t. Nu Nh nc p dng
ch ti nng, th cc hnh vi tri php lut nhn chung s c gim bt.
Kinh t hc c cc cng c ton hc hu hiu - l thuyt gi v l thuyt
tr chi game theory (hay u tr lun) v cc cng c thc tin ng tin
cy (kinh t lng v xc sut thng k) phn tch nh hng ca gi
i vi quan h x hi.
Th d, mt nh sn xut t bit rng xe ca mnh i khi gy tai nn
cho ngi tiu dng. H s p dng tiu chun an ton no? Cu tr li s
ph thuc vo hai yu t chi ph. Th nht, chi ph cho s an ton, ph
thuc vo cc chi ph thit k v sn xut xe. Th hai, chi ph bi thng
thit hi theo qui nh ca php lut i vi nh sn xut. Nh vy nh
sn xut s phi hi lut s xem trch nhim ca mnh khi xe gy ra tai
nn ti u. Sau , h s so snh chi ph cho s an ton vi chi ph bi
thng thit hi gy ra do li ca mnh trong qu trnh sn xut. Nu chi
ph cho s an ton ln hn chi ph cho bi thng thit hi, h s gim
chi ph thit k, sn xut. Khi chuyn g s xy ra? Chng ta bit mt
chic xe t Toyota Camry ti M l 16.000 USD, ti Vit Nam l
50.000 USD, song cht lng v an ton ca chic xe Camry ti M
li cao hn chic xe Camry ti Vit Nam. Nguyn nhn l v trch nhim
14

bi thng thit hi do li ca nh sn xut gy ra ti M c th ln ti

nhiu triu la M. Do vy, nh sn xut phi tng chi ph thit k v
sn xut, v v vy cht lng v an ton ca chic xe cng loi sn
xut ti M cao hn ti Vit Nam. Cn gi ca xe ti Vit Nam cao hn
xe ti M, l do th trng xe t trong nc c bo h, nh sn xut
xe tng gi xe.
Ni tm li, kinh t hc cung cp mt l thuyt d on hnh vi xem cc
quan h x hi s thay i th no khi php lut thay i. L thuyt ny
c c s hn cm gic, cng ging nh khoa hc th c c s hn suy
lun n gin.
2.

Hiu qu - mc tiu ca kinh t lut

Ngoi l thuyt khoa hc v hnh vi, kinh t hc cn cung cp cc tiu

chun hu ch nh gi php lut v chnh sch. Lut khng ch l cc
qui phm, n cn l cng c t c cc mc ch x hi quan trng.
bit c cng c c hiu qu hay khng, cc nh lm lut phi c
phng php nh gi hiu qu cng tc lp php. Kinh t hc d on
hiu qu ca chnh sch thng qua cc l thuyt v hiu qu, cn bng v
chi ph - li ch.
Ngoi hiu qu, kinh t hc cn d on hiu qu ca chnh sch thng
qua mt ni hm quan trng khc, l phn phi. Th d, lut thu p
dng cc l thuyt kinh t thc hin chc nng ti phn phi thu nhp
trong x hi. Tuy vy, vic ti phn phi ti sn trong x hi c th dn
n mu thun giai cp. Trong , giai cp chim a s hay c tim lc
kinh t mnh nht trong x hi s kim sot Quc hi v biu quyt cho
nhng d lut c li nht cho mnh. V vy, kinh t lut thng trnh s
dng cng c ti phn phi t c hiu qu cho mt chnh sch kinh
t - x hi.
phn tch r hn yu t hiu qu, chng ta c th xem xt ba th d sau
y:
a.

Tham nhng l mt trong nhng ti b trng pht nghim khc

nht vi mc n t hnh. Tuy nhin n t hnh c v nh khng
15

lm gim c mc phm ti bao nhiu. Ngy cng nhiu v

tham nhng b pht hin, v sau ln hn v trc. Nguyn nhn
c phi do lut php khng nghim khc? Nh kinh t hc
c gii Nobel Gary Becker nghin cu vn ny v ch ra
rng, nguyn do hnh vi phm ti khng gim l do t tng hy
sinh i b cng c i con. Nh vy, chng tham nhng c hiu
qu nht khng phi bng hnh pht t hay thm ch n t hnh, m
bng cc bin php kinh t - pht tin gp 5 ln s tin tham
nhng, tch thu ton b ti sn ca gia nh b co, bt k ngun
gc. iu ny hin ang c p dng ti Trung Quc v c
nhng kt qu r rt. T hnh thnh nguyn tc lm lut: i
vi cc ti phm v kinh t, th nhng ch ti kinh t s c hiu
qu hn cc hnh pht t.
b.

Cng ty Petech ca Vit Nam nhp khu du t cng ty Abdulah

ca Iraq. Hp ng khng thc hin c do chin tranh vng
Vnh xy ra. Petech chu thit hi, k c nhng thu nhp b mt, b
gim st do khng c du bn trn th trng Vit Nam. Sau
Petech kin Abdulah. To n s phi quyt nh xem nn buc
Abdulah bi thng thit hi cho Petech do khng thc hin hp
ng, hay coi chin tranh l s kin bt kh khng v coi vic
Petech b thit hi l ri ro m Petech phi gnh chu. Trong mt
v n tng t, thm phn Posner chia thit hi ca Petech theo
t l li ca mi bn.4 Th nhng, xc nh t l li nh th no
cho c hiu qu nht? Theo l thuyt kinh t, th t l li hiu qu
nht l t l sao cho trong tng lai hnh vi ca mi bn s c chi
ph thp nht v li ch cao nht cho c hai bn. Trong hp ng
ny, Abdulah l cng ty vng Vnh, h c nhiu thng tin hn
Petech v kh nng xy ra chin tranh, h c th kim sot c
vic thc hin hp ng tt hn Petech, v v vy h phi chu t l
li nhiu hn Petech. Nu quan im ca to n l nht qun bn
no kim sot ri ro ln hn s c li nhiu hn khi thit hi xy ra
th cc bn s n lc ht sc trnh xy ra thit hi cho i tc,
v kt qu l hp ng c thc hin mt cch c hiu qu hn.

Posner, R. v Rosenfield, A. (1977) Impossibiulity and Related Doctrines in Contract Law 6

Journal of Legal Studies 88.

16

3.

Nh my bt git Unix x khi lm m vi dt la ang phi ca

Nh my dt Tn Chu. Tn Chu kin Unix. Nu Unix thua
kin, Unix phi trang b mt thit b my lc kh, chi ph khong 1
triu USD, sao cho nc thi khng nh hng n tm ca ng
dn Cn Thnh. Nu Unix thng kin, Tn Chu phi trang b mt
thit b sy la trong nh tr gi 500 ngn USD. Gi s ngoi Unix
v Tn Chu khng ai phi chu thit hi g, th cch gii quyt c
hiu qu nht khng phi l mt phn quyt trong Unix thua v
Tn Chu thng hay ngc li, m l vic to n khuyn khch cc
bn ho gii. Khi gii php ti u nht c th l Unix s l bi
thng cho Tn Chu 750 ngn USD Tn Chu t trang b cho
mnh thit b sy la trong nh. Lp lun trn mang li cho
Ronald Coase gii Nobel kinh t nm 1991.

T nhng th d trn, chng ta thy cc nh lm lut c th hc c rt

nhiu t nhng nh kinh t hc, sao cho cc qui nh ca mnh khng
nhng cng bng m cn mang li hiu qu trn thc t. Ngc li, cc
nh kinh t c th tm hiu thm xem mnh c th thc y nn kinh t
pht trin thng qua vic kin ngh thay i cc qui nh php lut hay
khng.
3.

Ni dung ca mt gio trnh kinh t lut

Nh nu trn, cc lut gia phi hc kinh t, v cc nh kinh t hc phi

hc lut. Tuy nhin do i tng ca quyn sch l cc nh lm lut, lut
s, cc nh nghin cu lut v cc sinh vin trng lut, Chng 1 ca
quyn sch s cung cp cc kin thc c bn v kinh t hc. Cc chng
tip theo trnh by cch nh gi hiu qu ca tng ngnh lut theo quan
im kinh t hc, bt u t Lut Hnh Chnh (Chng 2), Lut Dn s
(Chng 3), Lut Hnh s (Chng 4), Lut Thng mi (Chng 5),
Lut Quc t (Chng 6). Cui mi chng u c phn nh gi hiu
qu ca php lut Vit Nam trn quan im ca nhng l thuyt kinh t.
Chng 1 s gii thiu cc cng c quan trng ca mn kinh t lut
nh nh l Coase, l thuyt tr chi (u tr lun), nh l Hand, phn
tch chi ph - li ch theo l thuyt ca Gary Becker, l thuyt v thng tin
17

bt i xng ca Akerloff, Spence v Stiglitz, cc vn lin quan n

kinh t hc phc li theo quan im ca cc trng phi Harvard
(Schumpeter), Chicago (Stigler) v hu Chicago (Buchanan).
i vi cc bn c cha hc kinh t, phn ny s hi kh c, song rt
cn thit cc bn c th i tip nhng chng sau. i vi cc bn
hc k mn kinh t vi m, chng ny l khng cn thit. i vi cc bn
khong gia, cc bn nn xem lt qua chng ny v ch dng li
nhng l thuyt mnh cha nm chc. Nu cc bn gp kh khn trong
vic nhc li nhng kin thc Chng 1, c l bn nn c k chng
ny trc khi tip tc.
II.

LCH S PHT TRIN CA MN KINH T LUT

Chng ta ang i trong thi i thng tin. Quc hi v cc c quan lp

php khng th no c ban hnh vn bn lut ri cho rng: lut l ch
ca giai cp thng tr, v l giai cp thng tr nn c quyn ban hnh vn
bn lut. iu cn thit l phi tm cch thuyt phc nhng ngi thuc
i tng iu chnh ti sao vn bn lut c ban hnh; thc hin
theo vn bn th s c g; khng thc hin th s ra sao. Khi a ra
quan im, cc nh lm lut cn phi bit cch gii thch ti sao quan
im ca mnh li tt hn quan im ca ngi khc. Ti sao Nh nc
nn ban hnh chnh sch ny ch khng phi chnh sch khc.
Kinh t lut c th ni c xy dng nn mng t th k 18 v 19, vi
hai hc gi ni ting nht l Adam Smith v Karl Marx. T trc c
David Hume ni v tng tc trong quan h (Game Theory), hay Rosseau
cp n cuc u tr sn hu (1755, xem th d di y).5 Adam
Smith sau gii thch rng th trng vi bn tay v hnh c th gii
quyt c nhiu vn m php lut cng khng gii quyt c. n
nm 1859 Marx trong b T bn lun (Das Kapital) tuyn b quyn
li c xy dng ty vo c s h tng (iu kin kinh t - x hi). V
th, php lut vi t cch l thng tng kin trc khng th tch ri h
Cc hc thuyt v u tr thc s khi sc t nhng nm 1930, vi
nhng cng trnh nghin cu ca Joan Robinson hay Ronald Coase, c
nh hng nhiu nc, nht l M.
5

18

tng c s l ch kinh t, cng nh thc ngi dn trong h thng

kinh t thi by gi. iu ny c chp nhn rng ri trong gii nghin
cu ti c. Tuy nhin th trng khng phi gii quyt c mi vn
, bi l h thng th trng ca Adam Smith c th thc hin tt
c, th h thng thng tin gia cc ch th trn th trng phi y ,
cc ch th phi c lng tin vo nhau hay c cng suy ngh nh nhau v
ri ro. V cc iu kin khng tha mn, nn c nhng trng hp
tht bi ca th trng (market failure). l khi mt bn c th lm
nhng hnh vi m bn kia khng cch no i ph c (do thiu thng
tin hay khng c nhng iu kin khc). Vo thi , Marx cng nh cc
nh kinh t khc cho rng c th dng nhng chnh sch ca nh nc
chnh sa nhng tht bi ca th trng. Nh vy, gia kinh t v lut c
mi tng tc qua li. Th d di y cho thy iu ny.
Cuoc au tr "san hu"
Hai ngi th san can hp tac vi nhau e san mot con hu. Neu san c, ca hai
se chia oi li tc, moi ngi 10 n v. Tuy nhien e san tho th khong can phai
en hai ngi, va li ch cua ngi san tho la 8 n v. Gia s ang trong luc san
hu th mot con tho xuat hien. Neu mot ngi bo hu san tho th ngi kia se
khong bat c hu. V the ngi th hai cung phai bo hu san tho, va hai ngi
se chia chung con tho bat c (moi ngi 4 n v). Bang phan tch cuoc au tr
nay nh sau:

Th san 1

Th san 2
Hu
10, 10
8, 0

Hu
Tho

Tho
0, 8
4, 4

Theo bang tren, ca hai ngi th san cung phai ap dung chien lc linh ong. Th
san 1 ch san hu neu th san 2 cung san hu, con ngc lai ca hai se cung san
tho. Tat nhien sau khi chia oi con tho bat c, ca hai se khong hai long, va thoa
thuan lan sau se cung san hu. Nh vay trong cuoc au tr nay khong co g chac la
moi th san se ap dung mot chien lc duy nhat.
Neu tnh xac suat cac lan san chung ta se co ket qua chnh xac la kha nang nao se
xay ra nhieu hn. Th du goi p1 la xac suat san hu cua ngi th nhat, 1 - p1 la
xac suat san tho, th tong hai xac suat se la: EPV (expected profit value) = 10p1 +

19

8(1-p1) = 8 + 2p1 > 8 > 4 (li ch khi ca hai cung san tho). Nh vay cho du la chon
xac suat the nao th s dung chien lc linh ong cung tot hn la ch ap dung mot
chien lc duy nhat la san tho. Tuy vay neu ch ap dung chien lc san hu th co
kha nang se b ngi th hai li dung khi ngi nay quyet nh "anh le." Sau khi
tnh toan xac suat, ca hai th san co the se i en cung mot ket luan la nen gianh
mot na thi gian san hu va mot na thi gian san tho. Ket luan nay goi la trung
iem (focal point) hay iem Schelling.

u nhng nm 1950, Khoa Kinh t i hc Chicago bt u ni ln nh

mt trung tm nghin cu ng dng cc l thuyt kinh t vo cc ngnh
hc khc. Cc hc gi ni ting bao gm Frank Knight, Milton Friedman
v George Stigler. Cc kinh t gia ny cho rng khng th dng nh nc
iu chnh s tht bi ca th trng (market failure), m phi bit li
dng cc qui lut ca th trng phc v cho mc ch m php lut
hng ti cng bng v hp l, hiu qu.
n nhng nm 1960 th sau khi Coase c bi bo khoa hc Vn ca
Chi ph X hi (The Problem of Social Costs), kinh t lut c mt bc
ngot quan trng: n pht trin mnh thnh mt ngnh khoa hc c
lp, vi s ra i ca Tp ch Kinh t Lut (Journal of Law and
Economics JLE). Coase chng t cho cc cc nh khoa hc thy
khng th dng lut p t ch ca cc ch th, m ch c th chiu
theo ch ca cc ch th xy dng lut sao cho cui cng li ch ca
mi ch th u t c vi chi ph thp nht. n nm 1970 th cc
cng trnh nghin cu ca cc lut gia, c bit l Calabresi, ra i cho
thy rng cc nh lut hc cng nhn phng php lun ca mn kinh
t lut nh l mt phng php thch hp xy dng lut php sao cho
t kt qu tt nht vi chi ph thp nht cho x hi. n nhng nm
1980 th kinh t lut bt u pht trin Chu u, mn kinh t lut c
a vo ging dy cc trng i hc lut.
tng kt, Posner (1992) cho rng kinh t lut c chp nhn nhanh
chng nh vy l do nguyn tc ca lut - nht l h thng Anglo-Saxon t trc n nay u l nhng nguyn tc kinh t - ra nhng gii php
c hiu qu, phc v li ch chung ca hai bn, gia tng li ch cho x
hi.
20

Tuy nhin, c nhiu trng phi khoa hc chng li mn kinh t lut.

M, Dworkin cho rng ngoi cc yu t nh li nhun, hin qu, th php
lut cn phi quan tm n cc gi tr khc nh lng nhn o, bo v
ngi ngay tnh v.v. Nhng vn ny cha c quan tm ng mc.
Hn na, khi nim hiu qu cng rt tru tng: hiu qu cho ai v ti
mc no? C bao nhiu cch t c hiu qu? Nhiu khi mc ch
ca cc gii php php l khng phi l t c hiu qu, m hn
ch ri ro. Tt nhin, cch gii thch sau cng khng thuyt phc, bi l
ri ro cng c tnh n trong kinh t, v c lng ho thng qua
khi nim chi ph giao dch.
Cc i tng nghin cu ca mn kinh t lut thng thng c tnh
n trong khi phn tch bao gm:
-

Cc nh ch (institutions), th d nh doanh nghip, ngn hng

hay c quan nh nc. Theo Coase (1937), nh ch c
thnh lp l gim chi ph giao dch, tp trung cc ngun lc
cnh tranh vi cc nh ch khc. y l mt nhn xt quan
trng. Tuy nhin thc s khng n gin nh vy. Trong mi
nh ch li c mt s cc yu t khc nhau s nh hng n
hiu qu ca tng nh ch, nh con ngi, tm t tnh cm,
phe phi v.v.

Lch s: phn tch lch s d on tng lai. Nh kinh t

hc ot gii Nobel Douglas North cho rng nhng bi hc lch
s rt c gi tr khi phn tch nh hng ca mt chnh sch
kinh t i vi mt quc gia, qua cng trnh nghin cu ca
ng v nn kinh t Bc M trong thi k chim hu n l.
Theo , nn kinh t cc bang min Nam nc M thi
chim hu n l pht trin kh tt, do cc ngun lc c
phn b mt cch ph hp. Tuy nhin, cuc chin tranh Nam Bc vn n ra, khng phi xy dng mt nn kinh t hiu
qu hn, m xy dng mt Nh nc nhn bn hn. Kt
lun ca ng lm cc nh kinh t phi suy ngh.

Lut hc so snh: trc kia ngi ta coi trng h thng lut v

cc bi cnh lch s ra i h thng lut . Tr Marx, cc nh
21

nghin cu khc t khi i su hn tm ci gc kinh t ca bi

cnh lch s. Khi so snh ngnh lut ny vi ngnh lut kia,
vic lin h n nn kinh t ca tng quc gia khc nhau c th
s cho nhiu kt qu khc nhau, t ta c th nh gi lut
php nc no c hiu qu hn.
-

Hnh ng chin lc (strategic behaviour): cc vn v

hnh ng chin lc c lin quan n l thuyt tr chi/u tr
(game theory). Cc hc thuyt ny thc s khi sc t nhng
nm 1930, vi nhng cng trnh nghin cu ca Joan Robinson
hay Ronald Coase, c nh hng nhiu nc, nht l M. i
tng nghin cu ca l thuyt u tr l tm chin lc ti u
cho nhng ngi chi trong cc mi quan h v iu chnh cc
chin lc ny sao cho c hiu qu cho x hi. Cc hnh vi
chin lc c th ngn cn hay thc y qu trnh xy dng
php lut t c hiu qu.

S hn ch ca l tr (limited rationality): cc nghin cu kinh

t gn y ch ra rng khng ch li ch l yu t tc ng
duy nht n l tr, m cn c cc yu t khc nh tm l, tnh
cm, nhn thc hay t tng ca tng c nhn. Cc bin s
ny tuy kh phn tch, song s ra i ca kinh t hc v thng
tin bt i xng, do Akerloff, Spence v Stiglitz sng lp
gip ch nhiu cho mn kinh t lut.

Ri ro v tinh thn dm ngh dm lm (enterpreneurship). Cc

yu t ny c nh kinh t hc o Schumpeter a ra t
nhng nm 1940 v nay li c rt nhiu ngi quan tm.
i tng nghin cu ca Schumpeter v nhng ngi ng h
ng l tm nhng bin php thc y sng to v tinh thn gim
ngh gim lm. Khi mt nn kinh t c xy dng phc v
cho nhng ngi dm ngh dm lm, n s gii phng c
nhng ro cn v t duy, gip nn kinh t tr nn c hiu qu
v d qun l hn (v php lut thun theo lng ngi, tn
trng s t do ch ca h).

22

La chn ca cng chng (public choice). Trng phi nghin

cu public choice c Buchanan lp ra v c nhiu nh
kinh t hc khc tip bc. Nhiu ngi trong s h ot
gii Nobel, nh Von Mises, North hay Fogel. i tng nghin
cu ca lnh vc ny l cu hi: Nh nc c t ra hn
ch cc tht bi ca th trng (market failure) hay cn lm
phc v cc mc tiu g khc?

Ni tm li, kinh t lut c th lm nhng cng vic nh ch ra c thiu

st ca h thng php lut, t ra gii php. Tuy nhin cc gii php
m cc nh kinh t lut a ra thng mang tnh cht thn trng v ch
c p dng trong mt ngnh hp. l v kinh t lut mi ch nghin
cu cc tham s kinh t, v da trn mt s gi thuyt n gin. Gii
quyt mt vn x hi thng thng phc tp hn, yu cu phi t ra
nhiu tham s v nhiu yu t khc nhau cn phi c quan tm.
III.

KINH T VI M V KINH T V M

1.

Cu trc ca l thuyt kinh t vi m

Kinh t vi m nghin cu hot ng ca cc nhm nh, nh cc c nhn,

gia nh, t hp tc, t chc kinh t hay cc c quan nh nc. phn
tip theo trong chng ny chng ta s xem xt cc cng c kinh t c
bn ca kinh t vi m s dng vo cc chng tip theo. Kinh t vi
m c nh ngha l ngnh hc nghin cu xem ngun lc c phn
b nh th no gia cc mc tiu khc nhau. Bn c 100.000 ng, bn
nn mua mt quyn sch, hay mi mt ngi bn i n tra? Bn nn i
du lch vo cui tun hay nn nghin cu nh? Bi l thi gian v tin
bc ca bn c gii hn, bn s phi la chn. Kinh t vi m cho chng
ta l thuyt v vic mi ngi ra quyt nh la chn nh th no.
i tng nghin cu ca kinh t vi m thng thng c chia thnh 2
hng chnh: nghin cu v cung v nghin cu v cu. Hng th nht
nghin cu l thuyt v s la chn ca ngi mua v nhu cu. Cc l
thuyt kinh t trong lnh vc ny gii thch mt ngi tiu dng vi thu
nhp c hn phi la chn xem mnh s mua hng ho g. Hng th hai
nghin cu cc s la chn ca ngi bn v sc cung. Chng ta s cng
23

xem cc doanh nghip quyt nh mnh sn xut g, sn xut bao nhiu v

vi gi nh th no. Ngoi ra, cc bn cn bit thm hai mc na c v tr
tng i c lp, l l thuyt u tr tr chi (game theory) v nh
hng ca tm l (psychology). Cc mc ny s c cp phn cui
ca chng ny.
2.

Kinh t v m

Mc d cc cng c kinh t lut phn ln lin quan n kinh t vi m,

kinh t v m vn ng vai tr quan trng trong mt s ngnh lut, th d
nh lut thu, lut lao ng, lut cnh tranh, lut ti chnh ngn hng.
Ngc li, thng qua cc cng c php lut, Nh nc iu chnh li sut
tin t v thu sut iu tit cc hot ng kinh t trong x hi, thc
y nn kinh t pht trin. Kinh t v m cn tc ng n nhiu ngnh
lut khc nh lut t ai, mi trng. Ni no hnh thnh th trng v
thu ht nhiu vn ca x hi, ni hin din cc nghin cu v kinh t
v m. Kinh t v m nghin cu s bt n ca nn kinh t v quyt nh
xem Chnh ph c nn to s n nh kinh t hay khng.
C hai trng phi chnh v kinh t v m l kinh t c in ca
Keynes v kinh t hc tin t ca Friedman. Kinh t c in ca Keynes
cho rng Nh nc ng vai tr quan trng trong vic kch cu tiu dng,
t to ra cng n vic lm cho ngi dn, thc y sc tiu th hng
ho v t nn kinh t s pht trin. Kinh t hc tin t ca Friedman
li cho rng cng c iu hnh chnh ca nn kinh t l li sut ca ngn
hng trung ng. Thng qua iu chnh li sut, Nh nc c th khuyn
khch ngi dn dng tin lm n hay gi tin tit kim vo ngn
hng. T ngi dn s u t ng hng v ng thi im hn.
Mi trng phi kinh t c im u v im khuyt khc nhau, tuy nhin
cch nghin cu ph hp nht c l l kt hp c hai trng phi Keynes
v Friedman. Th d, trng phi Friedman khng th l gii c v sao
trong cng mt nc, cng mt ngnh kinh t nh nhau nh Vit Nam m
s tin gi tit kim H Ni l 144 ngn t, trong khi s tin gi tit
kim TP H Ch Minh ch l 70 ngn t. iu nghch l l nn kinh t
ca TP H Ch Minh ln hn gp 4 ln nn kinh t ca H Ni. Nh vy,
vic b tin ra kinh doanh hay gi tin tit kim cn ph thuc vo vic
ngi dn c tm ra c c hi kinh doanh hay khng. Vn ny
24

li ph thuc vo c chnh sch ca Nh nc ln tnh nng ng ca

ngi dn.
IV.

PHNG PHP NGHIN CU V CC TRNG PHI

Phng php nghin cu mn kinh t lut cng tng t nh cc phng

php nghin cu kinh t ni chung - hng ti s hiu qu, hay ni cch
khc l s ti u ho li ch ca tng c nhn v x hi. Tuy nhin c
nhiu cn tr i vi vic tm gii php ti u, th d nh li ch hay
thng tin. V th s phi c nhiu cch: xc nh li gi tr cc li ch, hay
tm cch a thng tin n cho ngi ra quyt nh.
Xt v li ch, th vn ny c lng ho trong mn kinh t qua khi
nim gi tr s dng (utility). Gia tng gi tr s dng ca mt ch th l
mt mc ch quan trng trong kinh t lut. Kinh t lut phi a ra gii
php iu chnh sao cho khi ch th ra quyt inh, h s quyt nh
sao cho c li nht cho x hi. Ngoi ra, Coase cho rng gi tr ch thc
ca kinh t lut khng ch l nh hng, m cn ch phn tch c
nhng nguyn nhn tht bi ca cc vn bn php lut khi p dng vo
thc t. Khi , chng ta khng ch b b buc nhng gi nh khng
chnh xc, m cn phi m rng tm nhn cho cc vn thuc v thc t
khch quan.
im chung ca cc phng php nghin cu ca mn kinh t lut l cc
khi nim: ch ngha c nhn (individualism), s la chn hp l
(rational choice), v im cn bng (equilibrium). Cc xu hng nghin
cu chnh bao gm (i) nghin cu v quyn s hu, (ii) nghin cu v cc
hnh vi chin lc, (iii) nghin cu v cc nh ch (institutional
economics), (iv) nghin cu v s can thip ca nh nc. Cc khi nim
ny s c dp c cp n phn sau (cc cng c nghin cu).
Mt phng php nghin cu (i lp vi phng php nghin cu l
thuyt) l nghin cu thc nghim, da trn phng php loi suy.
Phng php ny ln lt loi tt c cc l do khng kh thi tm l do
kh thi nht, nhm gii thch nhng vng mc trong x hi hin nay.
Nhng vn thc nghim m kinh t lut thng thng phi gii quyt
bao gm cch thc ra quyt nh n l, hnh ng tp th v cch thc
25

phi hp, t chc cc ban ngnh, cch tr gi, u gi, thng tin bt i
xng.
Cc trng phi nghin cu (school) l mt tp hp gm nhng hc gi
c quan im ging nhau v ra c phng php gii quyt cc vn
ca x hi. Ngoi ra, cn c cc danh t khc nh phong tro
(movement), t duy (paradigm) hay chng trnh nghin cu (research
program). Mi danh t c ngha khc nhau. Cc khi nim ny ch c
ngha v mt hc thut, v th xin php khng bn tip y.
V.

CC CNG C NGHIN CU CA MN KINH T LUT

1.

La chn duy ch (rational choice)

Mt trong nhng gi thit quan trng nht ca kinh t hc l con ngi l

mt thc th duy l (rational cognito ego sum). V th, mi s la chn
ca con ngi l do ch ca h to ra. ch ny da trn cn bn li
ch ni nh Hn Phi T, l iu g c li th lm, iu g khng c li
th khng lm. Theo T. Ulen (1999), mt s la chn c coi l c l
nu da trn cc gi nh sau y:
-

S la chn phi nht qun. Th d, nu ta thch A hn B v

B hn C th ng nhin ta s thch A hn C. Tuy nhin cn
lu l i khi ta li thy thch C hn A. Lc ny cch gii
thch s la chn s thc s kh hiu. V li, khng chc mi
s la chn mang tnh nht qun u ng n, v s la chn
v l cng c th nht qun. Ch c iu trn thc t, mt
ngi khi chn thng rt kh thay i s la chn ca
mnh

S la chn lm tng gi tr s dng (li ch) cho ngi la

chn. Tuy nhin, i khi s la chn mang tnh hnh thc hn
l thc t. H. Simon ni: Khi chng ta la chn c rt nhiu
tham s hay cn tr (th d thi gian, tin bc, v.v.) khin
chng ta khng la chn c con ng ng ra c th chn
c tt hn.
26

T cc phn chng trn y, c th thy c hai gi nh trn u kh xy

ra trn thc t. Th d, mt ngi c hai mung ng bng nhau. By
gi ta cho thm 1 ht ng vo mt mung v hi: anh thch mung no
hn? Cu tr li nu theo l tr th ngi chn s thch mung ng
nhiu ng hn (cng nhiu cng tt). Tuy nhin, s khc nhau qu nh
n ni kh nng gn nht l ngi chn s ni: ti thy hai mung nh
nhau. Ta tip tc b ht ng mi vo, lc ngi chn cng s vn
cm thy hai mung nh nhau. Cho n mt lc lng i th cht i,
ngi chn s cm thy s khc bit v chn mung c nhiu ng hn.
Nh vy, trong trng hp u, gi thit v s la chn theo hng gia
tng gi tr l sai. Trong trng hp th hai, s la chn nht qun l sai.
Tuy vy, cc nh kinh t hc t trc n nay vn coi nguyn tc duy l
l nguyn tc c bn ca kinh t. Th d: trn th trng, nu tng gi th
cung tng, hay nu gim gi th cu tng. l nguyn tc cung cu ca
th trng. Ngi ta khng gii thch c nhng hin tng c thc xy
ra trn thc t nh xe hi cng tng gi th cng nhiu ngi mua; nh t
cng tng gi th cng nhiu ngi x i mua nh (v s s cn tng
gi, hoc mua trc hy vng bn li kim li). Liebenstein (1950) cn
cho thy c hiu ng ca bnh s din ho (snob effect), th d ng h
cng t cng nhiu ngi mua, ngi eo ng h chng t l mnh
giu c. Nh vy, nim tin vo cc l thuyt kinh t ly lm kim
ch nam cho cc chnh sch php lut ch c gii hn.
Tuy vy, nhng thiu st ch l thiu s, cn a s cc trng hp c
la chn trn th trng (market choice), th s la chn thng thng
l duy l. Th nht, v l s la chn lp i lp li. Nh vy cho d
ngi la chn c sai ln u th ln sau anh ta vn c c hi sa li li
lm ca mnh. Th hai, s la chn trn th trng d o m, thng qua
tin. Th ba, th trng thng thng minh bch hn s la chn ni
khng c th trng. Nh vy, vic u tin khng phi l to ra s la
chn duy l, m phi to ra mt khung cnh s la chn duy l c
th pht sinh.
Tip theo, sau khi c s la chn duy l ri, th ta lm iu g trc?
y li xut hin cc quan im kinh t khc nhau v ngun gc duy l
trong mt s ch nh chnh:
27

Lut hp ng: nh l Coase (xem nh ngha phn sau) cho

rng nu chi ph giao dch bng khng, th chng ta khng cn
phi c lut s hu, hay thm ch khng cn c lut, m cc
bn vn c th tha thun c vi nhau. Nh vy iu g lm
tng chi ph giao dch: c th l vic can thip ca mt bn
th ba vo hp ng, vic thc thi hp ng tr nn kh khn
hn, v.v. Nh vy khi chi ph giao dch gim, cc bn s c s
la chn hp l, tc l chn giao kt hp ng.

Lut bi thng thit hi ngoi hp ng: quan im ca nhiu

hc gi trong vic ban hnh lut v trch nhim bi thng
thit hi ngoi hp ng nhm mc ch chnh l trnh xy
ra nhng hnh vi tri php lut. Th d, nu thc hin hnh vi
tri php lut th c li 100 ng, song lut qui nh phi bi
thng 300 ng, th mi ngi s ngh n vic khng vi
phm php lut.

Lut hnh s: tng t nh lut bi thng thit hi ngoi hp

ng, nu vic bun ma ty ch mang li 100 triu ng, trong
khi nu b bt th ngi phm ti c th lnh n t hnh, th mi
ngi s c khuynh hng khng phm ti. Nu suy lun n
gin nh vy, th hnh pht cng cao th vic ngn chn ti
phm cng hiu qu.

Nhng bn thn suy lun duy l khng gii thch c ti sao vn c

nhng hnh ng nhn ngha. Ti sao c nhng ngi chu hy sinh v
ngha ln? Thm ch, nu trong khu ph huy ng mi ngi gp tin
xy hm, c ai ngh rng: mnh khng ng th cng khng ai ni g, m
ri cui cng khi con hm c xy, mnh cng s l ngi hng li.
Nh vy, s thc con ngi khng ch ngh vn mt cch duy l, m
cn c tm l. Tc l h quan tm n danh d, n li ch lu di ca
h. i vi mi ngi, cuc i l mt chui nhng cuc u tr k tip
nhau. Ngi no qu khn s b c lp. V th, kt hp c sc mnh
v v li ch lu di ca chnh bn thn mnh th phi c lc chu di i
mt cht. Ulen nu rt nhiu th nghim ni ln vn ny (chia tin,
gp tin, v.v.). Ngoi ra, cn c vn ultimatum game v
28

endownment effect (con c mt l con c to). Ngi ta sn sng i bn

mt vt gi cao hn ci gi m mnh sn sng b ra mua chnh vt .
Mt vn na l con ngi c th rt thin cn. Th d, nu chng ta
ni: ht thuc gy ung th th s chng ai quan tm. Tuy nhin nu chng
ta ni: ht thuc s lm ming c mi hi v rng s vng th mi ngi
s hng ng b thuc l mnh lit hn. Ti sao vy? l v chng ta
vn thin cn v ch quan trng nhng g mnh nhn thy trc mt hn l
ci hi lu di. Th d tip theo l i khi chng ta hay mua r m cht
lng thp hn l mua t tin m cht lng cao, mc d v lu di
th mua t tin, cht lng cao s r hn (tnh trung bnh tng nm).
Ti sao vy? l v chng ta thng nh gi thp nhng li nhun c
th thy c lu di. Thng Bm cng thin cn nh chng ta - ch
thch nm xi (n ngay) ch khng thch ba b chn tru.
Nh vy, nhim v ca nh lm lut l phi dng nhng g d thy cho
ngi dn thy li m lm. lm iu ny khng ai ti hn Trn Hng
o trong bi Hch Tng S. ng nu ci cnh nc mt th nh tan
khch ng qun s x thn git gic, mt iu m ng s khng lm
c nu ch ni n lng yu nc sung, hay ch ni phn tch li hi
tm v m. Vy m c ngi vn ph phn (trong sch gio khoa Vn
hc) l Trn Hng o vn cha thot ra khi ci suy ngh tm thng chng gic v li ch c nhn (?). Bi hc ca Trn Hng o cho ta thy
c kh nng chiu d nhng con ngi ch hm li bng cch phn tch
thit hn cho h, hn l ni chuyn nhn ngha. Tuy nhin c hai bin
php thuyt phc duy ngha v duy l cn phi c kt hp nhun
nhuyn vi nhau. bi Hch Tng S chng ta s thy Trn Hng
o ni chuyn nhn ngha trc, sau mi ni n chuyn li ch.
Tm li, gi thuyt v s la chn duy l ch ng khi cc iu kin tin
quyt cho n xy ra l ng. Khi , vai tr ca php lut l to mi iu
kin iu xy ra. Thng thng, chng ta hay cho rng mi ngi
khng chn c ng l v khng c thng tin, v lut phi c lm sao
cho mi ngi nm thng tin. Tuy nhin, vn khng ch n gin nh
vy. Chng ta thy c nhng vn nh c thin cn, tnh v k (cho ca
mnh hn ca ngi), tnh c chp khin cho c ngi d c thng tin
vn khng i ng hng la chn c l. Vy phi lm sao gim bt
29

tc ng tiu cc ca nhng yu t tm l li? gii quyt vn

ny phi lm hai vic: th nht, phi to mt c ch i thoi bt buc,
khin cho vic ra mt quyt nh khng th no vi v hay c chp. Th
hai, phi c bin php gio dc cho mi ngi thy hu qu ca vic
mnh lm. Th d: chng tham nhng bng cch tuyn truyn khng tt
bng vic dn quan chc i thm nh t h thy khng bao gi nn vi
phm php lut. Cc bin php phi linh hot. Xt cho cng, khng bao
gi c ci gi l gii php ng n cho mi vn . iu cn nh l s
la chn duy l l mt trong nhng c tnh c bn ca con ngi, song
khng phi l c tnh duy nht. Gn y, nh trit hc c Jurgen
Harbemas ch ra rng ngoi nhu cu gia tng li nhun mang tnh bn
nng, con ngi cn mt nhu cu khc cng mang tnh bn nng, l s
tm kim tri thc. Nu li nhun l thc n ca d dy, th tri thc l thc
n ca b no. y l ci m loi vt khng th c c. Nhn xt ca
Harbemas cng lm cho cc nh kinh t hc phi suy ngh.
2.

Hiu qu v cn bng hai yu t quan trng ca kinh t

Cc l thuyt kinh t u gi thuyt rng mi ngi u mun tng

trng (maximization). Ngi tiu dng mun tng li ch (vt cht v
tinh thn) ca mnh khi mua hng; doanh nghip mun tng li nhun;
nh chnh tr mun tng s phiu bu, cng chc mun tng thu nhp, cc
t chc x hi mun tng phc li, v.v. Ni tm li, mi ngi u mun
tng ci mnh thiu. Tuy nhin, gia mong mun v hin thc c khong
cch. Ngi tiu dng khng th mua nhiu hn s tin mnh c. Nh
vy, h phi la chn gia nhng hng ho khc nhau xem mua th g th
li ch ca mnh tng c nhiu nht. Th d, c nhng ngi b hng
gi i vng quanh siu th tm cho mnh mt b va hp ti tin,
va p. Nhng ngi bit tng li ch trong phm vi kh nng b hn
ch nh vy trong kinh t hc gi l ngi c l tr (rational).
Ni nh vy th phi chng nhng ngi khng bit tng li ch hay b
thi gian la chn l ngi khng c l tr? Nu chng ta quan nim nh
vy, th nhiu lc chng ta la chn khng c l tr. V d chng ta
ci v m khng tm hiu k xem trong thnh ph cn c c gi no
m ang v ph hp vi mnh hn; chng ta i n qun n gn nht m
khng xem xung quanh mnh c qun n no khc r v ngon hn. Nh
30

kinh t ot gii Nobel, Herbert Simon cho rng khi nim l tr phi
c cn nhc trn tng c nhn c th (bounded rational). Tuy nhin
chng ny chng ta ch phn tch l tr trng hp n gin nht:
ngi la chn c y thng tin v c thi gian tm thng tin.
Khi nim th hai trong kinh t vi m l cn bng. Khi mi ngi tng
li ch ca mnh, th ton x hi s t c v tr cn bng (equilibrium).
, mi s trao i gia cc ch th trn th trng t c v tr ti
u ho. V tr cn bng tn ti ngoi mun ca cc ch th tham gia
vo th trng. Cn bng c hai v tr: cn bng an ton v cn bng
khng an ton. Cn bng an ton l v tr m khi gi c th trng i lch
khi v tr th cc lc tng tc ca th trng ko gi c tr li v tr
cn bng. Cn bng khng an ton l v tr m gi c c khuynh
hngh ri khi v tr cn bng:
Khi nim quan trng th ba trong kinh t vi m l hiu qu (efficiency).
Mt qu trnh sn xut c coi l c hiu qu khi tha mn hai iu kin
sau:
-

khng th sn xut cng s lng sn phm mi gi thnh thp

hn (th d khng th sn xut 10 xe hi trong ngy vi gi thnh
thp hn 10.000 USD mt chic), hay

khng th sn xut nhiu sn phm hn vi cng gi thnh (th d

khng th sn xut 11 xe hi trong ngy vi gi thnh l 10.000
USD mt chic).

Mt hnh thc hiu qu th hai c gi l hiu qu Pareto (mang tn nh

kinh t hc Italia u Th k 20 Vilfredo Pareto). Theo , mt trng thi
gi l hiu qu Pareto khi khng th lm tng li ch cho mt ngi m
khng lm gim li ch cho ngi khc. Th d, hai em nh cng chia mt
chic bnh. Gi s c hai em cng thch bnh, th cch chia bnh c hiu
qu nht l chia u chic bnh, v bt k cch chia no khc cng lm
mt em c li hn v em kia chu thit hn. iu th v l hiu qu
Pareto cng l v tr cn bng li ch gia cc bn trong th d trn.

31

Ba khi nim c bn gia tng li ch, cn bng v hiu qu - c vai tr

rt quan trng trong vic gii thch cc quan h x hi trn th trng.
Mt s lut gia cho rng cc yu t ny cha hn quan trng. Th d,
ti sao li coi cn bng l quan trng, trong khi x hi lun thay i? Ti
sao li gi thit h ch th c l tr l s gia tng li ch, trong khi nhng
yu t tm l khc nh tnh cm, l tng, s din v.v. khng km phn
quan trng? Trong lch s Trung Hoa, ngi phn i phi trng li ch
(ca Hn Phi T) nht l Mnh T thuc phi Nho gio. ng can gin
nh vua: B h ng nn em li ch m khuyn khch dn, phi em
nhn ngha ra gio dc dn. Hu qu l, t nc ca ng b Tn
Thy Hong, ngi p dng hc thuyt ca Hn Phi T, nh bi.
Nh vy, mc d cc phn bin nu trn phn no c l, cho n thi
im hin ti, chng ta thy mt thc t khng th ph nhn phn ng
mi ngi u mun gia tng li ch ca mnh v th trng lun c
khuynh hng tr v v tr cn bng v v tr cn bng tt nht l v tr cn
bng c hiu qu.
3.

nh l Coase

Hai hc thuyt c nhc n nhiu nht trong mn kinh t lut l l

thuyt tr chi (xem mc 5 di y) v nh l Coase v quyn s hu.
Hc thuyt ca Coase dng s phn nh ca quyn s hu gii quyt
cc vn ny sinh do cc chi ph giao dch. iu ny c th c th
hin r hn qua th d sau y:
Trn mt hoang o c hai ngi - Robinson Crusoe v Th Su. Robinson nui b v
Th Su trng bp. B ca Robinson xm hi bp ca Th Su. Th Su c nht thit
phi bo v quyn s hu ca mnh bng cch xy dng hng ro (tr gi 100 triu
ng) quanh vn bp ca mnh, trong khi thit hi do b ca Robinson gy ra khng
qu 50 triu ng hay khng? Ti sao hai bn khng th tho thun vi nhau: Th Su
khng xy hng ro, cn Robinson s n b cho Th Su 50 triu ng? i vi cu
hi trn cch gii thch ca Ronald Coase, nh kinh t hc Anh (ot gii Nobel nm
1993) gy nhiu s ch hn c. Theo Coase, nu cc bn c th tho thun vi nhau,
th cc quy nh v quyn s hu l khng cn thit (xem th d v Robinson v Th
Su nu trn).6
6

The Sveriges Riksbank (Bank of Sweden) Prize in Economic Sciences in Memory of Alfred
Nobel (Nobel Economics 1991): Property and Transaction CosTS (R. Coase).

32

Mc d s tho thun gia cc bn c th l gii php ti u, tuy nhin khng phi lc

no cc bn cng c th t c tha thun. Th d nu Robinson bit chi ph xy
dng hng ro ca Th Su l 100 triu, Robinson c th ch chp nhn bi thng 20
triu. Nu khng c quy nh v quyn i bi thng thit hi hay c ch thc thi
quyn yu, Th Su c th vn chp nhn mc bi thng ny (thit 50 - 20 = 30
triu), v nu khng mnh s thit 100 - 50 = 50 triu. Cc nhn t nh kh nng thc
thi php lut, c quyn kinh doanh ca mt bn, hay chi ph tm hiu v i tc
c coi l chi ph giao dch (transaction cost).

Coase pht biu nh l: vic bo v quyn s hu s khng cn thit nu

chi ph giao dch bng khng hay nh. Nu chi ph giao dch qu ln, cc
bn khng th tho thun c vi nhau, mi bn s phi dng quyn s
hu bo v quyn li ca mnh.7 nh l ny khng ch ng i vi
giao dch gia cc bn, m cn ng trong quan h gia cc quc gia,
trong ch quyn ca mi nc tng ng vi quyn s hu. Nu
gia cc quc gia khng c s tin cy hiu bit ln nhau, mi nc u
gia tng cc chi ph qun s bo v ch quyn ca mnh. Nu tin
cy v hiu bit ln nhau tng ln, cc bn c th "thu hp" ch quyn ca
mnh bng cch trao quyn quyt nh vo mt hi ng do cc quc gia
tho thun lp nn (th d Lin minh Chu u hay ASEAN). T nh l
u tin, Coase pht biu nh l tip theo: quyn s hu ch l mt trong
nhng bin php nhm kim sot quyn li ca mt ch th kinh doanh
ch khng phi l mt quyn t nhin.8 Cc bin php khc c th l tho
thun hay bi thng thit hi. Nh vy thc thi quyn s hu khng phi
lc no cng l phng php bo v quyn ti u. Mun bit mt phng
php bo v quyn c phi l ti u hay khng, cn phi xem xt n chi
ph giao dch. Quyn s hu c th l gii php bo v quyn li ti u
khi chi ph giao dch ho gii hay tho thun vi ngi xm phm l
ln.9
Cch dng s phn chia quyn s hu c Marx cp t lu.
gii quyt mu thun giai cp (mt dng ca chi ph giao dch), cn phi
phn phi ng u quyn s hu. Tuy nhin Marx cha phn tch tnh
hiu qu ca vic phn phi ng u. C nhng ngi lm vic hiu
7

Cooter, T. and Ulen, R. (2000) Law and Economics. Wiley & Sons, Chng III.
Coase, R. (1988) The Firm, The Market, and the Law. The University of Chicago Press, IL.
9
Id.
8

33

qu hn ngi khc. Nu mi ngi u c hng nh nhau th v

hnh chung chng ta trit tiu nng lc ca nhng ngi lm vic hiu
qu. Coase gii quyt c nhc im ny. Theo , th trng s
quyt nh quyn s hu c trao cho ai. Vn l ch lm th no
gim chi ph giao dch cc bn d dng tha thun vi nhau hn.
Cc chi ph giao dch bao gm hai loi: chi ph thng tin - nh gi thng
tin; v chi ph thc thi. Cc chi ph ny cng cao th giao dch cng km
hiu qu. Mun nh vy, phi xc lp cc nh ch m bo cho vic
gim chi ph giao dch. Th d, phi thc thi lut tt, phi khin cho cc
vn gp c minh bch (gim chi ph thng tin), tha thun khn
kho (gim chi ph giao dch).
nh l Coase c ng trn l thuyt khng? iu ny hin nay khng ai
chng minh c, v th gii khng c chi ph giao dch l khng tn
ti. Song c rt nhiu ngi chng minh rng nh l Coase l c khim
khuyt trn thc t, da vo nhng yu t sau:
-

Hnh vi lm dng li th (rent). Nu mt trong hai bn c li

th th h s khai thc li th ca h v v th, kt qu khng
th no cn bng c. V lu di, bn yu th hn s rt khi
th trng, bi v h khng c tin t lt cho bn c li
th.

S tham gia vo th trng trong tng lai (entry in the long

run): nu mt bn chim v tr c quyn, th h s c th khai
thc v tr ny, khin cho vic tham gia ca i th cnh tranh
v lu di l kh khn.

Tnh tch bit ca cc loi chi ph giao dch (separable vs nonseparable cost function): th d, doanh nghip A gy nhim
mi trng. iu gy thit hi khng nhng cho doanh
nghip B, m cn thit hi cho doanh nghip A. V th, vic
tnh ton li ch chi ph nh l Coase p dng li cng kh
khn hn.

34

4.

Tnh trng tic ca (endowment effects, xem phn phn tch ti

mc 7 di y): s chnh lch gia nh gi vt (willing to
accept WTA) v nh mua vt (willing to purchase WTP).
Tuy nhin iu ny khng bc b l thuyt v nh l Coase.
Chi ph giao dch

y l danh t c s dng nhiu nht trong mn kinh t lut, song cng

l mt trong nhng khi nim khng r rng nht. Khm ph u tin l
ca Coase (1937) trong bi Bn cht ca Doanh nghip (the Nature of the
Firm) trong tp ch Economica. Khi cu sinh vin Coase 23 tui t
hi: trn th trng, gi c quyt nh vic giao dch mua bn gia cc
ngun lc, cnh tranh quyt nh mi th. Vy ti sao chng ta li phi
phi hp vi nhau? Ti sao cc c quan trong doanh nghip phi kt hp
vi nhau? Coase tm ra cu tr li: l do l v vic trao i bng gi (nh
ot theo khi nim ca quyn s hu) tn mt s chi ph - gi l chi
ph giao dch. iu ny khin mi ngi mun tip tc kt hp vi nhau
hn l cho gi c chi phi. cng l l do khin cho mi ngi phi
thnh lp Doanh nghip ( hp tc vi nhau c hiu qu hn). Nm
1960, Coase, trong bi Vn Chi ph X hi (the Problem of Social
Costs) trn tp ch Journal of Law and Economics, Coase li pht biu:
vic phn chia quyn s hu l khng quan trng nu chi ph giao dch
bng khng. y l hai pht kin quan trng nht mang li gii Nobel
kinh t cho Coase.
Cc nh ngha thng thng v chi ph giao dch l:
-

Chi ph giao dch l chi ph xc lp v bo v quyn s hu,

nh chi ph thng tin tm kim ti sn, chi ph thc thi quyn s
hu, chi ph tho lun trao i ti sn, v.v. (Allen 1971).
Nu khng c cnh tranh, ln chim, trao i, th chi ph giao
dch bng khng. Marx cng cho rng khi quyn s hu c
xo b (loi ngi tin ln ch ngha cng sn hay ni theo
Coase chi ph giao dch bng khng), th ngun lc trong x
hi c phn b c hiu qu nht. Tt nhin iu ny ch c
trong qu kh - x hi cng sn nguyn thu.
35

Chi ph giao dch l chi ph lin quan n vic trao i quyn

s hu (Demsetz 1968). nh ngha ny c m rng hn so
vi nh ngha u tin, v n l gii tt c nhng g khng
din ra c trong th trng cnh tranh hon chnh.

Cc l do khin chi ph giao dch khng th bng khng c bao gm:

thng tin khng y v bt i xng, mt bn v tr c quyn so vi
bn kia, mt bn c th li dng mt s u th m bn kia khng c.
nh l Coase, khi ni rng nu chi ph giao dch bng khng th quyn
s hu khng cn thit cng ng ngha vi ni rng, khi chi ph giao
dch l ng k th quyn s hu li cng cn thit. Nh vy, nu chng
ta quc hu ho cc nh my, hm m, iu ny tng chng nh lm
gim chi ph giao dch, song thc cht li lm tng chi ph giao dch do
mt s ngi nm nhiu thng tin hn, c nhng u th m ngi kia
khng c. Tm li, mt nn kinh t c hiu qu khng th xo b c
quyn s hu, v chi ph giao dch tn ti trong hu ht cc hnh thi kinh
t x hi. Ngay c trong ch x hi ch ngha, khi nn kinh t pht
trin n mc cao, th s tp trung t liu sn xut trong tay Nh nc
cng s to ra cc li th chnh sch (rent), tng chi ph giao dch.
5.

L thuyt tr chi (u tr)

Bn cnh nh l Coase, mt l thuyt kinh t c s dng rt nhiu

trong vic nghin cu lut l l thuyt tr chi (hay cn gi l u tr game theory). Chng ta hy xem bn tin di y:
Hai gio s M v Israel ot gii Nobel kinh t 2005
Chiu ngy 10-10, Hi ng xt duyt gii thng Nobel ti Stockholm, Thy in
cng b ch nhn ca gii Nobel kinh t 2005: Robert J. Aumann quc tch
Israel-M v Thomas C. Schelling - ngi M.
B i ny ginh c gii thng Nobel do nng cao hiu bit ca chng ta v s
hp tc v mu thun thng qua cc phn tch l thuyt tr chi, nhn xt ca Vin
hn lm khoa hc hong gia Thy in.
Trong nghin cu ca mnh, Aumann, 75 tui v Schelling, 84 tui gip gii thch
cc mu thun kinh t nh cuc chin gi c v cuc chin thng mi, cng nh gip

36

gii thch ti sao mt s cng ng thnh cng hn cc cng ng khc trong vic qun
l ngun vn chung, trch tuyn dng ca hi ng xt duyt gii Nobel.
Aumann, sinh ti Frankfurt, c nhng mang quc tch M-Israel, l mt gio s ti
Trng H Hebrew ti Jerusalem. Cn Schelling l mt gio s thuc khoa kinh t
Trng H Maryland v l gio s danh d ti Harvard.
Robert J. Aumann cho bit ng nhn c tin mnh ot gii Nobel kinh t 2005 qua
in thoi t Vin hn lm khoa hc hong gia Thy in. Ti cm thy rt tuyt,
Aumann ni vi hng AP na gi sau khi nhn in thoi t Thy in.
Cc gii Nobel kinh t trong th k 21:
- 2004: Finn E. Kydland (Na Uy) v Edward C. Prescott (M) vi ng gp Kinh t v
m ng lc ni v thi gian chc chn ca chnh sch kinh t v ng lc ca chu k
kinh doanh.
- 2003: Robert F. Engle (M) v Clive W.J. Granger (Anh) vi ng gp Cc phng
php thng k cho chui thi gian kinh t.
- 2002: Daniel Kahneman (M- Israel) v Vernon L. Smith (M): nhng ngi tin
phong trong s dng kinh t tri nghim v tm l hc vo thc hin cc quyt nh.
- 2001: George A. Akerlof, A. Michael Spence v Joseph E. Stiglitz (M) vi nghin
cu kim sot thng tin nh hng n th trng.
- 2000: James J. Heckman v Daniel L. McFadden (M): pht trin hc thuyt gip
phn tch s liu lao ng v cch con ngi thc hin quyt nh cng vic v di
chuyn.

Cc l thuyt v u tr s c trnh by trong tng chng c th di

y, vi cc tr chi u tr quan trng nht l u tr nghi phm (xem
di y), u tr sn hu (Chng 1) v u tr gia nhng ngi i xe
(Chng 2).
Mot th du c ban ve au tr gia hai ngi chi khong co y nh cong tac la au tr
"nghi pham" (prisoner's dilemma). Hai nghi pham trong mot vu cp ang trong
qua trnh ieu tra. Muc ch cua ieu tra vien la lam sao cho ca hai nhan toi. e
thc hien ieu nay, ieu tra vien cach ly hai nghi pham hai phong khac nhau, va
thong bao rang neu ca hai cung nhan toi, moi ngi se b tuyen an 6 nam tu. Neu
mot ngi nhan toi con ngi kia khong nhan toi, ngi nhan toi se c khoan

37

hong, con ngi "ngoan co" se b phat 10 nam tu. Neu ca hai cung khong nhan toi
th moi ngi se chu 2 nam tu. Xet ve li ch cua cac nghi pham th tot nhat la ho
khong nen nhan toi. Tuy nhien v ho khong c noi chuyen vi nhau nen khong
biet ngi kia se noi g vi ieu tra vien. Ho khong muon khong nhan toi roi phai
ngoi tu 10 nam trong khi ngi kia phan boi lai ho va c tha. Bang phan tch se
cho ta thay ket qua nh sau:

Nghi
pham 1

Im lang
Nhan toi

Nghi pham 2
Im lang
-2, -2
0, -10

Nhan toi
-10, 0
-6,-6

Trong cuoc au tr tren, cac nghi pham se phai tm chien lc an toan nhat cho mnh
khi biet ngi kia ch ngh en quyen li cua ban than ho. Neu nghi pham 2 im lang
th oi sach tot nhat cua nghi pham 1 la nhan toi. Ngc lai neu nghi pham 2 nhan
toi th oi sach tot nhat cua nghi pham 1 cung la nhan toi. Nh vay chien lc toi u
cua nghi pham 1 la nhan toi. Suy luan tng t cung ap dung cho nghi pham 2.
Cuoi cung iem can bang Nash cua cuoc au tr la ca hai cung nhan toi, chu 6 nam
tu.
Ket qua tren co ve hai hc, song thc te lai la chuyen xay ra nhieu trong thc te,
nhat la oi vi viec khai thac tai san cong cong (public good) ma Hardin goi la te
nan "cua cong khong ai lo" (tragedy of the common). Th du ngi dan Ban Me
Thuot co hai kha nang - mot la pha rng lam ray (tng ng vi "nhan toi" trong
cuoc au tr ngi tu), va hai la bao ve rng (tng ng vi "im lang"). Neu mot
ngi pha rng con ngi kia bao ve rng, th ngi bao ve rng cung khong c
li g, con ngi pha rng th c li. Neu ca hai cung bao ve rng th o la giai
phap toi u, song v khong ai tin la ngi kia se khong li dung mnh nen cuoi cung
moi ngi se bat chc nhau pha rng (neu phap luat khong can thiep). Chung ta
cung de dang nhan thay au tr "nghi pham" xuat hien nhieu trng hp khi phap
luat khong can thiep hay can thiep khong co hieu qua. Th du: gia cac cong chc
thoai hoa bien chat (nhan hoi lo hay khong nhan hoi lo), gia nhng ngi dan
trong mot khu du lch (xa rac hay khong xa rac), ngi xem phim VCD (mua o
goc hay o sao chep lau). Tam ly chung cua nhng ngi nay la: neu mnh lam tot
th cung chang c li ch g, v the tai sao khong i theo chieu hng xau. T cho
mot ngi co hanh vi xau nhng khong b trng phat se tao tien le e nhieu ngi
khac noi theo va hanh vi xau nay se tr thanh nhng hanh ong cua tap the

38

(collective action). Nhieu vu an hnh s ve toi tham nhung c xet x, trong o co

trng hp ca mot n v thoai hoa bien chat la nhng th du ien hnh ve hanh
ong tap the.

Nhn chung, l thuyt tr chi hay u tr c xc nh bi cc yu t

sau y:
-

Ngi chi (player);

Cch chi hay chin lc (strategy); v
Kt qu (payoff).

Mt cuc u tr c gi l thng thng (normal form game) khi n

bao gm ba yu t trn v ngi chi c cung cp thng tin y v
cch chi v kt qu ca nhng ngi khc. Mt dng u tr khc l
u tr m rng (extensive form game) khi ngi chi khng c y
thng tin v nhau, ging nh nh bi hay nh c.
Ngoi ra, ngi ta cn phn u tr ra thnh hai loi: u tr cng tc
(cooperative games) v u tr bt cng tc (non-cooperative games).
Trong cuc u tr bt cng tc, ngi chi ch ngh n li ch ca ring
mnh m khng quan tm n li ch ca ngi chi kia. Cc cuc u tr
gia hai bn trong chin tranh, hay u tr nghi phm l dng u tr bt
cng tc. Ngc li, u tr cng tc l dng u tr ngi chi quan
tm n li ch ca nhau: u tr gia hai v chng v vic cui tun nn
i chi u, u tr gia hai i tc trong lin doanh, v.v. Ngoi ra, cn
c mt loi u tr na l u tr linh ng ngha l nu i tc c nh
cng tc th mnh s cng tc. Nu i tc khng c nh cng tc th
mnh s khng cng tc. u tr gia hai ngi th sn hu nh th d
trn l loi u tr dng ny.
Bn c mun tm hiu thm v u tr c th xem trong quyn u tr v
Lut ca L Nt, NXB i hc Quc Gia TP HCM (2005). Phm vi ng
dng ca mn u tr rt ln: lm th no la chn c i tc, tm a
im kinh doanh, tm mc tiu qun s ca k ch, pht hin nhng hnh
vi li dng, tiu cc, tham lng ph, hay tm cch m phn giao kt
hp ng vi i tc, v.v.
39

6.

Ti sn cng ("ca cha") v ti sn ca nhm ("ca lng")

Hai khi nim quan trng c nhiu ng dng trong kinh t lut l "ca
cha" v "ca lng". Ca cha hay ti sn/hng ho cng (public goods)
l nhng ti sn tha mn hai iu kin sau y: (i) gi tr s dng ca ti
sn khng gim khi nhiu ngi cng s dng mt lc (non-rivalrous), v
(ii) vic ngn cn mt ngi khng s dng ti sn l kh v i khi
khng th thc hin c (non-excludability). Th d in hnh ca ti
sn cng l ngn n ng: d di ngn n c bao nhiu ngi ng,
th sng ca ngn n cng khng bao gi gim, v vic ngn cn mt
ngi ng di ngn n c hng nh sng ca n l khng th
c. M rng th d, ta thy c rt nhiu ti sn cng xung quanh ta:
phn mm my tnh, cc i tng s hu tr tu, v.v.
Ca lng hay ti sn ca nhm (club goods) l nhng ti sn tha mn hai
iu kin (i) gi tr s dng ca ti sn gim khi s lng ngi s dng
t n mt mc no , v (ii) c th ngn cn ngi khc khng s
dng ti sn c. Th d in hnh ca ti sn nhm l con ng:
nu nhiu ngi i con ng th s dn n nn kt xe. Ta c th gii
quyt vn bng cch bin con ng thnh ng c thu ph v dng
ro chn, t s ngn cn nhng ngi khng mun tr tin m vn c
con ng dng.
Vn ca c ca cha v ca lng l khng ai chu ng gp xy
dng ca cha hay ca lng (nu mnh khng ng th cng c ngi
khc ng v mnh cng s c hng, m mnh ng th ngi khc
khng ng cng c hng). Tnh trng ny gi l ca cng khng ai
lo (tragedy of the common). Vn hin ti l lm th no lm gia
tng gi tr ca ca lng v ca cha, ng thi hn ch kh nng ln
trnh trch nhim ng gp xy dng v tm l nh v (free riding).
Coase gi l hai vn v chi ph x hi.
C hai cch gii quyt cho vn ca chi ph x hi. Theo Pigou, th cn
phi nh thu, v tin thu np cho Chnh ph cng xy dng ca
cha v ca lng. Vn l ch tin thu thu khng bao gi cng bng,
v i khi b s dng mt cch lng ph, khng hiu qu.
40

Theo Coase, th khng nht thit phi nh thu, m hy cho mi

ngi t do trao i. Ngi no nh gi ca cha cao nht, mong sm
c cha nht th s b tin ra xy dng cha. ng thi nu chng ta giao
quyn kinh doanh ca cha cho ngi b tin ra xy dng, th khng lo g
khng c ngi xy dng cha. Coase chng minh iu ny trong bi
bo khoa hc Ngn n Bin ti Anh (the Lighthouses in England) trn
tp ch Journal of Law and Economics nm 1973. cc nc, n bin
l do Nh nc xy dng, v l ca cha. Anh, n bin l do t
nhn xy dng, bng cch thu thu ra vo cng ca cc tu thuyn nh c
n bin m cp bn an ton. Lun im ca Coase l mt ng gp quan
trng: nhng vn x hi hy x hi gii quyt Nh nc khng
nn lm thay x hi. Theo li ku gi ca ng, trng hc, bnh vin,
nh my in, hng hng khng v.v., dn dn c x hi ho.
Bo v ti sn cng bng tin t cng tng l vn c p dng
Vit Nam trc y qua nh ci cch Bi Vin, ngi tng ni ting l
nh ngoi giao Vit Nam u tin n Hoa K. ng cn l ngi khi
phc Hi qun Vit Nam. Vo cui th k XIX Vit Nam ri vo giai
on suy vong, mt mt b thc dn Php h Nam K v Bc K, mt
mt b Trung Quc (tn qun ca Thi Bnh Thin Quc) cp bc Bc
K v dc b bin (gi l gic Tu ). Hi qun Vit Nam hu nh bt
lc trc nn cp bc. Bi Vin c b nhim lm B trng Hi
qun kim Thy s c Tun dng qun. Thay v s dng ngn qu
quc gia, ng tin hnh dng bin php ku gi cc nh bun ng
bin ng gp tin ng xy dng cc tun dng hm h tng cc
thuyn bun. ng cn dng tin ng gp ny mua chuc cc tng
gic quay v lm tng hi qun triu nh. Cui cng, cch s x ca
ng gy c uy danh cho Triu Nguyn, bo v ng Hng Hi Vit
Nam, xy dng hm i Vit Nam. Nu ng ch lo thu thu ca dn
xy dng hm i th khng th thnh cng, v dn ngho, li chin
tranh lin min, khng tin ng thu. C tin cng khng c
ngi la chn lm thy th (vn phi luyn tp, c kinh nghim)
trong mt thi gian ngn. ng tic l ng ch thc thi chnh sch ci
cch ny mt nm th mt, li khng c ai sc thay th ti mu lc,
sng to ca ng, nn cuc ci cch Hi qun ca ng tht bi gia

41

chng.10 Tuy vy, c Bi Vin li bi hc qu cho chng ta

m phi n nhng nm 1960 ca th k sau Ronald Coase mi pht trin
thnh qui lut.
i vi ca lng, Buchanan-Ng xut cch gii quyt l cc thnh vin
ca nhm phi ng mt khon ph ty theo cch h nh gi chi ph .
Khi , cc thnh vin phi s dng ti sn nhm (sn golf, h bi), v
khng s dng th s ph khon hi ph mnh ng gp. Cng nhiu
ngi ng th hi ph cng gim. Tuy nhin khi s lng ngi th
khng cn phi thu ht thm hi vin na. Hi vin no cm thy khng
mun s dng ti sn th c th bn th hi vin ca mnh. Tuy nhin,
nguyn tc ca Buchanan khim khuyt ch (i) gi thit mt cch v
cn c rng mi thnh vin ca nhm c gi tr s dng ngang nhau, (ii)
cch gii quyt ca Buchanan khng a ra c im cn bng Pareto,
(iii) t thn cc nhm khng th tng ti u gi tr s dng v lu di, (iv)
khng thnh lp c cc nhm c nhiu sn phm. Trong tng lai,
qun l ti sn cng vn cn l ti th v ca cc cuc nghin cu, nht
l khi nc ta quyt nh con ng pht trin l kinh t th trng nh
hng XHCN.
Bi phn tch v ti sn cng tm dng cc cuc tranh lun lin quan n
cc l thuyt kinh t duy l (rationalism) ti y. Tuy vy, ngay t u
chng ti cng ch ra rng phn tch duy l c th khng phi l cc
phn tch duy nht ng n, v cn nhiu tham s tham gia, nht l cc
tham s x hi hc hay tm l hc. Trong phn phn tch di y,
chng ta s nghin cu mt kha cnh c th ca x hi hc v tm l
hc trong mn kinh t lut - tnh trng tic ca (endowment effects).
7.

Tnh trng "tic ca" (endowment effects)

Trong l thuyt v s thay i, tnh trng tic ca (hay con c mt l

con c to) xy ra khi mt ngi sn sng bn mt vt vi gi cao hn gi
m h mun mua n (nu h khng s hu vt ny) (Kahneman, Knetsch
v Thaler, 1991 - trong Kahneman c gii Nobel nm 2002 v cc
cng trnh a yu t tm l hc vo kinh t hc). Th d, mt ngi tng
10

Xem Bi Vin Mt Tm Lng, NXB Thun Ho 2004.

42

1 ci cc (ly) gi 30.000 VND v ngi khc c tng 30.000 VND.

Theo l thuyt trao i, th ngi nh gi chic cc khng bng 30.000
VND s bn chic cc ly 30.000 VND, v ngi nh gi 30.000
VND ln hn chic cc th s mua chic cc vi gi 30.000 VND. iu
ng ngc nhin l, khi th nghim iu ny vi c ngn ngi th hu
nh khng ai bn chic cc gi 30.000 VND, m cng khng ai mua
chic cc vi gi 30.000 VND. Nh vy, mi ngi thng thch ci
mnh c, hn l c cho bng c ci mnh thch.
ng dng ca trng hp ny kh nhiu trong cuc sng, th d nh
nhng ngi i n b gii ta thng thch c bi thng gi tr
nhiu hn gi th trng, hay nhng c s sn xut trong thnh ph rt
ngi di di ra ngoi thnh, mc d sau khi di di nng sut lao ng c
th cao hn. Tng t, mt ngi c th i bi thng thit hi nhiu
hn s tin h sn sng tr nu h gy ra thit hi. gii quyt vn
ny, phi lm gim chi ph ri b ti sn c cho ch ang c ti sn
(switching costs). Th d, thng qua c ch h tr chi ph di di, to cng
n vic lm cho ngi di di, xy cn h ti nh c cho h, thay v bi
thng mt khon tin nht nh. Hn na, khi la chn mt k hoch,
cng khng nn ch da vo phn tch chi ph - li ch, m phi phn tch
thm cc chi ph pht sinh khi chuyn i, gi l gi chuyn i. y
cng ch l mt s gi v phng hng nghin cu kinh t lut trong
tng lai, s dng nhng kin thc v tm l hc.
8.

Hiu ng mng

Hiu ng mng xy ra khi trn mt th trng, cng nhiu ngi mua mt

ti sn th ti sn cng c gi tr. Th d, trn mt mng in thoi di
ng, cng nhiu s dng mt mng th gi tr ca mng cng tng. i
vi h iu hnh my tnh cng vy, cng nhiu s dng mt h iu
hnh, th cng nhiu ngi s dng phn mm p dng chy trn h iu
hnh . iu khin cho ngi sn xut sn phm ph bin th thu li
cng cao, cn nhng ngi khc th khng th sn xut c v ri vo
vng lun qun: t ngi mua khng pht trin c mng li gi tr
sn phm gim - li cng t ngi mua hn. S ng h ca ngi tiu

43

dng sn phm c gi l positive feedback gip tng cng gi tr

ca mng.11
Nhiu th d xy ra v hiu ng mng, nh my nh ch c sp
xp theo trnh t QWERTY, h iu hnh WINDOWS v nhng th d v
tnh tng thch v tiu chun c c th gii p dng v tnh ph bin
ca chng ch khng hn v tnh hiu qu. Ngoi khi nim hiu ng
mng, chng ta cn c khi nim xu hng (path dependence), m t
tnh trng cng nhiu sn phm c a ra th trng th ngi tiu dng
cng mun s dng sn phm .
C hai loi hiu ng mng: hiu ng trc tip v hiu ng gin tip. Hiu
ng mng trc tip xy ra khi gi tr mt mng s tng khi c nhiu ngi
s dng mng (th d mng in thoi). Hiu ng mng gin tip xy
ra khi gi tr mt mng (th d h iu hnh my tnh) tng khi nhiu
ngi ng gp gin tip vo cc phn nhnh ca mng (cc chng trnh
ng dng chy trn h iu hnh).
9.

Thng tin bt i xng

Akerloff, Spence v Stiglitz c gii Nobel kinh t nm 2001 v nhng

cng trnh nghin cu v thng tin bt i xng. Trong mt nn kinh t
khng c thng tin y , nhng ngi c thng tin c th lm dng u
th ca mnh gy thit hi cho ngi khng c thng tin. Cng trnh ca
cc nh kinh t hc ny l v kinh t hc thng tin, H tm ra khi
nim bt i xng v thng tin, m v d u tin l v d nghin cu v
nhng ngi bn xe hi qua s dng. Ngi bn xe th bit xe no tt,
xe no khng tt. Nh vy, ngi bn xe lng thin th s chn xe loi 1
ti bn chng ny, xe loi 3 ti bn chng ny. Nhng ngi bn xe
khng lng thin th cho ln xe loi 3 vi xe loi 1. H bn vi mt ci
gi thp hn xe loi 1 mt t nhng m c li hn ngi bn xe loi 1.
Ngha l, trong mt x hi khng c minh bch v thng tin th nhng
ngi lm n lng thin s b ph sn, v s b nhng ngi la o
cp ht khch hng. Ngi bn rm th s li, ngi bn tht s
11

Xem L Nt (2005) Kch bn cnh tranh ngnh vin thng Si Gn Tip Th, thng
12/2005.

44

khng th sng c. Nh vy, nguy c km hiu qu trong mt nn

kinh t c thng tin khng y rt ln. Trong phn ch nh v hp
ng Chng 3, chng ta s xem xt vn thng tin bt i xng c
gii quyt nh th no.
10.

Hc thuyt v cc nh ch

Nghin cu v nh ch (institutional economics) c xc lp da trn

nguyn tc ca mt t chc. nh ch (institution) c nh ngha l
mt tp th hot ng di s lnh o ca mt ngi. Marx cho rng khi
lc lng sn xut thay i s dn n s thay i ca quan h sn xut.
Loi ngi tp hp li thnh tng nhm nh cc cng ty, doanh nghip,
tp trung cc ngun lc, gii quyt nhu cu ca ring h. Cc x s
ny tp trung thnh hai loi: mt loi x s duy l, lun lun tm n
nhng ci mi nh cng ngh, hp l ho sn xut hay cc mi quan
tm. Mt loi x s da trn tnh cm, o c, nhng vn khng th
gii quyt bng nhng quan im duy l. Tuy vy, cho d xut pht t
im no, vn c nhng mi lin quan gia cu trc v hnh vi ca tng
nh ch. Nh m ta c th xc nh c mt nh ch mun c mt
hnh vi ng n th phi c nhng cu trc g.
Vn v hiu qu ca cc nh ch thc ra khng n gin. N lin
quan n la chn chnh tr xem giai cp no cn c bo v v ti sao.
Calabresi (1985) quan nim kinh t lut phi gii quyt c vn khi
a ra quyt nh trn mt nh ch hin ti, ai s c li, ai s chu bt li
v l do h phi chu bt li l g. Tip ni cc cng trnh ca ng,
nhiu nh kinh t hc hin nay vn ang tip tc nghin cu theo hng
cu trc (c ch) phn nh hnh vi. ng cha ta cng thng ni: bu
th trn, ng th di, hoc i vi bt mc o c sa, i vi ma mc o
giy. Th d, mun c mt Nh nc (mt nh ch c lm i tng
ca nhiu cuc nghin cu nht) hiu qu v khng tham nhng, th cc
c quan ca Nh nc phi c thit k ra sao, ai s to ng lc cho
nh ch, ai s gim st cc nh ch khng hot ng qu . y
cng l hng nghin cu ha hn nhiu iu th v nu chng ta chu
kh i su.

45

VI.

TRCH NHIM PHP L V TRCH NHIM O C

Trong cc cng trnh nghin cu v lut, nghin cu v trch nhim php

l ng vai tr quan trng. Trch nhim php l hay ch ti (sanction) l
cc x s mang tnh tiu cc ca php lut vi hnh vi tri php lut. Tuy
nhin, cc ch ti ch hiu qu nu n ch ra c c th cc hnh vi tri
php lut v c cch thc m bo thc thi php lut. Trong khi , th
gii m chng ta ang sng li khng hon chnh nh vy. Th d, chng
ta mun chng tham nhng th phi c thng tin y v hnh vi tham
nhng v c ch bc l cc hnh vi tham nhng, khng bao che cc hnh
vi ny. Nu khng th cc bin php chng tham nhng, d c ch ti
nng, s khng c hiu qu. Hn na, nu con ngi thc thi chng tham
nhng m cng tham nhng th nim tin ca nhn dn vo lut phng
chng tham nhng cng khng c. Mt th d na l lut v hp ng.
Lut ny khng th nu ht cc trng hp tha thun ca cc bn, vn
rt phong ph a dng. Khi , lut phi ra cc nguyn tc giao kt v
thc hin hp ng, th d nh nguyn tc hp tc ngay tnh, nguyn tc
thin ch trung thc (good faith). Cc nguyn tc ny trm cc l hng
trong hp ng v gip cc bn d thc hin hn.
Tm li, bn cnh cc trch nhim php l, cn thit lp cc chun o
c, th d nh trch nhim o c hay qui tc ng x. Cc chun o
c c th c chia thnh hai loi. Loi th nht l cc chun x hi
(external norms), sao cho khi thnh vin ca x hi vi phm s gp phi
phn ng ca cng ng. Th d, on lut s c th ra qui ch rng ai
c nhng hnh vi tri o c, nh ni xu hay li ko khch hng ca
lut s khc s b xo tn ra khi on. Loi th hai l cc chun ni tm
(internal norms), l nhng qui tc m khi mt ngi vi phm s cm
thy xu h hay lng tm cn rt. Hai nguyn tc ng x ny to thnh
nn tng ca x hi thm ch trc khi php lut hnh thnh.
Gia nhng trch nhim php l v trch nhim o c c mt mi lin
h mt thit. Trc ht, trch nhim o c b sung nhng khong
trng m trch nhim php l li. Sau , nu hai loi trch nhim ny
cho ra nhng kt qu mu thun ln nhau, th ba trng hp c th s xy
ra. Trng hp u tin l trch nhim o c s chu nh hng ca
trch nhim php l v thay i theo trch nhim php l, th d nh cc
46

nguyn tc v quan h cha con, vua ti trong x hi c s c ni lng

theo nhng nguyn tc v bnh ng, t do, dn ch trong php lut ca
x hi mi. Trng hp th hai l cc trch nhim php l s chu nh
hng ca nhng trch nhim o c m thay i theo. Th d, cc qui
nh qun l vn ho thng tin qua hnh thc kim duyt, cp php mua
video hay ng k thng tin trn Internet hy vng s kim sot c ni
dung thng tin theo hng ch cho ngi dn xem nhng tin tc m mnh
mun truyn t. Song iu ny khng kh thi v n khng ph hp vi
o c x hi cng nh cc nguyn tc v t do tip nhn thng tin, t
do ngn lun c Hin Php hu ht cc nc cng nhn. V th, sau
cng cc qui nh ny tr nn khng kh thi v b bi b. Trng hp th
ba l cc qui nh v trch nhim php l v trch nhim o c giao
thoa ln nhau, lc ny th qui nh php l thng th, lc khc th cc qui
nh o c thng th.
Xt v phng din kinh t, cc qui nh v trch nhim c th c
nghin cu di dng cc l thuyt v u tr. Khi ngi ta thay i cc
kt qu ca tng t u tr th ngi chi s phi suy tnh li cch thc
x s sao cho t ri ro nht hn l c li nht song ri ro li cao nht. Lc
ny, trch nhim php l hay o c cng iu c nghin cu vi t
cch l ci gi phi tr i vi mt hnh vi nht nh. Th d, trong cuc
u tr nghi phm (prisoners dilemma), nu mt bn th ti v bn kia
khng th ti, th bn th ti c th c tha bng, song ngoi trch
nhim php l, bn th ti cn c nhng trch nhim o c (th d, cm
gic ti li v phn bi bn b, hoc s b nhng ngi cng hi cng
thuyn trng tr v phn bi). Cm gic khin nghi phm s ngn
ngi khi chn phng n th ti.
Phm vi p dng ca cc nguyn tc v trch nhim o c rt rng, bao
gm lut hn nhn gia nh (trch nhim nui dng ca cha m i vi
con ci), lut hp ng (nguyn tc thin ch, trung thc), lut hnh s
(ch gio dc v ti phm), lut doanh nghip (ngha v trung thc,
mn cn, bt v li ca thnh vin Hi ng Qun tr i vi cng ty).
Theo Cooter (1996), cc trch nhim o c c hiu qu, cn phn
tch cc yu t cu thnh ca chng, sau tin hnh xy dng cu trc
h tng cc trch nhim o c pht huy tc dng. Nh vy, mt
47

trong nhng mc tiu nghin cu ca mn kinh t lut l tm cch lm sao

cho cc qui nh v trch nhim o c c hiu qu. Nu cc qui nh
khng c hiu qu, th nn lm cch no n c hiu qu: c cn
thit phi s dng cc qui phm php lut hay khng.
VII.

KINH T LUT QUI PHM PHP LUT V PHP CH

Qui phm php lut (rules) l nhng qui tc x s chung do c quan nh

nc c thm quyn ban hnh, iu chnh cc quan h x hi. Tuy nhin,
cc qui phm ch pht huy hiu qu khi n c chuyn ho thnh cc
tiu chun ng x (standards) m ngi dn chp nhn v tun th - ni
cch khc, chng tr thnh tnh php ch (hay cn gn l nh nc php
quyn rule of law). Nh vy, kinh t lut phi d on c vic ban
hnh mt o lut c hiu qu hay khng v khi no th cn phi iu
chnh lut thay i cc tiu chun ng x ca ngi dn, gip nn kinh
t t nc vn hnh mt cch hiu qu hn.
c mt qui phm php lut c hiu qu, iu u tin l n phi c th.
Ngi ta cho rng vn bn cng c th th kh nng lch lut cng t. Tuy
nhin, vn bn cng c th th sa i cng kh, nht l khi c nhiu vn
bn cng iu chnh mt vn . Vn bn c th s khin vic p dng rt
phc tp, kh thi hnh. Vn bn phc tp th kh kim sot, v th ngi
dn khng mun thi hnh v v vy tr nn khng hiu qu. Nh vy,
vic c nn son tho vn bn phc tp hay khng cn ph thuc vo chi
ph thc thi ca vn bn , bn cnh vic iu chnh nhng hnh vi php
lut khng cho php hay cho php lm.
Mt th d in hnh ca vic vn bn php lut tr nn qu phc tp l
lut thu gi tr gia tng. Thay v nhng thu sut n gin v hin i
ho h thng thanh ton thu, khai bo thu thng qua my tnh, lut thu
gi tr gia tng ca Vit Nam tr nn qu phc tp vi rt nhiu mc thu,
nhiu mt hng c min gim, nhiu cch tnh thu, cc qui nh v
ho n ti chnh, v.v. khin cho lut thu tuy cng knh, chi ph thc
thi cao nhng kh nng gian ln li ln. C l ch c Vit Nam mi qui
nh v ho n ti chnh. cc nc khc nh Ba Lan hay Anh, h
khng cn phi qui nh v ho n ti chnh, ch cn vi tnh ho h thng
k khai thu. H cng khng h c chuyn hon thu trong vng 15 ngy
48

t khi nhn c bo co, m phi kim tra xong v xc nhn s thu

np hay s hng xut khu th s thu c thoi tr mi c gi tr.
Nh vy, khi bi b vic ban hnh ho n ti chnh th s doanh nghip
ma mua ho n cng khng cn l do tn ti.
Nh vy, phng bnh vn hn cha bnh. Khi tiu tr c nguyn nhn
chnh ca vic thnh lp cng ty ma l do ho n ti chnh, th vn nn
thnh lp cng ty ma cng nh vic gian lu thu cng chm dt.
Nguyn tc ca kinh t lut l phi gii quyt c tn gc ca vn
ch khng th ch c nhng bin php ci cch na vi.
i lp vi nhng qui nh c th, Posner v Elhrich (1974) cho rng
cch tt nht iu chnh cc mi quan h trong x hi l thng qua cc
tiu chun mang tnh nguyn tc, nhng c gi tr bin minh o c cao.
Th d nguyn tc thin ch, trung thc trong thc hin hp ng, hay
nguyn tc t nguyn, t nh ot khi tham gia vo quan h php lut
dn s.
Trc tin, vic xy dng nguyn tc d hn nhiu so vi xy dng cc
qui phm php lut c th. Ging nh xy mt ngi nh, bao gi cng
phi c thit k s b. Vic xy dng cc vn bn php lut bao gi cng
phi t c mt s nguyn tc ch o, ch khng phi xy dng v
sa i vn bn php lut mt cch ty hng hay khng theo nguyn tc
no, hoc sa i nhng vn khng nm trong nguyn tc.
Tuy nhin, qui phm php lut c th v d thc hin hn l thc hin
nhng vn ch mang tnh nguyn tc. V vy, thng thng ngi ta
cho rng khi cc hnh vi ca con ngi c chun ho (th d np
n hay tin hnh cc th tc php l) th nn dng qui phm. Ngc li,
khi cc hnh vi ca con ngi qu phong ph a dng (th d cc tha
thun) th nn dng nguyn tc. Tng t, nu mc ch ca lut l h
tr hay to hnh lang php l cho cc bn t do tha thun th chng ta
hay dng nguyn tc. Nu mc ch ca lut l ngn cn nhng hnh vi
gy hi cho x hi din ra mt cch thng xuyn th chng ta hay dng
cc qui phm php lut.

49

Gia nguyn tc v qui phm l vn ri ro cho ngi thc hin. Ngi

thc hin ng cc qui phm php lut c t ri ro hn l ngi thc hin
ng cc nguyn tc php lut (v cha chc vic mnh gii thch cc
nguyn tc l ng). Hn na cc qui nh ca php lut c th s
tri vi cc nguyn tc nh t trc, v Vit Nam hin cng cha c
To n Hin Php loi b cc qui phm php lut tri Hin Php. Cc
qui nh ca php lut phi c thit k sao cho khuyn khch cc doanh
nghip chu ri ro u t, do nhng phn thng h t c ln hn, hay
t nht l gim ri ro cho h. lnh vc ny, nn c nhng qui nh c
th, song mt khc khng c gim bt hay thui cht ch ca h.
Nh vy, lm qu nhiu lut cng c tc hi. iu ng tic l hin nay
chng ta cha bo ng tnh trng ny. Ban hnh qu nhiu lut khng
nhng tc hi cho ngi dn m cn tc hi cho c quan qun l. H phi
tun th nhng rng buc do chnh mnh to ra. i khi, do trnh son
tho vn bn cn hn ch v nhn thc hn hp, h t thu hp v tch
khi nhng thay i ca thi cuc.
Chng ta ang giai on giao thi. Nhng ngi ng h c ch c vn
cn, trong khi nhng ngi ng h ci mi cha lm quyt lit thay
i. Nh vy cch ban hnh lut l cng mang tnh cht giao thi hn l
vnh cu. Lc , chng ta phi t l trnh thay i. i vi nhng
ngi c, phi c c ch gii quyt chnh sch cho h h t b vic
ng h ci c. i vi nhng ngi mi, phi c c ch khuyn khch h
tip tc sng to.
VIII. SAI LM KHI THC THI LUT DI GC KINH T
Sai lm khi thc thi lut xy ra khi to n hay cc c quan tin hnh t
tng khc ra quyt nh qu nng hay qu nh i vi mt hnh vi vi
phm php lut. Hin nay cc nghin cu v vn ny vn cha pht
trin v cn phi chnh sa nhiu.
Mt vn quan trng trong kinh t lut l s khc bit gia cc gi tr
kinh t v cc gi tr php lut. i vi kinh t, gi tr ca chng ch
gia tng li ch v ti u ho phn bc cc ngun lc, gim ri ro v gia
tng hiu qu. i vi php lut, l cc gi tr v tnh cng bng v
50

hp l. Milton Friedman nhn nh: i vi ti, nhng g hp l theo

lut l nhng g c hiu qu trong kinh t. iu c th ng, song
chng ta hiu th no l hp l trong lut? Mi ngi bnh ng, hay
ngi no s dng ngun lc c hiu qa nht xng ng c hng
nhiu nht?
Nu chng ta theo trng phi php lut v quyn s hu ca John
Locke, theo ngi lao ng nhiu nht xng ng c hng quyn
s hu, th ng l nhng g hp l l nhng g hiu qu. Theo Coase, i
din cho trng phi kinh t Chicago v quyn s hu, th quyn s hu
nn c trao cho ngi no s dng ti sn mt cch c hiu qu nht.
Trong trng hp khng c chi ph giao dch, th cc bn s t tha thun
vi nhau v s hu. Th d ngi c nh mt tin nhng khng bit s
dng c hiu qu th s cho ngi khc thu kinh doanh mt tin. Tuy
nhin khi chi ph giao dch ln th h s khng ngh n chuyn cho thu
mt tin na, m s ngh n chuyn gi ly ti sn ca mnh.
Nu chng ta theo cc trng php php lut khc nh v quyn t nhin
ca Dworkin hay v u tranh giai cp ca Marx, th vic phn chia
quyn s hu cho hp l khng ch n thun l vic ai lm vic c hiu
qu nht, m cn l vic phn phi c hi cho cng bng gia nhng con
ngi cng sn xut vi nhau. S bt cng v c hi kinh doanh s lm
pht sinh cc m hnh kinh doanh km hiu qu. Ni tm li, cc nguyn
tc ca php lut phi chim v tr tin phong trong vic tnh ton hiu
qu. Trng phi ny cho rng khng nn coi hiu qu kinh t l ci gc
ca vn , m phi to mt mi trng php l mt cch t do, bnh
ng, hn ch cc tc ng ngoi lai (externality) lm nh hng n tnh
hiu qu ca th trng. Khuynh hng ngy nay l khuyn khch tranh
lun v cc gi tr, khng tha nhn mt gi tr lun lun ng trong mi
thi im, m ch cung cp mt phng cch cha nhng im bt hp
l trong h thng gi tr hin c.
CU HI:
1.

Trong trng hp no th hiu qu Pareto c ngha p dng trn

thc t?
51

2.

Trong trng hp no th cc ch th trn th trng khng hnh

x theo phng php duy l?

3.

L thuyt tr chi (u tr) l g? Chng c ng dng trn thc t

khng?

4.

Ti sao nhng tht bi ca th trng (market failure) tn ti?

Chng khc cc yu t ngoi lai (externalities) ch no? Ti
sao cc yu t ngoi lai c th lm cho th trng km hiu qu?

5.

Th no l ti sn cng? Mng tm kim Google c phi l ti sn

cng khng, ti sao? Ti sn cng c bao gi c t hu ho
khng? Ti sao?

6.

Coase ng h cch chnh sa nhng tht bi ca th trng t

di ln, trong khi Pigou ng h cch chnh sa nhng tht bi
ca th trng t trn xung. Bn ng h kin ca ai? V
sao?

7.

Khi no th nn iu chnh hnh vi bng qui phm, v khi no th

nn iu chnh bng nguyn tc?

8.

C phi mi th hp php u c hiu qu khng? C phi mi

th hiu qu u cng bng khng?

9.

Ti sao trc khi c lut php dn s, kinh t, vo thi phong

kin, cc quan h x hi vn c iu chnh c hiu qu bng
cc qui phm o c?

10. Kinh t hc nh ch l g? Nu mt vi th d.
11. To n ng vai tr g trong vic gim chi ph giao dch?
12. Ti sao nhng cuc mc c theo nh l Coase t xy ra trn thc
t. Gi s chi ph giao dch bng khng, bn c tin rng nh l
Coase s ng khng? V sao?
52

CHNG 2: KINH T LUT V NHM CHUYN NGNH

LUT HNH CHNH
I.

KINH T LUT V LUT HIN PHP

1.

Hin php v khoa hc v s la chn ca cng chng

Ngun gc ca kinh t lut v Hin php l khoa hc v s la chn ca

cng chng (public choice). y l s kt hp gia suy lun v ti a ho
li ch v cc qui tc v o c - s nh i gia li ch ny vi li ch
khc. Sau Buchanan sng lp ra khoa hc v kinh t chnh tr Hin
php (Constitutional Political Economy CPE). Mc ch ca khoa hc
v kinh t chnh tr v Hin php l lm th no t c tha thun
gia cc nhm ngi trong x hi. Mi ngi t kim ch mnh tha
mn c li ch ln hn v lu di. Buchanan (1977, 292) nhn nh
lut hin php qui nh nhng hn ch i vi cc c quan quyn lc ca
t nc trong khi h thc hin nhng mc tiu ca mnh.
Buchanan cho rng khng c nhn no c quyn cho mnh quan trng hn
bt k c nhn no khc. Theo nguyn tc ca Jefferson v sau ny Ch
tch H Ch Minh nhc li, mi ngi sinh ra u c quyn t do v bnh
ng. To ho ban cho h nhng quyn khng th tc b c, l
quyn c hng c lp, t do v quyn mu cu hnh phc. Khng ai
c quyn p t ch ca mnh. Ngay c khi c ci gi l mc tiu ca x
hi, th mc tiu cng phi da trn ch ca dn v c ngi dn
ng tnh. Mt khc, theo Rawl (1944), khng th no c chuyn 100%
ngi dn u ng tnh mt im. V th nn cng phi c nguyn tc
thiu s phc tng a s. Tuy nhin nguyn tc ny khng c php tin
n v hn. Hin php cn bo v quyn li c bn ca bn thiu s,
l quyn t do by t kin ca mnh.
Vo thi phong kin, mt s nc Chu u cng bt u c Hin
php. Tuy nhin Hin php ch phc v quyn li cho giai cp qu tc.
Chnh v vy m giai cp ny c quyn s dng v lm dng (rent seek)
quyn li ca mnh. Hin php u tin ca Hoa K cng cha thc s
bnh ng cho mi cng dn, m quyn lc phn ln trong tay n ng
53

gia trng v ch n. Sau cc sa i tip theo mang li quyn bnh

ng cho cc cng dn. iu ny c th c l gii bng hai nguyn
nhn: c th l do thnh qu vn ng hnh lang ca cc tng lp quan
tm, hoc c th l do kt qu ca vic ngi dn la chn nhng gii
php mang li li ch ln nht cho nhn dn.
Vn tip theo l cch thc phn chia quyn lc. Posner (1978) cho
rng s phn chia quyn lc ny lm tng chi ph giao dch cho cc c
quan. Tuy nhin North li cho rng vic phn chia quyn lc ny bo v
quyn s hu tt hn, v cc c quan khng dm lm dng quyn lc ca
mnh tc ot quyn s hu ca ngi dn. Quyn s hu c bo
v tt s dn n nn kinh t tr nn c hiu qa hn (theo nh l
Coase). Cng chnh t vic phn chia quyn lc s gim bt nn c
quyn, gim chi ph giao dch m mt s nc thay v tp trung quyn lc
vo Quc hi phn Quc hi thnh Thng ngh vin v H ngh vin.
Tip theo: chnh ph mt nc nn l Lin bang hay trung ng tp
quyn? Buchanan (1982) cho rng Chnh ph Lin bang hiu qu hn,
bi l cc Bang c thc hin cc quyn t do ca mnh, li ko cng
dn ng lng vi chnh sch ca mnh sang lnh th ca mnh sng, mt
khc vn da vi nhau v nhng vn ln. Nh vy, iu ny s dn
n cnh tranh v pht trin kinh t. Sau cng, quyn t do kinh doanh
ca cng dn s dn n ngi dn c pht huy ht nng lc lm
giu, em li hiu qu cho nn kinh t.
S la chn ca cng chng (public choice) c phn thnh hai loi: la
chn Hin php v la chn lut php. La chn Hin php l s la
chn u tin. Cc nhm trong x hi la chn cch t hn ch mnh, t
phc tng mt quyn lc c tha mn mt mc ch ln hn v lu
di. Thng thng, cc s la chn c a ra khi xu hin mt s
tht bi ca th trng (market failure). Lc , cc nhm trong x hi s
thng nht vi nhau cch iu chnh s tht bi ny.
Cch t vn ca Buchanan l ngc li vi Pareto. Pareto, cng vi
cc nghin cu v u tr nghi phm (prisoners dilemma) nh trnh by
ti Chng 1 cho rng hiu qu dn ngi ta n s tha thun, ch ngay
t u cha ai ngh n tha thun. Buchanan cho rng ngc li, s tha
54

thun bao gi cng mang li hiu qu. Tuy nhin, c th xy ra trng

hp mt s ngi th c hng li t s tha thun, song chi ph li
y cho ngi khc (th d i ngha v qun s). Nh vy, cc nghin
cu v s la chn ca cng chng phi c gii php lm gim cc chi
ph ngoi lai c th dn n vic ra quyt nh sai lm. Ngoi ra, nhiu
ngi trong u tr sn hu (xem Mc 1.5 trn) cng cho thy rng khi
mt ngi phn bi li l tng m khng b trng pht, ngi kia s
phn bi theo.
Vn khng km phn quan trng l quan h ch - t (principal agent
conflict of interests). Th d, nu ngi ch l nhn dn giao quyn lc
cho y t (l Chnh ph) t t hn ch quyn li ca ch, th phi c
c ch trnh cho vic t v li ch ca mnh m qun li ch ca ch.
Bi l, t c th tin hnh mt s hnh vi v li (rent seeking), em ti
sn cng (public goods) i chia chc cho mt nhm quyn lc trong x
hi (gi l giai cp thng tr). V th Buchanan cho rng phi hn ch bt
quyn lc ca t bng cch phn nh quyn lc ny, th d nh thnh lp
chnh ph lin bang. Theo cc bang s c t tr v cc qui nh gia
cc bang c nhn dn so snh, ng thi cch thc qun l s c
nhn dn la chn mt cch chnh xc hn c (gi l hiu ng Tiebout,
xem Tiebout, 1956).
Buchanan cho rng khi cc bn i tm mt tha thun i x theo kiu bt
bnh ng, cng l lc cc hnh vi v li ny sinh. cng l mt
trong nhiu dng ca chi ph giao dch, th d nh chi ph thng tin, chi
ph thc thi, hnh vi nh v, v.v. Hin php c hiu qu, iu cn lm
trc nht l lm gim chi ph giao dch. Tuy nhin t c tha
thun, phi c mt s vn c nu ra v chp thun v nguyn tc,
l vic gim tp trung quyn lc qu ln vo mt nhm ngi, vic c
quyn ca a s i vi thiu s, v s lm quyn ca ngi qun l i
vi ch s hu.
i vi vn th nht, Hayek trong tc phm Con ng dn n ch
n l (The Road to Serfdom, Harper & Row 1945) cn suy ngh n ri
ro ca mt nh c ti (big player). Cc doanh nghip ln tn ti s tp
trung ho quyn lc ca Nh nc, nh hng n tnh nng ng sng
55

to, dm ngh dm lm ca nn kinh t. iu s lm tht bi nhng

tng tt ca bn kh c x hi gia nhn dn v Chnh ph.
i vi vn th hai v th ba, l s c quyn ca a s i vi
thiu s, v s lm quyn ca ngi qun l i vi ti sn ca ch s
hu. C th l, nu dn tc a s khng quan tm n quyn li ca dn
tc thiu s, x hi s dn n bo ng v chia r. Nu ch nhn ca t
nc (l ton dn, thng qua Quc hi) khng nm quyn lm ch m
giao ht quyn hnh cho nh qun l (tc Chnh ph) th s dn n tnh
trng l chnh ph s lm quyn, tham nhng v gy thit hi cho nhn
dn. Chnh v vy m nhiu nc ra nguyn tc kim sot v cn
bng (check and balance), trong cc quyn lc cn phi c gim
st phng trng hp lm dng quyn lc.
Trong cc mc di y, chng ta s i su hn v hai vn thuc v
th ch nh nc: c ch t qun v m hnh nh nc lin bang.
2.

C ch t qun

C ch t qun lin quan n vic qun l nhng hip hi c trnh

chuyn nghip cao. Th d nh nghip on bc s hay on lut s.
V mt bn cht, y l mt dng hp ng. Cc thnh vin ca hip hi
thy r li ch ca mnh khi tham gia vo hip hi, nn t nguyn tun
th mt s qui nh ca hip hi, nhm nng cao uy tn ca mnh v ca
bn thn hip hi. Nhn chung, nu chng ta cho rng hp ng l c ch
tt nht t c hiu qu ti mt ni c chi ph giao dch thp, th t
qun cng l c ch tt qun l trong mt mi trng c chi ph giao
dch thp (mi ngi tin cy ln nhau v cng hng ti mt mc ch
chung).12
Tuy nhin vic qu tin cy vo mt c ch t qun cng c nhng im
bt li. V sp ca cng ty kim ton Arthur Andersen cho th cc
qui nh t qun ca hip hi k ton l khng hiu qu. V th, cc qui
nh cn phi c t ra (trong Lut Sarbanes-Oxley) vi nhng ch ti
kht khe hn cho cc thnh vin hip hi, k c trch nhim hnh s. Nh
12

Mc V.4, Chng 1.

56

vy, c ch trong tng lai s l mt c ch hn hp: cc hip hi c th

ban hnh c ch t qun, song c ch phi c c quan nh nc xt
duyt v gim st. Nh vy mi gim c nguy c li dng quyn lc
ca cc hip hi.
3.

T qun a phng v m hnh nh nc lin bang

T qun a phng trong nhiu nm nay tr thnh ti quan trng.

nc ngoi, cc nh kinh t cng ang tranh lun si ni xem mt nh
nc lin bang th hot ng hiu qu hn nh nc trung ng tp quyn
hay khng. Tnh hnh th gii cho thy, c nhng nh nc trung ng
tp quyn nh Trung Quc vn hot ng tt, song cng c nhng nh
nc lin bang nh n vn cn sng ngho kh. Vy nguyn tc ca
Buchanan, tc l chnh quyn lin bang bao gi cng hiu qu hn, v n
to ra cnh tranh gia cc bang, c th cn mang nng tnh ch quan.
Tuy vy vn y l mt h thng phi tp trung ho bao gi cng
mang li nhiu quyn t ch hn cho cc a phng, t cc a
phng c th pht huy s nng ng ca mnh, em li hiu qu cho a
phng. Tuy nhin hiu qu ch tng n mt mc no , sau s suy
gim. Nguyn nhn l v nu a phng quyn lc qu ln th s ny
sinh tnh trng thiu phi hp. Cc a phng khng tin nhau s dn n
hnh ng ging nh u tr nghi phm (xem Mc V.5, Chng I). Kt
qu sau cng l khng t c tha thun, dn n km hiu qu. Nh
vy, li thot ra khi vn ny l phi cn nhc gia mt s gi tr
khng mang tnh hiu qu trc mt nhng s mang li li ch lu di.
Nh nc lin bang l mt m hnh nghin cu th v. Hu ht cc Nh
nc lin bang cn tn ti n ngy nay v quyn t tr c chia cho cc
bang u Chu u, Chu M: Hoa K, Nga, c, Thy S, Anh Quc
(gm England, Scotland v Bc Ireland), Nam T, Brazil, Mexico. Mt
s nh nc lin bang cc chu lc khc nh Nam Phi, n hay
Malaysia quyn t quyt ca cc tiu bang khng mnh bng. C nhng
nc ln nh Trung Quc hay Canada cng khng thnh lp nh nc
lin bang. Vy quan im cho rng thnh lp lin bang qun l mt
lnh th rng ln cng khng hon ton chnh xc. Cng khng th ni
nh Buchanan (1982) rng nh nc lin bang lun hiu qu hn nh
57

nc trung ng tp quyn, nu chng ta so snh gia Nga v Trung

Quc, hay gia Nam T v Thy S. Mt s lin bang khng h c s
ng h ca cc tiu bang thnh vin v t tan r, nh Lin bang ng
Dng hay Tip Khc. Vy nh nc lin bang pht huy hiu qu khi
no v khng pht huy hiu qu khi no? y l cu hi hin ang c
nhiu nh nghin cu kinh t lut quan tm.
Theo John Stuart Mill v Jean Jacques Rosseau, nh nc lin bang c li
im l em quyn t quyt li gn nhn dn hn, do h c quyn trc
tip bu ra cc c quan quyn lc a phng. Quyn t quyt ca nhn
dn c s dng m bo mt quyn ln hn l cc quyn t do
ca ngi dn. Chnh v th, nhng chnh quyn gn gi dn nht th
c dn tin nhiu nht. Cc cuc kho st ca nm nc (Hoa K,
Canada, Italia, c, Thy S) cho thy ngi dn bit nhiu v chnh
quyn a phng hn chnh ph trung ng hay lin bang (Finifter
1970). Nhn chung, cc nghin cu cho thy nu phn cp th s lm tng
hiu qu, v vic Nh nc tham gia qu nhiu s lm nh hng n
hiu qu. Mt khc, cn c c ch kim sot hnh thc t ch c s sao
cho n khng pht trin thi qu thnh cc hnh thc ly khai.
II.

KINH T LUT V L LUN V NH NC V PHP

LUT

1.

Bn cht hp ng ca cc l lun v nh nc

Xt v kha cnh kinh t, tt c cc ngnh lut xt cho cng l lut hp

ng, l nhng qui nh v quyn v ngha v ca cc bn, trong mi
bn t nguyn nhn lnh ngha v cho mnh i ly quyn li. Quyn
v ngha v lun i i vi nhau, v c ch hnh thnh quyn v ngha v
l qua cc hp ng hay ni theo cch ca Montesquieu l cc kh c
x hi. L lun v nh nc v php lut ca cc nc XHCN cho rng
nh nc v php lut lun mang hai c tnh: tnh giai cp v tnh x hi.
i vi tnh x hi - c trng v hp ng v kh c l rt r: mun
c hng t do v c lp th phi thi hnh ngha v qun s, mun
c hng cc cng trnh phc li x hi, mun c an ninh, trt t, th
phi ng thu nhm xy dng h tng c s, gio dc, y t, cng can,
58

qun i, mun c hng h thng an sinh x hi th phi ng bo

him x hi.
i vi tnh giai cp, nhiu ngi vn nhm tng rng tnh giai cp
khng mang bn cht hp ng - rng ch ca giai cp thng tr l tuyt
i, v giai cp b tr phi phc tng giai cp thng tr. Suy ngh nh vy
l sai lm. ch ca giai cp thng tr m i ngc li vi cc giai cp
khc theo kiu i khng, ai thng ai th sm mun g cng dn n u
tranh giai cp, sn xut nh n, chin tranh, i km xy ra. ch ca
giai cp thng tr m i ngc li cc qui lut khch quan, trong c cc
qui lut kinh t th s dn n thm ho. Bi hc tht bi ca qu trnh
qu t nn kinh t tiu nng tin thng ln CNXH khng qua giai
on pht trin t bn ch ngha ca Vit Nam trong giai on 1975
1985 cho chng ta thy ch ca giai cp thng tr khng phi bao gi
cng ng, v i khi cn gim tc dng. Nh vy, bn cht ca l lun
v nh nc v php lut l hp ng l kh c gia cc tng lp trong
x hi cho cng mt mc ch: dn giu, nc mnh, x hi cng bng,
dn ch, vn minh.
Nu qu nhn mnh n tnh giai cp v chuyn chnh th mt Hin php
s khng khc no mt hp ng c nhng iu khon c son sn,
trong bn mnh th v kinh t (bn c quyn) quyt nh mi th, v
bn yu th ch c cch phi thi hnh. ng bun hn, trong mt dng
hp ng mang tnh c quyn nh Hin php, bn yu th khng th
khng k hp ng, v khng cn ai khc m k. Nu trong kinh t
chng ta c lut chng c quyn, th trong php lut cng nn trnh
xy ra tnh trng mt tng lp c quyn lnh o v lm dng v tr
thng lnh ca mnh, khc t mi quyn li i vi giai cp khng phi
l lnh o.
2.

Bn cht hp ng ca cc ngnh lut

m bo bn cht ny (lut = hp ng) pht huy tc dng, th cc

iu kin c hiu lc ca hp ng phi m bo, tc l cc bn phi
nhn thc ng v vai tr ca mnh (c nng lc hnh vi), hnh x trong
phm vi php lut qui nh hay cc nguyn tc c bn v cng bng v
hp l (khng tri php lut), hon ton t nguyn (dn ch, t do pht
59

biu kin v thuyt phc ngi khc nghe theo kin ca mnh) v tun
th cc trnh t do php lut qui nh.
Bn cht hp ng trong cc quan h kinh t l rt r rt. nh l Coase
cho ta thy khi hot ng trn thng trng, tt c cc bn lun lun
phi tha thun vi nhau. Nu bn A hot ng khng hiu qu (khng
khai thc mt ti sn X sao cho c li nht), th bn B s mua li ti sn X
t bn A s dng ti sn X c hiu qu hn. Tng t, nu Bn A gy
thit hi cho bn B, m chi ph khc phc thit hi cho bn B ln hn li
ch m bn B nhn c t vic khc phc thit hi, th bn B s tha
thun vi bn A v mt khon bi thng bng tin hn l khc phc li
nguyn trng nh trc khi xy ra thit hi. Ni tm li, cch tt nht
t c cng l v hiu qu l cho cc bn t do tha thun. Cch can
thip tt nht ca php lut l lm gim chi ph giao dch gia cc bn,
sao cho cc tha thun mang li hiu qu cao nht.
i vi lut dn s, kinh t, thng mi, lao ng th nh vy, cn i
vi lut hnh s th sao? y chng ta thy c bn cht hp ng - kh
c x hi gia c nhn vi tp th ( y th hin qua quyn lp php
ca Quc hi). Lc ny, vai tr lm gim chi ph giao dch gia nhng
nhm quyn li trong x hi yu cu phi c tha thun gia nhng ngi
b thit hi do nhng hnh vi nguy him cho x hi gy ra v phn ng
ca x hi i vi nhng hnh vi ni trn. Trn mt kha cnh khc, lut
hnh s l hp ng gia nhng c nhn v x hi v ci gi m h phi
tr khi vi phm php lut. Nu hnh pht qu nh th c nhn s vi phm
php lut (v sau khi tr gi h vn cn li tng t nh nhng hnh
pht v ti tham nhng hin nay). Tnh trng php lut lng hnh s dn
n nhng phn ng tiu cc ca ngi dn (mua sng t v hay thu
bo v, hoc hi l cho xong chuyn v tham nhng l tnh trng chung),
lm tng chi ph cho x hi, gim hiu qu.
Ngc li, hnh pht qu nng cng khng c ngha l tnh trng ti phm
s gim, m c khi cn lm tng. L do l v nhng ngi b lin ly s
phi bao che hnh vi phm ti khng b trng pht (khi b pht hin).
Ngc li, nhng ngi phi i din vi n t hnh s ri vo cnh
khng cn g mt, khng hy vng c khoan hng, v v vy tip
tc gy ti c. Cch x l tt nht i vi lut hnh s l qui v lut hp
60

ng: c thng, c pht, tuy nhin cng m ng khoan hng cho

nhng ngi lp cng chuc ti, d ti ca h c nng bao nhiu, min l
ci li ca x hi do h lp cng ln hn ci li ca vic loi h ra khi
x hi. Chnh v vy m gn y ang c xu hng nghin cu loi b n
t hnh ra khi B lut hnh s.
Ngoi ra, chng ta cng phi xem xt gii php dn s: bi thng thit
hi hay khc phc thit hi, hay khi phc li v tr ban u. Cch tm
gii php l xem xt cc chi ph phi tr khi phng n ny hay phng
n kia xy ra. Nu khng c qui nh g khc, th gii php thng thng
l khi phc li v tr ban u (restitution), sao cho ngi cng khng
b thit hi hn so vi nhng hnh vi gy thit hi cho x hi. Th d, mt
ngi thy ngi khc gp nguy him, v cu ngi , th phi c n
b cc chi ph khi cu nn. Nu khng c cc qui nh ny, ngi c
th s khng cu gip, v nh vy chi ph pht sinh i vi x hi s ln
hn.
Tm li, tt c cc ngnh lut phc tp u c th suy v dng n gin l
hp ng. Tuy nhin cc ngnh lut vn khc nhau cch thc iu
chnh, v quyn li ca mi ch th trong tng trng hp l khc nhau.
C nhiu vn vn cha gii quyt c bng cc cng c l lun ca
mn kinh t lut, th d ti sao t tng dn s v hnh s khc nhau. Tuy
nhin, nu chng ta khng hiu c ci gc ca vn s dn n tnh
trng ban hnh nhng vn bn php lut khng khp nhau, hoc tri vi
bn cht hp ng ca mi ngnh lut.
III.

KINH T LUT VI CCH THC BAN HNH LUT

Trn th gii c hai cch ban hnh lut thng qua Quc hi hoc c
quan lp php (legislation) ca h thng lut lc a, hay thng qua cc
thm phn (judge-made law) ca h thng lut Anglo-Saxon. Theo
Posner (1960) v Hayek (1962), th h thng lut Anglo-Saxon hiu qu
hn, bi l thng qua tranh lun trc to, cc bn s t c tha thun
theo hng ai c kh nng s dng ti sn hiu qu hn s c trao
quyn s dng cc ngun li. Th d, trong v kin u tin bn c hiu
qu li b x sai, th cc to n tip theo s khng theo tin l sai , m
tm cch lch tin l bng cch ni rng trng hp ca h khc vi
61

trng hp cp n trong tin l (distinguishment). i khi, to n c

th tuyn b thng rng cc phn quyt c khng cn ng na
(overruling). Trong khi , i vi cc nc theo h thng lut lc a,
mt vn bn lut sai vn c tc dng (dura lex, sed lex) lm cn tr cc
giao dch tuy khng ng vi vn bn php lut song thc s c hiu qu.
Cooter khng ng vi quan im ny. ng v Hirschlefier (1973)
cho rng lut Anglo-Saxon c hiu qu hay khng cn ty thuc thm
phn c mun ra mt bn n c hiu qu hay khng. Th d, nu thm
phn chu s thuyt phc ca mt nhm quyn li, do h c lut s gii
hn, th ng cng c th ra nhng bn n khng hiu qu. Tm li, cho
d l h thng no, th php lut cng ch phc v nhng ngi c kh
nng thuyt phc cao nht, v thng thng l nhng ngi thuc giai
cp thng tr. ng h kin ca Cooter v Hirschlefier, Roe (1988) cho
rng hiu qu khng phi l tiu ch chnh ca thm phn Anglo-Saxon.
Kt qu ca bn n cn ph thuc vo h thng gio dc m thm phn
c o to v thnh phn giai cp m thm phn xut thn. Quan trng
hn c l thm phn b rng buc bi tp qun v quan nim rng mnh
phi phn x sao cho nht qun vi nhng quyt nh trc y ca mnh
( khng ai ni rng mnh tng mc sai lm). Vic nhn thc mnh
sai khng phi l iu d dng, cho d thm phn c sng mt trong
nhng nc theo h thng lut no i na.
Ngoi ra, h thng Anglo-Saxon cng c th pht sinh cc hnh vi lm
dng lut. y cng l lun im ca Coase (1960) thng qua phn tch
v n Sturge (1876). Trong v ny, mt bc s kin ngi hng xm
ca mnh, ch tim mt l bnh v ting n v mi bnh nng lm ng
khng th m phng mch c. To x cho bc s ny thng kin.
Tuy nhin, Coase cho rng kt qu cng chng c g thay i nu To x
cho ng ch tim bnh m thng kin. Vn l x hi coi trng vic
cha bnh hn hay coi trng bnh m hn. Nu x hi coi trng vic
cha bnh hn v v vy phng mch thu c nhiu hn th bc s s tr
tin ch tim bnh thi khng lm bnh na. Ngc li, nu x hi coi
trng bnh m hn th ch tim bnh s tr tin bc s thi ng m
phng mch na. Nh vy, phn quyt ca to n khng lm g tt hn
m ch lm cho s vic km hiu qu hn. Gi s to n tuyn cho bc s
thng, ng s c quyn i hi mt khon tin bi thng ln hn so vi
62

trng hp khng c bn n ca to n. iu ny c gi l hnh vi

trc li (rent seeking).
IV.

KINH T LUT V CC QUY NH HNH CHNH-KINH

T

Theo nh ngha ca kinh t lut, lut hnh chnh iu chnh mi quan h

gia cc ch th lin quan n li ch chung v cc ti sn cng. iu m
kinh t lut phi lm r l mi quan h gia ti sn t v ti sn cng, v
khi no th mt ti sn cng nn c t hu ho (xem Mc V.6, Chng
I). Cu tr li hu nh nm tnh hiu qu: hnh thc ti sn no em li
li ch cao nht cho ngi dn?
i vi kinh t, ti sn t l mt yu t quan trng em li hiu qu cho
nn kinh t th trng, v n to nn ng lc phn u ca mi c
nhn. Ngoi ra, theo nh l Coase, iu ny to nn s trao i hu hiu
trong mt nn kinh t c chi ph giao dch. Ngc li, ti sn cng to
nn s km hiu qu, do ca chung khng ai lo (tragedy of the commons).
Tuy nhin, khng d g t hu ho ti sn cng c th to hiu qu cho
nn kinh t. qui nh v ti sn t c hiu qu, th phi c qui nh r
rng v s hu. Khi to nn thay i v quyn s hu, s c nhng ngi
b mt quyn li chng li s thay i. H s ha theo nhng ngi
chng i ci t duy tr ch ti sn cng, ng thi trc li (rentseek) t vic chng i ci t trn nhng quan im th cu ca h. Nh
vy, ti sn cng c ba iu bt li: th nht, l vic c nhng ngi
mun trc li t ti sn cng (rent seek). Th hai, l vic chi ph giao
dch tr nn qu cao, khng bit ai s dng c hiu qu, ai khng, t
vic dng ngi v ti sn khng hiu qu. Th ba, l hiu qu thp.
Khi ca chung khng ai lo, th khng cn ai c ng lc pht trin nn
kinh t. Kinh t Vit Nam trc thi k i mi th hin ton b
nhng hin tng nh vy: trong 11 nm t 1975 n 1986, thu nhp bnh
qun trn u ngi ch khong 125 USD, vo hng nhng nc ngho
nht th gii. T khi c i mi, khuyn khch ton dn kinh doanh, ti
sn t tng dn thay th ti sn cng, thu nhp bnh qun trn u ngi
tng ln 490 USD. Tuy vy, khi pht trin nn kinh t nhiu thnh phn
nh hng XHCN, chng ta vn nh ngha XHCN l mt nn sn xut
63

t trn c s s hu ton dn v s hu tp th. Nh vy, tnh hiu qu

ca nh hng pht trin XHCN l u?
Vn l ch: cc suy ngh nu trn ch mi nu c hin tng ch
khng hiu bn cht. iu nguy him l cc lp lun trn nhm ln
ba im.13 Th nht, ti sn cng khc vi m ca cho mi ngi
hng chung (s hu tp th). Th hai, ti sn cng khc vi nhng
ngun lc hu hn. Th ba, h thng ho cc ngun lc khc vi tp hp
cc ngun lc.
i vi vn th nht, tht bi ca kinh t Vit Nam trc 1986 l do
da vo s hu tp th ch khng phi vo ti sn cng. Trong mt nn
kinh t tp th, ai cng c hng nh nhau, d lm nhiu lm t, lm tt
lm xu. Trong mt nn kinh t c ti sn cng, mt nhm ngi c
quyn ngn cn nhng ngi khc c hng thnh qu nu chnh h
khng ng gp mt cch c hiu qu vo vic to ra ti sn . iu
ny c th lm bng nhiu cch. Th d, qui nh trong c c ch
thng pht r rng cho nhng ngi lm li cho ti sn cng. H phi
c lng v thng tng ng khi lm cho mt cng ty t nhn, nh
vy mi kch thch s lao ng sng to. Ngoi ra, cc cng trnh cng
cng nh ng s, h tng c s hay thm ch bo v an ninh cng phi
thu ph. C thu ph th mi c ng lc gi gn ti sn cng.
i vi vn th hai, nhng ngun lc hu hn th khng nn tr
thnh ti sn cng (xem nh ngha ti sn cng ti Mc V.6, Chng 1).
Ch nhng ti sn no tha mn hai iu kin sau mi c th tr thnh ti
sn cng (i) khng th hn ch ngi s dng ti sn ny, v (ii) vic c
thm ngi s dng cng khng lm gim li ch hng dng ca nhng
ngi hin ang s dng. Trong khi , nhng ngun lc hu hn nh ti
nguyn thin nhin, bnh vin cng, trng hc cng hay ca cng trong
kho hp tc x li c hai c im sau (i) kh hn ch ngi s dng mi
khi h xin c s dng (do c ch phi m), v (ii) vic c thm ngi
s dng s lm ngi khc ang s dng s b gim khu phn. i vi
c im th nht, vic kh hn ch ngi s dng c c im ging ti
13

Ostrom (2000) Private Properties and Common Properties, theo Encyclopedia of Law and
Economics (DeGeest v Geritz ch bin), Kluwer Law International.

64

sn cng, v th s dn n tnh trng li dng (free ride), ngi sau

khng chu ng gp vo thnh qu m ngi trc li. i vi
c im th hai, ngun lc hu hn li c c im ging ti sn t, v
th s dn n vic hn ch, tranh ginh li ch ca nhng ngi hin
ang nm quyn s dng ngun lc hn ch. Vic Bo him Y t Tnh
Tin Giang b thm ht nng do quyt nh thanh ton tin bo him y t
cho vic khm cha bnh ngoi gi ca nhng ngi c bo him cho
thy iu ny. Nh vy, cch qun l cc ngun hu hn ch nh th no
l iu rt kh, khng th ch bng cch chng ta qun l ti sn cng.
i vi vn th ba, cho d Vit Nam huy ng cc ngun lc theo
kiu tp hp, song khng h thng ho cc ngun lc, m hai vn ny
khc nhau. Khi h thng ho cc ngun lc, khng nhng ch tp hp cc
ngun lc, m cn phi bit phn b cc ngun lc sao cho ngi s dng
hiu qu c quyn s dng cc ngun lc , ngi khng s dng hiu
qu phi tr li ti sn cho ngi s dng c hiu qu hn.
Chng ta bit, quyn s hu bao gm ba quyn: chim hu, s dng, nh
ot. Trong mi quyn li c th phn ra thnh nhiu quyn nh hn (v
d quyn s dng bao gm quyn qun l, trc tip s dng, khai thc
cng dng, hng li ch). Nh vy, c hai cch s dng quyn s hu
mt cch c hiu qu. Mt l theo cch ca Coase, ngha l giao ht c ba
quyn (chim hu, s dng, nh ot) cho mt ngi. Hai l phn chia
quyn lc gia cc ch th khc nhau ngi th nm quyn chim hu,
ngi nm quyn s dng, ngi khc nm quyn nh ot. y cng l
cch qun l ca cc doanh nghip nh nc ca Vit Nam trc y: cc
gim c tuy c quyn s dng ti sn nh nc, nhng vic nh ot ti
sn li do c quan ch qun quyt nh. iu ny nghe c v nh gim
bt quyn t ch ca doanh nghip, tuy nhin n c th khin cho vic
kim sot ti sn c tt hn. Tng t, c ch qui nh t ai thuc
s hu ton dn, tuy nhin li giao quyn s dng cho ngi c quyn s
dng t v mt phn quyn nh ot cho h cng khin vic s dng
t c hiu qu hn so vi vic hp tc ho sn xut xa kia. Tuy nhin,
vn l ch c cn thit phi gi t ai thuc ti sn cng hay khng,
hay c th t hu ho c quyn s hu?

65

Vn hin nay l i vi nhng ngun lc hn ch, chng ta c nn

hnh thnh mt hnh thi quyn s hu khng hon chnh (th d quyn
s dng t) hay khng? Trong , mi ngi u c quyn s hu, song
ch nhng ngi c th s dng ti sn c hiu qu mi c s dng ti
sn trn, v thm ch chnh h cng khng c ton quyn nh ot ti sn
ca mnh. Mt mt, iu ny khin h khng hng th cho vic pht trin
ti sn ca h. Mt khc, iu ny c khin h bit t kim ch trc
nhng hnh ng lm dng quyn s hu qu ng?
Theo chng ti, trc tin, cn loi b nhng ro cn cho vic s dng ti
sn mt cch c hiu qu, th d nh nn kinh t trang tri. Mt khc, cn
xo b nhng hn ch tp trung in a vo mt vi c nhn, nu nh
iu xy ra nn u c t ai. Cc lng qu nui b Thy S s
dng c ch nh sau: h thnh lp cc trang tri tp th di dng cng ty
c phn. Sau mi nng dn c quyn s dng t trng c ca lng
nui b ty theo s b h c v l ph m h phi tr s dng t.
Nh vy, b s c n c nhng cnh ng to hn v cho nng sut
cao hn.
Tip theo, mi ngi trong nhm c nhu cu khc nhau. V vy, cn phi
lm th no tha mn nhu cu ca tt c mi ngi. Theo cc nguyn
tc nu ti u tr ct bnh (xem Mc IX.4, Chng 3), th tt nht l nn
cng khai ho li ch ring, va tranh lun vi nhau xem cch no a
sn phm n cch thc s dng tt nht cho li ch chung. Tuy nhin,
khi s ny sinh vn l thng tin khng y . Chnh v vy m phi
c cch khm ph cc thng tin l tht hay gi, bng cch lm cho cc
c nhn t bc l thng tin ca mnh.
Vic hn ch quyn s hu s lm gim ng k gi tr ti sn. Th d
quyn s dng t cho nhng cn nh c bn ho gi gim di gi
tr thc ca chng khi Nh nc khng cho chuyn nhng quyn s hu
cc cn nh trn. iu ny to c hi cho nhng ngi nh bc vo
cn nh m h mua theo hnh thc khng chnh thc. Trn mt phng
din no , ngi c tin cha hn l ngi bit s dng tin c hiu
qu. Khi , ngi thng minh nht mi nn c trao quyn ti sn.
Vn l lm sao bit mt ngi thng minh hay khng? Chng l phi
66

trnh d n kinh t kh thi xem xt xem c nn trao quyn ti sn cho

mt ngi no khng?
M hnh qun l cc ngun lc hn ch c th s l mt s phi hp gia
ti sn t v ti sn cng. iu ny ging nh mt ngi mua nh
chung c cao cp. H va c quyn c hng quyn s hu i vi
cn h ca mnh, va c ngha v phi tn trng quyn s hu ca nhng
ngi khc trong cng ng cng nh nhng ti sn c s dng chung.
Hng thng, nhng ngi trong nh hp li vi nhau xem vic nh gi
tnh hnh s dng ti sn c hiu qu khng. Khi mt ngi mun bn
nh, phi thng bo vi ban qun tr, v ngi mua phi cam kt tha
mn cc iu kin m ban qun tr t ra. M hnh ny c th p dng
trong nhng trng hp n gin. Liu n c p dng c nhng
trng hp phc tp hn khng? Mc l cc c ng trong cng
ty, khi cc c ng ln chn p cc c ng nh. Khi , cc hnh ng
li dng v khng hiu qu (tham nhng, lng ph) din ra thng xuyn.
C ch hn ch cc hnh vi lm dng v minh bch ho ca qun tr
doanh nghip s gip chng ta hn ch c nhng thiu st. Thit ngh,
chng ta nn chm dt cc phn nh cng t, m phi c cch gii quyt
hn hp. Trong , cc thnh vin s c phn ca mnh trong vic xy
dng cch qun tr sao cho hiu qu.
V.

KINH T LUT V VIC BAN HNH VN BN DI

LUT

Cc vn bn di lut thng thng do cc c quan hnh php ban hnh,

nh ngh nh ca Chnh ph, Quyt nh ca Th tng, B trng,
thng t ca cc b. Vy cch thc h ban hnh vn bn di lut nh
th no? C hiu qu khng? Nu khng th lm th no c hiu qu?
Lm th no kim tra hot ng ca c quan hnh php, bng cc nh
ch c nh hay bng cch kim tra t xut? C ch phi hp hot ng
gia c quan lp php v hnh php c thc hin nh th no? l
ch ca phn ny.
Thng thng, quyn lp php ca c quan hnh php c c quan lp
php y quyn. Th d trong mt lut, c cu: Chnh ph qui nh chi tit
v vic ng k kinh doanh. Sau Chnh ph s ban hnh ngh nh v
67

ng k kinh doanh. Sau B K hoch v u t li ban hnh thng t

hng dn thi hnh ngh nh ca Chnh ph. Khi cc c quan cp di
hay ngi dn thc mc, B c th s gi cng vn hng dn. Xt v
bn cht th y khng phi vn bn php lut. Tuy nhin cc c quan v
ngi dn vn tn trng v tun theo cc vn bn hng dn ny. iu
ny s dn n tnh trng vn bn di lut i khi tc ng trc tip n
ngi dn hn l cc qui nh php lut. Nhiu vn bn php lut tc
ng trc tip rt yu. Lut Thng mi 1997 l mt th d v vic ny.
Thm ch, d n lut hu ht l do cc B c lin quan ch tr son tho
ch khng phi xut pht t cc y ban ca Quc hi.
iu nguy him l cc B, ngnh thng c khuynh hng son tho sao
cho ci g kh khn th y cho dn, ci g thun li th dnh cho mnh.
Vn bn no cng c on Qun l nh nc v vn XYZ. Trong
, b ch qun dnh quyn ch o kim tra, cp php v n c, theo
di cc i tng thi hnh thc hin lut. Tri li, trch nhim ca b ch
qun trong vic gip ngi dn hay doanh nghip th li b l i. V
quyn lc th nhiu m trch nhim th t, cc c quan ch qun c nguy
c li dng quyn lc (rent seek) v thm ch a ra nhng qui nh tri
vi tinh thn ca lut, m khng ai lm g c, do To n Hin Php
cha c thnh lp.
Nh vy phi c c ch qun l hnh vi li dng ca c quan hnh
php. Mt trong nhng phng php ny l thnh lp nhng c quan
thm nh hiu qu vn bn php lut, v ly kin nhn dn v vic xy
dng cc vn bn php lut (regulatory impact assessment). Tuy nhin
iu ny hin nay cha hiu qu, bi l cc tng lp nhn dn kh on
kt li trnh by kin ca mnh mt cch r rng, mch lc, m thng
thng trnh by kin mt cch tn mn. Schwartz (1984) v Weingast
(1984) ngh nn s dng hai h thng kim sot: mt l kim sot t
xut (xe tun tiu police patrol), hai l lp t h thng bo ng thng
qua ngi dn (fire alarms). Theo Schwartz, cn phi kt hp c hai
phng php ny c th hiu qu. Tuy nhin cc kinh t gia khc cho
rng c hai cng cha chc hiu qu. Th nht, vic t chc xe tun tiu thnh thong c on thanh tra i xem xt s khng nm thng tin r, v
nu ch ti khng nng th tnh kh thi khng mnh. Th hai, vic trang
b h thng bo ng cng tn chi ph, song khng phi ch no c quan
68

hnh php cng cho php lp t h thng bo ng v cho dn gim st.

Nh vy phi nm c nhng ch him yu kim sot. Weingast
(1981) cho rng cn thit phi thnh lp mt ban kim sot lin ngnh,
bao gm i din ca Quc hi, ca nhng hip hi doanh nghip i
din cho i tng c lut p dng, v i din Chnh ph. Ban kim
sot lin ngnh c quyn kim tra t xut cng nh iu tra chi tit
nhng hot ng ca c quan hnh php xem c hiu qu hay khng.
Kaplow (1990) cho rng kim sot c quan hnh php hiu qu, phi
xem nhng lnh vc no c th kim sot c th mi y quyn ban hnh
vn bn php lut cho c quan hnh php. Lnh vc no kh kim sot
th khng nn y quyn trc khi tm c bin php gim st.
VI.

KINH T LUT V TP QUN O C

Cui cng, mt loi qui phm khng th b qua l tp qun o c. Tp

qun o c c th c coi nh nhng qui phm tn ti t pht t trong
dn gian v c mi ngi nht tr tun theo. Xt trn mt phng din,
l mt dng hp ng. Tp qun php thng thng khng c coi
nh mt ngun chnh thng ca lut, tuy nhin trn thc t vn c
ngi dn tun theo. Trong mt s lnh vc nh hng hi hay thng
mi, tp qun php (th d nh lex mercatoria) gip doanh nghip bt
c nhng l hng khi cha c tha thun. Xt v mt tm linh, tp
qun o c c tc dng nh nhng qui phm mnh lnh ca lng tm,
bt buc mi ngi phi tun theo. Vai tr ca tp qun trong x hi nh
vy khng th ph nhn.
Khng nhng b sung cho lut php, m nhng tp qun tri vi php
lut i khi cng chin thng cc qui nh ca php lut, nu cc tp qun
xut pht t thc tin cuc sng ca ngi dn hn, gn gi vi thc t v
thun lng dn hn. Chnh v th nhn dn ta mi c cu: php vua thua
l lng. Theo thut ng kinh t, tp qun c tn trng trong mt x hi
ngi dn trc tip xy dng nn tp qun, l khi chi ph giao dch
trong x hi thp.
Mt l lng ng nghin cu l tc l ca mt s ngi lng Ngh An
dnh mt khon rung ca lng chu cp cho nhng nh c con i hc
69

hay i thi. iu ny cng mt phn do cc c trong lng thy ci li ca

vic hc. Mt phn cng do cuc sng kh cc qu, cn phi hc
thot ci ngho. Phn cng v i hc s vang danh cho a phng (mt
ngi lm quan c lng c nh). Tc l ny khng c nhn thy
cc lng Min Nam hay Min Bc. C ngi cho rng do ngi dn
khng thy cn thit phi hc mi i i c. Mt khc, iu ny cng
c th l do ngi dn khng on kt vi nhau, v vy khng tin
nhau ti mc c th b mt khon rung v s nghip chung ca c
lng.
Mt trong nhng l do khin tc l ny c th pht trin na l mi ngi
trong lng u coi trng vic hc nh nhau. Khng c ngi no ngh
rng: trong dng h mnh s khng c ngi c ngy c s dng mnh
rung trn. Ai cng lo hc, hoc cng ngh rng ngi no t trong
lng cng s khng qun cng n ca nhng ngi tng gip mnh
c c ngy vinh quy bi t. Nh vy, tp qun d pht sinh nhng
vng qu m nim tin ca mi ngi c nng cao. Trong khi ,
php lut c th c ban hnh nhanh nhng hiu qu cha chc bng
nhng tp qun c t ngn i.
Trong cuc u tr ngi t, chng ta thy do hai ngi t khng tin nhau
m h phi phn tch hai ba kh nng: thng sch, trung sch, h sch
(Mc V.5, Chng 1). an ton, h chn trung sch, song cui cng li
ri vo h sch. Nu hai ngi t ny c th lin lc v thng nht vi
nhau trong hnh ng, chc chn h s chn thng sch (khng khai
bo). Trong x hi cng vy, mt x hi c dn ch, ngi dn c bn
bc vi nhau th ri kt qu s lm hi lng mi ngi. Mt x hi thiu
dn ch s lm cho ngi dn phi gi th v do vy s qui nh trung
sch v h sch hn l thng sch.
Ni vy khng c ngha l mi tp qun u tt c. C nhng tp qun
khng tt, lc hu, song n tr thnh l li lm vic. n ni mi
ngi khng dm ph b n, v s rng chi ph chuyn i sang mt h
thng mi cn tn km hn h thng c rt nhiu. l vn ca gi
chuyn i m ta s cp n trong nhng chng ti y. Tuy nhin,
ngay c trong trng hp th nn tm cch nhng ngi tham gia
trong tp th t nguyn chuyn i hn l p buc h phi chuyn i do
70

nhng mnh lnh t trn xung. Chng ta thy rng phong tro Duy tn
hi u th k XX (ct tc, b tp qun nhum rng en, hc ch quc
ng thay cho ch nm), chng phi do mnh lnh t trn xung, m mang
li hiu qu to ln trong vic ci t x hi Vit Nam sao?
Tm li, n lc nn cng nhn tp qun nh mt ngun chnh thng
ca lut. Ngoi ra, cn suy ngh n vic nh hng sao cho ngi dn
c th t c tha thun xy dng nhng tp qun mi cho thi i
mi. Cc tp qun mi ny c th khng c a s chp nhn (th d v nhng ngi ny cha h bit khi thc hin thay i tp qun th
chuyn g s xy ra). V th, php lut phi c thit k sao cho nhng
tp qun tt th lun c cng nhn (phi c mt s nguyn tc mang
tnh nh hng xem tp qun nh th no l tt), cn tp qun xu s b
loi b, v khng hp o c hay khng ph hp vi tnh hnh mi. Nh
vy, pht trin tp qun tt p l mt qu trnh khng ngng, v bit khai
thc tt vai tr ca tp qun s c tc dng thc y x hi pht trin.
CU HI
1.

Lut php c phi l th l cuc chi trong cc cuc u tr

khng, xt v kha cnh kinh t?

2.

Cc qui nh v php lut c lin h nh th no vi cc qui nh

v o c?

3.

Ti sao li coi cc nguyn tc kt lp hp ng l c s ca cch

thc son tho vn bn php lut?

4.

Ti sn cng v ti sn tp th c ging nhau khng? Ti

sao?

5.

Lm th no qun l ti sn tp th mt cch c hiu qu?

6.

Khi no th m hnh t qun a phng pht huy hiu qu? Hn

ch ca m hnh ny l g?

71

CHNG 3: KINH T LUT V NHM CHUYN NGNH

LUT DN S
I.

KINH T LUT V LUT V S HU

1.

Cn c pht sinh quyn s hu

Mt trong nhng vn nghin cu u tin v quyn s hu l cn c

pht sinh quyn s hu lm th no php lut c th giao quyn s
hu mt ti sn cho ch th c kh nng s dng n mt cch hiu qu
nht? Theo Coase c hai cch thng thng lm pht sinh quyn s
hu i vi mt ti sn: mt l t chim ot, hai l thng qua hp ng
hay u gi. Lin quan n cch u tin l vic mt ngi c hng
quyn s hu thng qua sn bt, lao ng (theo hc thuyt ca John
Locke). Cch ny c th khin mi ngi cnh tranh vi nhau tn st
cc ngun lc (dng cht n bt c, t rng lm ry), thu hoch ti
sn qu sm, khng c k hoch pht trin ti sn trong tng lai. Hu
qu l vic s dng ti sn l s dn n khng hiu qu. Cch gii quyt
th hai cng cha chc hiu qu. Cn mt cch gii quyt th ba l thng
qua vic xc lp ti sn chung. Tuy nhin iu ny li dn n nhng vn
ca ti sn cng nh trnh by trn.14
Mt s i tng v hnh kh c cng nhn quyn s hu. Cc i
tng l quyn s hu tr tu, thng tin b mt, cc qui nh v cnh
tranh. i vi nhng i tng nh vy, vn quan trng l nu bo h
qu su s to c quyn v gy thit hi cho nhng i tng khc mun
to ra i tng tng t hay tt hn i tng hin ang c bo v
quyn s hu.
Mt ngun gc s hu khc l s hu theo thi hiu. Nu quyn s hu
c bo v mt cch tuyt i v v thi hn, ch s hu s khng
14

Vy c nhng qui nh no khng hiu qu v phi thay i? Th d vic phn rung vn

cho tng lp qu tc thi phong kin, hay phn chia chin li phm ca qun ng minh sau
Chin tranh Th gii ln th II theo tiu chun, chc tc ch khng theo kh nng s dng ti
sn mt cch c hiu qu, hoc vic quc hu ho ti sn c nhn mt cch trn lan theo thc
h ch khng hn mang li hiu qu kinh t cao hn dn n tnh trng nh n v kinh t.

72

mun trao i quyn s hu m mun chim s hu v i gi cao cho

n khi h c gi mi thi. l nhng trng hp lm dng quyn s
hu c li mt cch khng chnh ng (gi l li th, hay Rent). Th
d cc cn b c phn nh hay ho gi nh gi r bn li nh vi gi
t hn hng chnh lch, m l ra Nh nc thu c s tin
chnh lch y nu c c ch bn u gi mt cch hp l. iu ny
cng ny sinh trng hp nhng ngi khng s dng ti sn mt cch
hiu qu cng c giao ti sn. H khng u t chm sc, lm ti sn
xung cp. H ngh k c nu h b ti sn khng chm sc th ti sn
vn thuc v h. Nh nc khng nh thu ti sn, th ti sn khng
sinh li, ch ca ti sn cng khng quan tm. Cui cng, s dn n tnh
trng ngi mun s dng khng c ti sn s dng, ngi khng c
kh nng s dng li c giao ti sn. Vic cho php c quyn s
hu theo thi hiu cho php s dng ti sn mt cch c hiu qu hn.
Trong khi , theo nh l Coase, th php lut phi to ra c ch sao cho
cc ch th c th thng lng vi nhau, v ngi no c kh nng s
dng ti sn c hiu qu nht th l ngi xng ng c lm ch s
hu (xem Mc V.3, Chng 1).
2.

Quyn chim hu, s dng, nh ot

Mt s nc c truyn thng tch quyn s dng ra khi quyn s hu,

th d nh quyn s dng t ca lut Vit Nam hay quyn s hu t
theo lut Anh Quc. Ti y, ngi s hu nh ch c quyn s dng
ch khng c quyn s hu t. C ch ny c hiu qu hay khng l
cn ty vo chi ph giao dch b ra c nhiu bo v thnh qu u t
trn t khng. i vi Vit Nam, vic c hai loi giy chng nhn s
dng t v giy chng nhn quyn s hu nh lm cho vic bo
v quyn s dng t kh khn, t cc chi ph giao dch tng lm mi
ngi ngi giao dch, th trng nh t tr nn ng bng sau mt thi
gian pht trin qu nng.
i vi vic chim hu, lut php cc nc nhn mnh n nhu cu bo
v ngi chim hu ngay tnh, sao cho ngi ngay tnh c khuyn
khch u t trn mnh t mnh khng phi l ch. i vi ngi khng
ngay tnh, h vn c th u t, song mt phn n lc ca h cn tr
ngi c kh nng u t hn, thm ch du thng tin i vi ch s hu.
73

Php lut khng khuyn khch u t trong mt mi trng thiu thng

tin. V vy thi gian ngi chim hu khng ngay tnh tr thnh ch
s hu s di hn mt s nc. Ti Vit Nam, ngi chim hu khng
ngay tnh khng bao gii c lm ch s hu bt ng sn.
C quyn s dng ca ch s hu cng c th b hn ch. gim chi
ph giao dch, php lut cng qui nh v quyn a dch (quyn v li i
qua bt ng sn lin k), sao cho nhiu ngi c th s dng mt mnh
t mt cch c hiu qu hn. Chng ta thy rng php lut pht trin do
tha thun, cc tha thun lu ngy c xc lp tr thnh tp qun. Tp
qun c php in ho thnh cc iu lut. V l tha thun, nn n
tun th cc qui lut kinh t, c li th tha thun, khng th thi. H tip
tc tha thun cho n khi t c trng thi cn bng Pareto (Mc V.2,
Chng 1). l l do ti sao cc qui nh ca php lut thng thng
cng t tiu chun hiu qu ca kinh t.
3.

Hnh thc s hu

Trong s nhng vn c tranh lun nhiu nht lin quan n quyn s

hu, c vn nn bo h mt i tng di dng mt ti sn cng
(public property) hay ti sn t (private property) (Mc V.6, Chng 1).
Cu hi t ra l: bo v di dng ti sn cng hay ti sn t th c li
hn cho x hi. tr li cu hi ny, chng ta phi xem chng ta mong
mun iu g. Th d, nu mc ch ca chng ta l loi b cc yu t
ngoi bin (externality) ca th trng lm tng hiu qu nn kinh t,
th c nht thit phi s dng qui nh v ti sn cng hay khng.
Mt yu t ngoi bin u tin c th xy ra l tnh trng ca chung
khng ai lo (tragedy of the common), khi mt vic ai cng cm thy li v
nn lm, song khng ai chu lm, v mnh th thit hi m li ch ngi
khc li hng. hon thin nhng vn nh vy c hai cch: hoc
yu cu mi ngi cng chung tay vo xy dng ti sn cng (common
pool), hoc ch nh mt cng ty t nhn xy dng ti sn cng v sau
cho h quyn khai thc ti sn cng trong mt thi gian nht nh.
Trn thc t i khi c th kt hp gia cch qun tr ti sn cng v ti
sn t. Th d trong mt chung c cao cp, mi ngi c mt cn h
74

ring, song mi ngi chung nhau tin thu bo v, chiu sng, cc cng
trnh cng cng. iu ny gip cho cht lng chung c tr nn tt hn
nhiu so vi vic c cho n nh ai ny rng. Bi hc cc chung
c ny cng cho thy ngay c cc cng trnh cng vn nn thu dch v
ngoi. iu ny s dn n cnh tranh gia cc cng ty dch v cng ch
khin cho cht lng v sinh chung c c bo m hn. Xt cho cng,
khng phi quyn s hu quyt nh, m cch thc iu hnh hp vi qui
tc u tr ca ngi chi s quyt nh hiu qu ca vic qun l mt ti
sn. Bi hc v l thuyt u tr c th p dng ti y em li hiu
qu (Mc V.5, Chng 1).
S hu tp th pht sinh khi nhu cu cn chia s nhng ngun lc hu
hn m khng th tch bch c, lm gim chi ph. Vic mi ngi
cng chung sng trong mt khu tp th trung tm thnh ph thay v
sng trong cc bit th ngoi l mt th d. Tuy nhin, s hu tp th
s dn n vn l lm th no phi hp qun l mt cch c hiu
qu, v c cch no gim thiu cc tc ng tiu cc ca cc yu t ngoi
vi (externalities) hay khng. Khc phc c hai nhc im l vn
chnh ca s hu tp th.15
Trc tin, ngi ta t ra mt s nguyn tc qun l s hu tp th, nh
ngha v trung thc, hp tc v quyn li ca nhau (fiduciary duty). Tuy
nhin do nguyn tc ny thiu c th nn nhng trng hp lm dng vn
xy ra. Calabresi v Melamed (1971) cho rng c hai cch x l hoc cng nhn quyn s hu (ch s hu khng th b xm phm quyn
tr trng hp c h ng ) hoc cng nhn quyn c bi thng
thit hi (ch s hu c th b xm phm quyn nu c bi thng tha
ng). De Geest cho rng vic cng nhn quyn c bi thng thit
hi s khin ca ci trong x hi c phn chia u hn. Tt nhin, iu
ny ng nu trn th trng khng c chi ph giao dch.
Cch qun l cc ti sn cng cng khc. Thng thng t c mt
x hi c trt t v mi ngi c li nh Singapore, cng dn phi hy
sinh nhng quyn c nhn nh t do, t quyt. Mc du vy, h c
hng cc quyn an sinh phc li x hi m nu mt x hi v trt t
15

Xem thm Mc IV, Chng 2.

75

h s khng c hng. Nh vy cch qun l ti sn chung nh th

no l c hiu qu nht? C l trong tng lai cc nghin cu v u tr
s phi gii quyt c phn no cu hi ny.
4.

Bo v quyn s hu

Mt trong nhng vn m kinh t lut nghin cu nhiu nht l cch

thc bo v quyn s hu nh th no cho hp l. Chng ta bit bo
v quyn s hu c hai th thc kin: kin i vt (rei vindicatio) v kin
i bi thng thit hi (actio negatoria). Trong trng hp kin i vt,
ngi c hnh vi xm phm quyn s hu c ngha v khi phc li tnh
trng ban u nh trc khi xy ra hnh vi xm phm. Khi i bi thng
thit hi, ngi c hnh vi xm phm phi bi thng mt khon tin
n b cho ch s hu khon thit hi m h phi gnh chu.
Th d, mt ngi gy thit hi cho ti sn ca ngi khc, To n s
quyt nh nh th no: yu cu ngi bi thng thit hi hay khc
phc hu qu nh nguyn trng? Nh nh l Coase pht biu v trnh
by phn trn, khng nht thit phi khc phc hu qu nh nguyn
trng mi l gii php tt nht. Nu chi ph giao dch bng khng, cc
bn s bit cch x tr nh th no cho c li nht cho c i bn (Mc
V.4, Chng 1). Tuy nhin, trng hp chi ph giao dch bng khng l
rt t. V th cc nh kinh t hc thng vin dn n l thuyt ca
Calabresi v Melamed (1973), theo khi thit hi xy ra, to n nn
chn gii php tn t chi ph nht cho bn gy thit hi m vn t hiu
qu tng ng cho bn b thit hi. T c th pht biu mt nh l,
l chi ph giao dch cng thp th cc qui nh v quyn s hu s cng
c tc dng tt. Ngc li, chi ph giao dch cng cao th qui nh v bi
thng thit hi ngoi hp ng cng pht huy c tc dng. l v
vic bi thng thit hi tn t chi ph hn thc hin cc bin php t bo
v quyn s hu.
nh l trn cng nu ln c mt vn , l cho lut s hu pht huy
c hiu qu th phi tin hnh cc bin php lm gim chi ph giao dch
cho quan h v s hu. Khi x hi cng pht trin, cc mi quan h cng
phc tp, vic khc phc hu qu cng kh khn. Th d, i vi vic
mt ngi xy nh lm xi-mng xung ng cng ca nh hng xng,
76

gy tc cng, th vic tt nht l tr tin bi thng cho nh hng xm

hn l t mnh no vt cng, v cng vic ny i vi ng khng phi l
chuyn nghip, ng thi chi ph khc phc hu qu i vi ng cn
cao hn chi ph bi thng thit hi. Tm li, nhiu nh kinh t hc cho
rng cc qui nh v khc phc hu qu trong thi i ngy nay ch cn
thch hp i vi nhng vi phm nh v quyn s hu.
II.

KINH T LUT V QUYN S HU TR TU

Menel (1999) cho rng bn cht ca vic bo v quyn s hu tr tu chu

nh hng nhiu ca ch ngha li ch (utilitarianism). Theo , vic bo
v quyn s hu tr tu l cn thit v n em li li ch cho x hi nhiu
hn li ch cho c nhn. Vai tr ca chnh ph l xem xt xem nn c
chnh sch no bo v quyn s hu tr tu mt cch sao cho c li
nht cho nn kinh t t nc. Xt v kinh t, hc thuyt ca Coase
(1961) v Becker (1967) cho chng ta thy iu ny (Mc V.3,
Chng 1).
1.

Quyn tc gi

Trong lnh vc quyn tc gi, Liebowitz (1985), Ordover and Willig

(1990) cho rng khng cn phi da vo ch ngha li ch mi bin h
c cho quyn tc gi, do n mang tnh cht nhn thn. Tuy nhin,
chng ta cng thy rng ngay c vic xc nh phm vi bo h quyn tc
gi hay s dng hn ch cng th hin r bn cht ca ch ngha li ch.
l khi s khuyn khch lao ng sng to em li li ch nh hn cho
x hi so vi vic cho php s dng hn ch tip tc pht trin (th d
ph nhng tc ng tiu cc ca hiu ng mng), th iu ny s gii
quyt c nhng kh khn trong vic bin minh cho quyn tc gi.
Gordon (1999) li c quan im khc v quyn tc gi. Theo Gordon, tt
c cc i tng c bo h di dng quyn s hu tr tu u c c
tnh l ti sn cng. V th u c hai nhc im l kh bo v v kh
khuyn khch sng to. V vy, mc tiu ca bo v quyn s hu tr tu
l khuyn khch sng to. Tuy nhin khi bo h nh vy s to ra c
quyn (deadweight loss) v lm tng chi ph giao dch ca ngi khng
nm c quyn (transaction costs). Mc ch ca nhng qui nh v s
77

dng hn ch (fair use) l hn ch cc vn pht sinh t hai tn ti

ni trn.16 Th d, market failure (s tht bi ca th trng) lin quan
n quyn ca ngi nm thng tin v hiu qu ca ngi s dng thng
tin khin cho c qui nh v fair use. Gordon cnh bo rng vi s gia
tng vai tr quan trng ca phn mm, vic cho rng bo h quyn tc gi
khng tn nhiu chi ph c th khng cn ng na, khi c quyn do s
hu tr tu gy ra c th hn ch cc doanh nghip s dng ti sn mt
cch hiu qu hn.
2.

Sng ch

i vi sng ch, cn bng li ch gia cc ch th, mt s ngi cho

rng phi tnh li thi hn bo h sng ch (Scotchmer 1994). Tuy nhin
quan im nh vy gp phi kh khn v kh xc nh sng ch no c
gi tr, sng ch no khng, v nn bo h nh th no th hiu qu.
Mt s ngi khc cho rng bo h quyn s hu tr tu l cn tr nghin
cu pht trin. Vic bo h b mt kinh doanh v sng ch khin cho kh
nng nghin cu sng to b hn ch. Ngoi ra, vic bo h nhng sng
ch c bn cng khin cho vic nghin cu nhng sng ch th cp tip
theo s ri vo kh khn. Cng ngy cng c nhiu ngi cho rng vic
bo h nh vy l cn phi c iu chnh li sao cho mc bo h
khng vt qu gii hn cn thit.
Mc du vy, cn nhn nhn rng vai tr ca lut y l phi bo v
c cc thng tin c bc l i vi sng ch. Nu khng, gi tr ca
thng tin s gim. Ngi mua thng tin s phi tr i mt khon d
phng ri ro cho vic thng tin b tit l b mt. iu ny khin cho
ngi bn thng tin cm thy khng c li cho vic bn thng tin. Chnh
y l vn m Coase cp n: chi ph giao dch qu cao khin
cho vic s dng ti sn tr nn km hiu qu. Vy gii php ca vn
l lm sao gim chi ph giao dch v thc y kh nng trao i thng
tin gia ngi mun c thng tin v ngi mun chia s thng tin. Vic
cp bng sng ch (patent) khng ngoi mc ch ny.

16

Xem Mc V.4, Chng 1.

78

3.

Nhn hiu

i vi nhn hiu, lut php cho thy cn bo h nhn hiu cc doanh

nghip yn tm pht trin thng hiu (brand), nng cao cht lng cho
ngi tiu dng, bo v quyn li v an ton cho h. y l li ch x hi
ca vic bo h nhn hiu. im th v l iu ny khng nh hng g
n nhng thit hi m x hi phi gnh chu do bo h nhn hiu (hu
nh khng c).
4.

B mt kinh doanh

i vi c ch bo h b mt kinh doanh, cho n hin nay ngi ta vn

cho rng iu ny cng mang li li ch cho ngi tiu dng, v n khng
khuyn khch mi ngi np n sng ch, chng li c quyn mt cch
khng hp php. Ngoi ra, n cng lm cho ngi ta yn tm nghin cu
nng cao cht lng sn phm da trn b mt kinh doanh.
Mt trong nhng vn m kinh t lut c th gip gii thch trong lnh
vc s hu l lm sao nh gi c nhng ti sn thuc v s hu tr tu
nh quyn tc gi hay b mt kinh doanh. Th d i vi quyn tc gi,
lut qui nh khng bo h cc d liu hay nhng s kin thc t m
khng c cch ny din gii khc c (th d s in thoi trong v
Fiest v. Rural Telephone Services). Nh vy cc s liu ny d c mt
cng thu thp bao nhiu i chng na th cng khng th nh gi bng
tin (v n khng phi l i tng ca trao i). Xt v kha cnh kinh
t, vic cng nhn quyn s hu i vi ni dung tng s to ra li th
qu ln cho ngi sng to trc (externality hay rent), v nh hng n
c hi sng to ca nhng ngi n sau.
Tuy vy, cng vn nhng i tng li c th c bo h di dng
b mt kinh doanh. y cc thng tin nh danh sch khch hng hay s
in thoi ca h li c gi tr nht nh. Gi tr ca n ty thuc vo vic
nu cc i tng thng tin ny c tit l th n em li cho ngi nhn
thng tin bao nhiu tin. Lc ny mi thng tin u c th nh gi c.
79

 y chng ta thy mt vn th v: l vic cng mt thng tin song

lut ny th php lut khng bo v, song lut kia th php lut bo v.
Vic bo v hay khng s nh hng n gi tr ca thng tin, cng nh
cc chi ph giao dch c lin quan. Thng qua vic bo v b mt kinh
doanh, php lut mun bn c thng tin chia s thng tin cho bn mun
c thng tin vi ng gi tr m bn mun c thng tin nh gi. ng
thi, thng qua vic khng bo v quyn tc gi cho cc thng tin thun
ty mang tnh cht s kin, php lut gii ta kh nng c quyn thng
tin, vn lm tng chi ph giao dch cho bn mun c thng tin. C hai qui
nh trn u nhm mt mc ch m Coase ra, tc l trn mt th
trng khng c chi ph giao dch, th ngi no c kh nng s dng tt
nht mt ti sn s mua c ti sn m mnh cn.
5.

Nhng i tng khc v s hu tr tu

i vi nhng i tng khc, quyn s hu tr tu c th c bo h

khng phi do thuyt li ch, m cn c cc nguyn nhn khc nh bo v
dn ch, bo v quyn t do (theo Kant), bo v quyn nhn thn, v.v.
Tuy nhin, thuyt li ch vn c v chim u th hn c. Ni vy, chng
ta vn cha nm c phng php lun to ra cc quyn s hu
tng tc ln nhau c mt h thng bo h cng bng v hiu qu nht
cho x hi.
Mt vn na chng ti mun cp, l c thng tin b mt v tin
tc thun ty u l cc ti sn cng - tc l khng th tch nhng ngi
mun s dng v vic thm ngi cng khng lm gim gi tr s dng
tuyt i ca ti sn .17 Tuy nhin nu c s can thip ca php lut, th
cc ti sn cng ni trn c t hu ho, v th nh l Coase s tr
nn p dng c.
III.

KINH T LUT V LUT HP NG

chng II, chng ta thy mt nhn xt th v l bn cht ca cc

ngnh lut l lut hp ng. Craswell (1999) cng cho rng cc qui nh
v hp ng l ni kinh t lut chng t c nng lc nghin cu ca
17

Mc V.6, Chng 1.

80

mnh nhiu hn c. Khi mi ch th trong x hi quan h vi nhau, vic

tt nht h c th lm c lm tng li ch ca nhau l hp tc vi
nhau - hay k hp ng. Tuy nhin, theo nh l Coase, vic giao kt
hp ng em li hiu qu, th cc bn phi c thng tin y . Ngoi
ra, chi ph giao dch phi thp. Vic php lut bo v quyn li ca cc
bn trong hp ng cng lm tng nim tin ca cc bn v hnh vi ca
bn kia, khin cho chi ph giao dch gim (Mc V.4, Chng 1).
1.

Son tho hp ng

Khi cc bn son tho hp ng, vic u tin cn quan tm l cc bn s

la chn nhng gii php no. Kinh t lut quan tm n vic thit k tr
chi sao cho cc bn s i n nhng la chn c hiu qu, vt qua
nhng kh khn nh la chn sai lm (adverse selection) hay hi chng
tic ca (endowment effects).18 i khi, trnh nhng ri ro trong hp
ng, ngi ta thng quyt nh sp nhp cc i tc (integrated) th
d bng nhng hp ng thnh lp cng ty lin doanh. Kho st cho thy
khi ri ro trong kinh doanh ln dn hoc vic kinh doanh cn c nhng s
hp tc cht ch, cc bn la chn vic sp nhp hn l hp ng
(Crocker v Masten 1999).
Hviid (1999) cho rng c hai cch son hp ng cc hp ng di hn
v cc hp ng ngn hn (long term contracts v relational contracts).
Trong cc hp ng di hn, c im ca chng l kh nng cc bn c
th tha thun li vi nhau khi tnh hnh thay i. i vi cc hp ng
ngn hn, iu ny kh hn. L do ca vic tha thun li l v c nhng
tha thun ban u hiu qu, song sau khng hiu qu na, v vy cc
bn cn c nhng iu khon tha thun li.
i vi nhng hp ng ngn hn, vic cc bn hp tc nh th no cn
ty thuc vo nhng thng tin m cc bn bit v nhau v vic cc bn
cn c c hi hp tc vi nhau na hay khng. Theo nguyn tc c (folk
theorem) th nu cc bn ch gp nhau mt ln, cc bn s ngh n
chuyn khng hp tc hay li dng i tc. Tuy nhin nu cc bn lin h
vi nhau nhiu ln, h s c xu hng hp tc v trung thc vi nhau, bi
18

Mc V.7, Chng 1.

81

l nu h khng trung thc th i tc s tm cch tr a (tit for tat).

Axelrod (1980) ra nguyn tc sng l: (i) khng bao gi l ngi
chi xu trc, (ii) tuy nhin nu i th chi xu th mnh cng sn sng
chi xu mc cao hn.
2.

Gii thch hp ng v cc iu khon ngm hiu

Cohen (1999) phn tch hai trng phi son tho v gii thch hp ng trng phi gii thch hp ng theo ngn t (textual interpretation) v
gii thch hp ng theo hon cnh (contextual interpretation). Theo
ng, khng th kt lun c ngay trng phi gii thch no l ng
nht, m thng thng phi ty tng trng hp. iu ny ph thuc vo
chi ph giao dch son tho hp ng, kh nng mt bn li dng t
ng gy nhm ln bn kia, cng nh kh nng To n c th sai khi
gii thch hp ng.
Trc tin, l do cc iu khon khng r rng, yu cu phi gii thch,
i khi khng phi do trnh son tho km m do hp ng khng d
tr ht nhng trng hp c th xy ra trong tng lai. Khi , vic gii
thch hp ng nhm hng n vai tr hng dn cc bn cch c x
khi hp ng cha hon chnh. Hp ng khng hon chnh cha chc l
hp ng khng hiu qu. i khi li l ngc li. Vic d tr tt c cc
bin c c th xy ra trong tng lai c th lm cho chi ph son tho hp
ng ln rt cao, khng c cch no tt hn l da vo nhng t chung
chung nh nguyn tc thin ch, trung thc gii thch hp ng.
Khi nhng trng hp cha c qui nh c th trong hp ng xy ra,
To n phi xem xt xem mnh nn gii thch hp ng nh th no: tm
nh ch thc ca cc bn - da theo hon cnh lc giao kt hp ng hay da vo nhng vn khch quan th d da vo ngn t ca hp
ng. Nu l vic da vo ngn t ca hp ng th iu ny s ngn
chn c vic cc bn li dng nhng l hng trong hp ng m gii
thch theo bt c hng no mnh mun, thm ch ngc hn li vi qui
nh trong hp ng. Ngc li, nu ch da vo ngn t th c th bn
son tho hp ng s a cho To n nhng ngn t bt hp l trong
hp ng m bn kia lc son tho v xem xt hp ng khng .
Nh vy cn c s hi ho gia cc phng php. Kinh t lut xem xt
82

c hai phng php, cn nhc li ch, chi ph ca mi phng php trc

khi ra phng php hiu qu nht.
Mt vn cn quan tm l kh nng gii thch sai ca To n. Theo
cch gii thch nh vy, chng ta gi thit To n c th chn mt trong
hai cch gii thch theo ngn t hay theo hon cnh. Nu To chn cch
gii thch theo ngn t, xc sut ca vic To c th gii thch c
nh ch thc ca cc bn l 0,4. Nu To chn cch gii thch theo
hon cnh, th xc sut ca vic To c th gii thch c nh ch
thc ca cc bn l 0,6. Gi thit rng cc bn nh gi vic To chn
phng php gii thch theo ngn t v chn x l 100, v vic To chn
phng php gii thch theo hon cnh v chn x l 80. Cc bn cng
nh gi vic To chn phng php gii thch theo ngn t v chn y l
50, v vic To chn phng php gii thch theo hon cnh v chn y l
10. Nh vy, cc bn s mun To gii thch theo ngn t hn theo hon
cnh, nhng cng mun gi tr v hiu qu ca cch la chn ca To tt
hn. Gi tr ca vic chn cch gii thch ngn t s l (0,4 x 100) + (0,6
x 50) = 70. Trong khi gi tr ca vic chn cch gii thch theo hon
cnh s l (0,6 x 80) + (0,4 x 10) = 88 > 70. T , vic chn cch gii
thch theo hon cnh s hiu qu hn nu kh nng gii thch sai ca To
n theo cch ny thp hn.
3.

Phn chia ri ro trong hp ng

Mt trong nhng chc nng ca hp ng l phn chia ri ro ai nu

chu ri ro g khi son tho hp ng. Ri ro khi xy ra s lm mt bn b
thit hi. Vn l ch thit hi s do bn kia bi thng hay khng.
Lc ny, tiu ch m To n xt x s l vic thit hi gy ra c c d
tr trc khi son tho hp ng hay khng. Trong v Hadley v.
Baxendale, b n b buc phi bi thng thit hi do nguyn n (nh
my xay la) b gim st thu nhp do b n mang trc my xay la n
chm. To n cho rng trong trng hp ny b n buc phi bit rng
nguyn n s phi b thit hi do sn xut kinh doanh nu mnh mang
trc my xay la n chm. B n cho rng mnh khng th no bit
c l mc thit hi trn thc t ca nguyn n c th ln n mc
no, v vy qui nh buc h bi thng l bt hp l.
83

Theo quan im ca kinh t lut, vic phn nh hp ng phi da theo

mc chc chn ca cc bn c bit khi giao kt hp ng. Cc bn
nm vng c ri ro m mnh gnh chu cng nh bit c ci gi phi
tr khi khng thc hin hay thc hin chm tr. Do nm c gi, h s
c cch x l khi xy ra thit hi hay c cch ngn chn thit hi ng
xy ra. Nu ri ro thp, h s khng b cng sc tin hnh nhng bin
php phng nga nu nhng bin php qu tn km. Ngc li, nu
ri ro phi gnh chu l cao, h phi tin hnh nhng bin php phng
nga, k c vic phi mua bo him hay tng gi hp ng. Nu trong v
Hadley v. Baxendale bn b n khng bit v gi tr hp ng ca
nguyn n ang tin hnh, th h khng th chu trch nhim v thit hi
gin tip. Hn na, iu ny cng cn ph thuc vo vic gi ca hp
ng l bao nhiu. Nu gi tr hp ng l thp th r rng b n khng
th phng nga c nhng ri ro gy ra cho nguyn n. Vic buc b
n bi thng s khin gi thnh hp ng trong trng hp sau s tng
ln n b, v nh vy ngi gnh chu hu qu s l khch hng.
Trong khi nu chng ta buc nguyn n phi t chu hu qu, th
nguyn n s c cch x tr khc, th d nh mua mt trc bnh xe d
phng hay khi hng hc th mua ngay trc bnh xe ca ngi khc m
khng cn phi n n khi b n mang trc bnh xe n. y l iu
khin cho cc ch th hot ng vi chi ph thp hn v nn kinh t s
hot ng c hiu qu hn.
4.

Ch ti khi vi phm hp ng

Mahoney (1999) tng kt rng v kha cnh kinh t c hai loi hp ng

hp ng hiu qu v hp ng khng hiu qu. i vi hp ng hiu
qu, l khi tng gi tr s dng ca c hai bn s tng n mc ti a.
i vi hp ng khng hiu qu, l khi nu vi phm hp ng th gi
tr s dng ca c hai bn s tng hn. Th d mt ngi phi bn mt
cn nh cho ngi kia vi gi 100 cy vng, nhn t cc l 10 cy
vng. Nu vi phm hp ng, h phi tr cho ngi mua 20 cy vng
(thit 10 cy), song li bn c cn nh vi gi 200 cy vng cho ngi
khc. Nh vy phng n thc hin hp ng trong trng hp ny l
khng hiu qu, v vic vi phm hp ng l hiu qu. Trong khi nim
ca kinh t lut, khng c chuyn ng hay sai khi vi phm hp ng, m
ch c chuyn hiu qu hay khng hiu qu.
84

 c ch bi thng thit hi c hiu qu, cng nh to iu kin cho

cc bn thit k giao dch sao cho c li nht cho c hai, cc nh kinh t
lut cho rng nn qui nh trc trong hp ng ci gi phi tr khi vi
phm hp ng (liquidated damages). Khi bn vi phm s c th cn
nhc mnh c nn vi phm khng.
Ti sao cc bin php ch ti khc nh buc thc hin hp ng, hoc bi
thng theo thit hi thc t li khng hiu qu? Theo Allessi (1992), cc
phng thc bi thng nh vy c th dn n vic ngi c nhn bi
thng c nhiu hn l thc t h ng c hng. Tng t, n
khng cho cc bn c quyn tha thun li hay tnh ton li sao cho c
li cho c i bn. Nh vy, chng ta tr li quan im ban u dng
cch thc bi thng c li hn hay dng cch bo v quyn s hu
(buc thc hin hp ng) c li hn. Theo quan im ca cc nh kinh
t lut, bi thng mang li chi ph giao dch thp hn so vi bo v
quyn s hu v n cung cp cho cc bn t quyn la chn hn. Khi
cc bn c nhiu quyn la chn hn, h s c kh nng t suy ngh
tm gii php c li nht cho c hai bn. Xt v quan im ca nh lm
lut, vn nn cho cc bn quyn la chn - bo v theo qui nh v bi
thng hay bo v theo qui nh v quyn s hu.
5.

Kinh t lut v iu khon bo hnh trong hp ng mua bn

iu khon bo hnh trong hp ng mua bn l mt tha thun, trong

ngi bn cam kt s thc hin mt s ngha v trong trng hp cht
lng vt mua khng m bo nh cam kt. Bo hnh nh mt loi
bo him, gip ngi mua v ngi bn gii quyt nhng vn sau.
Th nht, ngi mua s ri ro s yn tm hn khi mua hng v c th
phn bit gia hng tt (c bo hnh) v hng xu (khng c bo hnh).
Th hai, bo hnh l mt ngun thng tin v gi tr thng hiu, l bin
php khuyn khch bn bn u t vo cht long sn phm.
Trn thc t, vic cc iu khon bo hnh c s dng ngy cng nhiu
chng t y l mt bin php hiu qu tng lng khch hng, gii
quyt vn thng tin khng kim chng c. Bi l tt c ngi bn
hng u khen rng hng ca mnh l tt, cch tt nht kim chng
85

nhng li khen ngi trn l bo hnh. Thng thng, nhng mt hng s

dng lu di (nh xe hi, bnh nc nng) c cung cp bo hnh nhiu
hn nhng mt hng nhanh chng s dng (nh sa bt hay bt git).
Chng ta cng quan st thy rng cng s dng cng lu mt sn phm th
gi tr ca bo hnh cng ln. iu ny cng p ng nhu cu c
thng tin ca khch hng i vi nhng sn phm c gi tr cao.
6.

Kinh t lut v bn th ba trong hp ng

Bn th ba c hai vai tr trong hp ng - hoc l bn c li ch

(beneficiary) hay bn chu thc hin ngha v (delegation). V bn cht,
bn th ba c li ch cng tng t nh chuyn quyn trong hp ng,
bi v bn c quyn c thay i. Tng t, bn th ba c ngha v
cng ging nh chuyn quyn. Mc d vy, im khc nhau l cc bn
trong hp ng vn rng buc nhau. Theo nguyn tc t do, t nguyn
cam kt tho thun, th phi cho php cc bn qui nh quyn v ngha v
ca bn th ba. Tuy nhin iu ny c th hiu qu hn vic chuyn
quyn xt v ngha v ca bn c ngha v.
7.

Kinh t lut v hp ng thu khon trong nng nghip

Thu khon l mt hp ng trong bn thu khon chia s ri ro cho

bn nhn thu khon trong vic canh tc nng nghip. Th d, khi canh
tc, bn thu thay v tr tin thu c th tho thun vi bn cho thu v
mc tin thu tng ng vi li nhun thu c khi thu hoch. Vi qui
nh ny, bn thu c th hn ch c ri ro do thin tai ma mng gy
ra, v bn cho thu c th hng li do ma mng bi thu ca bn thu.
Vn th nht y l lm th no kim sot hnh vi ca bn thu,
khi h c th than phin rng ma mng tht bt trnh tr tin thu
khon trong khi thu nhp ca h tr mt khon tin thu cao hn.
Vn ny c th gii quyt bng cc qui nh v thng tin gia hai bn
v cc qui nh v bo co, kim ton. Vn th hai kh gii quyt hn.
l ch nn cho ai thu m bo rng khi thu h s mang li ch
tt nht cho bn cho thu. Thng thng, ai cng ni mnh s canh tc c
hiu qu nht - to nn mt s n o (noise) khin ngi thu khng th
phn bit ni ai ni tht, ai ch ha ho. iu ny c th gii quyt bng
86

vic t chc u thu xem ai c th tr gi cao nht. Tuy nhin cch ny

c th to ra ngi thng thu o, sau h khng th tr c gi cao v
ri li tha thun li gim gi. Lc bn cho thu c th khng cn
cch no khc l phi ng (v cui v thu hoch). Ngoi ra mt
ngi ha cho bn cho thu 20% li nhun cha chc thc s cho bn
cho thu nhiu hn mt ngi ch ha 15% li nhun, nu con s li
nhun tuyt i ca ngi sau cao hn. Mt cch khc l t cc tiu
chun ti thiu v tin thu kh cao, sao cho cc bn thu c hiu qu
nht s tr tin nhiu nht. Trn y l nhng gi ban u mn kinh
t lut c tip tc nghin cu.
IV.

KINH T LUT V BI THNG THIT HI THEO HP

NG

1.

Nguyn tc bi thng thit hi

Nguyn tc v bi thng thit hi trong cc nc theo lut Anh - M

tun theo cc phn x trong v kin Hadley v. Baxendale. Theo v kin
ny, thit hi ch c bi thng nu l nhng hu qu m bn gy
thit hi bit hay buc phi bit vo thi im giao kt hp ng v hu
qu ca vic vi phm hp ng (foreseeability), v ngi chu thit hi
phi tm mi cch gim thiu thit hi (mitigation).
Eric Posner (1999) cho rng cc qui nh v bi thng thit hi trong
hp ng theo nguyn tc Hadley (Mc III.3, Chng 3) - v vic phi
chng minh thit hi chc chn pht sinh v phi c lng trc
khin cho vic bi thng thit hi din ra khng y . Bn b thit hi
khng c bi thng ng thit hi h phi chu, v bn gy thit hi
cng c th chi b trch nhim bng cch cho rng mnh khng bit v
ri ro ca bn b thit hi. Tng t, qui nh bn b thit hi phi tm
cch khc phc thit hi trc khi yu cu bi thng thit hi s khin
cho bn gy thit hi li khng s dng mi bin php trnh thit hi
nng thm cho bn b thit hi. Tng t, vic thiu qui nh c th v
thit hi tinh thn cng khin cho cc qui nh v bi thng thit hi tr
nn khng hiu qu.

87

iu km hu qu th nht ca nguyn tc Hadley l ch chng qu tp

trung vo vn thng tin bt i xng (asymmetric information) ngha
l vic bi thng c hay khng ph thuc vo vic bn gy thit hi
c nhiu thng tin v ri ro nh bn b thit hi hay khng. Th d mt
bn khng quan tm n nhng ri ro m bn kia gp phi c th vi phm
hp ng v gi thit rng thit hi ca bn kia khng ng k, cho d
trn thc t thit hi ca bn kia c th ln n u. C th hn, mt
cng ty vn chuyn c th v lm h hng hng ho ca hnh khch v
ch bi thng mt khon tin nht nh, cho d i vi hnh khch hng
ho c gi tr bao nhiu i na. Gi s cng ty bit c gi tr ca hng
ho l cao, h s cn thn hn. Nu h bit gi tr hng ho l thp, h s
km cn thn hn. Nu h khng bit c chnh xc gi tr hng ho, h
s ch bo v hng ho mc trung bnh. Kt qu l ri ro i vi hng
ho gi tr cao s l ln hn.
Ngc li, nu nhng ngi nh gi hng ho gi tr cao np tin bo
him hng ho c chm sc cn thn hn, th ngay c iu cng
khng bo m rng nhng hng ho s c chm sc cn thn hn
(v mi hng ho u c ch trn mt chuyn tu). Hu qu l, ngi
c hng ho gi tr cao cng s khng vic g phi mua bo him, v
nhng ngi cn li, d c mua bo him, cng qu t ch tu tin
hnh nhng bin php cn thn hn i vi chuyn hng. Vic trao i
gia cc bn nh vy l khng hiu qu. Cui cng, ch tu s bo v
hng ho mc trung bnh.
Nh vy, mt c ch bi thng thit hi c hiu qu phi c thit k
sao cho khng nhng bn b thit hi m bn gy thit hi cng phi cn
thn. C nh vy th thit hi mi c gim, v khi thit hi xy ra bn
b thit hi mi c bi thng mc hp l. cc nc theo h
thng lut lc a, ngi ta cho rng c ch ti u bi thng l cn c
vo mi quan h nhn qu. Nu bn b thit hi khng chu hn ch thit
hi, To n c th cho rng thit hi l do bn b thit hi t gy ra. Nu
bn gy thit hi phi bit v thit hi m vn vi phm hp ng, gy ra
thit hi, To n c th cho rng thit hi do bn vi phm hp ng gy
ra. u im ca phng php xc nh thit hi da trn quan h nhn
qu ch c hai bn phi cn thn. Bn vi phm hp ng nu khng
88

cn thn s b quy l c li xy ra thit hi. Lp lun tng t cng

xy ra i vi bn b thit hi.
Ngoi ra, vic hn ch bi thng thit hi tinh thn v nguyn tc xc
nh thit hi phi chnh xc cng khin cho bn b thit hi khng th
c bi thng ng nh nhng thit hi m h phi gnh chu. Cooter
(1985) cho rng n lc kinh t lut phi tip tc nghin cu xut
ra mt hc thuyt v bi thng thit hi hon chnh hn nhng hc
thuyt hin nay, vn khin cho vic bi thng thit hi khng y ,
gy ra s km hiu qu ca nn kinh t.
2.

Pht vi phm v bi thng thit hi n nh

Khi nim bi thng thit hi n nh (liquidated damages) v pht vi

phm (penalty) hin nay vn cn nhiu tranh ci. De Geest (1999) cho
rng trong khi bi thng thit hi n nh l mt phng n c hiu qu
cc bn tha thun vi nhau phng php gii quyt tt nht. Cc u
im ca bi thng thit hi n nh l (1) gip cc bn phi xc nh
thit hi khi thit hi xy ra, gim chi ph giao dch, (2) gip cc bn tin
tng vo vic thc hin hp ng v cn trng trong khi thc hin hp
ng. Tuy nhin bi thng thit hi n nh cng c mt s nhc
im, l (1) lm tng chi ph giao dch lc giao kt hp ng (n nh
mc bi thng sao cho hp l), (2) xc nh mc bi thng qu thp s
dn n vic ngi thc hin hp ng s tm cch ph v hp ng, xc
nh mc bi thng qu cao s dn n vic ngi vi phm hp ng ri
vo tnh trng mt kh nng chi tr v thc hin hp ng s km hiu
qu. Mc d vy, quan im chung vn cho rng bi thng thit hi n
nh gia cc bn c quan h mt thit vi nhau vn l phng php hiu
qu.
Trong khi , vn pht vi phm cho n nay vn cn c nhiu tranh
ci. Pht vi phm l qui nh trong hp ng, theo ngi vi phm s
phi chu mt khon pht, bt k mc thit hi l bao nhiu. Pht vi
phm khc qui nh bi thng thit hi n nh ch trong trng hp
sau ch qui nh c bi thng nu chng minh c l c thit hi. Pht
vi phm c nhiu nhc im (1) cc bn khng th ra khi hp ng mt
cch c hiu qu, phi thc hin hp ng cho d cha chc vic thc
89

hin hp ng l c hiu qu nht, (2) mt bn c th li dng nhng

im khng r rng trong hp ng qui kt bn kia vi phm hp ng.
V.

KINH T LUT V LUT BI THNG THIT HI

NGOI HP NG

1.

Nn tng kinh t ca lut bi thng thit hi ngoi hp ng

Nn tng kinh t ca lut bi thng thit hi ngoi hp ng c

Coase (1960) v Calabresi v Melamed (1973) qua hai bi bo khoa hc
ni ting. Coase cho rng trong mt x hi khng c chi ph giao dch,
cc qui nh v bi thng thit hi s gii quyt tranh chp thng qua
tha thun ch khng phi l t qui nh v quyn s hu. Calabresi v
Melamed cng cho rng trong c hai cch gii quyt mu thun: cng
nhn quyn s hu v yu cu bn gy thit hi phi phc hi nguyn
trng nh trc khi thit hi xy ra. Hai gii php ny khng tng
ng nhau. Phng php bi thng khng n b c nhng thit hi
tinh thn. Ngoi ra, cch tnh thit hi bi thng i khi mang tnh
ch quan. Tuy nhin, n vn c th c s dng khi cc qui nh bo v
quyn s hu tr nn khng hiu qu.
Ngoi ra trong lnh vc bi thng thit hi mt s vn cn xem xt
nh sau:
Bi thng thit hi theo li hay khng theo li;
Phn nh mc li;
Mi quan h nhn qu;
Cch thc bi thng thit hi khi c nhiu gy ra hay nhiu nn
nhn;
Cch thc bi thng trong trng hp ngun nguy him cao ,
thin tai hay thm ho gy ra; v
Tnh hiu qu kinh t ca cc qui nh v bi thng thit hi.

Vn u tin cn nghin cu l phm vi p dng ca lut bi thng

thit hi. Th d, trong ngnh y t, cc ngnh cng nghip lin quan n
mi trng c qui nh v mc bi thng thit hi. Bn cnh , cn
90

phi lu n mt qui nh khc l qui nh v an ton. Nu qui

nh v an ton tt, th kh nng xy ra thit hi cng t hn. Hu qu l
nn kinh t c hiu qu hn l so vi vic i thit hi xy ra mi bi
thng.
Calabresi v Melamed (1973) cho rng c hai cch thc chnh bo
v quyn - bng ch nh s hu v ch nh bi thng thit hi. i
vi ch nh s hu, php lut trao quyn s hu cho ngi no c kh
nng s dng mt ti sn mt cch hu hiu nht. Khi quyn s hu b
xm phm, php lut cho php ngi yu cu To n buc ngi xm
phm phi khi phc nguyn trng ti sn b xm phm, cho d chi ph
khc phc ln ti chng no. i vi ch nh bi thng thit hi, php
lut trao cho ngi b thit hi c quyn i ngi gy thit hi phi tr
cho mnh mt khon tin tng ng vi nhng gi tr m mnh b mt.
Khon tin ny i khi nh hn chi ph khc phc thit hi. Tuy vy,
cng kh xc nh c ch no c hiu qu hn. iu ny hon ton ph
thuc vo chi ph giao dch (trong c chi ph thc thi v nm thng tin
v thit hi). Nu chng minh thit hi khng n th c ch bo v theo
quyn s hu c hiu qu hn.
Kaplow v Shavell (1992) tng kt im li v hi ca bo v quyn bng
ch nh s hu v bo v quyn bng ch nh bi thng thit hi nh
sau:
Chi ph nh gi cao
Chi ph giao dch cao
Chi ph giao dch thp

Chi ph nh gi thp

C hai ch nh u Ch nh bi thng
khng hiu qu
thit hi hiu qu hn
C hai ch nh u C hai ch nh u
hiu qu
hiu qu

Khi chi ph nh gi thit hi thp, vic qui nh bi thng thit hi hiu

qu hn l qui nh bo v quyn s hu, bi l c bi thng thit
hi th tc s n gin hn l phc hi nguyn trng khi quyn s hu b
xm phm. Coleman (1992) cho rng khi khng th xc nh x l theo
kiu nh th no l hiu qu nht, th cch x l theo qui nh v bo v
quyn s hu l an ton nht.
91

2.

Bi thng thit hi theo li v khng theo li

Khi no th nn p dng c ch bi thng thit hi theo li (negligence)

v khi no th p dng c ch qui trch nhim khng ph thuc vo yu t
li (strict liability)? Mi nc c mt cch gii quyt khc nhau.
Bi thng thit hi l mt trong nhng c ch kinh t c th nghin cu.
Landes and Posner (1987: 6) cho rng khi c bit trc hu qu (ci gi
phi tr) ca vic vi phm php lut, ngi dn s bit mnh phi lm g
trnh phi tr gi, t nhng hnh vi ca h c iu chnh sao cho
ph hp vi nhng nguyn tc v tnh hiu qu ca nn kinh t. Th d,
khi bit gy nhim mi trng, hay bn sn phm c cht lng khng
m bo sc khe s phi bi thng thit hi nng, cc doanh nghip s
p dng cc bin php cn thit bo v mi trng v ngi tiu dng,
t em li hiu qu cho x hi v nn kinh t. Trong th d di y,
chng ta s nghin cu vic u tr ca hai ngi: ngi i xe v ngi i
b, t chng minh rng c ch tt nht cho bi thng thit hi l c
ch li. Khi phn nh li th mi ngi s phi cn thn hn trong hnh
vi ca mnh, v chi ph ca x hi cho vic bi thng thit hi s l nh
nht. Tuy nhin nguyn tc bi thng thit hi khng theo li cng cn
thit khi khng c thng tin y xem ai l ngi gy ra li, hay khi chi
ph i bi thng cho nn nhn ln qu cao, hay khi mt ngi c
kh nng ngn chn ri ro xy ra thit hi vi chi ph nh nht.19
Hai cong cu cua au tr la phng phap qui nap ngc (backward induction hay "luan co suy kim") va au tr th cap hoan chnh (subgame perfection).
Muc ch cua viec s dung cac cong cu nay la tm thong tin ve chien
lc cua oi tac va co au phap tng ng. Cac nhan to tham gia trong
cuoc au tr m rong bao gom:
1)
Ngi chi.
2)
Thi iem chi (thc hien chien lc) cua tng ngi.
3)
Kha nang chon la cua moi ngi vao tng thi iem.
4)
Thong tin ma ngi chi co c tng thi iem.
5)
Ket qua chi oi vi tng cach chi.

19

Nguyn tc ny c Thm phn Learned Hand nu trong mt v kin nm 1948 (gi l

Hand Rule).

92

e phan tch au tr m rong ngi ta khong dung bang ma dung s o

hnh cay, theo o moi thi iem chi la mot ot (node). T mot ot au
tien (initial node) phat sinh cac kha nang chi khac nhau, goi la canh
(branch). Cuoc au tr ket thuc tai iem ngon (terminal node), luc o moi
ngi chi mi co ket qua sau cung. Ngc lai, neu tai iem nay ngi
chi tiep tuc au tr (vi ngi cu hay vi ngi mi) th iem o c
goi la ot quyet nh (decision node). Th du cuoc au tr gia ngi i xe
va ngi i bo khi khong co phap luat can thiep dien ra nh sau (ngi i
xe chi trc):
Ngi i xe
Bat can

Can than
Ngi i bo

Bat can

(0, -1 trieu)

Can than

Bat can

(0, -1 trieu)

(-100, -1 trieu)

Can than

(-100, -100)

Khac vi au tr thong thng, ngi i bo trong trng hp nay biet c

ngi i xe se lam g va co au phap tng ng. Vao th iem anh ta
phai hanh ong, ngi i bo co trong tay mot so thong tin (goi la
information set). Da tren thong tin nay ma ho chon au phap. Neu ngi
i xe phong nhanh va nhn thay ngi i bo, anh ta se d oan xem phan
ng cua oi phng la g. Neu ngi i bo van bang qua ng, anh ta co
hai s la chon, hoac tiep tuc phong nhanh, hoac phanh lai. Vao thi iem
o, ngi lai xe co nhieu thong tin e chon la chnh xac hn khi cha nhn
thay phan ng cua ngi i bo.

Tuy nhin, nguyn tc cho rng vic bi thng thit hi s thuc v

ngi c kh nng qun l ri ro tt nht khng tnh ti chuyn ri ro xy
ra c th xy ra t hai pha. Nh vy cho d c bi thng thit hi
khng theo li, th khi thit hi xy ra mt phn do li ca nn nhn th
vn phi xt n. Nu khng xt n li ca nn nhn, th chi ph ca x
hi gim thiu thit hi chc chn s ln hn. V li, i khi khng
phi lc no ngi gy ra tai nn cng kh nng bi thng. Nu
h khng bi thng thit hi c, th x hi s phi gnh chu nhng
thit hi .
93

3.

Nhiu ngi cng gy ra thit hi

Trong trng hp nhiu ngi cng gy ra thit hi th qui nh thng

thng l h phi lin i bi thng. Tuy nhin sau , h c quyn
phn chia li mc bi thng gia h vi nhau theo yu t li. Ti sao li
qui nh v vic lin i bi thng? C qui nh nh vy, nhng ngi
c kh nng kim sot ri ro mi phi n lc ht sc, ng thi phi gim
st ngi kia xem h c kh nng gy thit hi (lm mnh phi v ly) hay
khng? Tt c nhng qui nh nh vy s khin cho vic phng trnh ri
ro c hiu qu hn. Ngoi ra, qui nh v lin i bi thng cn c vai
tr quan trng bo v quyn ca ngi b thit hi khi bn gy thit hi
khng c kh nng bi thng. Trong trng hp ny, bn c kh nng
bi thng s phi suy ngh k v cn thn hn, ngay c vic gim st
nhng ngi khc m mnh phi chu trch nhim lin i.
Mt u im na ca qui nh v bi thng lin i l kh nng cc bn
ho gii s cao hn. Khi quyn li ca bn b thit hi c bo m, th
ng thi kh nng thng lng gia bn gy thit hi v bn b thit hi
trn tinh thn bnh ng cng s cao hn. i vi bn b thit hi, mc d
h c quyn i bt c ai, song chi ph kin tng cng nh iu tra xem ai
ng i nht cng khng phi n gin, trong khi chi ph tha
thun, thng lng li thp hn, d dn n chuyn cc bn s tha
thun vi nhau v mc bi thng. ng thi, qui nh nh vy d dn
n cc gii php cng bng hn. Tuy nhin, Kornhauser (1999) cho
rng cha hn l nh vy. Theo ng, xt v phng din cng bng cng
nh kh nng khuyn khch ho gii, cha hn c ch lin i bi thng
s tt hn l c ch mi ngi t chu thit hi theo mc li ca mnh
mt cch ring r. C l, c ch lin i bi thng ch nn p dng khi
khng th phn nh c mc li ca tng ngi hay kh nng bo
v quyn ca bn b thit hi khi mt bn khng c kh nng thanh ton.

94

4.

Mi quan h nhn qu

Theo Ben Shahar (1999), c l trong khoa hc php l, khng c khi

nim no ny sinh nhiu tranh chp hn cc quan im khc nhau v mi
quan h nhn qu. C hai l thuyt v quan h nhn qu: l thuyt quan
h trc tip (cause in fact) v quan h ch o (proximate clause). i
vi phi quan h trc tip, ngi ta cho rng nguyn nhn ca thit hi
chnh ra nhng s kin cui cng gy ra thit hi. Tc l nu khng c
s kin th thit hi khng pht sinh. i vi php quan h ch
o, ngi ta cho rng nguyn nhn ca thit hi chnh l nhng s kin
chnh v gn gi nht vi thit hi. C ngha l, cc s kin khng ch
c kh nng gy ra thit hi m lm tng xc sut gy ra thit hi. Trong
quan h trc tip, vn cn quan tm l nu khng th thit hi
khng xy ra. Trong quan h ch o, vn cn quan tm l v
xy ra, nn kh nng gy ra thit hi tr nn ln hn nhiu.
Tuy nhin i vi cc nh kinh t, th quan h nhn qu khng c ngha
lm, m c ngha nht trong ch nh bi thng thit hi ngoi hp
ng chnh l kh nng phng trnh ri ro ca cc bn. Thm phn Hand
ra nguyn tc: bn no c th trnh thit hi vi chi ph t nht, bn
y c ngha v phi phng trnh thit hi. Nu thit hi xy ra, th bn
chnh l bn c li khi gy ra thit hi. Coase (1960) cho rng tm
quan h nhn qu cng khng c nhiu ngha. Cu ngi gy thit hi
hnh ng, trong khi ang hnh ng, gy thit hi cho ngi b
thit hi cng chng khc g cu ngi b thit hi hnh ng, trong
khi ang hnh ng, gy thit hi cho chnh mnh. Calabresi (1970)
cng cng quan im, cho rng c ch tm nguyn nhn v hu qu ch
lm cho cc qui nh ca php lut thm cng nhc ch khng gip vn
gii quyt r hn. Tuy vy, Calabresi cng phn loi cc quan h nhn
qu nh phn trn ni (cause in fact v causal link). Theo Cooter
(1980), ch nn tnh ton mi quan h nhn qu theo xc sut, c ngha l
nu mt ngi c kh nng kim ch xc sut xy ra thit hi ma khng
chu kim ch, th chnh h gy ra thit hi nu tnh theo mi quan h
nhn qu. Cch gii quyt nh vy mi gii quyt tn gc ca vn lm sao cho thit hi ln sau khng xy ra na.

95

Th cn trng hp cha chc mt bn gy thit hi th sao? Theo Ben

Shahar, cu hi chnh ca quan h nhn qu l trong trng hp no mt
ngi phi chu trch nhim v vic xy ra mt thit hi m cha chc
l do anh ta gy ra? Cu tr li ca Shavel (1990) l ngi ch chu
trch nhim i vi nhng thit hi m xc sut xy ra l ln. i vi
nhng thit hi c xc sut nh, th chi ph b ra trnh nhng thit
hi y s tr nn qu ln, khng sc mt ngi c th tip tc kinh
doanh, hot ng. Chng ta phi hiu rng chng ta sng trong mt mi
trng y ri ro. Khng th trnh ht cc ri ro, song c th gim thiu
ri ro bng cch qui trch nhim cho ngi no khng qun l c ri ro
(c xc sut ln). i vi nhng xc sut nh th khng th qui trch
nhim c, v mi quan h nhn qu rt kh on bit. Th d trong v
Palgraf v. Long Island Railroad Inc. [1928] 162 N.E. 99, mt ngi do
chy ln tu lc tu chuyn bnh, lm ri chic vali ca mnh. Trong
vali c cc bnh thuc pho. Bnh xe ca tu cn vo cc bnh thuc
pho lm chng pht n, gy hong lon cho hnh khch trn sn ga. Mt
thiu ph b mt hnh khch trn sn ga chn ng v gy chn. Thiu
ph i cng ty xe la phi bi thng thit hi, v nu khng c vic
nhn vin trn tu lp chp chic vali khng ng kiu, th lm g c
chuyn chic vali pht n, gy hong lon cho hnh khch chn mnh,
lm mnh gy chn. To n bc quan im ca thiu ph ny, v cho rng
xc sut vic lm ri chic vali lm thiu ph ang ngi trn bng gh
sn ga rt nh, v th khng th qui trch nhim cho cng ty xe la
c. Ngi gy ra thit hi l ra, theo qui lut xc sut, l ngi
mang cht chy n vo nh ga m khng thng bo cho cng ty xe la
bit. H l ngi nm thng tin v l ngi c kh nng ngn cn tai nn
khng xy ra nhiu nht, song h khng lm.
5.

Thit hi xy ra

Arlen (1999) cho rng nguyn tc ca bi thng thit hi l phi lm

gim thiu tng chi ph gia thit hi v chi ph trnh thit hi. Trong
nhng phn trc, chng ta tnh ton chi ph trnh thit hi. Trong
phn ny, chng ta xem xt cch tnh thit hi bi thng nh th no.
Nh bit, vic tnh ton thit hi ph thuc vo vic xc nh mi quan
h nhn qu. Nu cc thit hi pht sinh khng nm trong phm vi m
96

mi quan h nhn qu cho php xc nh thit hi th vic tnh ton

thit hi trong khu vc khng c ngha.
Ngay c khi xc nh c thit hi trong khu vc c mi quan h
nhn qu, th vic xc nh cho ng thit hi cng khng h n gin v
r tin. C rt nhiu chi ph phi tnh n, l vic to n tnh ton sai,
khng tm c chng c, khng chng minh c thit hi, chi ph hu
kin hay khng co cc to cp trn, v.v. Cui cng, do chi ph qu cao,
nguyn n c th t b vic kin v i theo con ng tha thun mc
bi thng va phi.
Mt trong nhng thit hi rt kh xc nh l thit hi i vi tnh mng,
sc khe. Mc d chng ta coi mi c nhn u bnh ng, song thit hi
i vi tnh mng ca nhng ngi khc nhau hon ton khng ging
nhau. y, thit hi ln nht l thit hi v tinh thn i vi nhng
ngi li, hay thit hi v kh nng kim sng ca nhng ngi .
tnh ton thit hi, phng php thng dng l lm th no ra mt
mc bi thng ti u cho nn nhn, khin h c th ngh rng, nu mnh
khng b thit hi th cng cha chc kim c ngn y tin (bi thng
thit hi). l vic so snh li ch ca c hai bn c cch khin cho
c hai cng ng v mc thit hi.
Khi bi thng thit hi, cn quan tm n hai vn ca vic con c
mt l con c to thng thng ngi b thit hi mun i nhiu hn
ci h ng c hng (xem Mc V.7, Chng 1). Ngi gy thit hi
mun tr t hn ci h ng phi chu. trnh tnh trng ny, vic bi
thng thit hi phi i i vi vic phn tch chnh sch sao cho c bn
gy thit hi ln bn b thit hi thy trch nhim ca mnh trong vic
thit hi xy ra. Rt nhiu trng hp thit hi xy ra l do c hai bn.
Khi , cch nhn ca kinh t i vi vic bi thng thit hi chnh l
phi lm sao cho hiu qu c ba lnh vc: bi thng thit hi cho
ngi b thit hi, trnh tn tht tip tc xy ra, v xy dng mt c ch
phng chng thit hi xy ra.
M c mt loi bi thng thit hi c bit, l bi thng thit hi
mang tnh rn e (punitive damages), thit hi khng bao gi xy ra
na, cng nh nhng ngi c trch nhim trong vic phng chng thit
97

hi s phi cn thn hn (xem Mc 8 di y). Nu chng ta cho rng

ch nn bi thng cho ng thit hi xy ra th iu cha chc
ngn c thit hi ti din. l v c ngi chu ri ro nhiu hn ngi
khc. H c ngh: sn xut gian di c 10 ln mi b bt 1 ln. Ln
phi bi thng thit hi th 9 ln kia cng sc kim li. Trong nhng
trng hp nh vy, mc bi thng cn phi c nhn ln nhiu ln
th mi c th loi tr c nhng ngi sn sng chu ri ro t siu
li nhun. Chnh v th m bi thng mang tnh trng pht hay rn e
xut hin nhiu trong cc ngnh nh sn xut xe hi, thuc l hay ho
cht nhng ngnh ri ro cao, nh hng n nhiu ngi v siu li
nhun. Cng v th m mc bi thng thit hi rn e bao gi cng i
lin vi kh nng thu li nhun ca ngi gy ra thit hi, sao cho h cm
thy chn tay m khng gy thit hi trong tng lai.
6.

Yu t li

Thng thng c ch bi thng thit hi l da trn yu t li. Tuy

nhin c nhng trng hp khng c li vn phi bi thng. l do
mc ch kinh t ca bi thng thit hi lm th no khng xy ra
thit hi na, v lm th no ngi c kh nng kim sot ri ro s
khng l l trong vic kim sot ri ro. Th d, trch nhim ca bc s,
bnh vin hay ch ngun nguy him cao . Nu chc nng ca bi
thng ch l n b thit hi th lut v bi thng thit hi s khng
c hiu qu. Chc nng ca bi thng cn l s bo m nhng thit
hi nh vy khng xy ra na. V th mi c qui nh v bi thng thit
hi khng ph thuc vo yu t li.
7.

Bi thng thit hi khng ph thuc yu t li

Trong mt s trng hp, php lut qui nh nhng ngi gy thit hi

khng bi thng thit hi theo yu t li m theo quan h ch s hu
ngi qun l (principal agent relationship). iu pht xut t hai
nguyn nhn. Th nht, kh nng chi tr ca ngi qun l khng ln
bng ch s hu, trong khi ch s hu c li t nhng hnh vi ca
ngi qun l. Nu khng qui nh ch s hu (v d ngi s dng lao
ng) phi chu trch nhim i vi nhng thit hi do ngi qun l gy
ra (v d ngi lao ng) th ch s hu s khng cn thn trong vic
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qun l ngi lao ng. Hu qu l, ngi b thit hi cha chc c

n b y , trong khi ch s hu lun c hng li t nhng hnh
vi ca ngi qun l. Th hai l, s cn thn ca ch s hu s tng,
khin hiu qu ca nn kinh t s tt hn.
T , Ian Mc Ewin (1999) cho rng c hai chc nng ca lut bi
thng thit hi ngoi hp ng - chc nng bi thng v chc nng
ngn chn. Cc qui nh v bi thng thit hi khng ph thuc vo yu
t li ch yu nhn mnh n chc nng th hai thng qua cc ch ti
bi thng ch s hu cc ngun nguy him cao hay cc doanh
nghip c thc hn trong vic bo v li ch hp php ca cc ch th
khc. Mt s hc gi nh Trebilcock (1992) cho rng qui nh nh vy s
bt li cho cc ch s hu khng c kh nng kim sot ri ro. Khi h
s bt buc phi mua bo him v lm tng thm chi ph giao dch, gim
hiu qu ca nn kinh t. Coase (1980) c quan im khc. ng cho
rng thng qua cc qui nh v bo him, ch s hu v cng ty bo him
c th tha thun vi nhau v chi ph giao dch mt cch hu hiu. Ch
s hu no cn thn, t gy tai nn s ch phi tr tin bo him mc
thp. Ngc li, ch s hu hay gy tai nn s phi tr tin bo him
mc cao hn. Xt cho cng, iu ny khuyn khch cc ch s hu cn
thn, v v vy gim chi ph giao dch.
Ngc li, bo him cng ng vai tr quan trng trong vic mang li
hiu qu cho nn kinh t. Mc Ewin v vy cho rng mt c ch em li
hiu qu chnh l mt c ch kt hp gia bi thng thit hi theo li,
bi thng thit hi khng theo li, v cc qui nh v bo him, k c
bo him x hi. iu m chng ta cn nghin cu tip l nn qui nh v
bi thng thit hi khng theo li cng nh bo him nh th no c
li nht cho nn kinh t.
8.

Kinh t lut v bi thng trng pht (punitive damages)

Bi thng thit hi theo hnh thc trng pht l vic To n n nh mc

bi thng rt cao i vi mt thit hi nh, nhm trng pht nhng cng
ty sn xut nhng hng ho gy nguy him cho cng ng phi cn thn
hn. Trong mt v kin Hoa K, mt ph n kin cng ty sn xut
thc n nhanh McDonald v khng lu cho b ta bit rng cc c ph
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ca b mua l rt nng. B kp cc c ph nng ny vo gia hai

chn, va ung va li xe hi, v v vy b bng. Mc d chi ph cha
chy vt bng ch 2000 USD, To n yu cu cng ty McDonald phi
bi thng b 2 triu USD trng pht thi v trch nhim i vi
khch hng. Theo hai gio s ca i hc Harvard Polinsky v Shavel
(1999), bi thng trng pht (punitive damages) ng vai tr quan trng
trong vic xc nh cch thc phng chng ngn nga thit hi xy ra
trong tng lai. Tuy nhin cc hc gi ny cng cho rng cui cng
ngi gnh chu thit hi s l c ng ca cc cng ty gy thit hi, trong
khi h khng phi l ngi ng phi chu trch nhim v thit hi xy ra.
Nh vy, cu hi t ra cho cc nh nghin cu kinh t lut trong tng
lai l c nn p dng phng php bi thng trng pht hay khng?
Kinh nghim cho thy ch c M p dng bin php trng pht ny. Tuy
nhin, cng khng c bng chng no cho thy cc cc nh sn xut sn
phm ti M cn thn hn cc nh sn xut sn phm cng loi ti Chu
u hay Nht i vi sn phm ca mnh. Ngc li, vic p dng bi
thng trng pht li to iu kin cho nhng ngi c tnh chu thit hi
khi kin i bi thng thit hi gp nhiu ln. Chnh v th, gn y
cc hc gi Hoa K ku gi c mt s ci cch lut php vic bi
thng trng pht khng b lm dng, th d nh khng cho php ngi
b thit hi c hng ton b tin bi thng, m ch c mt phn phn cn li s c sung qu Nh nc. Nh nc cn cho php c ch
bo him trch nhim do bi thng trng pht cho cc doanh nghip,
ng thi cho php cc khon chi bi thng thit hi c khu tr vo
thu thu nhp doanh nghip.
VI.

KINH T LUT V CC QUI NH V C LI

KHNG C CN C PHP LUT

Theo Townell (1999), vn c li khng c cn c php lut thuc

phm vi ca ba qui nh - th nht l ngha v cu ti sn hay sinh mng
ngi khc khi ngi ny gp nguy him, th hai l tr li nhng yu t
ngoi lai (externality) m mt bn li dng ca bn kia, th ba l phi
hn ch vic b qua nhng c hi kinh doanh (thc hin khng c y
quyn). L do s dng cc qui nh ny nh sau:
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Th nht, php lut phi cung cp li ch cho ngi bo v ti sn v tnh

mng ca ngi khc - thc hin cng vic khng c y quyn. Nu
khng qui nh nh vy th x hi s b thit hi m khng c ai gip
nhng ti sn b hy hoi.
Th hai, khi mt ngi s dng cc yu t ngoi lai ca ngi khc
thu li cho mnh th ngi phi hon tr, nu khng tnh trng li dng
yu t ngoi lai s ko di, gy bt hiu qu cho nn kinh t
Th ba, khi mt ngi tranh ginh nhng c hi kinh doanh ca ngi
khc, th dn n tnh trng km hiu qu ca nn kinh t - ngi ng
c hng th khng c hng, ngi khng lm g th li c
hng, iu s nh hng n nguyn tc bo v quyn s hu v bo
v nhng ngi em li hiu qu.
VII.

KINH T LUT V LUT LAO NG

1.

Kinh t lut v hp ng lao ng

Mt trong nhng vn quan trng ca lut lao ng l hp ng lao

ng, bao gm thi gi, cng vic lao ng, bo him x hi v bo him
y t. Trn thc t, mt hp ng c coi nh bao gm hai phn - phn
nu r v phn ngm hiu. Trong khi phn nu r c coi nh c hiu
lc thi hnh, phn ngn hiu c coi nh t thi hnh, v rt kh c th
thi hnh c khi cc iu khon qui nh khng r rng. Cc vn lin
quan n hp ng lao ng c phn tch nh sau:
2.

Mc lng ti thiu

Mt trong nhng cu hi u tin v tin lng l mc lng ti thiu.

Cc nh kinh t hc cho rng khi c qui nh v mc lng ti thiu,
lng lao ng tng. Khi khng c mc lng ti thiu, lng lao ng
trong x hi gim. L do l v nu khng c mc lng ti thiu, cc
cng ty s khng bit phi tr bao nhiu l hp l, v vy s c khuynh
hng tr tng v kt qu l h ngi phi thu thm nhn cng. Pht hin
ny c Stigler (1969) tm ra. Ngoi ra, khi nng sut lao ng tng,
tin lng cng phi tng.
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3.

Phn bit i x

Trong B lut Lao ng ca hu ht cc nc u c qui nh v bo v

quyn li ca lao ng n v iu khon cm phn bit i x gia
nhng ngi lao ng. Kinh t lut nghin cu nhng trng hp trong
th trng c xu hng phn bit i x ngi lao ng, ng thi tm
cc thit k cc qui nh ca php lut sao cho hng cc th trng lao
ng n vic gim phn bit i x, song ng thi cng em li li ch
cho ngi s dng lao ng.
Theo Becker (1971), tnh trng phn bit i x xy ra khi mt ngi s
dng lao ng sn sng tr tin cng cao hn cho mt ngi (so vi
nhng ngi khc) v bn thn ngi hn l v cng vic. Ti M c
nn phn bit i x gia ngi lao ng da trng v ngi lao ng da
en. Vit Nam c th xut hin s phn bit i x v tin lng gia
ngi lao ng Vit Nam v ngi lao ng nc ngoi trong cc doanh
nghip c vn u t nc ngoi. Do u xut hin s phn bit ny, v
ti sao s cnh tranh gia nhng ngi s dng lao ng chn ly
ngi lao ng ti gii khng xo b c s phn bit i x ny? Cu
tr li c th nm trong nhng s thch chung ca nhng ngi s dng
lao ng. Th d, trong cc doanh nghip c vn u t nc ngoi, vic
xut hin nhng nh qun l nc ngoi i khi lm cc i tc Vit Nam
(c tm l chung ngoi) tin tng hn. Bn thn ngi Vit Nam cng
ngh rng tr lng cho ngi Vit Nam thp hn cho ngi nc ngoi
l iu bnh thng, cho d nng sut lao ng ca ngi Vit Nam c
cao hn. y l nhng khim khuyt trong tm l m c ch th trng
khng t iu chnh c.
Nh vy, Vit Nam c cn thit phi ban hnh qui nh v vic chng
phn bit i x hay khng? C quan im cho rng khng cn, v lng
ca ngi lao ng ti cc doanh nghip c vn u t nc ngoi, cho
d c thp hn nhiu so vi lng ca ng nghip nc ngoi, cng vn
cao hn lng ca ngi lao ng trong cc doanh nghip nh nc hay
doanh nghip t nhn. Tuy nhin, nu iu ny khng c gii quyt,
th s bt cng v lng bng s dn n s bt cng v v tr lnh o v
nhng vn khc. Khng ai giao v tr lnh o cho mt ngi c mc
lng thp hn lng nhn vin ca mnh, v trch nhim ca lnh o
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cao hn trch nhim ca nhn vin. Ngoi ra, im quan trng hn c l

nu khng c lut th s khng thay i c thc ca cc doanh nghip
l nn nh gi con ngi thng qua nng lc v nng sut ca h ch
khng phi mu da hay quc tch. Nh vy, gii php cho khim khuyt
ca th trng v x phn bit i x nn l vic ban hnh cc qui nh v
chng phn bit i x ni lao ng.
Mt trong nhng ngi phn i lut v chng phn bit i x l thm
phn Posner (1987). ng cho rng khi khng c lut phn bit i x,
ngi s dng lao ng c th thu ngi bn x vi gi thp hn ngi
nc ngoi v v vy doanh nghip s c li nhun cao hn doanh nghip
nc ngoi. Tuy nhin, khi c qui nh nhng ngi lm cng vic nh
nhau phi hng lng nh nhau, ngi s dng lao ng khng th tr
lng thp cho ngi bn x, v v vy doanh nghip s km hiu qu
hn trc kia. Ngoi ra, doanh nghip s chuyn sang xu hng thu
ngi lao ng nc ngoi cho v tr lnh o, v ngi bn x cng c
mc lng cao khng km. Cch suy lun ny khng vng chc mt
im, l ngi s dng lao ng khi li dng tnh trng thiu
lut php v nhng quan im sai lch v ngi lao ng bn x bc
lt gi tr thng d ca ngi lao ng. trnh tnh trng ny, vic cn
lm l phi c nhng qui nh khng cn phi c th, song phi nh
hng gim thiu tnh trng phn bit i x trong lao ng.
4.

Cc qui nh v an ton lao ng v bo v sc kho ngi lao ng

Xt trn quan im kinh t lut, ti sao ngi s dng lao ng phi tr

bo him x hi v bo him y t cho ngi lao ng? Cu tr li l:
thng thng, ngi s dng lao ng sn sng chi tr cho bo him tai
nn lao ng, bo him x hi v bo him y t chng no cc chi ph ny
cn thp hn vic phi tng lng cho ngi lao ng trnh ri ro xy
ra do tai nn lao ng, gy nh hng n nng sut lao ng ca c
doanh nghip. iu ny xut pht t s thc hin nhin l nu tr lng
thp m ch bo him cng khng cao th ngi lao ng s chuyn
sang lm vic c quan khc c mc lng cao hn. Ngoi ra, nu
ngi lao ng b tai nn trong khi thc hin cng vic, do li ch o ca
ngi s dng lao ng, th ngi s dng lao ng phi bi thng. V
th, vic qui nh v an ton lao ng v bo him x hi, bo him y t
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cho ngi lao ng l phc v li ch ca c hai ch th. Tuy nhin mi

cch (qua th trng, qua cc qui nh ca php lut v bi thng thit
hi hay qua cc qui nh v an ton lao ng) c th u khng mang li
kt qu nh mun. M hnh tt hn c l l s kt hp ca c ba.
5.

Kinh t lut v bo him x hi

Mc ch chnh ca bo him x hi l xy dng mt ngun qu ti

phn chia khi ngi lao ng v hu. Mt h thng bo him x hi tt
th phi cn bng v thu chi. C ngha l, s lng tin m ngi mua
bo him c hng phi lun cn bng hoc t hn s lng tin ngi
mua bo him ng. Trn thc t, iu ny khng chc xy ra. Th d,
mt s ngi sng lu hn ngi khc, thu nhp nhiu hn ngi khc th
phi ng bo him cao hn, song cha chc c hng tin bo
him. H lao ng ct lc v hu nh khng cn thi gian m.
Trong khi , ngi khc thu nhp t hn, lm vic t hn v thi gian i
n bnh vin cng nhiu hn. Ni cch khc, h hng tin bo him
ca ngi lm vic chm ch. y c phi l mt s km hiu qu trong
h thng bo him x hi khng, v nu c th khc phc s km hiu qu
ny nh th no? Thng thng ngi ta dng hai phng php: phn
tch ri ro v thu thp thng tin. Phn tch ri ro nhm mc ch xem xt
ngi no c kh nng tiu th tin bo him cao hn s tin h ng,
nhm buc h phi ng thm tin bo him. Thu thp thng tin nhm
trnh la o trong bo him. Ngi mua bo him bit r v bnh tt v
kh nng thu nhp ca mnh hn cng ty bo him. V th, h c th s
che du nhng thng tin bt li ca mnh c hng bo him.
C hai cch ng bo him x hi. Cch th nht phn chia bo him
theo s tin ng ng nhiu hng nhiu, ng t hng t (pay as you
go). Cch th hai phn chia bo him theo nhu cu (capital reserve)
ngi ng nhiu c th hng t v khng c nhu cu, ngi ng t c
th hng nhiu v nhu cu cao (do bnh tt, gi yu), v.v. Nh vy
thot nhn cch chi tin bo him theo nhu cu c v nh khng cng
bng lm. Tuy nhin, nu phn chia bo him theo s tin ng th th
trng s khng hiu qu, bi l nhng ngi v hu, cao tui s khng
c tr cp, nu chng ta nh rng mt s x hi c khuynh hng gi
i, v v vy vic tr cp cho ngi gi tr thnh vic khng th trnh
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c. Chnh v th, mt s nc chn phng php sau y. Trc

tin, mi ngi u phi c ngha v ng bo him x hi. y l mt
loi bo him bt buc, ngha l nhng ngi c thu nhp cao v t au
m cng khng th t chi ng bo him. Ni cch khc, bo him l
mt dng thu. Ngoi ra, ngi no c kh nng c th tham gia ng
bo him nhn th. Khi ng bo him nhn th, th ngi thu nhp cao
s ng nhiu (v hng nhiu), ngi thu nhp tht s ng t (v hng
t).
VIII. KINH T LUT V LUT HN NHN GIA NH
Hai nhm quan h ln thuc i tng nghin cu ca lut hn nhn gia nh
l quan h v chng v quan h gia cha m v con ci.
1.

Quan h v chng

iu ng lo ngi trong quan h v chng gn y l t l ly hn gia tng.

iu ny cho thy nn tng o c trong gia nh khng cn nh trc,
v php lut phi can thip theo hng gim nhng v ly hn khng v l
do chnh ng m do hnh vi c hi ca mt bn (thng thng l ngi
chng). Kinh t lut cn tm ra gii php sao cho nhng hnh vi c hi
khng th pht trin c. Hy tng tng trng hp ph bin xy ra
sau y: hai ngi gp nhau t khi cn l sinh vin v thnh hn khi ra
trng. C hai cng i lm v c mc lng gn nh nhau. Mt thi
gian sau ngi v sinh con, v phi ngh lm chm sc con ci. Ngi
chng vn tip tc i lm v tng lng u u. Vi nm sau khi con
ln, ngi v tip tc i lm ti mt ni mi, song vi mc lng thp
hn ban u. Khi con khn ln v ngi v gi i, th ngi chng
gp mt c gi tr, hp dn hn v quyt nh chy theo ci gi l ting
gi tnh yu. Sau khi lm kh ngi v, hai v chng quyt nh ly hn.
Ngi chng c th ly v mi khng my kh khn, song ngi v phi
nui con v khng c c hi lp gia nh. Cu hi: ngi chng c phi
bi thng cho v nhng ngy thng ngi v b ra chm sc cho
gia nh v to iu kin cho ngi chng tip tc thng tin hay khng?
Cu tr li thng thng l khng. Nh vy, php lut khng c qui nh
v bi thng thit hi cho ngi v to iu kin cho ngi chng
lm dng qui nh v ly hn chm dt hn nhn m khng phi tr gi.
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C ngi ni: khi ly hn, ngi v c ngi chng tr cp nui con.

iu ng, song s tin tr cp tht ra khng nui con, ch
khng c li g cho ngi v c.
C ngi ni: khi ly hn, ngi v c hng mt na s ti sn do hai
bn to lp trong thi k hn nhn, nh vy cng l mt cch bi thng
cng bng ri. C tht nh vy khng? Gi s ngi chng khng phi
l ngi ch th lm n m li l mt ngi khng my thnh t, ngc
li ngi v li n nn lm ra, th qui nh ny c hi nhiu hn li cho
ngi v. Nh vy, qui nh chia i ti sn ch c li cho ngi khng
c gng trong vic ng gp cho ti sn chung ca v chng cho d
ngi l ai cng vy. Tm li, lut hn nhn gia nh c li cho ngi
mun li dng hn nhn.
Nh vy c cch no gim tnh trng li dng quan h hn nhn?
mt s nc, ngi ta cho php lp hp ng hn nhn (marriage de
contrat). Theo , v chng phi tho thun vi nhau trong trng hp ly
hn th ti sn c phn chia ra sao, lm sao bi thng cho v theo
nguyn tc ca chng, cng v? y l vn m kinh t lut phi
nghin cu. Mt s nh khoa hc nh Becker (1978) cho rng cn phi
c qui ch bi thng cho ngi v khi hai v chng ly hn, theo nguyn
tc phi phc hi c ti sn v v tr ca ngi v nh trc khi xy ra
ly hn. Nh vy, To n c th tm ngng khng cho cc bn ly hn cho
n khi no ngi v c bi thng tho ng i vi cng sc b ra
trong thi k hn nhn.
2.

Quan h gia cha, m v con

Theo Brinig (1999), mi quan h cha con bin chuyn trong tng thi k.
Trc khi con tr thnh thnh vin trong gia nh, mi quan h ca cc
thnh vin trong gia nh nh mt quan h hp ng gia v v chng.
Khi con ra i, mi quan h ny ging nh quan h gia cc thnh vin
trong cng ty. Mi quan tm gia ch s hu v ngi qun l bt u
ny sinh. Sau cng, khi con trng thnh, chng tch khi cha, song
mi quan h cha con vn khng mt hn. Mi quan h ny c tnh cht
nh quan h nhng quyn (franchising).
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Ti sao quan h trc khi sinh con li mang tnh cht hp ng? Becker
(1973) cho rng iu ny l t cc con s thng k v t l k hoch ho
gia nh hay s dng cc cng c nga thai ngy cng tng. V chng c
quan nim rng h c quyn quyt nh c con hay khng v c bao nhiu
con. Ngoi ra, theo Posner (1983), cn tn ti mt th trng l th
trng nhn con nui, trong cha m nui hp ng vi cha m v
nhng giao dch m i bn cng c li: cha m c nhn n b v
khng phi nui con (khi h thc s lo ngi v vic ny). Cha m nui
c nui con v quyn la chn ngi con m h mun nui. cc
nc u - M, t l nhn con nui tng ln, trong khi t l sinh con li
gim i. y cng l mt cu hi cho mn kinh t lut: hin tng ny
c ph v tnh bn vng ca gia nh hay khng, c li cho x hi khng?
C nn hp thc ho vic nui con nui khng? Nu c, c cn thit phi
m mt th trng nui con nui cng khai, nhm gim chi ph giao dch
cho cha m nui phi tm con v phi xc nh xem ngi con mnh mun
nui c b truyn nhim, bnh tt g khng.
Khi sinh con ra, cc quan h gia cha m v con c coi nh quan h
gia ch s hu v ngi qun l (principal agent relationship). Tuy
nhin c hai cch nhn v vn ny. Th nht, Alchian v Demsetz
(1973) cho rng cha m l ch s hu v con ci l ngi qun l (ti sn
ca gia nh hay uy tn ca gia nh). Trong , con ci phi tha mn
mt s iu kin m cha m t ra khi s dng ti sn ca gia nh, v ch
c lm nhng g cha m cho php. Cch nhn ny thng c cng
nhn cc nc chu phong kin xa kia. Th hai, Cooter v
Friedman (1991) cho rng cha m l ngi qun l (gim h) v con ci
l ch s hu. Nh vy cha m c mt s quyn v ngha v nht nh
tng t nh quyn v ngha v ca ngi gim h i vi ngi cha
thnh nin, ng thi phi thc hin nhng ngha v ny v li ch ca
con ci. Cch nhn ny c cng nhn l ph bin hin nay.
Khi cha m cn chung sng vi nhau, h coi nhau nh nhng thnh vin
trong cng ty v con ci c v nh ti sn chung ca h (mc d khng ai
coi con ngi l ti sn). Tuy nhin khi v chng ly d, h khng cn
quan h v ti sn chung na, mc d tnh yu i vi nhng a con
mnh sinh ra vn cn. iu ny l gii ti sao cha hoc m u mun con
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ci ca mnh c sng vi mnh, hoc mnh c n thm con ci. Tuy

nhin lc ny To n s tn trng s tha thun ca cc bn hn l p
buc bn no phi nui con. Khi khng t c s tha thun th To
n s gii quyt trn quyn li ca con. y cng l cch m vua
Solomon ca Israel gii quyt trc y.
Khi bt u khn ln, con ci dn dn c giao trng trch trong gia
nh. Cha m bt u hi kin h. Tuy nhin quyn li ca h i
khi khng c bo m. To n khng can thip vo ni tnh gia nh,
tr trng hp c vi phm php lut. V th nu cha sai con lm vic, m
con khng ng v cng vic qu nng hay qu bn, th thng thng
To n cng khng can thip, tr trng hp cha m lm dng con ci.
Lc h b tc quyn lm cha m.
Mc d con ci c mt s t do, song cha m vn cn can thip, do con
ci cha t ch c mnh cng nh cha ngh lc thc hin iu
c li nht cho mnh. Tuy nhin vic yu cu ca cha m cng phi mang
li li ch cho con ci.
Khi con ci trng thnh, h mang thng hiu ca cha m. H l bn
nhn quyn v cha m l bn nhng quyn. C th c trng hp bn
nhn quyn phi tr nhiu tin nhn quyn qu, hoc ngc li. Tuy
nhin y c s khc bit gia ng v u Chu v cng l mt cu
hi th v cho mn kinh t lut.
IX.

KINH T LUT V LUT T TNG DN S

1.

Kinh t lut v vic iu chnh hnh vi ca ngi tham gia t tng

Kinh t lut quan tm n t tng dn s gc iu chnh hnh vi ca

ngi tham gia t tng. Nu Nh nc mun gim chi ph kin tng, hay
khuyn khch cc bn ho gii vi nhau thay v tranh tng trc to, th
cc qui nh v t tng dn s phi khng khuyn khch cc bn tranh
tng (th d, tng tin tm ng n ph nu gi ngch ca v kin tng).
Ngoi ra, Nh nc cng phi cho php cc bn c yu cu chnh ng
c bo v quyn li ca mnh thng qua con ng to n. iu ny
bo m tnh php ch ca h thng php lut. Nu khng c nhng qui
108

nh nh vy, ngi dn c quyn song khng bo v c quyn ca

mnh. Mt trong nhng vn m cc nh u t nc ngoi vn than
phin v h thng php lut Vit Nam l ch h thng thc thi km hiu
qu: thi gian kin qu lu, chi ph kin qu tn km v vic thc thi qu
kh khn. Tm li, t tng dn s phi gii quyt c hai vn : bo v
quyn li ca cng dn, song mt khc khuyn khch h ho gii hn l
gii quyt vn thng qua tranh tng. lm c iu ny, cn phi
nghin cu hnh vi ca nhng ngi tham gia t tng, nu h c hnh vi
A th c quan tin hnh t tng phi c hnh vi B no. Nu sau h c
hnh vi C th c quan tin hnh t tng phi c hnh vi D no. Kt qu
sau cng l ngi tham gia t tng lng trc c hu qu ca mnh v
c nhng hnh vi ph hp vi li ch ca x hi. nghin cu vn
ny, cc l thuyt kinh t v u tr (game theory) t ra rt hu hiu.20
Hoa K, hai mc tiu trn c thc hin bng nhng bin php nh
sau. Th nht, m bo cng dn c quyn bo v quyn li ca mnh,
php lut khuyn khch cng dn kin tng. khi kin mt v n,
nguyn n ch phi tr mt khon n ph nh, khong 150 USD. Sau ,
to n s xem xt kh nng tip tc v kin. Trong giai on chun b xt
x, cc bn phi cung cp cho nhau mi chng c m mnh c, k c
nhng chng c khng c li cho mnh. Th tc ny gi l th tc khm
ph discovery. Qu trnh ny lm gim chi ph tm chng c cho cc
bn. Sau giai on ny, cc bn s xem xt xem tranh chp c th c
gii quyt theo con ng ho gii hay ra to. Vic ho gii c khuyn
khch, v iu ny lm gim chi ph kin tng v tun th nguyn tc t
nguyn, t nh ot ca cc bn. Nu to n quyt nh a v n ra xt
x, th trc tin cc bn phi trnh by trc bi thm on (jury). Cc
v bi thm l nhng cng dn bnh thng, khng nht thit phi c kin
thc v php lut. Cc v bi thm (thng thng 11 ngi) s a ra
kin ca mnh din bin s vic v phn quyt xem ai sai, ai ng. Cc
phn quyt ny phi l phn quyt nht tr. Sau , thm phn s quyt
nh bn thua kin phi bi thng bao nhiu. Bn thua kin c th
khng n ln to phc thm, tuy nhin to n ch c th xem xt nhng
vn thuc v p dng lut, ch khng xem xt li din bin v kin, tr
trng hp bn thua kin trng ra c nhng bng chng mi. Nh
20

Xem u tr v Lut, Sd.

109

vy, iu ny cng tit kim c chi ph tranh tng v gim c gnh

nng cho to n.
L do khin cc bn tham gia t tng ti Hoa K ho gii vi nhau c
l do nguyn tc gii quyt tranh tng thng qua bi thm on. Do bi
thm on cha tng c o to lut, nn h ch x theo lng tm ca
h. iu ny khin cho cc lut s du lch lut gii cng cha chc gii
quyt tranh chp, v vn l lng tm ca bi thm on v kh nng
thuyt phc ca lut s. y l nhng vn khng th d on trc.
Do cc bn khng c kh nng tnh c kh nng thng hay thua ca v
kin, nn h c khuynh hng ho gii hn l a v kin ra xt x. Do
mc bi thng thit hi ca bi thm on qui nh c th rt ln, nn
bn bit mnh kh thng kin s tm cch ho gii v nhn li hn l ra
to v phi chu bi thng thit hi vi s tin ln. Theo thng k, ch
c khong 10% cc v tranh chp l phi gii quyt ti To n.
Ngoi ra, mc bi thng thit hi cn ph thuc vo cch sp xp v
x. Cooter (2003) a ra mt vn kh th v. l, trong mt v kin
v bi thng thit hi ngoi hp ng, nu bn nguyn n nu ra thit
hi ca mnh trc, th bi thm on thng thng c khuynh hng kt
ti b n. Tuy nhin nu giu khng ni thit hi, th bi thm on s c
ci nhn chnh xc hn. Nh vy, tm l hc cng l vn cn quan tm
trong mn kinh t lut tm cch gii quyt nhng vn lin quan n
t tng dn s.
2.

Kinh t lut v nghin cu v c cu t chc to n

To n nn c t chc nh th no cho hiu qu? Thnh phn xt x

bao gm nhng ai? Quyt nh ca hi ng xt x c tin hnh theo
nguyn tc a s hay nguyn tc nht tr? Nhng vn ny c th l i
tng nghin cu ca mn kinh t lut, nhm mc ch bo v quyn li
chnh ng ca ch th quyn, ng thi gim chi ph cho x hi lin
quan n vic bo v cng l.
Cng vic ca to n l g? Trc tin, to n phi xc nh c ni
dung v vic tranh chp. Th hai, to n phi p dng c lut vo
trong v kin tranh chp ra c kt qu. Th ba, to n phi ban
110

hnh quyt nh phn x v tranh chp, v sau cng, i khi, to n phi

tm c nhng ngi c quyn v ngha v lin quan v yu cu h n
To gii quyt v tranh chp mt cch ton din, tng th.
i vi nhng cng vic nh vy, to n c nhng quyn hn nht nh
t nht l vi v tranh chp v s phn ca cc bn. y l mi lo cho h
thng php lut. Nu thm phn lm dng quyn lc trc li, th h
thng php lut s lung lay. V th, cn phi qui nh mt thit ch sao
cho to n khng lm dng quyn lc, v mi biu hin lm quyn s b
x l. C nhiu c ch gii quyt vic ny, th d cc qui nh v tnh
c lp v v t ca to n, v ngha v ca thm phn phi t chi xt x
khi c cn c cho rng h khng th v t khi lm nhim v. Ngoi
ra, mt vn quan trng na l ch lng bng, i ng trong ngnh
to n. Gi tr v kin cng cao, th kh nng thm phn tham nhng
gy thit hi cho mt bn cng ln. V vy cn phi c c ch thng
xng ng thm phn khng cn phi tham nhng, ng thi phi c
ch ti pht nng i vi nhng thm phn tham nhng tnh trng trn
khng tip din.
Ngoi ra, mt c ch quan trng kim sot cc quyt nh ca to n l
c ch phc thm v gim c thm. phc thm, To n c quyn xem
xt ton b ni dung v kin ch khng phi ch ring quyt nh ca To
s thm. Tuy nhin, y cc thm phn cng ch phn quyt trn
nguyn tc a s, ch khng th quyt nh mt cch nht tr. Mt s hc
gi nh Shavel (1990) v Cooter v Ulen (2000) phn i phng php
ny. Tuy vy trn thc t y vn l phng php c mi ngi la
chn. Ci m kinh t lut mun gii quyt ch l vic thit k mt c ch
sao cho cc thm phn nhn c thng tin mt cch y x l
thng tin theo lut. Ngoi ra, c ch bt buc ng cc phn quyt ca
To n mt cch cng khai cng gip ch nhiu cho vic cng chng c
kh nng ph phn v kin, v v th to n khng th xt x mt cch
ch quan c.
3.

Kinh t lut v vic i bi thng chi ph lut s

Ph lut s l mt trong nhng chi ph rt ln cho cc bn khi tham gia t

tng, i khi cn cao hn n ph. V th tuy cc qui nh v n ph ng
111

vai tr quan trng trong vic ngn cn cc bn gii quyt tranh chp thng
qua con ng to n, cc qui nh bt thnh vn v ph lut s mi thc
s l mi quan ngi ca cc bn trong vic quyt nh xem c nn khi
kin hay theo ui v kin hay khng. Kinh t lut nghin cu vn ph
lut s a ra cu tr li cho mt vn hin nay vn cn tranh ci:
l lut c nn cho php bn thng kin c i bi hon ph lut s hay
khng? Hin nay theo qui nh ca B lut T tng Dn s hay ca B
lut Dn s, khng c iu khon no cho hay khng cho php bn thng
kin c bi hon ph lut s. Trn thc t, rt t thm phn tuyn b
cho php bn nguyn n c i ph lut s. L do l v nhiu ngi
quan nim thu lut s l quyn ch khng phi ngha v. V th b n
khng phi l nguyn nhn trc tip nguyn n gnh chu ph lut s.
Khng ai ngh rng nu khng thu lut s th nguyn n cng kh lng
trnh by kin ca mnh trc to mt cch thuyt phc. iu ny gin
tip nh hng n kt qu ca v kin.
nhiu nc chu u, c bit l Anh, cho php bn thng kin c
yu cu bn thua kin tr ph lut s. Mt s nh nghin cu nh
Rasmusen (1998) cho rng iu ny lm cho b n ngn ngi khng dm
ngoan c, t d dng chu thua trc nguyn n trnh phi tr n
ph. Tuy nhin, cng cha c kt qu thng k no cho thy vic cho
php bn thng kin i bi hon ph lut s ca bn thua kin s lm cc
bn mau chng t c ho gii hn. Katz (1999) tin hnh nghin
cu nhiu thc nghim song ch nhn thy kt qu r rt nht ca vic cho
php bi hon l ch cc bn s sn sng b tin ra thu lut s hn
trc kia, ng thi cc lut s s cnh tranh vi nhau v cht lng hn
l v gi c. Du sao, cng cha c nghin cu no ph nh vic bi
hon ph lut s c tc dng tch cc n vic thc hin hai nhim v
quan trng ca t tng dn s, l gim chi ph cho cc bn trong vic
bo v quyn li ca mnh, v khuyn khch cc bn ho gii. Tuy
nhin, c quan im lo ngi rng vic cho php bn thng kin c bi
hon ph lut s s khin cc bn tiu qu nhiu tin vo vic thu lut s,
v thng thng bn no thu lut s gii nht s thng kin. Hin ti
cha bit iu ny c phi l s tht khng, v y l vn m kinh t
lut cn nghin cu. Tuy nhin, nu mt h thng php lut m kt qu
ph thuc vo lut s bn no gii, ch khng phi v bn no thc hin
ng lut hn, th h thng php lut c vn . V th, thit ngh
112

chng ta ng nn cho rng lut s gii quyt c tt c cc vn ca

v kin, m nn ngh rng lut s l cng c gip to n tm hiu s
tht, v khng nn xy ra tnh trng ng tic, l mt bn thua kin
v khng tin thu lut s, hay mt bn c kin song tin tr lut s
cn cao hn tin c bi thng.
4.

Kinh t lut v cc qui nh v th tc ho gii

Vn nghin cu ca ho gii chnh l lm th no cc bn c th

nhanh chng ho gii vi nhau. y l mt lnh vc rt thch hp cho
mn u tr. Trong quyn u tr v Lut,21 chng ta bit rng ngi ta
phn u tr ra thnh hai loi: u tr hp tc v u tr bt hp tc. Khi
bn A kin bn B ra to, h ang trong mt cuc u tr bt hp tc.
Nhim v ca kinh t lut l phi tm c ch cc bn c th bin i t
u tr bt hp tc thnh u tr hp tc. Trong bt k cuc u tr no
cng c hai yu t, l chin lc (strategy) v kt qu (payoff). Nhim
v ca u tr l phi to c ch sao cho kt qu ca hp tc bao gi cng
cao hn kt qu ca vic bt hp tc. Ngoi ra, cn phi to ra cho cc
bn nim tin rng kt qu l khng th khc c. C nh vy cc bn
mi thc hin chin lc theo hng hp tc (ho gii).
Mt trong nhng cch a cc bn mau chng n ho gii l thit k
mt cuc u tr ging nh tr chi ct bnh. Bn A ct, bn B chn.
Khi vn ny xy ra, Bn A phi c cch gii quyt sao cho c hai bn
cng c li, v nu khng th bn B s chn phn c li cho mnh. Trn
thc t trng hp ny t xy ra, v khi tranh chp cc bn u c nhng
quan im nht nh v quyn li ca mnh. Khng th t bn ny vo
trng hp bn kia. Cng khng th ni: ti ngh chng ta chia i s
thit hi (trong mt v tranh chp v li ca mi bn khi thit hi xy ra)
t tho thun, khi r rng mt bn c li nhiu hn bn kia khi xy
ra thit hi.
Cch gii quyt th hai l da trn u tr Rubinsten. Trong cuc u tr
ny, mt bn c quyn a ra yu cu, bn kia c quyn t chi hay
ng . Trong trng hp bn kia t chi, th hai bn s cng khng
21

L Nt (2005) u tr v Lut. NXB i hc Quc gia, TP HCM.

113

c g. Khi , bn ngh phi ngh sao cho hp l. Rt nhiu

nghin cu thc nghim ca u tr Rubinstein cho thy rng khi tr chi
ny xy ra, cc bn c xu hng chia u li ch, khin cho vic t c
tho thun din ra mau chng hn.22
Ngoi ra, khi tin hnh ho gii, cn cung cp thng tin y cho cc
bn cc bn d dng hnh dung c mnh s c g hay mt g nu
khng c ho gii. Ngoi ra, cn c qui nh r rng cch tnh bi thng
thit hi hay cc qui nh v ch ti, cc bn nhn thy nu khng ho
gii, tham gia t tng v thua kin th s phi tr gi nh th no. C nh
vy kh nng chp nhn ho gii mi cao.
5.

Kinh t lut v th tc trng ti

Hin nay, cc doanh nhn thng c xu hng chn trng ti lm c ch

gii quyt tranh chp hn thng qua con ng to n. Kinh t lut nn
nghin cu vn ny tm hiu ti sao c ch trng ti li c hiu qu
hn con ng to n v lm th no c ch ny c hiu qu hn na gim chi ph cho cc bn, bo v c quyn li ca bn c quyn.
Th nht, th tc trng ti cho php cc bn gi b mt v tranh chp v
rt ngn thi gian tin hnh t tng. iu ny gip cc bn gim c
chi ph pht sinh do mt uy tn v v kin tng hay chi ph lin quan n
v kin tng. Theo nh l Coase, th khi chi ph giao dch gim, cc bn
s d dn n tho thun hn. C ch trng ti l mt trong nhng bin
php lm gim chi ph giao dch, thc y cc bn dn n tho thun
mau hn.
Th hai, th tc trng ti thng thng ch ra phn quyt mt ln. C ch
ny rt ging vi u tr Rubinstein, khin cho cc bn t c tho
thun nhanh chng hn. Trc khi a ra ngh tho thun, cc bn
phi suy ngh nh th no c ngh tng i cng bng cho i bn.
Nu cc bn khng t tho thun c th phn quyt ca hi ng trng
ti c th mang tnh cht mt s tho hip gia cc bn. Cng v vy m

22

u tr v Lut, sd, tr. 94.

114

khng nn coi cc phn quyt ca to n c tnh cht nh khun mu

cc phn quyt sau tun theo.
Th ba, l c ch chn trng ti vin. Khi chn thm php, chnh n
to n nhn dn phi chn ngi khng lin quan n mt trong hai bn
trong tranh chp. Trong khi , cc bn c th chn mt trong cc chuyn
gia m mnh quen bit lm trng ti vin. Khi hi ng trng ti c ba
ngi, hai ngi do hai bn b nhim, h c s tin tng ca cc bn
rng nhng ngi phn xt tranh chp ca mnh c trch nhim v s xt
x v tranh chp mt cch cng bng. Tng t, khi cc bn tranh chp,
h s tin hnh ho gii mt cch nhanh chng hn khi h khng tin
tng rng hi ng trng ti khng phi do mnh chn v cha chc h
khng c nh kin khi gii quyt tranh chp.
X.

KINH T LUT V CC V KIN TP TH

Cc v kin tp th l mt c th ca h thng t php Hoa K. Theo ,

cc nn nhn (ngi b thit hi trong mt v kin v hnh vi tri php
lut) c th ch nh mt lut s i din tham gia vo mt v kin, m
s lng nguyn n c th ln n hng triu ngi. B n thng
thng l cc cng ty sn xut ln. H i mt vi v kin tp th nh
vy s cm thy b sc p nhiu hn v d dng i n tho thun hn.
Ngc li, i vi cc lut s i din cho nguyn n, h s cm thy t
tin hn khi m phn vi b n v mc bi thng thit hi. Ngoi
ra, v i din cho nhiu nguyn hn v ph lut s c tnh phn trm
ca s tin bi thng thit hi c hng, nn h s nhn c ph lut
s cao, v v vy sn sng u t cho v kin. Trng hp ca cc lut
s i din cho cc nn nhn cht c mu da cam ca qun i M ri
xung Min Nam Vit Nam trong thi k 1964 1970 l mt th d. Cc
nn nhn khng cn phi tr tin lut s cho cc lut s. Cc lut s s b
thi gian v chi ph theo ui v kin (trong trng hp ny l To n
Ht Boston, do thm phn Jack Weinstein phn x). Khc vi cc qui
nh ca cc on lut s Vit Nam (lut s khng c php tho
thun vi khch hng v kt qu ca v vic, khng c qung co ),
cc lut s M c th hot ng nh mt doanh nghip, c l, li.

115

Qui nh v cc v kin tp th c nhiu u im. N cho php cc nn

nhn yu th c th khi kin cc tp on hng mnh m khng tn ph
lut s. C ch kin tp th cng to u th cho nguyn n v ra sc p
cho b n chp nhn tho thun nhanh chng hn.
C ch kin tp th cng c mt s nhc im. Trc tin, do s lng
ngi kin qu ng nn thc s din ra tnh trng ngi ny trng ch
vo ngi kia. Nu mt ngi khng quan tm n v kin th ngi kia
cng vy. Cui cng, s c kh nng l lut s s cu kt vi b n
t c tho thun nhanh chng song cha hn l c li cho b n.
Ngoi ra, khi c qu nhiu nguyn n, s dn n tnh trng l cc
nguyn n bt ng vi nhau v cch thc tho thun, chnh v th m
cng gn n ngy a v n ra xt x, sc p cc ng nguyn n
tho thun li cng thp. Chnh v th m vai tr ca lut s rt quan
trng v To n phi kim tra t cch ca lut s tht cn thn trc khi
cho php lut s c i din cho hng triu ngi b thit hi.
Kinh t lut c th tp trung nghin cu c ch kin tp th, sao cho hn
ch kh nng lm dng quyn lc ca lut s v hn ch c nhng
nhc im khc ca c ch kin tp th. Tuy Vit Nam cha c qui
nh v kin tp th, vic nhp v n hay cho php c nhiu ng nguyn
n cng khng khc qui nh v v kin tp th l bao nhiu. Nh vy,
rt cn phi c cc nghin cu khoa hc v qui nh qun l c ch kin
tp th v c bin minh cho cc qui nh nh vy xt v kha cnh kinh t.
CU HI :
1.

Quyn s hu xt v kha cnh kinh t c xc lp nhm mc

ch g? Ti sao cc hc gi kinh t khng bo v s chim hu
(ch khng phi quyn s hu), sau mc cho nh l Coase pht
trin t c hiu qu ?

2.

C phi con ngi lc no cng suy ngh nh trong u tr nghi

phm hay khng? V sao?

3.

Rng ni, sng h, ti nguyn v.v. c th thuc s hu t nhn hay

khng, ti sao? Bn ngh g v vic cc cng ty du kh nc
116

ngoi khai thc du Vit Nam v ch tr cho nh nc Vit Nam

t 20 50% sn lng du khai thc c?
4.

Chim hu c nn c coi l mt cn c ca quyn s hu hay

khng? Ti sao php lut bo v s chim hu mt vt cho n khi
ch s hu ln ting i li vt?

5.

Nh nc thu hi t v n b cc cng trnh xy dng trn t

cho cc h dn quanh khu vc trung tm giao cho mt tp on
Hong Kong xy dng mt cao c vn phng v trung tm gii tr.
Trong trng hp no th vic thu hi ny c hiu qu?

6.

V kha cnh kinh t, mi hp ng c nht thit phi l hp ng

c n b khng? Ti sao?

7.

Bn bc chng minh trong vic kin yu cu bi thng thit hi

c hiu qu v mt kinh t khng? Ti sao?

8.

Khi no hp ng b coi l v hiu? Vic tuyn b hp ng v

hiu c mang li hiu qu v mt kinh t hay khng, v sao?

9.

Theo bn, xt v mt kinh t, khi no mt c nhn nn c coi l

c nng lc hnh vi tham gia giao kt hp ng? Ngi v thnh
nin c th bn nh hay khng, v sao?

10.

Hp ng thng c coi l hiu qu nu i bn cng c li.

Nu sau tnh hnh thay i khin vic thc hin hp ng khng
c li na, th vic vi phm hp ng c th coi l gii php c li
cho c hai bn hay khng? V sao?

11.

Quy nh v bi thng thit hi trong v Hadley c hiu qu

khng, v sao?

12.

Thit hi gin tip c nn c bi thng khng? Nu c, th iu

ny c mang li li ch cho x hi khng, c th dn n ri ro g?

117

13.

Nhiu ngi cho rng cn phi hn ch mc pht vi phm. Tuy

nhin, nu mc pht c cc bn chp thun, th ti sao li
phi hn ch chng?

14.

Nu mt bn vi phm hp ng, bn kia c quyn yu cu bn vi

phm phi tip tc thc hin hp ng khng? Yu cu nh vy
c hiu qu v mt kinh t hay khng, v sao?

15.

Khi mt ngi k hp ng bn nh. Sau nh ln gi, ngi

khng mun bn na, nhng sn sng bi thng mi thit hi cho
ngi mua. Ngi mua khng ng v kin ngi bn ra to.
Vy to n nn x nh th no, v cc phn x c hiu qu v
mt kinh t khng?

16.

Mc ch ca cc qui nh v bi thng thit hi ngoi hp ng

l g?

17.

Vic qui nh bi thng thit hi khng theo li c hiu qu

khng, v sao? Bi thng thit hi khng theo li c khc bi
thng thit hi theo li suy on khng, v sao?

18.

Theo thm phn Learned Hand, trch nhim bi thng thit hi

nn qui nh theo hng ai c kh nng phng nga ri ro cao
nht, ngi phi chu trch nhim khi thit hi xy ra. Phn
quyt nh vy c hiu qu v mt kinh t khng?

19.

Mi quan h nhn qu nn c phn tch theo trng phi no: so

snh mc li (nhiu nguyn nhn gy ra hu qu) hay la chn
nguyn nhn chnh? Cch phn tch nh vy c hiu qu v mt
kinh t hay khng?

20.

Ti sao bn gy thit hi ch chu bi thng mt s thit hi m

khng bi thng mt s thit hi khc?

118

CHNG 4: KINH T LUT V CHUYN NGNH LUT

HNH S
1.

Khi qut chung v vai tr kinh t lut trong ngnh lut hnh s

Lut hnh s iu chnh nhng hnh vi nguy him cho x hi hnh vi

phm ti. Trch nhim hnh s c cu thnh khi hi cc yu t sau
y:
-

Ngi phm ti c li: mc li y cao hn mc li

dn s. Th d mt ngi hon ton cn thn khi thit hi xy
ra th h khng c li. Tuy nhin s c ranh gii gia ngha v
cn thn theo lut v hnh vi bt cn. Vt qua ranh gii s
b coi l bt cn. Tip theo s c ranh gii gia trch nhim
dn s v trch nhim hnh s, vt qua ranh gii ny s b coi
l c phm ti.

Hnh vi phm ti nguy him cho x hi. V th, hnh vi ny

vn c th b Vin Kim st khi t truy cu trch nhim
hnh s ,cho d khng c nn nhn no khi kin.

Mi quan h nhn qu trong lut hnh s cao hn trong lut dn

s. i vi trch nhim dn s, thng thng ngi ta coi mi
quan h nhn qu c xc lp khi xt v xc sut th kh nng
hnh vi tri lut gy ra thit hi nhiu hn l nhng hnh vi
khc. i vi trch nhim hnh s, Vin kim st phi chng
minh c rng mi quan h nhn qu ny l chc chn v
khng nghi ng g (beyond reasonable doubt).

Ch ti hnh s mang tnh cht cng ch v mt nhn thn v

ti sn, bao gm cc hnh pht t v pht tin, khin cho ngi
phm ti (i) c gio dc v tr thnh ngi lng thin, v
(ii) khc phc mt phn thit hi do ngi phm ti gy ra.

i vi kinh t lut, mc ch nghin cu s l lm th no gim bt

chi ph ngn chn phm ti ca x hi. Mun lm c iu ny, phi
119

nm c hnh vi ca nhng ngi c kh phm ti khi phi i din vi

mt mc ch ti nht nh. Th d, ti phm ma ty c gim khi Nh
nc t n t hnh i vi hnh vi phm ti ny khng? Nh vy, chng
ta phi tp trung vo phng hng nghin cu v u tr, tm xem
phng hng p t ch ti nh th no v trong trmg hp no l hiu
qu nht. Bi hc v u tr nghi phm ti Chng 1 cho thy iu ny.
Trc tin, mt hnh vi b x l hnh s thay v ch phi bi thng thit
hi theo trch nhim dn s v mc nguy him ca chng i vi x
hi. Khi thit hi gy ra qu ln, ngi ta khng th trng i vo ch ti
bi thng thit hi gip ngi b thit hi, nht l khi ngi gy ra
thit hi khng c tin. Th hai, nu xc sut b bt nh, vic qui nh
ch ti dn s s khng hiu qu. Th d, mt ngi tham nhng ca
cng, xc xut b bt l 50%. Nh vy trong hai v tham nhng gi tr 10
triu ng th c mt v b bt. Nu khng c lut hnh s, ngi ny s
ch phi bi thng mt khon tin l 10 triu ng trong khi kh nng
kim c tin t tham nhng l 20 triu ng. Lc , h s c khuynh
hng tham nhng hn l ngay thng, lng thin. Mc ch ca trch
nhim hnh s l ngn chn nhng suy ngh v hnh vi nh vy, bng
cch qui nh ch ti phi c gi tr t cao gp i so vi gi tr thit hi
xy ra. V phn ln hnh vi phm ti l do c , nn Nh nc c th p
t mc ch ti tng ng vi mc c th d phm ti c chun
b, c t chc, l ngi cm u hay ch l ngi b li ko, v.v.
2.

Kinh t lut v mn ti phm hc

Thng thng, mt ngi c l tr trc khi phm ti s so snh nu b

bt th h s mt g, v nu khng b bt th h s c g. Nu ch ti
nh hn li ch do phm ti mang li th h s phm ti. K c trong
trng hp ch ti ln hn thit hi do phm ti, th h cng phi suy
ngh xem xc sut b bt l bao nhiu. Xc sut b bt cn ph thuc vo
nhiu yu t, th d nh s phc tp ca hnh vi phm ti, hay s kin
quyt ca c quan thi hnh php lut. Th d, nu c quan thi hnh php
lut cng khng hon ton trong sch th s kin quyt ca cc c quan
phng chng cc hnh vi tham nhng cng khng th ln. Nh vy, vic
p t ch ti hnh s nh th no phi do mt k hoch c th ton din
hn l ch iu chnh ch ti khng thi.
120

Cooter (1996) pht biu nh l rng lut hnh s cn gim chi ph x hi

i vi hnh vi phm ti. Chi ph ny bng thit hi m x hi phi gnh
chu v chi ph ngn nga hay bt k phm ti. Tuy nhin hai i
lng ny khng t l thun. Tht ra, nu chng ta tng cng bt hay
ngn chn k phm ti th thit hi m x hi phi gnh chu s gim.
Trong thc t, vic ngn chn nn tham nhng xy ra bng cc bin php
phng nga v cc c quan thc thi chng tham nhng c lp th thit
hi x hi do tham nhng phi gnh chu s gim v khng nht thit phi
tng ch ti i vi hnh vi tham nhng. Cooter cho rng s hiu qu
ca lut hnh s nm thit ch ngn chn hnh vi phm ti hn l ch
ti i vi ti phm. L do l v gia ch ti hnh s v li ch do phm
ti khng c im chung so snh. Khng ai c th suy on rng gia
10 nm t v li ch kim c 1 t ng, ci no ln hn. Nu sau 20
ln phm ti mi ch b bt mt ln, th ngi phm ti c th kim c
20 t ng, sau li tu tn cho v con, th s tin phi bi thng cho
Nh nc nu b bt s cn rt t. Trong khi lm n lng thin th c l
c i cng khng th kim c mt s tin nh vy.
Bit c vn nh vy, chng ta nn tp trung nghin cu cc hnh
thc ngn chn ti phm hn l cc ch ti khi hnh vi phm ti xy ra.
Nu chng ta qui nh c th trch nhim ca ngi ng u th
khng xy ra tnh trng tham nhng nhiu ti mc nh trong thi gian
qua. Tuy nhin nu qui nh trch nhim ca ngi ng u qu nng
th s dn n tnh trng l cp trn bao che cho cp di, v nu c hai
cng b bt th c hai s cng b x. V vy, ch nn qui nh trch nhim
ca ngi ng u khi thiu trch nhim (bt cn) xy ra tnh trng
tham nhng m thi. Gia hnh vi tham nhng v hnh vi thiu trch
nhim phi c s phn nh. Nu cp trn nhn tin chia chc ca cp
di th phi qui ti tham nhng ch khng ch l ti thiu trch nhim
gy hu qu nghim trng. Tm li, kinh t lut phi gii quyt c vic
tm thit ch ngn chn ti phm v tm cch tng xc sut bt c k
phm ti hn l ch n thun tng nng hnh pht. Nguyn tc ny c
th c th hin trong hai trng hp c th sau.

121

3.

Kinh t lut v ti mua bn, tng tr, s dng tri php cht ma tu

Trong nhiu nm tr li y, tnh hnh mua bn, tng tr, s dng tri
php cht ma tu ngy cng tr nn phc tp. Cc v bun lu ma tu
pht hin ngy cng nhiu, v sau ln hn v trc. Khng phi nhng
k bun ma ty khng bit rng pht hin tng tr trn 150 g Heroin l c
th b t hnh. Tuy nhin h vn lm. V sao vy?
Cc nh nghin cu kinh t lut ch ra rng vic x pht nng hnh vi
bun bn ma tu khng nh hng n nhu cu s dng ma ty. Do ma
tu l cht gy nghin, nn nhu cu s dng ma tu khng gim ch v
hng ho khan him hn hay gi c tng (demand inelasticity). Con
nghin lun cn s dng ng c cho d gi c c tng bao nhiu. Khi
nhu cu s dng ma tu ngy cng tng th vic tng nng hnh pht ch
lm tng gi bn ma ty, bin vic bun ma tu tr thnh siu li
nhun ch khng gim c ti phm ma tu.
Nh vy, i vi ti phm ma ty th phng quan trng hn chng.
Cn gio dc tc hi ca ma ty, nghin cu cc bin php cai nghin
hiu qu hn l ch n thun tng nng hnh pht i vi ma ty. i
vi cht ma ty, ch khi no lm gim c nhu cu i vi ma tu th ti
phm v ma tu mi gim. H Lan, ngi ta th im m hnh cho
bn ma ty dng nh tho mn nhu cu ca ngi nghin, ng thi
y mnh gio dc tc hi ca ma tu. Tt nhin, do trnh dn tr ca
H Lan cao hn Vit Nam, nn nhng g xy ra ti H Lan cha chc
p dng c Vit Nam, song y cng l iu ng cho chng ta
suy ngh.
4.

Kinh t lut v n t hnh

Hin nay, nhiu ngi ku gi xo b n t hnh, v n vi phm n

quyn c sng, mt trong nhng quyn c tuyn b ti Tuyn
ngn c lp ca nc Vit Nam DCCH ngy 2/9/1945. Tuy nhin, cng
khng th ph nhn mt iu l n t hnh c tc dng nht nh trong
vic gim tnh trng phm ti, v rn e nhng hnh vi cc k nguy him
cho x hi. Cu hi ca cc nh nghin cu kinh t lut t ra l: liu n
122

t hnh c hiu qu cho x hi trong vic ngn nga ti phm hn l hnh

pht t hay khng?
Xt v kha cnh kinh t, th t hnh c th t tn km cho x hi hn
tuyn b mt ngi phm ti git ngi phi chu n t chung thn. Tuy
nhin, vn t ra l nu khung hnh pht c qui nh qu rng, n
ni k phm ti cnh khng bit mnh s chu n nh th no, v gi s c
b t hnh th trong bao lu mi phi thi hnh n, th t hnh khng gy
c n tng rn e cho nhng ngi c kh nng phm ti. Nh kinh
t hc ot gii Nobel, Gary Becker cho rng n t hnh ch c hiu qu
khi loi ti khp vo hnh pht t hnh c qui nh r rng, chc chn,
v khi ngi phm ti s b x mt cch nhanh chng.
CU HI:
1.

Khi no th mt hnh vi c xt x theo lut hnh s, thay v

lut dn s? Theo bn, tnh trnh hnh s ho quan h dn s
c em li hiu qu cho x hi khng, ti sao?

2.

Mt nh hot ng x hi Ba Lan, Jacek Kuron cho rng di

ch XHCN tp trung bao cp, i sng kh khn, th tnh
trng ti phm din ra t hn, t phc tp hn di ch kinh
t th trng, khi i sng no hn. Bn c ng
khng? Ti sao li nh vy?

3.

Bn nhn xt g v cu nhn c vi bt thin hay cu tc ng

bn cng sinh o tc theo quan im ca mn kinh t lut?

4.

Xt v kha cnh kinh t, th tnh trng phm ti pht sinh t

u? Nguyn nhn no l ch yu?

5.

Xt v kha cnh kinh t, th lm gim tnh trng phm ti,

cn phi tin hnh nhng bin php g? Tng hnh pht c lm
gim s lng ti phm khng, v sao?

123

CHNG 5: KINH T LUT V CC CHUYN NGNH LUT

THNG MI
I.

KINH T LUT V LUT T AI

1.

Vn thng nht qun l ca nh nc i vi t ai

t ai thuc s hu ton dn, do Nh nc thng nht qun l. Vic

qun l ca Nh nc c din ra trn nhiu cp , trong quan trng
nht l vic qui hoch s dng t. Xt v kha cnh quyn s hu, th
vic qui hoch s dng t hn ch quyn s dng ca ngi c quyn s
dng t. V vy, vic qui hoch s dng t phi c tin hnh mt
cch hiu qu, khng lm dng, trnh trng hp lm nh hng n vic
s dng t c hiu qu ca ngi c Giy chng nhn quyn s dng
t.
Vic qui hoch s dng t nc ta c tin hnh qua nhiu cp :
qui hoch tng th ca c nc, qui hoch a phng cp tnh, thnh ph
trc thuc Trung ng, v qui hoch cp huyn, x. Cu hi cn t ra
cho mn kinh t lut l qui hoch cp no th nn giao cho a phng,
cp no th nn giao cho Trung ng. Trn nguyn tc, a phng nm
nhu cu pht trin ca mnh tt hn Trung ng. V th, qui hoch a
phng th nn giao cho a phng qun l. Ngoi ra, cng qua nhiu
tng nc trung gian th chi ph giao dch cng tng. Dn dn, nn kinh t
da trn Chnh ph Trung ng nhiu qu s dn n km hiu qu. Tuy
nhin, iu ng lo ngi l khi phn quyn cho cc a phng, th nhiu
a phng nh qu khng sc mnh qui hoch (v cn ph thuc vo
nhiu yu t lin quan n cc a phng khc). Ngoi ra, nu khng c
nguyn tc chung v qui hoch th s dn n tnh trng mnh ai ny qui
hoch, ngi dn lm vo tnh cnh mt c hai ba trng, rt kh qun
l. V vy, mt trong nhng vn quan trng ca qui hoch l phi m
bo sao cho nhng qui nh v qui hoch l c th d on c v phi
nht qun vi nhau.
Ngoi ra, mt vn quan trng khc l khi tin hnh qui hoch, cn phi
th hin tnh dn ch, bi v mi ngi dn l ch bt ng sn ca mnh.
124

H c quyn c kin v vic khu vc ca h s c qun l nh th

no. Nu mt vng khng c qui hoch tt, h s chuyn sang vng
khc sinh sng. Hin tng mt s h dn trong TP H Ch Minh bn
nh ca mnh chuyn n sng ti Khu th mi Ph M Hng cho
thy vn ny. Bn cnh tnh dn ch, vic qui hoch mt th phi
c tin hnh nh mt ch nhn lm ch mnh t ca mnh. Vic qui
hoch lu nay c tin hnh mt cch h hng nh i vi mt ti sn
cng, nn t l thnh cng cha cao. C ngi cho rng S Quy hoch
Kin trc cng c th lm qui hoch tt, v d nh Chnh quyn Php
trc y qui hoch TP H Ni, lt, TP H Ch Minh kh tt. Tuy
nhin, nhng thnh cng phi c th hin xung quanh vic th
mi pht trin, vic ph v nhng kin trc cng khng gp phi chng
i no. Nhn li, vic qui hoch TP H Ni hay TP H Ch Minh cng
khng phi khng c nhng sai lm: thc dn Php san phng Thnh
H Ni v Thnh Ch Ho xy cc thnh ph. Mt thnh ph c
mc ln nhng nhng kin trc c c gi tr ca n - ging nh Thnh
Ni Hu ngy nay, khng cn.
Hin tng thnh cng ca Ph M Hng ny sinh ra mt cu hi th v:
ai nn lm qui hoch c quan qun l Nh nc hay mt cng ty cng
trnh th - c s h tng. C kin cho rng mt cng ty c s h tng
th c th lm qui hoch tt hn c quan nh nc v c quan nh nc
khng c c ch khuyn khch no thng cho nhng cn b qui hoch
tt. Trong khi , nu cc cng ty pht trin c s h tng cnh tranh vi
nhau th h s phi thu nhng nh qui hoch tt nht khu th ca
mnh c gi tr hn hn nhng khu th khc. Thng Hi, ngi ta
thu nhng cng ty kin trc ca Anh v Thy S xy dng nhng
ngi lng bao gm nhng cn h cao cp rp khun theo kiu Thnh ph
Bristol Anh hay Genve Thy S. M hnh ny khng nhng
thnh cng v mt qui hoch, m cn thnh cng v mt kinh doanh.
Trc y cc nh kinh t hc cng ch ra c s thnh cng ca m
hnh ny. H cho rng vic qui hoch cc th mi tt hn ht nn giao
cho cc doanh nghip pht trin th - cho d l doanh nghip nh nc
hay t nhn, hn l S Quy hoch Kin trc bao cp.
Ni nh vy khng c ngha l trong lnh vc qui hoch, chnh quyn
khng nn quan tm. i vi nhng cng trnh giao thng cng cng nh
125

tu in ngm, cu ng, sn bay, nht thit phi c s ch o ca c

quan nh nc. Nu khng c s ch o thng nht, s dn n s lng
ph, thiu ng b v thiu nht qun trong u t xy dng c bn. Nh
vy ngoi tr nhng cng trnh thuc v h tng c s v nhng cng
trnh cn phi c s phi hp gia cc khu th, cc cng trnh cn li
nn giao v cho cc doanh nghip pht trin h tng, min l p t cc
qui chun v xy dng mt cch thng nht, nh mt xy dng, bo v
mi trng, an ninh, bnh vin, trng hc, siu th, v.v. Kinh t lut
ng vai tr quan trng trong vic nghin cu ban hnh nhng qui nh
v qui hoch s dng t mt cch c hiu qu.
2.

Vn n b gii to

Do t ai thuc quyn s hu ton dn, Nh nc c quyn thu hi t

s dng vo mc ch cng cng v cc mc ch khc. Tuy nhin,
vn t ra y l lm th no gii quyt quyn li chnh ng cho
dn, v lm sao Nh nc khi lm dng quyn lc khi ra quyt nh
n b gii to. Cc vn cn nghin cu bao gm:
(i)

Trong trng hp no th Nh nc c php thu hi t;

(ii)

Khi thu hi t th nn n b cho dn nh th no cho hp l;

(iii)

Lm th no ngi dn s dng t c hiu qu v khng s b

ra quyt nh thu hi.

Trc tin, Nh nc nn c quyn thu hi t phc v mc ch cng

cng, khi mc ch tn ti. Th d, nu khng m rng ng th giao
thng s ch tc, ngi dn s mt nhiu thi gian, nng sut lao ng s
gim, nn kinh t khng pht trin c. Nh vy thu hi t l mt gii
php u t cho vic pht trin nu kinh t. Tuy nhin, trc khi i n
quyt nh thu hi t, Nh nc phi xem xt k xem vic ny c cn
thit hay khng v ch thc hin vic thu hi t khi l gii php cui
cng i vi mt vn . Ngoi ra, vic thu hi t cn phi c tnh
ton chi ph - li ch cho x hi. Vic thu hi t ch nn tin hnh khi
tng chi ph b ra cho vic thu hi nh hn so vi li ch m vic thu hi
t mang li.
126

Khng nhng thu hi t, Nh nc cn c quyn hn ch quyn s dng

t i vi mt s tha t, vi iu kin iu khng c nh hng
ln n gi tr ca khu t. Th d, Nh nc c th yu cu ngi c
quyn s dng t trong mt khu ph phi xy nh ca mnh theo mt
kin trc nht nh, phi tun th cc qui nh v qui hoch. Nhng vn
ny lin quan n vic hn ch quyn s dng t ca ngi dn, tuy
nhin hu ht cc nc u coi y l nhng qui nh cn thit v khng
nht thit phi bi thng thit hi cho ngi dn.
Th hai, khi Nh nc ra quyt nh thu hi t th ngi dn trong khu
vc b thu hi t bng nhin ri vo v tr c quyn, gy kh khn cho
Nh nc trong vic quyt nh n b gii to. Gi s 1000 h ri vo
din phi gii to, 900 h ng vi phng n n b, song 100 h
cn li cha ng . Do Nh nc tr tin n b cho 900 h v
ln phng n gii to nn bng gi no cng phi gii to cho c
100 h cn li. Khi , 100 h cn li c th nhn c ny m i tng gi
tin n b.
Nh vy l phi cng ch gii to i vi nhng h chy . Tuy nhin
vn n b vn cn . Phi n b cc h dn nh th no? i vi
vn ny c ba gii php: (i) n b theo gi th trng, (ii) n b bng
cch cung cp cho cc h dn nhng cn h ti nh c, v (iii) ch n
b mt phn, v cng chm tr trong vic tun th gii to th chi ph n
b s cng thp.
i vi phng n th nht, iu kh khn s l lm sao xc nh ng
gi th trng, v lm sao c tin tr theo ng gi th trng. Gi
th trng thay i tng ngy. Ngay khi c quyt nh gii to, gi nh
t xung quanh khu vc gii to tng v s tng lin tc. Ngi c
n b sm nht s l ngi chu thit hi nhiu nht. i vi nhng
ngi c n b sau th h i gi qu cao Nh nc c th c tin
tr. Ngoi ra, trong nhiu trng hp ngi dn c li t vic thu hi.
Th d mt cn nh trong hm ng Ng Tt T, Qun Bnh Thnh c
th bng nhin tr thnh nh mt tin mt i l ln do vic m rng
ng Nguyn Hu Cnh. Nu n b thit hi theo ng gi th trng,
th trn thc t ch nh c li ch khng b thit hi g c. Vic nh
127

gi n b phi cn c vo nhng li ch v thit hi ca ngi b thu hi

t. Nh vy, vic n b theo ng gi th trng l khng hiu qu.
i vi phng n th hai, vic cung cp nhng cn h ti nh c trn
nguyn tc l phng n tt, song cu hi t ra l nhng cn h c
tng ng vi nhng cn nh b gii to hay khng. Th d, mt ngi
c cn nh cp 4 c din tch 50 m2 v mt ngi c cn nh cp 3 c
din tch 75 m2 th khi nhn cn h ti nh c nn c x l nh th
no. y l iu cn phi xem xt. Tuy nhin, phng php ny c mt
im li l c th so snh tr gi ca hai cn nh: mt cn nh c (gi tr
trc khi cng b quyt nh gii to) v mt cn nh mi (cn h ti
nh c theo mc nh gi ca th trng bt ng sn). T , cc bn
c th thng nht c gi c bi thng, cng nh khon tin m Nh
nc c th h tr cho ngi dn di chuyn a im ti nh c.
i vi phng php bi thng thit hi th ba - kt hp tin bi
thng, ti nh c v thi gian gii to, y c th l phng php c
hiu qu cho Nh nc, c quan im lo ngi rng song cc c quan Nh
nc c th li dng phng php ny p dn phi di di vi chi ph
thp. V vy, khi thc hin phng php ny phi c cch nh gi ti
sn khi di di mt cch hiu qu. Nh ni trn, phng php nh
gi phi nu c im li cng nh im bt li ca ngi nh c (trc
khi gii to) v ngi nh mi (sau khi gii to). Trn nguyn tc, phi
cung cp cho ngi dn ch li ca vic gii to bng cch h tr chi ph
chuyn i trc khi p dng bin php cng ch gii to (Mc V.7
Chng 1).
II.

KINH T LUT V LUT MI TRNG

Mi trng l mt vn quan trng, nhng v l ti sn cng, nn

khng my ngi ng ra bo v (mnh th chng c g, m li ch th
thin h hng c). V th, t lu cc nh kinh t hc tranh ci xem
cch bo v mi trng nh th no. Pigou cho rng cn phi bt ngi
dn ng thu v nh nc s ng ra bo v mi trng cho ngi dn.
Coase phn i, cho rng Nh nc khng th bo v tt mi trng
c, v hai l do. Th nht, ngi dn s bt bnh, v ngi gy nhim
nhiu cng ng tin thu bng ngi khng gy nhim, nh vy h
128

khng di g m khng gy nhim. Th hai, Nh nc cng vn s phi

giao nhim v qun l cho mt s ngi qun l, v h khng c li ch
g t vic bo v. Cui cng, s dn n mt bi kch l ca chung khng
ai lo (tragedy of the common). Theo Coase, cch tt nht bo v mi
trng l t hu ho mi trng, ch s hu c th bo v quyn li
ca mnh mt cch hiu qu. Cch Coase ngh l nhng doanh nghip
gy thit hi cho mi trng phi ng chi ph bo v mi trng cho
cng ty bo v mi trng. Cng ty ny s s dng cc cng ngh ca
mnh xy dng cc trung tm x l cht thi.
Kinh t lut ng vai tr quan trng trong vic tm nhng gii php cho
vn mi trng, nh hng xy dng lut mi trng trc khi cc
nh lm lut xy dng lut mi trng. gii quyt vn ny, chng
ta cn t cu hi: ti sao cn phi c qui nh v bo v mi trng, lm
th no bo v mi trng mt cch c hiu qu? Cc qui tc ca
Coase v bo v quyn s hu hay qui tc ca Calabresi v Melamed v
bi thng thit hi c tc dng g khng?
Trc tin, nhim mi trng l nhng yu t ngoi vi (externality) ca
nn kinh t th trng. Cc yu t ngoi vi xut hin khi mt ngi c th
gy thit hi cho ngi khc m ngi khc khng lm g c bo v
quyn li ca mnh (khi php lut khng qui nh) th d nh gy
nhim mi trng. Nu khng c qui nh v bo v mi trng, khng ai
ng ra bo v mi trng, v tn km chi ph, m li ch th c x hi
c hng. Nh vy, mi trng cng l mt dng ti sn cng.
Bo v mi trng bng cch no? C ngi cho rng phi cm cc nh
my gy nhim mi trng. iu ny khng kh thi. Th gii phi c
cc nh my gy nhim mi trng. Nu khng th nn kinh t khng
th pht trin. V li, nu Vit Nam khng gy nhim, song Trung
Quc, Nga, M gy nhim, th liu hiu ng nh knh, thay i kh hu
v nhng h ly khc c xy ra khng? Nh vy, thay v cm cc nh
my gy nhim hot ng, php lut ca cc nc yu cu ngi gy
nhim phi c h thng x l cht thi mt cch c hiu qu. Tuy nhin
vn l ch chng ta kh bit h thng nh th no l c hiu qu. C
h thng khng hiu qu lm nhng gi r. C h thng hiu qu hn
nhiu, song gi qu t, doanh nghip khng th u t c. Vy nn
129

mua loi no? Hn na, Nh nc cng khng th no nm ht c cc

s liu v mi trng ra mt tiu chun c th nn p dng h thng
lc cht thi nh th no.
Ngay c khi Nh nc p dng c tiu chun cht thi, th cng khng
ai bit tiu chun y do ai quyt nh v c s no m h quyt nh nh
vy. iu ny l quan trng, v cc doanh nghip s khng tun th cc
quyt nh v mi trng nu cc quyt nh khng c tnh thuyt
phc cao. V vy, cc tiu chun c bn v cht thi thng thng l cc
tiu chun quc t, v Vit Nam phi tun theo. Tuy nhin nu p dng
cc tiu chun qu cht th nh u t nc ngoi s chuyn sang u t
Trung Quc hay Campuchia, ni tiu chun mi trng t ra thp hn.
C ngi cho rng tt nht l nn cho cc doanh nghip gy nhim mi
trng c quyn bi thng thit hi do mnh gy ra. i khi khon
bi thng thit hi cng khng ln bng chi ph c n lm trang b
h thng x l cht thi cho nh my. Khon bi thng ny c coi
nh mt khon thu mi trng nh ln cc doanh nghip gy
nhim. Cc x l nh vy hiu qu hn vic tnh gi tr thit hi v bi
thng, v cng kh ai bit c gi tr thc s ca thit hi l bao nhiu
i vi mt doanh nghip gy nhim. Ngoi cc khon thu, cc doanh
nghip hay cc a phng nn c quyn mua i bn li quota kh
thi ca mnh. Th d, nu tnh Ph Yn khng s dng ht tiu chun kh
thi ca mnh, th c th bn li cho TP H Ch Minh, v trn nguyn tc
kh thi t TP HCM s tri ni khp Vit Nam v tng lng kh thi trn
ton lnh th Vit Nam l khng i (xem nh l Coase, Mc V.3
Chng 1).
Lin quan n thu do nhim mi trng, hai vn c t ra, l lm
th no xc nh mc thu, v mc thu c lm tng nhn thc ca
doanh nghip v mi trng v khuyn khch h xy dng cc thit b x
l cht thi hay khng (Pigou, 1920). Chng ta hy tng tng mt
doanh nghip sn xut phi ng thu mi trng. Doanh nghip phi
tm cch thu li khon thu bng cch nng gi bn hng. Nhng nu
nng gi bn hng khng c th doanh nghip phi tm cch gim
nhim gim thu phi ng cho Nh nc, hoc chuyn sang ngnh
ngh kinh doanh khc. Nh vy ng thu l mt gii php hu hiu.
130

Coase cng cho rng ngoi vic ng thu, vic cho cc ch th t do

cnh tranh v tho thun cng gip cho vn nhim mi trng c
gii quyt. Khi mt ngi sn xut v gy nhim mi trng, ngi
khc chu thit hi song ngi gy nhim thu c khon li (nu
khng h khng gy nhim). Mt h thng php lut hiu qu l
phi tnh c li ch ca x hi khi xy ra nhim c ln hn thit hi
do nhim gy ra hay khng.
Th d, i b th t gy nhim mi trng hn i xe hi. Song li ch
ca vic i xe hi th ln hn rt nhiu so vi i b. Nh vy, chng ta
khng th v nhim m khng i xe hi. iu chng ta c th lm l
buc nhng ngi i xe hi phi ng mt khon tin bi thng cho
nhng ngi b thit hi do nhim, hay ng tin vo mt qu bo v
mi trng. Quan im ca Coase khc quan im ca Pigou ch i
vi nhng thit hi do nhim mi trng gy ra, cc bn c th t tho
thun c ch khng cn phi do nh nc can thip. Ngi i xe c
th bi thng cho ngi dn trong vng chu thit hi do nhim khng
kh gy ra. Ngc li, ngi dn mun hng khng kh trong lnh trong
th trn ca mnh s phi lm mt con ng vng cho xe chy ngoi th
trn, ng thi phi tr cp tin xng cho nhng ngi i xe do phi i
ng vng (thc t chuyn ny khng xy ra, v ch cn php lut qui
nh khng c i xe trong thnh ph l ngi i xe phi chp hnh).
Tuy nhin, nguyn tc ng thu hay bi thng thit hi do nhim c
mt nhc im, l nu ai cng ng thu, th vic mt hai ngi
mun gim thu bng cch trang b cc thit b lc kh thi cng chng
mang li ch li my cho x hi. l cha ni nu qu nhiu ngi
khng chu trang b thit b lc kh thi, nhng ngi khc s lm y nh
vy cho r. Ngoi ra, nguyn tc bi thng thit hi do nhim mi
trng gy ra khng th p dng c khi thm ho mi trng qu ln,
th d nh thm ho do s c nh my in nhn, s c trn du hay s c
r r cht c ho hc c th lm hng trm ngn ngi cht. Khi , cc
qui tc phng thm ho mi trng xy ra s phi nghim ngt hn so
vi thng thng, v xt v mt so snh li hi th phng bnh trong
trng hp ny r rng l tt hn cha bnh.

131

Hin nay, dng kinh t lut nghin cu cc vn v chnh sch mi

trng l mt lnh vc c nghin cu rng ri nhiu nc. Tuy nhin
cc nghin cu tp trung ch yu vo vic nh thu mi trng nh th
no hay mua i bn li quota kh thi nh th no. Rt t ngi nghin
cu nhng c ch khc bo v mi trng hay phng chng nhim,
nh bi thng thit hi do cc s c mi trng gy ra, mua bo him
nhim mi trng hay cc c ch khc. V vy, y l mt lnh vc rt
cn c tip tc nghin cu.
III.

KINH T LUT V LUT KINH DOANH BO HIM

1.

Bn cht lut kinh doanh bo him

Kinh doanh bo him l ngnh kinh doanh da trn ri ro. Khi hai bn k
hp ng (th d hp ng vn chuyn hnh khch), c mt vn khng
bn no mun chu ri ro (th d tai nn v thit hi xy ra cho khch), th
h s ngh n chuyn mua bo him v y ri ro cho cng ty bo
him. Khi mt ngi hng ngy tin hnh cc hot ng dnh ti ri ro,
h mun mt ngi khc lnh trch nhim chu ri ro khi h gy tai nn,
hoc php lut mun phi c bo him ngi b thit hi d dng i
c khon tin bo him. Nh vy, mc ch ca vic k kt hp ng
bo him l cc bn c th yn tm vi nhau trong giao dch, lm gim
chi ph thc thi quyn khi thit hi xy ra, cng l mt dng chi ph
giao dch. Ni theo ngn ng ca Coase, th bo him l mt cng c
lm gim chi ph giao dch (xem Mc V.4, Chng 1).
Bo him c chia thnh nhiu loi ri ro: bo him nhn th v phi
nhn th, trong bo him phi nhn th cng chia thnh nhiu loi ri ro
khc nhau: bo him trch nhim dn s i vi bn th ba, bo him ti
sn, bo him chy n, bao him tai nn lao ng, v.v. Mt s bo him
mang tnh bt buc, nhm gim chi ph giao dch gia ngi gy thit hi
v ngi b thit hi. Ngoi ra, chc nng ca bo him cn l vic chia
s ri ro. Nu nhiu ngi cng chung sc gnh chu ri ro th ri ro s
nh i i vi tng ngi. Vn cn nghin cu ca kinh t lut l loi
bo him no nn c coi l bo him bt buc v mc bo him bao
nhiu th l va .
132

Vic cng ty bo him sn sng chu bo him hn ngi mua bo him

khng c ngha l cng ty bo him thch ri ro (risk-preferred) hn
ngi mua bo him. Cng ty bo him ch chu bo him i vi nhng
ri ro m h c th d on trc xc sut. C nhng ri ro bo him
c, c nhng ri ro c th gy nn thit hi qu ln, khng th bo
him c, th d nh ri ro do chin tranh gy ra nhng vng nhy
cm nh vng Vnh Ba T. Chnh v mun qun l ri ro, m trong hp
ng gia cng ty bo him v ngi mua bo him lun c nhng qui
nh cht ch v nhng s kin khng chu bo him, v nhng yu cu
buc ngi mua bo him phi thng bo mi thng tin mnh bit v ri
ro. Chng ta thy rng ngi mua bo him bit nhiu v ri ro hn cng
ty bo him, v th s xy ra tnh trng thng tin bt i xng. Nu khng
gii quyt c tnh trng ny th cc tho thun gia hai bn s khng
hiu qu. i tng nghin cu ca kinh t lut l lm th no bit
c thng tin. Stiglitz (1990) cho rng mt trong nhng bin php ny
l thanh lc (screening), tc l cung cp nhiu mc ph bo him khc
nhau. Nhng ngi thy kh nng xy ra ri ro ca mnh cao s c
khuynh hng mua nhng bo him t tin hn. V th, cng ty bo
him hng nm s phi cn i danh mc bo him ca mnh v tng
thm tin bo him i vi nhng ngi tng b/gy tai nn hay nhng
ngi tng c nhn tin bo him. y l mt ngnh khoa hc kinh
t tng i th v v gn lin vi l thuyt xc sut thng k. Kh nng
ng dng ca n trong lut l vic c nn cho php cng ty bo him a
ra nhng iu khon min tr trch nhim v l hay khng. Th d, vic
mt ngi mua bo him qun khng khai nhng ln i nc ngoi ca
mnh c phi l l do cng ty bo him t chi tr tin bo him khi s
kin bo him xy ra khng? Trong mt v tranh chp c thc gia cng
ty bo him Prudential (Vit Nam) v gia nh c ca s L Dung, cng ty
Prudential t chi tr tin cho con trai ca s L Dung sau khi ca s qua
i v ung th. L do c cng ty Prudential a ra l v L Dung
khai trong hp ng bo him rng mnh cha bao gi i nc ngoi,
trong khi thc t L Dung i cng tc nhiu ln. iu cn ni l gia
bnh ung th v i nc ngoi hu nh khng lin quan n nhau, song
Prudential vn t chi tr tin, v c iu khon ghi r rng trong
trng hp c bt k li khai no trn y khng ng vi s thc th hp
ng bo him s v hiu. Cu hi ca kinh t lut t ra l c cn thit
phi cho php cng ty bo him a ra nhng iu kin nh vy khng.
133

Cu hi tip theo l trong trng hp no th nhng iu kin a ra nh

vy l hp l. Th d, c nhng iu khon ny l qun l ri ro cho
cng ty bo him. Ngay c trong trng hp , th cng phi qui trch
nhim cho i l bo him, xem h c gii thch r cho khch hng v
ngha ca nhng iu khon hay khng. V nh vy, vn cn nhng
vn lin quan n chi ph giao dch v thng tin bt i xng cc
nh nghin cu kinh t lut c th khai thc trong cc qui nh ca php
lut v kinh doanh bo him.
Tm li, kinh t lut ng vai tr quan trng trong ngnh bo him mt
ngnh lin quan nhiu n phn tch ri ro, phn tch hnh vi u tr, cng
nh phn tch cc c s tin hnh nhng chin lc u t lin quan
n khon tin thu c t bo him. Nhim v ca kinh t lut l lm
sao gii quyt c nhng sai st trong vic la chn ngi c bo
him v tnh ph bo him cho ngi (adverse selection). Nhim v
c thc hin nh th no?
2.

Thc hin nhim v ca kinh t lut trong vic nghin cu lut kinh
doanh bo him

Bo him trc tin v bn cht kinh t l mt nh ch nhm n b ri

ro cho nhng trng hp mt c nhn hay mt ch th khng th gnh
chu c ton b ri ro. S tin chu ri ro ph thuc vo nhng ngi
ng bo him, cng nh s tin thu c t sn xut kinh doanh ca
cng ty bo him. Hnh vi ca nhng ngi ng bo him c th c
coi l hnh vi tp th (collective action), trong c mt tp th u c
nhng hnh vi ging nhau v da trn nhng nim tin nh nhau (belief).
Nu nim tin khng vng chc th ton b h thng bo him ca cng
ty s sp . nim tin vng chc, cng ty bo him phi chng t
c uy tn ca mnh bng cch qun l ri ro cho tt v hn ch nhng
trng hp gian ln trong bo him.23
Nhng trng hp gian ln bo him xy ra khi mt ngi bit trc
v ri ro chc chn s xy ra, hoc mt thit hi xy ra xong khng
thng bo cho cng ty bo him, nhm lnh khon tin bo him khi khai
23

u tr v Lut, sd, tr. 31.

134

bo. V bn cht, cc trng hp gian ln bo him xy ra khi mt bn

(bn c bo him) c nhiu thng tin hn bn kia (bn bo him).
hn ch iu ny, hp ng bo him c th c nhng iu khon ghi r
bn cht ca mi quan h, trong tha nhn rng bn c bo him
nm nhiu thng tin hn bn bo him, v vic bn c bo him che
du nhng thng tin m bn bo him cn bit l c s bn bo him
tuyn b hp ng bo him v hiu v khng chu trch nhim v thit
hi xy ra. Trng hp bo him ca ca s L Dung (xem trn y) lm
mt th d. Cc hp ng bo him v vy c coi l nhng hp ng
trong cc bn phi tuyt i trung thc (utmost good faith). c tnh
ny c tha nhn php lut hu ht cc nc trn th gii. Tuy
nhin, cc iu khon ny cng cha chc hn ch c vic gian ln bo
him, v i khi cng ty bo him cng khng th kim chng c ht
nhng trng hp che du thng tin.
Th hai, bn bo him c th dng cc th thut tm kim thng tin
nh lm h thng lc (screening), trong bn bo him c th a ra
nhiu phng n cho bn c bo him la chn, tuy nhin khng thng
bo hu qu ca vic la chn. Thng qua vic la chn ny, bn bo
him s nm c nhng thng tin m h mun kim chng. Tuy nhin,
vn ny thuc v th thut nhiu hn l v cc qui nh php lut.
Ngoi cc bin php bo v bn bo him, php lut cng quan tm n
cc bin php bo v ngi c bo him. Nu cng ty bo him ph
sn, hng triu ngi s b nh hng. Nim tin ca mi ngi v h
thng bo him (c s ca collective action) s gim st v h s khng
mua bo him na, dn n v hng lot. Lm sao ngn chn c
hin tng ny. Mt ln na, cc nghin cu v kinh t c th gip cc
nh lp php tm hng gii quyt hp l. Trc tin, cc cng ty bo
him phi l nhng cng ty c uy tn v t kh nng ph sn. Nu cc
cng ty l cc cng ty nc ngoi th phi cam kt lm n lu di ti
Vit Nam v c phng hng x l hu qu nu rt khi Vit Nam.
Trng hp cng ty bo him Allianz ca c rt khi Vit Nam l mt
th d c th. L ra trc khi cp php cho Allianz, B Ti chnh nn c
mt s yu cu c th v thi gian hot ng ti Vit Nam, ng thi cc
tiu ch t cng ty c th bi hon cho nhng ngi mua bo him
khi quyt nh rt khi Vit Nam. Ngoi ra, vic kim tra tnh hnh ti
135

chnh ca cng ty bo him cng phi thc hin k hn, thng xuyn
hn cc cng ty bnh thng. Sau cng php lut ca cc nc cng cho
php mt s u i i vi cc cng ty bo him - th d nh cc tha
thun phi cnh tranh gia cc cng ty bo him trong mt chng mc c
th c min tr, nu nh l iu cn thit bo him ri ro cho
ngi c bo him cng nh cho php cc cng ty c th ti bo him
ca nhau.
IV.

KINH T LUT V LUT CNH TRANH

1.

L thuyt v cnh tranh v mn kinh t lut

Kinh t l mn hc nh hng nhiu nht n lut cnh tranh. lm tt

vai tr lut s v lut cnh tranh, cn nm vng cc khi nim v kinh t.
Lut u tin v cnh tranh trn th gii l lut chng c quyn ca Hoa
K nm 1890 (Lut Sherman). Nn tng kinh t ca lut ny l cc m
hnh kinh t ca Adam Smith (1776), Cournot (1838) v Edgeworth, theo
mt nn kinh t ch pht trin tt nu c cnh tranh, v vic mt doanh
nghip nm v tr thng lnh trong mt ngnh cng nghip s khin gi c
trong ngnh cng nghip tng cao v ngi tiu dng b thit hi. Tuy
nhin, sau cc nh kinh t hc khng ngng pht trin m hnh
nghin cu v lut cnh tranh v c nhiu ng gp ng k.
ng gp u tin l m hnh S-C-P (cu trc - structure, hnh vi
conduct, v kt qu - performance) ca Joe Bain (1968). Theo Bain, cc
doanh nghip trn th trng c nhng hnh vi khc nhau ty thuc vo v
tr ca h. Nu h cng thng lnh th trng th hnh vi ca h cng c
lp vi hnh vi ca cc doanh nghip khc trn th trng. Tm li, cc
doanh nghip mun cnh tranh vi nhau tt th Nh nc phi iu chnh
cu trc ca th trng sao cho khng doanh nghip nghip no c nm
gi mt t l th phn qu cao khuynh o th trng. L thuyt ca
Bain c nh hng su rng n lut cnh tranh ca hu ht cc nc
trn th gii, khi xem xt hnh vi phi cnh tranh ca cc doanh nghip
da trn th phn ca cc doanh nghip . Bain cng cho rng cu trc
ca th trng khng ch ph thuc vo th phn m cn ph thuc vo
cc ro cn th trng (barrier to entry). Chnh vic cc doanh nghip
kh tham gia vo th trng khin cho cc doanh nghip hin ang
136

trong th trng cng tr nn t ph v c c hi lm dng v tr thng

lnh ca mnh.
i nghch vi cch suy ngh ca Bain, cc nh kinh t hc thuc trng
phi Chicago, c th l cc nh kinh t ot gii Nobel nh George
Stigler (1968), Milton Friedman (1970) v cc thm phn nh Robert
Bork (1978) v Richard Posner (1989) c cch nhn khc v cnh tranh
trn th trng. Theo h, cnh tranh khng phi l mc ch ca lut, m
ch l cng c em li li ch cho ngi tiu dng. C nhiu trng
hp cnh tranh lm ngi tiu dng c hng sn phm vi gi thnh
h. Tuy nhin cng nh mt cuc u bng , cnh tranh cng sn sinh
ra ngi thng k thua. l qui lut t nhin ca Darwin. Khng ai c
th i ngc li qui lut bng cch trng pht ngi thng v nng k
thua. Ci m chng ta c th lm c l lm sao cho cuc chi c
tin hnh mt cch cng bng. Theo Stigler v Bork, mt doanh nghip
khi tham gia vo th trng ng nhin lm c hi ca doanh nghip
khc nh i. Ngoi ra, mt doanh nghip mun tham gia vo th trng
cng phi c mt s vn nht nh. Vy nhng yu t nh kh khn ti
chnh hay cu trc th trng bn thn n khng th l ro cn th trng
nh Bain suy ngh. Ch c nhng yu t m mt doanh nghip c song
doanh nghip khc khng c mi c th tr thnh ro cn th trng, th
d nh giy php u t hay vn bng bo h c quyn sng ch. Ngoi
ra, vic mt doanh nghip chim v tr thng lnh do doanh nghip l
doanh nghip lm n hiu qu nht, nh Microsoft, hay Kinh ca Vit
Nam, th khng th coi h l mi e do ca ngi tiu dng nh Bain
suy ngh. Ni tm li, lut cnh tranh ch trng pht nhng hnh vi lm
dng v tr thng lnh, ch khng nn i qu xa ti mc iu chnh c cu
trc cnh tranh.
Gn y, xut hin mt thut ng mi v cnh tranh, l khi nim
kinh t mi (new economy) ca Brian Arthur (1996) ch cc ngnh
cng nghip mng (network economy) nh cng ngh thng tin hay cc
ngnh cng nghip gn vi cng ngh thng tin. Trong nn kinh t mi,
cc khi nim kinh t c in c coi nh khng cn ng na, cc
doanh nghip khi a ra sn phm mi phi nhanh chng chim lnh th
trng v cng nhiu ngi s dng sn phm ca mnh th mng li ca
mnh cng c gi tr. y l l do ti sao Viettel Mobile (Cng ty in
137

thoi Di ng Qun i) tm mi cch tng s lng thu bao n mc

chng mt, hay cc doanh nghip in thoi di ng thi nhau tng in
thoi hay gim ga cc cnh tranh. Trong nn kinh t mi, vic lin
thng kt ni gia cc mng l cc k quan trng, v th gi kt ni v
quyn kt ni l nhng yu t c a ln hng u. Khi cc doanh
nghip cha c kh nng pht trin mt h tng c s tng ng vi h
tng ca mt doanh nghip sn c, th doanh nghip phi m bo ni
mng cho doanh nghip mi gia nhp th trng. cng l l do ti sao
Viettel tranh chp vi VNPT (Tng cng ty Bu chnh Vin thng Vit
Nam) v kh nng kt ni. Khi p dng cc qui tc ca nn kinh t mi
vo th trng, cn lu n yu t sng to (innovation). y l yu t
c nh kinh t hc ngi o Joseph Schumpeter (1942) nu ra, theo
ng lc ca ch ngha t bn l t do sng to. Nu khng c sng
to hay khng cn ng lc sng to th cc doanh nghip s khng th
pht trin. sng to doanh nghip phi c mt s vn v tim lc kinh
t nht nh. V th, cc qui nh cn tr doanh nghip sng to pht
trin, k c cc qui nh v lut cnh tranh, cn phi c xem li.
2.

Qui nh gi sn phm ca cc doanh nghip

Thng thng, gi c sn phm c xc nh thng qua cnh tranh. Tuy

nhin kinh t lut cn tm hiu xem cc doanh nghip nh gi sn phm
ca mnh nh th no, trnh trng hp khuyn khch doanh nghip
u t khng ng hng sau phi cnh tranh v gi bn bn
tho sn phm ca mnh hoc c tnh h gi tiu dit i th cnh
tranh. Ngoi ra, cng cn quan tm n nhng hnh vi lm dng v tr
thng lnh bng cch n nh gi, ng thi xem xt khi no th cc hnh
vi nn b cm v khi no th c php tin hnh cc hnh vi ni trn.
Sau cng, i vi mt s mt hng Nh nc phi qun l v gi, v cc
mt hng ny c gi tr chin lc v nh hng n ton b nn kinh t.
Cc mt hng nh vy bao gm xng du, gi cc bu chnh vin thng,
gi in, nc. Cu hi ca nh kinh t lut t ra l nn nh gi cc mt
hng ny nh th no.
Thng thng, cc doanh nghip sn xut sn phm sinh li. V th gi
ca sn phm phi b p chi ph v pht sinh li nhun. Tuy nhin
khng phi bao gi cng phi nh vy. i vi hng ho khng cn
138

kh nng tiu th th phi bn thm ch thp hn gi vn thu hi vn

v quay vng tin, nu lu s tip tc tai hi. Nh vy, gi sn phm
cn ty thuc vo mc chp nhn ca th trng. Khi th trng chp
nhn tr gi cao cho mt sn phm, cc doanh nghip s tp trung u t
vo sn phm , gy khng hong tha. Nh vy, nh nc c cn phi
tham gia iu tit gim bt u t vo sn phm khng? y cng
l cu hi dnh cho cc chuyn gia ca B Cng nghip i vi vic hn
ch u t cho cng nghip t trong nc.
Ngoi ra, i vi mt s sn phm hng ho thuc hng quan trng chin
lc, nh hng n nhiu ngnh cng nghip, cc nh lm lut thng
c khuynh hng n nh gi c i vi nhng sn phm . Tuy nhin,
khi c ch t nhn ho cc ngnh sn xut, dch v then cht xy ra trn
khp th gii, v th d r nht l ngnh bu in Nht Bn, dn n vic
gii tn Chnh ph ca Th tng Koizumi va qua, cho thy cch tt
nht qun l gi khng phi do nhng ci u thng thi ca Chnh
ph, m l do bn tay v hnh ca th trng.
Tm li, cch thc m Chnh ph iu hnh gi c hin nay ch yu da
vo th trng. mt s ngnh hng ho hay dch v, Chnh ph khng
iu hnh gi da trn chi ph to ra sn phm, m da trn cc tiu ch
khuyn khch cc doanh nghip cnh tranh gim gi cho ngi tiu
dng. mt s ngnh quan trng, Chnh ph n nh gi ti thiu (th d
ngnh vin thng). mt s ngnh khc, cc hip hi n nh gi ti a
(th d gi cc taxi). Cch thc iu hnh gi nh vy l cc doanh
nghip c ch ng trong vic nh gi sn phm ca mnh, ng thi
em li li ch cho ngi tiu dng bng cch n nh gi ti a v ti
thiu. Vn nghin cu tip theo ca ngnh kinh t lut l tm cc m
hnh n nh gi ti thiu v ti a tt nht.
3.

Kinh t lut i vi cc doanh nghip c quyn trong qu trnh

cnh tranh

Vn v cc doanh nghip tr thnh c quyn trong qu trnh cnh

tranh t nhin (natural monopoly) lun l ti tranh ci si ni gia cc
nh kinh t lut. Mt mt, chp nhn qu trnh cnh tranh l chp nhn kt
qu ca chng, tc l doanh nghip no lm n c hiu qu th s li th
139

trng, doanh nghip no km hiu qu s b loi khi th trng. Mt

khc, vic mt doanh nghip tr nn qu ln cng lm cn tr s pht
trin ca cc doanh nghip khc, cho d cc doanh nghip sau ny c
thc s mun lm n hiu qu. Cu hi t ra l: lm th no trnh
nhng h qu tiu cc ny sinh cho ngi tiu dng mt th trng ch
c vi doanh nghip tr nn c quyn do nhng n lc ca h.
Thc t cho thy phn ln nhng ngnh cn cng ngh, cn vn, ch c
mt vi doanh nghip c th tr li trong thi gian di. Khi mi pht
minh ra xe hi, c hng trm, thm ch hng nghn doanh nghip sn xut
xe hi trn ton th gii. Ngy nay, s lng cc hng xe hi danh ting
ch cn li vi chc. Khi mi pht minh ra my bay, c hng trm cng
ty trn th gii lao vo sn xut my bay, hin nay ch cn li hai cng ty
hng mnh nht, l Boeing v Airbus. Nhng nhn nh tng t c
th a ra trong nhng ngnh cng nghip khc nh ng tu, sn xut vi
mch (microchip) hay phn mm my tnh. Cc doanh nghip ny tn ti
c v khng ngng u t nghin cu pht trin, h gi thnh sn
phm, cung cp cc sn phm cht lng hn. Thm ch, Joseph
Schumpeter (1942) tng cho rng ng lc pht trin ca loi ngi
chnh l khoa hc cng ngh, ch khng phi qu trnh u tranh giai cp.
Tuy nhin, qu trnh pht trin, ni nh Joseph Schumpeter, cng ng
thi l qu trnh tch lu vn. Doanh nghip no cng tch ly c nhiu
vn th cng d nghin cu v pht trin. Mt khi khng nm c cng
ngh trong cc ngnh k thut cao th vic cc doanh nghip s b loi ra
khi th trng ch cn l vn thi gian.
Th nhng, Coase (1937) cng ch ra rng khi doanh nghip ln n mt
mc no , n s tr thnh gnh nng cho x hi. B my doanh nghip
cng knh s dn n chi ph cao, hot ng phng ban, c cu t chc
nng n s nh hng n s t do sng to ca cc cn b khoa hc
trong doanh nghip. Leibenstein (1960) cho rng cc doanh nghip ln
mt khi chim lnh th trng th ng lc u tranh sinh tn khng
cn, h m ra t mn, t kiu v bt u lm vic km hiu qu, thm
ch bc lt ngi tiu dng. C v s nhng l do km hiu qu cho
nhng doanh nghip ln m Leibenstein gi l s km hiu qu X (X140

inefficiency). Vn ca php lut l lm th no qun l c nhng

doanh nghip ny mang li hin qu cho nn kinh t.
Gia trng phi ca Schumpeter, ng h cc doanh nghip tr nn mnh
hn nh qu trnh tch ly vn, v trng phi ca Leibenstein, cho rng
cc doanh nghip ln bao gi cng t ra km hiu qu, ai ng v ng
n mc no? y l mt cu hi cha c li gii p. Nhiu quc
gia nh Nht Bn v Hn Quc pht trin da trn m hnh ca
Schumpeter, xy dng nhng tp on hng mnh c kh nng cnh tranh
cao trn trng quc t, c trnh khoa hc k thut. Cc quc gia khc
ng h Leibenstein nh i Loan v Singapore pht trin t nc da
trn cc doanh nghip va v nh. C hai nhm u c nhng thnh cng
nht nh. Tuy nhin, c mt thc t khng ph nhn c rng khi nn
kinh t tr nn cnh tranh hn, yu cu phi sng to nhiu hn th cc
cng ty ln tr nn nng n, kh xoay x, do l b vn qu ln vo
nhng d n km hiu qu. Khng hong kinh t nm 1997 bc l s
suy thoi ca cc tp on kinh t ti Nht Bn v Hn Quc, trong khi
nn kinh t nng ng ca i Loan v Singapore li ng vng v pht
trin. T , ngi ta thy cn kim sot cht ch hn na cc doanh
nghip ln, phng cc doanh nghip ny dng sc mnh ca mnh
chn p cc doanh nghip nh, sau tr nn t mn v km hiu qu.
Vn l phi kim sot nh th no. Cc tiu ch t ra ca lut cnh
tranh l nh sau:
-

Th nht, cc doanh nghip c v tr thng lnh khng c php

dng ro cn ngn cc doanh nghip nh xm nhp th trng
cnh tranh;
Th hai, cc doanh nghip c v tr thng lnh khng c php li
dng u th ca mnh gy thit hi cho ngi tiu dng nh nng
gi thnh sn phm, p t cc iu kin mua bn bt hp l; v
Th ba, cc doanh nghip c v tr thng lnh phi c mt s ngha
v i vi x hi, thc y kh nng cnh tranh v sng to ca
cc doanh nghip va v nh.

Trn y l nhng nh hng ln. Tuy nhin c th ho nhng nh

hng ny trn thc t nh th no l vn cn c nhiu nh kinh t
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lut nghin cu, vn dng sng to cc hc thuyt kinh t vo tnh hnh

Vit Nam.
4.

Kinh t lut v vn tp trung kinh t

Cc thnh vin trong doanh nghip c th chuyn nhng vn. Vic

chuyn nhng vn xy ra vi hu qu dn n thay i quyn kim sot
doanh nghip. Mt trong nhng vn nh nc quan tm l kh nng
tp trung kinh t ca cc doanh nghip ln c th dn n thao tng th
trng. Tuy nhin, nhiu hc gi nhn vn tp trung kinh t mt cch
khc nhau. C quan im cho rng khng nn chng tp trung kinh t, bi
l bn thn s tp trung kinh t khng gy nh hng g n cnh tranh.
Ch c hnh vi ca doanh nghip c quyn mi gy nguy hi n cnh
tranh. Vi quan im ny, Hoa K cho php nhiu v sp nhu m y
ban Chu u phn i. V sp nhp gia General Electric (GE) v
Honeywell nm 2002 l mt in hnh. HoneyWell l mt trong nhng
doanh nghip sn xut ng c turbine (cho my bay trc thng hay xe
tng) ln nht th gii. GE khng sn xut ng c cho my bay trc
thng. Tuy nhin y ban Chu u lo ngi rng vic tp trung kinh t
gia GE v Honey Well s dn n vic lin doanh ny s kim sot th
trng ng c turbine cho my bay phn lc, v Honey Well hin cng
cung cp mt s cng ngh cho i th cnh tranh ca GE nh Rolls
Royce hay Pratt Whitney. V vy vic tp trung kinh t gia GE v
Honey Well b cm tin hnh ti Chu u. Do Chu u l mt trong
nhng th trng ln nht th gii, v vy vic cm sp nhp din ra
Chu u dn n vic sp nhp ton cu ca GE v Honey Well b tht
bi. Hoa K ch trch cch x s ca Chu u, v cho rng l ra GE
v Honey Well ch cn cam kt s cung cp cng ngh cho cc i th
cnh tranh ca GE trn tinh thn bnh ng.
V.

KINH T LUT V LUT DOANH NGHIP

1.

Kinh t lut v l thuyt v doanh nghip (theory of the firm)

L thuyt v doanh nghip t lu tr thnh ti nghin cu th v ca

cc nh kinh t lut. Nm 21 tui, chng sinh vin Trng Kinh t
London (LSE), sau ny tr thnh nh kinh t hc ot gii Nobel Ronald
142

Coase vit bi bo khoa hc ni ting Bn cht Doanh nghip The

Nature of the Firm (1937). ng t cu hi: ti sao loi ngi phi thnh
lp doanh nghip? Doanh nghip sau khi thnh lp pht trin nh th
no, v n mc no th nn dng li, ti sao? Cu hi ny vn khng
km phn quan trng cho cc nh hoch nh kinh t ngy nay, trong vic
m rng t do kinh doanh cho cc doanh nghip, xy dng mt nn kinh
t th trng nh hng x hi ch ngha.
Coase tm ra mt khi nim sau ny tr thnh kinh in l chi ph
giao dch. Coase cho rng doanh nghip l mt s th hin cao cp ca
hp ng gia cc thnh vin ca doanh nghip . Bn hp ng ny
c gi l bn iu l. Cc thnh vin cn phi tp hp li vi nhau
chung vn, chung sc cnh tranh. Khi cc thnh vin thnh lp c
doanh nghip th chi ph giao dch gia h gim. Sc cnh tranh tng ln.
ng thi, chi ph giao dch gia doanh nghip ny v doanh nghip kia
cng gim so vi vic tng thnh vin cng tc vi nhau mt cch ngn
hn trn th trng (thng qua cc giao dch nh mua bn, dch v, v.v.).
Coase pht biu: bn cht ca doanh nghip l s tho thun gia cc
thnh vin lm gim chi ph giao dch ca mnh trong nn kinh t c cnh
tranh.
Tuy nhin, khi doanh nghip ln n mt mc nht nh th b my tr
nn cng knh. Chi ph giao dch trong ni b li tng. Lc by gi,
doanh nghip phi tm cch khc qun l chi ph giao dch tt hn, th
d nh tng cng giao vic cho cc doanh nghip ngoi. Cc tp on
ln nh Nike v McDonald thc hin nh vy. Nike hu nh khng t
mnh sn xut, m ch giao hp ng cho cc doanh nghip khc nh
Pouchen hay Pouen gia cng. McDonald s dng thng hiu ca
mnh xy dng h thng nhng quyn.
Ngoi ra, Samuelson (1954) cn nhn ra rng mt doanh nghip khi bt
pht trin s pht sinh s xung t v li ch gia ch s hu doanh
nghip v ngi qun l doanh nghip (principal agent conflict of
interests). M hnh doanh nghip l hp ng gia cc thnh vin ca
Coase khng cn ng na. Thay vo , doanh nghip thc s do
ban qun l lm ch (Hi ng Qun tr cng ty c phn, hay Ban Gim
c cng ty trch nhim hu hn). Ngi qun l nm c nhiu
143

thng tin v doanh nghip m chnh ch s hu cng khng nm. Ngi

qun l c th s dng ti sn ca doanh nghip theo cch m chnh ch
s hu cng khng th s dng. Nh vy ly g m bo rng ch s
hu khng b ngi qun l li dng. Php lut trong trng hp ny
phi qui nh th no s xung t li ch gia ch s hu v ngi
qun l gim i, thng qua ba c ch (i) phn nh r rng quyn s hu,
(ii) minh bch trong qun l, v (iii) thng pht cng minh.
LUT DOANH NGHIP THNG NHT
V VN QUN L DOANH NGHIP
L Nt
u l 3 vn quan trng nht trong vic qun l mt cng ty? Cu hi
c a ra trong hi tho ca cc gim c Tng Cng ty Dt May (Vinatex)
ngy 2/6/2005. Nu t ra ngoi cc vn ngoi tm kim sot ca cng ty
nh tnh th trng, ba vn ct t c thng nht nu ln l (i) quyn s hu
trong doanh nghip, (ii) tnh minh bch trong cc quan h, v (iii) ch
thng, pht cng minh. cng l nhng vn c bn nht cc cng ty
trn th gii trong qun l doanh nghip (corporate governance). ng tic l
c ba vn ny vn cha c quan tm ng mc trong d tho Lut Doanh
nghip Thng nht.
Xt v quyn s hu ca doanh nghip v tnh minh bch ca cc quan h, d
tho cn nu ln c y cc quyn ca ch s hu v cch gii quyt tranh
chp gia cc ng ch s hu. Ch s hu ca mt cng ty l cc thnh vin
(i vi cng ty TNHH) v cc c ng (i vi cng ty c phn) (gi chung l
c ng). Thng thng, ch s hu c quyn chim hu, s dng, nh
ot ti sn ca mnh. thc hin c cc quyn trn ch s hu phi c
thng tin y c th ra quyt nh. Trong d tho Lut Doanh nghip
Thng nht, nhu cu c nm thng tin ca c ng rt t c cp. C
ng thng thng ch c xem bin bn cc i hi c ng, c ng nm
trn 10% s vn mi c xem bin bn hi ng qun tr (HQT) ca cng ty
(iu 72). Tt c cc thng tin m c ng cn bit nht nh bo co ti chnh,
tnh hnh hot ng, cc giao dch hay quan h phi k khai th ch c thng
bo cho HQT v Ban Kim sot (khi c yu cu). C ngi cho rng nu mi
c ng u nm c cc thng tin trn th i th cnh tranh c th cho ngi
vo cng ty vi danh ngha c ng quy ri. S lo lng nh vy khng c
c s. Cc bo co ti chnh ca cng ty khng c g l b mt (thng phi gi
n Cc thu v cc c quan chc nng khc). Nu i th cnh tranh mun
144

bit cc thng tin ny, h vn c th c nhiu cch bit. Hoa K, tt c cc

thng tin v ti chnh ca phn ln cc cng ty u c th c cng ty Dun &
Bradstreet cung cp ti www.dnb.com. iu ny lm tng tnh minh bch trong
qun l cng ty v tng nim tin ca nh u t.
Ngc li, nu cc c ng khng c thng tin y th lm sao h c th
ra quyt nh ng n? Khi , quyn ca ch s hu ch l hnh thc, m
quyn lc chnh s nm trong tay HQT (iu 101). Nh th vn cn may, v
thnh vin HQT d sao vn l nhng c ng ln ca cng ty. Song cc vn
kinh doanh hng ngy li c giao cho tng gim c (iu 109). Tng
gim c lc ny phi thc hin hai nhim v, mt l thc hin ngh quyt ca
HQT ( ch ca cc c ng ln) v hai l phc v cho li ch ca cng ty (tt
c cc c ng) (iu 112). Liu hai li ch ny c i chung vi nhau? Nn
chng qui nh gim c phi l ngi c lp v phc v li ch cng ty khi
c mu thun gia li ch mt s c ng v li ch ca cng ty th gim c
phi quyt nh sao cho c li cho cng ty v a vn ra i hi c ng gn
nht (business judgement rule). Nu khng, th gim c s ch phc v li ch
ca c ng chim a s, gy thit hi cho c ng thiu s. Th d, trong mt
cng ty lin doanh, l ra Tng gim c phi phc v li ch chung cho cng ty,
th li ch phc v li ch ca nh u t chim a s vn (thng l nh u t
nc ngoi). Hu qu th no th chc bn Vit Nam trong cc lin doanh trn
r.
Ngoi ra, gim c v HQT phc v li ch cng ty, th h phi c lp v
khng b mt c ng ln thao tng. Cc nguyn tc qun l cng ty tt
(Principles of Good Corporate Governance) ca OECD cng qui nh: gim c
cng nh a s thnh vin HQT phi l ngi c lp (vi quyn li ca c
ng).24 Song trn thc t c bao nhiu doanh nghip Vit Nam t c
iu ny? Thiu vng yu cu v s c lp t nht l i vi gim c trong
d tho Lut Doanh nghip Thng nht cng s dn n hu qu l cc c ng
ln hay cc c ng c nhiu thng tin hn s lm dng quyn lc ca mnh
gy thit hi n tt c cc c ng khc. Bi hc t s v ca cng ty
Enron (M) hay tranh chp ca CTCP Khch sn Hu Ngh cho thy trong mt
cng ty c 80% s c phiu trong tay hng ngn c ng nh, cc c ng ln
ch cn nm 15 20% s c phiu l c th quyt nh mi vic. Gi s A nm
20% c phiu cng ty B, cng ty B li nm 20% c phiu cng ty C, th A s c
24

Xem Recommendation 2.1, trong Principles of Good Corporate Governance and Best
Practice Recommendations ca Australian Stock Exchange (ASX) Corporate Governance
Council 2003.

145

kh nng khuynh o cng ty C, mc d trn thc t ti sn ca A ng vo C

ch l 0.2 x 0.2 = 0.04 (tc 4%). Hn na, qui nh cho php c ng dn phiu
(cumulative voting iu 97 khon 3) bu cho thnh vin s khin cc c
ng nm khong 10% c phiu chc chn c chn trong HQT v c th gy
nh hng n quyt nh ca ton cng ty (nu HQT c 5 ngi th c ng
ny c th c 50% phiu bu).
Vn tip theo trong vic bo v quyn s hu ca c ng l c ch gii
quyt tranh chp khi gim c hay HQT gy thit hi cho cng ty. Theo d
tho Lut Doanh nghip Thng nht, cc c ng ch c th bo co vn ln
Ban Kim sot. Tuy nhin Ban Kim sot li do i hi c ng (hay ni ng
hn l cc c ng a s) bu, v vy s trung thc, v t ca Ban Kim sot
i vi cc c ng thiu s cng khng c g l m bo (iu 116, 117, 118).
C ng khng c trc tip kin HQT, Gim c hay cc c ng ln
(derivative lawsuit). C ng ch c quyn yu cu cng ty mua li c phn ca
mnh (iu 83) hay yu cu to n hy b cc quyt nh ca i hi c ng
nu c vi phm v trnh t th tc, hay ni dung tri vi iu l hoc qui nh
ca php lut (iu 100). Nhng trng hp nh vy rt him khi xy ra, v v
hnh chung i vi cc quyt nh do HQT (ch khng phi i hi c ng)
thng qua th c ng thiu s ch bit cam chu.
V tnh minh bch trong cc quan h, D tho Lut Doanh nghip Thng nht
c bc tin mi khi a vo iu 111, yu cu gim c, thnh vin HQT
phi cng khai ho li ch ca mnh. Tuy nhin d tho khng ra ch ti nu
vic cng khai ho khng c thc hin m ch ghi n gin tt c thu nhp
c t hot ng l thuc quyn s hu ca cng ty. Nu thu nhp l do
cng ty mt nh do anh em ca gim c lp ra hng th c c ch no
cng ty i li thu nhp ny? L ra, D tho nn qui nh cc giao dch t cc
hot ng s b coi l v hiu. Khi cng ty mi c c ch hon
nguyn (restitution) i li ti sn ca mnh tham gia giao dch v i bi
thng thit hi. Ngoi ra, i vi cc giao dch phi c s chp thun ca
HQT v i hi c ng, khng c qui nh no cho thy nu cc giao dch
trn c chp thun th c th b tuyn b v hiu nu mc ch ca giao
dch l c gy thit hi cho cc c ng thiu s.
iu quan trng cui cng xin c cp y l ch i ng, k lut i
vi Ban Gim c v Thnh vin HQT. iu 110 D tho cho php cng ty
tr th lao cho Ban Gim c v Thnh vin HQT theo kt qu kinh doanh.
Bn cnh , D tho vn cn thiu c ch k lut, trch nhim hnh s cng
nh c ch kin Ban Gim c v Thnh vin HQT. Mc d D tho c qui
146

nh ngha v trung thc, mn cn v bt v li (iu 112), tuy nhin D tho

khng ra cc bin php thc thi khi cc ngha v ny khng c thc hin.
Hu qu l D tho Lut Doanh nghip thng nht hin nay hu nh vng bng
c ch kim sot cc hnh vi lm dng quyn lc.
Tm li, bn vn m D tho Lut Doanh nghip hin vn cha lm sng t
l:
- Ngha v hnh x c lp ca gim c v cc thnh vin HQT c lp;
Cho php c ng tip cn thng tin ti chnh v cc giao dch lin quan
n Cng ty mt cch cng khai;
- Cho php c ng khi kin Gim c, Thnh vin HQT, v cc c ng
ln dng quyn lc ca mnh thao tng hot ng cng ty, gy thit hi cho cc
c ng; v
- Thit lp c ch tuyn b cc giao dch c lin quan l v hiu (k c khi
c HQT thng qua) nu mc ch chnh l gy thit hi cho cng ty v cc
c ng.

Nh vy, nu chng ta nm c bn cht ca doanh nghip, chng ta s

nh hng c tt hn trong vic xy dng lut doanh nghip. Th
nht, phi gim c chi ph giao dch trong ni b doanh nghip. Th
hai, phi ngn nga c s xung t li ch gia ch s hu v ngi
qun l doanh nghip. Hiu c hai bn cht , chng ta s hiu cn
c ca cc qui nh trong Lut Doanh nghip. Hiu c hai bn cht ,
chng ta s nh hng nghin cu tip tc xy dng cc iu khon
ca Lut Doanh nghip tt hn trong tng lai.
2.

Ch trch nhim hu hn ca doanh nghip

Ch trch nhim hu hn l mt trong nhng c tnh ca doanh

nghip, tuy nhin rt nhiu ngi vn hiu sai v khi nim th no l
trch nhim hu hn. Trch nhim hu hn khng phi l trch nhim
ca chnh doanh nghip. Bn thn doanh nghip vn phi chu trch
nhim bng ton b ti sn ca mnh, ging y nh c nhn (trch nhim
v hn). Trch nhim hu hn l trch nhim ca cc thnh vin gp vn
trong doanh nghip. H ch chu trch nhim trong phm vi phn vn gp
ca mnh, v v th trch nhim ca h c gi l trch nhim hu hn.25
25

Phan Huy Hng, L Nt: Trch nhim ca php nhn , Tp ch KHPL s 6/2005.

147

Thng thng, khi c nhn tham gia vo hot ng thng mi, h phi
chu trch nhim bng chnh ti sn ca mnh. iu ny s dn n ri ro
ln cho c nhn, khi h c th ph sn v chnh nhng sai lm ca mnh.
Ngoi ra, c nhn tham gia vo nhiu hot ng thng mi khc nhau c
thm mt bt li na l tht bi trong hot ng thng mi ny c th
lm hot ng thng mi kia ph sn. C ch trch nhim hu hn chnh
l cch c nhn s dng hn ch ri ro cho bn thn mnh. Trong
trng hp tht bi, h ch chu trch nhim trn s vn mnh gp vo
doanh nghip m thi. Gia trch nhim ca doanh nghip v trch
nhim ca c nhn c mt bc mn - gi l bc mn doanh nghip
(corporate veil).
Tuy nhin, i ly quyn li ny, h phi c nhng ngha v nh qui
nh trong iu l v Lut Doanh nghip. l nhng ngha v phi tm
kim s ng thun vi cc thnh vin gp vn trc khi quyt nh, hay
ngha v phi bo co ti chnh minh bch, phi kim sot hot ng ca
nhng ngi qun l cng ty. Nhim v ca kinh t lut l phi lm sao
c ch ny hot ng mt cch c hiu qu, trnh tnh trng mt
ngi ch nm c 10% vn trong cng ty nhng li c th thao tng ton
b hot ng ca cng ty (xem bi bo v Qun l Doanh nghip nu
trn). Tnh trng nguy him c th xy ra l mt c ng gp vn thao
tng ton b hot ng ca mt doanh nghip, ri sau tuyn b doanh
nghip ph sn v li hu qu cho ngi giao dch vi doanh nghip.
trnh tnh trng ny, php lut Hoa K qui nh rng cn phi c c
ch vn bc mn doanh nghip (piercing the corporate veil). C ngha l
khi mt c ng can thip qu su vo qu trnh ra quyt nh ca doanh
nghip, c ng s b coi l t mnh vn bc mn doanh nghip v sn
sng chu ri ro thay cho doanh nghip. Vn l ti sao php lut li c
th qui nh nh vy v nu c th qui nh nh vy th khi no s can
thip ca c ng vo doanh nghip c coi l qu su. tr li cu
hi ny, trc tin cn xut pht t nhu cu ca cc i tc ca doanh
nghip. Khi cc i tc giao dch vi doanh nghip, h tham gia vo mt
cuc u tr hp tc. Trong khi c ng c th dng bc mn doanh
nghip gy thit hi cho i tc. Cuc u tr s tr thnh u tr
bt hp tc. Nhim v ca kinh t lut l phi lm cch no bin mt
148

cuc u tr bt hp tc thnh u tr hp tc. iu ny c th t c

nh vic tng cc ch ti i vi nhng hnh vi bt hp tc. C ngha l,
khi pht hin c ng dng quyn ca mnh trc li, gy thit hi cho
c doanh nghip v i tc th c ng phi chu trch nhim bng ti
sn ca mnh. Nhim v nghin cu sp ti ca kinh t lut l phi tm
hiu su hn th no l trc li, gy thit hi (rent seeking). Cc
phng php nghin cu v hnh vi trc li c th hin trn (Mc
V.4, Chng 1).
3.

Vn qun l doanh nghip

Qun l doanh nghip (corporate governance) l mt thut ng kh rng.

N ch tt c cc vn lin quan n s hu v qun l cng ty, v mi
lin h gia ch s hu v ngi qun l quyn s hu cng ty. Vn
c t ra l s xung t v li ch gia ch s hu v ngi qun l
(principal-agency conflict of interests). Ngi qun l c th s trc li
trn ti sn ca ch s hu, v vn ca kinh t lut l lm sao gii
quyt c ri ro ny.
C quan im cho rng gii quyt ri ro ny th tt nht l xo b ranh
gii gia ch s hu v ngi qun l. C ngha l ch tch hi ng
thnh vin kim nhim lun chc v tng gim c. Tuy nhin vi cch
suy ngh nh vy th s lm tng thm chi ph giao dch gia cc thnh
vin gp vn ca cng ty. Cc c ng s khng tin nhau. C ng ny
s tm cch li dng ti sn ca c ng kia v i x khng cng bng
vi h. trnh vn ny, cn phi c c ch trung lp gia cc c
ng, sao cho cc c ng ln khng th gy thit hi mt cch bt hp l
cho cc c ng nh. i hi lm hnh thnh mt c ch trung gian
ho gii cc xung t c nhn v mt li ch chung ca cng ty l c
ch ngi qun l ti sn ca doanh nghip. y l li ch ca vic tch
bit gia ch s hu v ngi qun l.
Tuy nhin, vic tch ch s hu ra khi ngi qun l cng to ra nhng
chi ph ri ro nht nh, c bit cho ch s hu nh nu trn. Mc
ch ca kinh t lut l phi tm gii php sao cho gim cc chi ph ri ro
do ngi qun l gy ra. Nhng vn ny c bn n trong bi
bo v Qun l doanh nghip nu trn. Tuy vy, cng ch l quan
149

im ca mt ngi. Cc nh kinh t lut cn tm thm nhng quan im

khc i thoi v cng tm ra nhng gii php ti u cho vn ny.
4.

Kinh t lut v th tc cp giy php kinh doanh

Hin nay doanh nghip mun thnh lp ch cn ngh ng k kinh

doanh. Tuy nhin, nhiu ngnh ngh cn duy tr th tc cp giy php
kinh doanh. Vic cp giy php u t cho cc doanh nghip c vn u
t nc ngoi l mt v d. Gn y trong d tho Lut u t c bn v
giy chng nhn ng k u t, giy chp thun u t. Vn cp giy
php kinh doanh l mt trong nhng i tng nghin cu ca kinh t
lut. Kinh t lut cn nghin cu xem c ch cp php kinh doanh l
c hiu qu hay khng. Nu c, th th tc cp php kinh doanh nn c
tin hnh nh th no.
C hai quan im tri ngc nhau v cp php kinh doanh. Quan im
ng h vic cp php kinh doanh cho rng vic cp php l m bo s
qun l ca Nh nc i vi hot ng kinh doanh. Trc khi cp php,
c quan nh nc kim tra tnh kh thi ca d n, sao cho nhng d n c
kh nng u t l nhng d n c cht lng, trnh trng hp la o
xy ra trong kinh doanh. Quan im chng li vic cp php kinh doanh
cho rng vic cp php to nn tng nc kinh doanh v thc s hn ch
kh nng tham gia th trng ca cc doanh nghip. V hnh chung, cc
doanh nghip c cp php c cung cp mt c quyn trn mnh t
mnh c cp php u t. Ngoi ra, vic cp php thay th cnh
tranh gia cc doanh nghip. Thay v cc doanh nghip c cp chng
nhn ng k kinh doanh s cnh tranh vi nhau thc hin mt d n,
th cc nh u t li tm cch xin giy php u t trn mnh t mu m
ca d n theo kiu: ai n trc th c hng trc. iu ny to nn
s km hiu qu ca nn kinh t.
iu km hiu qu u tin ca vic cp php l vn thng tin bt i
xng gia ngi xin php v ngi cp php. Ngi xin php c nhiu
thng tin hn ngi cp php v kh nng u t ca mnh. Tuy h c
thc hin cc th tc cung cp thng tin bt buc cho ngi cp php,
song thc s ngi cp php cng khng c ngun thng tin khc
150

kim chng. Kt qu l ngi cp php cng khng th thm nh g

hn ngoi vic phi tin vo cc thng tin m ngi xin php cung cp.
iu km hiu qu th hai ca vic cp php l hnh vi trc li (rent
seeking) ca nhng ngi c cp php lun vn ng hnh lang
c quan nh nc khng cp php cho nhng ngi mi xin php. iu
ny ng nhin tr thnh vt cn cho cc doanh nghip trong vic cnh
tranh vi nhau mt cch bnh ng. Th d cc doanh nghip vin thng
hay hng khng c th s vn ng Nh nc khng m ca th trng
cho hai ngnh dch v ny thm na, hoc cc doanh nghip sn xut t
lun lun khuyn co Chnh ph khng nn cp php sn xut t cho
cc doanh nghip khc na, v cng sut. Trn thc t, khng phi
cc doanh nghip mi np n khng bit rng cng sut sn xut
vt nhu cu, song h vn tip tc np n v sao vy? l v sn
xut t l mt ngnh li nhun cao, gi t sn xut Vit Nam cao
gp nhiu ln gi t sn xut ti nc ngoi. Nh vy, cho d cc
doanh nghip mi n c th sn xut trong mt thi gian ngn ri ng
ca, song li nhun m h thu c c vn tip tc cnh
tranh vi cc i gia c trn th trng, v thc cht ngi b e do
khng phi l ngi tiu dng, cng khng phi Nh nc, m cc doanh
nghip c quyn c cp php by lu nay.
Tht ra, c ch hiu qu nht kim sot cc ch th kinh doanh c
cp php l c ch hu kim. Chng ch hnh ngh lut s, k ton hay
hnh ngh khm cha bnh t nhn l cc th d c th. Nhng ngi
c cp chng ch sau phi sinh hot ti mt hip hi t qun (th d
on Lut s). Hip hi ny s qun l thnh vin ca mnh bng nhiu
cch, trong c cc qui nh v o c ngh nghip. Nu khng lm
c vn ny th chnh hip hi s b thit hi v mt uy tn. Do ,
vic cp chng ch nn c ngi bo lnh ng sau th mi c gi tr cho
ngi tiu dng.
Tm li, ngoi tr cc ngnh ngh c th v phi c mt hip hi
ngh nghip qun l, i vi nhng trng hp khc khng nn p dng
ch cp php hay c ch xin-cho. Ngay c i vi nhng d n ln,
c ch chn lc nh u t hiu qu nht khng phi t cp php, m t
vic cung cp cho cc doanh nghip cnh tranh vi nhau la ra ngi
151

gii nht, thng qua qui ch u thu hay u gi. Theo nh l Coase,
khi chi ph giao dch thp, mi ngi s giao dch vi nhau chn ra
ngi s dng ti sn c hiu qu nht. Vic cn lm cn li ca chng ta
l chng minh tnh ng n (hay bc b gi thit) ca Coase trong lnh
vc qui nh v cp php.
5.

Kinh t lut v cc ngnh ngh kinh doanh c th - ngh y

Ngnh y l mt ngnh c th, v nhng ngi hot ng trong ngnh ny

l cc chuyn gia (professional), c trnh nghip v v thng tin nhiu
hn nhng ngi khc (th d bnh nhn). V th, nu bc s t vn cho
bnh nhn sai hay cch cha bnh khng hiu qu, bnh nhn cng khng
th bit m trnh. Th d, nhng trng hp nh bc s k thuc ngoi
cho bnh nhn gi qu cao do c hoa hng, hn l thuc ni gi thp
hn l nhng trng hp c th ni l vi phm o c ngh y. Kinh t
lut nghin cu c ch thch hp qui nh v o c ngh y sao cho
c hiu qu cho c bc s v ngi bnh.
trnh nhng trng hp vi phm o c ca ngh y, bin php u
tin l phi chn nhng ngi c c, c ti vo ngnh y, theo ch cp
php hnh ngh khm cha bnh t nhn (hay giy php m phng
mch). Cc qui nh v giy php nh vy tn ti hu ht cc nc trn
th gii. Tuy nhin, ch cp php ny c hiu qu khng? Kuznets
(1980) cho rng giy php v hnh chung tr thnh cc ro cn th
trng nhng bc s tr mi ra trng khng th hnh ngh. T v tr
c quyn ca mt s bc s, cng thm s thiu thng tin cn thit v s
thiu y c lm cho gi khm cha bnh tng theo mt cch trc tip
hay gin tip (do gi thuc tng). Lm sao trnh nhng sai phm v
o c (moral harzard) nh vy? Cu hi ny lu nay vn c hai gii
php: nhn tr (dng bin php gio dc, tuyn truyn) v php tr (dng
cc ch ti). Nu kinh t lut nghin cu cc ch ti, th c l hiu qu
nht s l lnh cm bc s nhn qu cp hay cc li ch vt cht khc ca
trnh dc vin. Tuy nhin, vn m kinh t lut nghin cu trong lnh
vc ny vn cn, l lm sao c c ch theo di xem cc lnh cm
a ra c hiu qu khng, v cc chi ph thc thi lut c qu ln n
ni khng th no thc thi c lut hay khng.
152

Mt vn tip theo ca ngnh y l cc v kin tng v bi thng thit

hi do li ca bc s gy ra (malpractice), i khi dn n t vong cho
bnh nhn. Cc v kin bc s hay bnh vin cha xut hin nhiu Vit
Nam, do bnh nhn khng hiu bit lut, hoc lut php cng cha c qui
nh c th. Tuy nhin y l mt vn cn gii quyt, nhm nng cao
hiu qu khm cha bnh ca ngi dn, cng nh o c ngh nghip
ca bc s. Cch gii quyt ca php lut trong lnh vc ny cng ging
nh cc ngh chuyn nghip khc nh lut s hay kim ton vin, bc s
- c ngha l bc s phi mua bo him ngh nghip i vi nhng thit
hi do mnh gy ra do bt cn. Khi c nhng khon chi nh vy, cht
lng ca dch v s c nng cao, v bc s cn cn thn trong khm
cha bnh, bo v uy tn ca mnh khng nhng i vi bnh nhn m
cn i vi cng ty bo him cho vic khm cha bnh, v mnh c ngha
v mua bo him sut thi gian hnh ngh ca mnh. Mc cn thn
ca bc s s cn ong, o m c, m khng cn phi c php lut can
thip.
Mt vn tip theo l cc qui nh ca ngnh dc. i vi ngnh ny,
cc vn cn quan tm nht l cht lng thuc v gi c thuc. i
vi cht lng thuc, vn c th c gii quyt thng qua cc qui
nh ng k thuc v ng k bng bo h sng ch (trong c xt
nghim v ni dung sng ch). i vi gi thuc, vn kh khn hn,
do khng c thuc tng ng so snh trn cng mt th trng rng
loi thuc ca chng ta phi mua l t hay l r. Tuy nhin, h qu ca
vic mua thuc t hn gi tr m chng c to ra rt ng k. Mt
phn ln tin ca ca nhn dn c vo tin mua thuc, trong khi
l ra c u t mt cch hiu qu hn. Ngoi ra, ngi mua thuc
c th b nhn thuc do s dng qu liu, khin cho vic iu tr ln sau
li cn tn km hn. khc phc tnh trng ny khng th bng cch
qui nh gi bn thuc thng nht trn c nc. iu ny khng kh thi
v khng thng tin, ng thi cng kh c ai c thm quyn phn
nh gi thuc nn l bao nhiu th va. Gii php cho vn gi thuc
tt nht l thng qua cc qui nh v cnh tranh, theo cho php cc sn
phm nhp khu song song xm nhp th trng lm gim gi thuc, ng
thi kim sot cht ch hot ng qung co thuc ca trnh dc vin ti
cc bnh vin nhm gim quan h thng ng gia bc s v cc cng ty
153

thuc. Kinh t lut vn cn nhiu vn cn nghin cu trong lnh vc

ny nhm a ra nhng c ch c th lm gim gi thuc.
6.

Kinh t lut v ngnh ngh c th - ngh lut s

Php lut v lut s quan tm nht n hai vn . Th nht l o c

ca lut s i vi khch hng, theo nguyn tc lut s phi phc v li
ch khch hng. Xt v kha cnh kinh t, y l vn xung t li ch
(principal-agent conflicts of interests). Th hai l vn thng tin bt i
xng gia ngi nm nhiu thng tin (lut s) v ngi nm t thng tin
(khch hng). Kinh t lut s gii quyt nhng vn ny nh th no?
Nhng vn kinh t lut cn quan tm bao gm;
Cc qui nh v lut s nn cho cc on Lut s qui nh hay
phi do B T php qun l?
Cc qui nh ca on lut s c li hay bt li cho khch hng?
C cn thit phi cm lut s khng c qung co hay khng?
C cn thit phi cm cng chc khng c lm lut s hay
khng?
C cn thit phi cm lut s khng c nhn tin thng t v
vic hay khng?
Theo mt s quan im th vic cm nh trn l cn thit, nhm m
bo khng c s la o gia lut s v khch hng v bn cht tht s
ca dch v php l. Theo quan im truyn thng, khng lut s no c
th bo m kt qu v kin, v th vic m bo kt qu v kin theo h
l khng hp l. Mt s hc gi khc cho rng vic qung co hay cho
php tnh tin lut s theo kt qu v kin s thc y cc lut s cnh
tranh vi nhau v cht lng, gip cng vic ca khch hng c thc
hin nhanh chng hn. Nhim v ca kinh t lut l l gii cc cu tr li
cho cc cu hi trn bng quan im kinh t, nhm mc ch xy dng
lut v lut s sao cho c hiu qu nht cho nn kinh t t nc.
VI. KINH T LUT V CC QUI NH V DOANH NGHIP
NH NC

154

Doanh nghip nh nc khng phi l c th ring ca cc nc x hi

ch ngha. Nhiu nc theo h thng t bn ch ngha song cng duy tr
rt nhiu cc doanh nghip do nh nc qun l. Thng thng, cc
doanh nghip nh nc c thnh lp qun l nhng lnh vc t nhn
khng th u t v khng vn hay khng hiu qu. Trc y, ngi
ta cho rng mt s lnh vc nh vn ti cng cng, in, nc hay bu
chnh vin thng phi do cc cng ty nh nc qun l, v hai l do. Th
nht, l do nh hng ca cc ngnh ny mang tnh huyt mch vi
nn kinh t quc dn. Nu cho cc doanh nghip t nhn thu lnh vc
ny, kh nng ri ro s xy ra l nu h thng cung cp cc hng ho ny
b ngng tr th nhng ngi b nh hng s rt ln. Th hai, l v
chi ph u t vo nhng ngnh ny rt ln. Nu cc doanh nghip
t nhn u t, e rng cht lng s khng m bo. Ngoi ra, vic
nhiu doanh nghip cng cung cp cc sn phm ny s dn n s cnh
tranh, gy khng hong tha v km hiu qu cho x hi.
Tuy nhin, c hai gi thit trn u t ra khng ng. Nu xem xt qu
trnh t nhn ho hu ht cc nc hay c phn ho ang din ra ti
Vit Nam hin nay, chng ta s thy rng hu ht cc nc u tin hnh
chuyn giao quyn s hu t cc doanh nghip nh nc sang cc doanh
nghip t nhn mt cch thnh cng. Thnh cng ny c th hin hai
im. Th nht, nh nc khng phi gnh chu cc chi ph u t m cc
doanh nghip nh nc phi chi. Th hai, ngi tiu dng c li do cc
doanh nghip t nhn cnh tranh lun ko gi thnh xung. Vic cc
in thoi gim lin tc, hay v my bay gim lin tc do cnh tranh cho
thy rng qu trnh t hu ho l c hiu qu. V sao vy? C nhiu
nguyn nhn. Th nht, mt s ngnh trc kia cn phi c nhiu vn
mi u t c (th d h thng in thoi c nh) nay gim chi ph
i nhiu (th d h thng in thoi di ng). Th hai, cc doanh nghip
nh nc khi pht trin n mt mc no tr nn c quyn,
cng knh v km hiu qu. Ngoi ra do s hu ca doanh nghip nh
nc l s hu ton dn (hay cn gi theo thut ng kinh t l ti sn
cng public goods), nn tnh trng km hiu qu li cng trm trng.
Khi c phn ho cc doanh nghip ny, vn s hu doanh nghip c
qui nh rch ri, cc doanh nghip c ngha v phi tng li nhun cho
cc c ng c th, khin hot ng ca cc doanh nghip tr nn hiu
qu hn. Vic Th tng Nht Bn Koizumi gii tn ni cc va qua
155

m ng cho vic t nhn ho cng ty Bu in Nht Bn cng ty

cui cng thuc s hu nh nc ti Nht Bn, cho thy quyt tm ca
cc chnh ph hin nay v lng tin rng hnh thc doanh nghip nh nc
c th s khng cn ph hp nhiu nc. nc ta, do c th ca nn
kinh t th trng nh hng x hi ch ngha, s lng cc doanh
nghip nh nc trong nhng nm qua vn cn nhiu, song qu trnh c
phn ho din ra mnh m gn y cho thy vn doanh nghip nh
nc hay doanh nghip t nhn c hiu qu hn c l khng cn l iu
tranh ci. Vn l phi c phm ho nh th no trnh chi ph cao
nht cho x hi v thu c gi cao nht cho Chnh ph.
VII.

KINH T LUT V MT S HNH VI THNG MI

1.

Kinh t lut v cc qui nh v qung co

Qung co ng vai tr quan trng trong vic cung cp thng tin cho
ngi tiu dng c bit vic c nn mua mt sn phm hay khng.
Tuy nhin php lut cng qui nh mt s iu cm trong qung co:
khng c qung co so snh trc tip v gi, thuc bn theo toa, khng
c qung co thuc l, khng c qung co mt s sn phm m
vic lu hnh qu nhy cm v phi c kin cc chuyn gia. Ngoi ra,
mt s hip hi ngnh ngh cng c nhng qui nh ring v qung co.
Cc on lut s thng thng c qui nh cm lut s khng c ng
bo qung co v dch v ca mnh. Nh vy, nhng vn m kinh t
lut cn nghin cu bao gm nhng vn nhm lm r nhng vn
no cn c hn ch qung co, vn no khng cn v ti sao, xt
trn quan im kinh t hc.
i vi qung co v gi, tuy cc doanh nghip khng qung co trc tip
so snh v gi, song vn c nhng qung co nh: gi thng ngy
100.000 ng, gi c bit hm nay 80.000 ng, gi ni khc l
100.00 ng, nhng y ch bn c 50.000 ng v.v. Cc qung co
nh vy c nn cm khng, v ti sao li cm? Xt trn quan im kinh
t hc, vic so snh gi s lm cho ngi tiu dng c cm gic hng ca
mnh r hn hng ca ngi khc, ng thi cng ngm thng bo cho
cc i th cnh tranh bit v gi c mc gi thch hp. im ng lo
156

ngi hn c l cc thng tin nh vy c th sai s tht. iu ny tht ra

bt li cho ngi tiu dng.
i vi qung co v cc dch v nhy cm, th d nh qung co sa c
ct DHA hay Alpha A+, hoc bt k cng thc c quyn no khc tht
s khng r n l ci g, song ngi tiu dng vn mua vi hy vng sau
khi ung con mnh s thng minh hn. iu ny gy lo ngi rng iu
ny s gy kh nng la di khch hng. mt s nc, iu ny b
cm. Va qua, Vit Nam c vn ca cng ty Knorr khi a ra bt
gia v qung co l t nhin hn bt ngt, trong khi thnh phn ca
bt gia v ny li c bt ngt (cht iu v 321 v.v.) iu ny lm
ngi tiu dng phn ng.
i vi qung co ca mt s dch v chuyn nghip nh ca lut s, tht
ra khng c l do g cm. Theo Posner (1998), y c th l tn d
ca thi bo h mu dch, khi cc lut s c bt nt cc lut s mi bng
cch cm h khng c qung co. Thng thng, qung co l cn
thit i vi nhng vn phng lut s hay doanh nghip mi gia nhp th
trng. Hn ch qung co l gy thit hi cho h.
Sau cng, qui nh khng c chi cho qung co qu 10% tng chi ph
nh theo qui nh ca lut Vit Nam c th mang thit hi n cho cc
doanh nghip mi thnh lp. Trong khi , hn ch ny hu nh khng
ngn cn c cc doanh nghip c vn u t nc ngoi hn ch qung
co. iu ny cn thit phi c s sa i.
2.

Kinh t lut v vic ng k cht lng sn phm

Cht lng sn phm, c th l thc phm v dc phm lun l ti

quan tm ca php lut nhiu nc. Vn quan tm ca cc nh lm
lut l lm sao tng kh nng an ton cho ngi tiu dng. Cng chnh
v th m h qui nh trch nhim bi thng thit hi ngoi hp ng do
cht lng sn phm gy ra khng ph thuc vo yu t li. Ngoi ra,
php lut cn qui nh cc doanh nghip sn xut thc phm hay dc
phm phi ng k cht lng sn phm. Vn t ra l cht lng nh
th no th nn c coi l an ton, xt v phng din kinh t lut?
157

Th nht, mt tiu chun an ton c ngha l khng gy nguy him n

tnh mng ca ngi s dng. Tuy nhin, s nguy him ca sn phm
cng khng th c m bo v cha c ai kho cu xem 5 hay 10 nm
sau thc phm do chng ta s dng c nguy him hay khng. Hn na,
nhiu thc phm c cht bo nh Hamburger hay Ph c th gy tng
cholesteron trong mu, gy bnh tim, rt nguy him, song vn c s
dng. Nh vy n mc no l mc iu chnh hp l v cht lng sn
phm. Becker (1968) a ra nguyn tc so snh chi ph v li ch. Theo
, mt tiu chun sn phm c coi l kh thi nu li ch thu c t
vic p dng tiu chun i vi doanh nghip v x hi ln hn l chi
ph phi b ra p dng tiu chun ny. Vn cn li ca cc nh kinh
t lut l nghin cu xem mt tiu chun hay qui nh c th v cht
lng sn phm c mang li li ch cho x hi n mc ln hn chi ph
b ra khng. y l vn ty thuc vo tng tiu chun c th.
Th hai, tiu chun a ra phi l tiu chun ti u. C ngha l, gia
nhiu gii php khc nhau t c cng mt mc ch th phi chn
gii php t chi ph nht. Th d, tiu chun an ton cho xe hi sn xut
ti Chu u hay M phi cao hn tiu chun ti Chu , v xe hi ti
Chu u hay M chy nhanh hn, do kh nng gy tai nn cao hn.
Nu p dng cng tiu chun vo Chu th khng hp l, v ng s
Chu cha bao gi t c tc nh Chu u. Nh vy khng
phi p t tiu chun cao nht l tt nht, m cn phi p t tiu
chun ph hp vi iu kin trong nc nht. Th no l ph hp? l
cu hi dnh cho nhng ngi nghin cu mn kinh t lut.
Th ba, phi tm c mi quan h nhn qu gia vic p dng tiu chun
v vic ngi s dng tr nn an ton hn. Nu vic p dng tiu chun
ch dn n vic gi thnh sn phm tng ln v t ngi mua sn phm
hn, ch sn phm khng thc s tr nn an ton hn, th cng khng
nht thit phi p t tiu chun cht lng nh vy. mt s nc nh
Vit Nam khng p t mt tiu chun an ton nht nh, m cho php
cc doanh nghip t ng k tiu chun an ton ca mnh. Sau , nu
pht hin tiu chun ng k khng t c tiu chun an ton chung ti
thiu th c quan nh nc mi x l. Qui nh nh vy c hiu qu
khng? y l vn cn nghin cu thm trong mn kinh t lut.
158

3.

Kinh t lut v hot ng nhng quyn kinh doanh

Hot ng nhng quyn kinh doanh din ra khi bn nhng quyn

(franchisor) cung cp cho bn nhn quyn (franchisee) cc quyn kinh
doanh, bao gm nhn hiu hng ho v cc cng thc kinh doanh, cc
quyn s hu tr tu khc, pht trin kinh doanh. Cc th d ca h
thng nhng quyn Vit Nam bao gm Ph 24, KFC, C ph Trung
Nguyn hay Highlands Coffee. Ni mt cch n gin, nhng quyn l
vic cc doanh nghip nh on kt li cng pht trin mt thng hiu
chung. Trong giao dch ny, kinh t lut cn nghin cu nhng c im
cha hon chnh ca quan h xut nhng thay i php lut lm cho
h thng ngy mt hon chnh hn.
Vn u tin l kh nng bn nhn quyn c th b la di (moral
harzard) v nhng ha hn i vi h thng nhng quyn v b rt
nhiu tin pht trin h thng kinh doanh. Sau , do nhng khon
u t ny qu ln m khng thu hi c (sunk costs) s lm cho bn
nhn quyn lm vo th phng lao phi theo lao tip tc lao ng m
khng thy hiu qu u, song vn ng gp vo s pht trin ca thng
hiu ca bn nhng quyn. khc phc tnh trng ny, php lut nn
qui nh bn nhng quyn phi cung cp mt s thng tin nht nh cho
bn nhn quyn, nhm mc ch lm cho bn nhn quyn bit c mnh
tham gia vo h thng nhng quyn th c g v mt g, t c th
t xc nh xem hnh thc kinh doanh nh th no l c hiu qu nht.
Mt khc, bn nhn quyn cng c th khng chm lo n li ch ca h
thng nhng quyn, c nhng hnh vi lm gim uy tn ca h thng
nhng quyn. Khi ny, php lut phi cho php bn nhng quyn can
thip kim tra tnh hiu qu ca h thng nhng quyn. Th d, bn
nhng quyn c quyn t chi chuyn giao hp ng nhng quyn cho
bn th ba nu bn th ba khng sc pht trin thng hiu ca mnh
mt cch c hiu qu. Ngoi ra, bn nhn quyn phi bo co kt qu
kinh doanh ca mnh cho bn nhng quyn h thng c th hot ng
mt cch hiu qu.
Xt cho cng, h thng nhng quyn hot ng c hiu qu chng no
n cn mang li li nhun cho bn nhn quyn. i tng nghin cu
159

ca kinh t lut l tm cch a ra nhng qui nh sao cho h thng

nhng quyn hot ng hiu qu hn. Mun th th hot ng ca c hai
bn nhng v nhn quyn phi minh bch v ng tin cy, gim chi
ph giao dch v tng hiu qu, nh nh l Coase d liu.
VIII. KINH T LUT V TH TC PH SN DOANH NGHIP
Th tc ph sn doanh nghip, cho d c to n gii quyt, cng khng
tun theo cc qui nh ca B lut T tng Dn s. y l mt th tc
phc tp, lin quan nhiu n nhng cn nhc kinh t, v cng rt th v
nghin cu ngun gc ca cc qui nh v lut ph sn. T trc n
nay, th tc ph sn l do cc nh lp php qui nh. Tuy nhin, cc qui
nh c bin minh kinh t hay khng? Nu khng, iu ny s to
nhng bt li cho cc bn trong th tc ph sn v phi tun theo nhng
qui nh v l xt v kha cnh kinh t.
Trc tin, lut ph sn phi hng ti hiu qu ca doanh nghip. Nu
cc ch n sit n doanh nghip qu sm, doanh nghip s mt kh nng
chi tr v cc ch n s nhn c rt t tin. Trong khi nu cho php
doanh nghip tip tc kinh doanh th kh nng tr n c th s cao hn.
Th d, mt doanh nghip khch sn b sit n khi cha xy xong khch
sn th khng th tr n, v ch n cng khng th nhn c tin li.
Trong khi nu i khch sn xy xong, th kh nng tr c n t sn
xut kinh doanh ca doanh nghip s r hn. Lut ph sn u tin phi
to c kh nng chi tr cho doanh nghip, mang li hiu qu cho x
hi. l cha ni vic ph sn doanh nghip nhng ngnh nhy cm,
c nhiu ngi gi tin vo nh cng ty bo him hay ngn hng s lm
mt nim tin ca ngi dn, dn n v hng lot. i vi nhng
doanh nghip nh vy, kh nng ph sn phi c xem xt mt cch rt
k lng.
Mc d vy, v bn cht, th tc ph sn l cuc u tr gia cc ch n,
cn doanh nghip nh: c nm trn tht. Vn l cc ch n s p
dng chin lc no cc bn tho thun c vi nhau v i n gii
php sao cho em li gi tr ln nht cho doanh nghip, tc l gi tr ln
nht cho khon n ca mnh. Nhng lm th no t c iu ?
160

Thng thng, lut cc nc cho php cc ch n qun l doanh nghip

theo mt th tc c bit, l th tc kim sot, c cu li doanh nghip
(theo Lut Hoa K gi l Chng 11 trong Lut T tng Dn s ca Lin
Bang). Theo , doanh nghip c khoanh n, tuy nhin, s c mt
ban qun l c bit qun l. Trong giai on ny, doanh nghip c gng
tin hnh cc bin php dn n v phi tun th cc qui nh ca ban qun
l. Cc vn cn nghin cu ca kinh t lut l xem xt xem c ch
qun l nh vy c cng bng v hiu qu cho cc ch n hay khng.
Vn u tin m cc ch n khng c bo m quan tm l vic cc
ch n c bo m c u tin thanh ton n, cho d cc khon n ca
ch n c bo m hnh thnh sau khi cc khon n khng c bo m
hnh thnh. V hnh chung, khi doanh nghip to mt khon vay c bo
m, h t ch n khng bo m vo tnh trng ri ro cao hn trc.
Nh vy lm sao bo m quyn li ca cc ch n khng bo m?
Php lut qui nh rng trc 6 thng so vi ngy tuyn b ph sn, mi
giao dch bn, cm c, th chp hay to lp bin php bo m i vi ti
sn ca doanh nghip u b coi l v hiu. iu ny cng gip cc ch
n khng bo m mt phn trong vic qun l ri ro.
Khi s phn ca doanh nghip trong tay cc ch n, h phi quyt nh
xem lm nh th no. Lc ny, lng tin ca cc ch n vi nhau, cng
nh kh nng hp tc gia cc ch n rt quan trng. Nu cc ch n
khng tin nhau th s xy ra tnh trng nh trong u tr nghi phm. Tc
l, mt ngi cho rng ngi kia khng trung thc, s i trc bng cch
phn bi li quyn li ca tp th cc ch n, hoc li dng lng tin ca
cc ch n khc. Khi ny, tnh trng xy ra c coi l cc hnh vi theo
ui nhau x s ch k (cn gi l hnh vi tp th - collective action).
Vn ca t tng ph sn l lm sao hn ch c kh nng ca hnh vi
tp th. Bowers (1990) chng minh rng trn thc t vic cc ch n
thng nht vi nhau cch iu hnh doanh nghip sao cho sinh li tr
n tng i t, do h khng tin nhau, v cng khng c c ch kim
sot lng tin mnh ca mnh c b li dng khng. Kt qu l cc ch n
thng thng nht bn u gi doanh nghip hn l doanh nghip tip
tc hot ng.

161

Ngoi ra, khi cc doanh nghip lm vo tnh trng mt kh nng thanh

ton, c kh nng xy ra tnh trng mt s ch n mun i n sm
thng ng vi doanh nghip c thanh ton sm, thm ch mua mt
s ti sn ca doanh nghip tu tn ti sn. trnh cc trng hp
nh vy, php lut phn ln cc nc cho php cc bn ch n khi pht
hin c yu cu To n tuyn b cc giao dch nh vy l v hiu. Cc
vn cn nghin cu ca kinh t lut l xem xt qui nh nh vy c
lm tng hiu qu cho nn kinh t hay khng.
Ngoi quyn li ca cc ch n, mt vn khc m kinh t lut c th
nghin cu l quyn li ca cc nh u t cc c ng. H ch c
chia ti sn sau khi cc ch n nhn c cc khon n ca mnh.
Trong khi , cc c ng khng c c ting ni quyt nh trong hi
ngh ch n. Nh vy cho d cc c ng mun tip tc iu hnh doanh
nghip tr n cho cc ch n, cng khng d g c chp nhn. Khi
ny, cc ch n c th v quyn li ca c nhn mnh m c nhng quyt
nh khng hiu qu, nh hng n quyn li ca cc c ng. Kinh t
lut cn nghin cu cc hnh vi, u tr ca cc ch th trong t tng ph
sn, xem xt xem quyn li ca cc c ng c bo v ti mc no,
ng thi cung cp cc qui nh php lut iu chnh hnh vi ca cc
bn tham gia t tng ph sn sao cho c hiu qu nht cho tt c cc bn.
Sau cng, khi mi kh nng cu vn doanh nghip tr nn khng cn hin
thc, vn cn li l bn ti sn doanh nghip sao cho c li nht.
Ngi ta thng phi tm cch bn ti sn theo mt trong hai phng n:
mt l phn chia ti sn doanh nghip thnh nhng ti sn nh, hai l bn
ton b doanh nghip. V cch thc bn cng c hai hnh thc: bn u
gi hoc bn ring cho tng doanh nghip. y, php lut nn cho cc
ch n quyn la chn, h c th chn phng n c li nht cho h.
Th d, nu bn ti sn doanh nghip tng mn mt, h c th d chn
ngi mua hn. Tuy nhin nu tng gi tr nhng ti sn bn c khng
thanh l tt c ti sn, v cc ti sn cn li khng th bn c, th
cc ch n c th ngh n vic bn ton b doanh nghip cho mt doanh
nghip khc. Ngoi ra, iu ny cng gip ch cho cc nhn vin ca
doanh nghip khi h trnh c khi b sa thi khi ton b doanh nghip
b tho ri v em bn. Tm li, vic nghin cu kinh t lut s gip cc
162

nh lm lut bit c cch ci cch php lut sao cho ng hng v

ph hp vi s pht trin ca nn kinh t.
C ngi cho rng s l xui xo nu trong giy php u t li cp
n chuyn ph sn cng ty. Tht ra, nhim v ca php lut l d tr
nhng ri ro v trng hp xu c th xy ra. Nu php lut ch d tr
trng hp tt xy ra th khng cn phi c php lut lm g, v cc bn
c th t tho thun vi nhau. H ch cn n cc qui nh ca php lut
khi c tranh chp m thi.
IX.

KINH T LUT V LUT TI CHNH NGN HNG

1.

Kinh t lut v th trng chng khon

Th trng chng khon l mt trong nhng c ch thu ht vn hiu qu

nht ca nn kinh t. Lut v th trng chng khon bao gi cng l mt
s kt hp ca php lut, kinh t v nhng l thuyt khc nhau v qun tr
hay tm l hc. Thng thng, cc qui nh v th trng chng khon
nhm vo 5 mc ch sau y (i) bo v ngi u t, (ii) xy dng uy tn
cho cc cng ty trn th trng chng khon, (iii) em li li ch cho
chnh ph, (iv) tng hiu qu cho nn kinh t, v (v) y mnh cnh tranh
trn th trng. Cc nh kinh t lut thng nghin cu v th trng
chng khon trn hai kha cnh (i) lm th no th trng chng khon
tr nn hiu qu, v (ii) lm th no gim nhng trng hp lm mt
lng tin ca nh u t i vi th trng chng khon nh la o hay
s dng nhng thng tin gy nhm ln.
Trc tin, lut v th trng chng khon bo v nh u t, bng cch
to iu kin cho cc nh u t c th bn v mua c phiu vi gi tr
phn nh ng trn th trng, khng b la di hay nhn ln. Cc qui
nh v cng b thng tin trn bn co bch, v ch bo co thng tin
khng nhm iu g khc ngoi tho mn nhng mc tiu ny.
Th hai, lut v th trng chng khon mang li hiu qu trong nn kinh
t thng qua yu cu cc cng ty trn th trng chng khon phi cung
cp nhiu thng tin hn cc cng ty ngoi th trng chng khon.
Thng qua c ch cung cp thng tin nh vy, cc cng ty c cch la
163

chn sao cho c li nht: hoc thu ht c nhiu vn song phi cung cp
y thng tin, hoc thu ht t vn hn v v th cng cn cung cp t
thng tin hn. Cc qui nh trn th trng chng khon thc y mt
cng ty cng phi lm n hiu qu, khi cng b thng tin trn th
trng chng khon th cc kt qu ca mnh thuyt phc c cc nh
u t b vn.
Th ba, lut v th trng chng khon xy dng uy tn cho cc cng ty.
Cc cng ty ny ngoi vic chu s kim sot ca s k hoch v u t
hay cc thu ni h ng tr s, cn phi chu s kim sot ca y ban
chng khon Nh nc. Do b kim sot nhiu nh vy, h phi bit cch
thit lp c ch kim sot trong ni b cng ty sao cho va khoa hc, va
hiu qu. Thc t cho thy, cc cng ty lm n c hiu qu hn c thng
thng s cho bn c phiu trn th trng chng khon mc d phi
cng b nhiu hn.
Th t, lut v th trng chng khon em li li ch cho chnh ph, bi
l nhng nc th trng chng khon hot ng mnh, vic lin tc
lm tng ch s trn th trng chng khon l mt cch chng minh
s hiu qu ca vic qun l ca chnh ph. V vy chnh ph khi ban
hnh cc c ch qun l cng nh ngh nh hng dn phi tm cch to
c ch thng thong v bin gi, iu kin nh u t nc ngoi
tham gia vo th trng nh th no ch s giao dch trn th trng
chng khon lin tc tng.
Cui cng, lut v th trng chng khon phi thc y c s cnh
tranh ca cc doanh nghip trn th trng. Thng qua vic cung cp
thng tin y , c quan qun l cnh tranh c th thu thp cc thng tin
chnh xc v th phn, doanh thu, v.v. ca tng doanh nghip trong tng
thi k. T , vic d on nh hng ca mt iu lut i vi s cnh
tranh trn th trng cng tr nn d dng hn. Thc t cho thy mt
nc th trng chng khon cha pht trin th vic thc thi lut cnh
tranh cng kh hn.
Nh vy, nhim v ca kinh t lut l phi nghin cu xy dng qui nh
v th trng chng khon sao cho phc v c nm mc tiu k trn.
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2.

Cc qui nh v giao dch ni gin

Qui nh v giao dch ni gin nghim cm cc hnh vi li dng vic bit

trc thng tin so vi cc c ng. Th d, mt thnh vin trong hi ng
qun tr ca cng ty bit cng ty hin s thu hp sn xut do tnh hnh
kinh t kh khn. Nu thng tin ny c cng b th gi c phiu s
gim. Cc thnh vin s bn c phiu trc khi thng tin c a ra,
v th s gim c l l ra nu l c ng h phi gnh chu. Tng
t, mt thnh vin hi ng qun tr c th bit rng cng ty sp k c
mt hp ng kinh t quan trng, v v vy s tin hnh mua c phiu
trc khi cc c ng khc bit v thng tin ny. Tm li, giao dch ni
gin ging nh mt cuc chi bi m mt ngi chi bit trc bn
kia cm qun g.
Ti sao hnh vi giao dch ni gin li b cm, xt trn c s l lun ca
mn kinh t lut, v phm vi cm cc giao dch ni gin l n mc no?
Cc cu hi ny c nhiu nh kinh t nghin cu. Trc tin, xt
trn kha cnh quyn s hu th ch nhn cng ty l cc c ng ch
khng phi cc nh qun l cng ty (th d gim c hay mt s thnh
vin trong hi ng qun tr). V th, cc thng tin lin quan n cng ty
cng phi thuc quyn s hu ca cc c ng. Vic thnh vin ban gim
c hay hi ng qun tr s dng cc thng tin trc khi cc c ng
bit l hnh vi nh cp thng tin, gy thit hi cho cc c ng. Theo
nh l Coase, nu thng tin y th chi ph giao dch gia cc bn s
bng khng (0), v vy ngi mua v ngi bn c phiu c th quyt
nh xem cch x s ca mnh nh th no l c li nht. Mc ch ca
vic cm cc hnh vi giao dch ni gin l pht huy tnh hiu qu ca
th trng gia ngi mua v ngi bn. Ngoi ra, vic mt cng ty
cho ngi qun l thng tin s dng giao dch ni gim s lm mt uy tn
ca cng ty , ng thi lm gim s quan tm ca cc nh u t i
vi cc cng ty ny.
Th hai, theo nguyn tc v thng tin bt i xng, th ngi c thng tin
cng d trc li (rent-seek). Lut cm giao dch ni gin s gip cc nh
u t c th u t tt hn. Tuy nhin c quan im cho rng tht ra ch
cc nh u t chuyn nghip hay cc qu u t mi c th phn tch
thng tin mt cch y . Nu cc c ng nh khng bit nhiu thng
165

tin bng cc nh u t ln, th tht ra nhng nh u t ln l nhng

ngi c li nht trong cc qui nh v cm giao dch ni gin. Nhn
nh ny ng hay khng th cho n nay vn cn nhiu tranh ci.
Hin nay, xu hng nghin cu v giao dch ni gin l xc nh phm vi
cc thng tin b coi l b cm - tt c cc thng tin b mt ca cng ty, hay
ch mt s thng tin b mt c lin quan n giao dch trn th trng
chng khon. Ngoi ra, ngi ta cn nghin cu nhng ngi c li
nhiu nht hay thit hi nhiu nht khi c lut cm s dng thng tin lm
giao dch ni gin - t xy dng c ch cm giao dch ni gin sao cho
d p dng v c nn tng c s vng chc trn cc l thuyt v kinh t
lut.
3.

Kinh t lut v cc qui nh v th trng ti chnh

Nhng vn kinh t lut ca th trng ti chnh cng tng t nh th

trng bo him: la chn sai (adverse selection), thng tin bt i xng
(asymmetric information), hnh ng tp th (collective action) v nim
tin trong cc cuc u tr khng hon chnh. gii quyt cc vn
ny, php lut cng s dng cc bin php tng t, l qun l cht
ch bo co thng tin ca cc t chc tn dng, ng thi qun l bin
ri ro bng cc chnh sch v li sut. Tt c u nhm mc tiu sau
cng l bo v ngi gi tin, bng cch ly nim tin cho h thng ngn
hng v hn ch n mc thp nht ri do xy ra do ph sn.
Thng thng, cc qui nh v ti chnh nhm n hai hng: iu chnh
cu trc th trng v iu chnh hnh vi. Cc iu chnh cu trc hng
ti vic iu chnh u vo ca th trng, v ch cho php nhng nh
ch lnh mnh, vn ln mi c th thnh lp ngn hng hay cc t chc
tn dng - c th l qui nh v tin gi vo qu bo him ri ro ti Ngn
hng Nh nc ca tng ngn hng thng mi. Ngoi ra, Ngn hng
Nh nc cng cn phi c nhng qui nh v li sut cng nh phm vi
hot ng ca mi ngn hng hn ch nhng thit hi c th xy ra do
ngn hng tham gia vo nhng hot ng nguy him cho cc hot ng
truyn thng ca mnh. Cc iu chnh v hnh vi lin quan n cc qui
nh v nh mc cho vay, cc nh mc an ton cho doanh nghip, ng
thi cc qui nh v bo co, thanh tra, kim tra ngn hng.
166

Ngoi ra, khi cc nh ch ngn hng pht trin trong nn kinh t ton cu
ho, th cc qui nh v ngn hng cng cn phi c nhng thay i thch
hp. Vic Chu u thnh lp ng tin chung, cng nh ban hnh cc qui
nh kim sot ti chnh chung cho thy vic qun l ri ro cho cc ch ti
khon ton cu dn dn tr nn mt nhu cu quan trng.
X.

KINH T LUT V LUT THU

1.

Kinh t lut v nhng vn v m trong lnh vc thu

Benjamin Franklin, mt trong nhng ngi son tho l Hin php Hoa
K pht biu c hai vic chc chn trong i thu v cht. Thu l
cng c quan trng to ngun thu cho bt k chnh quyn no. Mt chnh
quyn cn phi c nhng khon chi cho nhng mc tiu chung nh h
tng c s, b my cn b cng quyn, lc lng v trang nhn dn v b
my ca cc t chc chnh tr - chnh tr x hi. Khi , cn phi tng cc
khon thu m bo nhu cu chi tiu ca chnh ph.
Lut thu c mt chc nng quan trng, l ti phn phi li ti sn
trong x hi. C hai quan im v vn ny. Quan im th nht cho
rng vic ti phn phi ti sn trong x hi nhm m bo s cng bng.
C ngha l nhng ngi c thu nhp thp s phi ng thu t hn ngi
c thu nhp cao, v thu nhp ca ngi c thu nhp cao s c s dng
vo nhng mc ch cng cng, mang li cng bng cho x hi. Quan
im th hai cho rng vic phn phi ti sn x hi s lm gim ch lm
giu ca ngi dn. Thng thng, nhng ngi c thu nhp cao l
nhng ngi sn sng gnh chu ri ro v u t cho doanh nghip. Khi
, cc doanh nghip s phi thc cch phn chia li nhun lm sao
thu nhp ca ngi ng gp nhiu nht cho doanh nghip khng nn cao
qu. Shavell (1980) cho rng qui nh ca php lut thu nn c s
dng phn chia li thu nhp ca x hi, t iu chnh hnh vi ca
cc ch th trong x hi. Khi cc ch doanh nghip mun ng thu (chi
ph) t nht cho thu nhp cao nht, h s phi tnh ton sao cho phn chia
thu nhp cho nhng ngi khc h cng c thu nhp v nh vy x
hi s t ng cng bng hn, m khng cn phi c cc cuc cch mng
hay cc v kin.
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Vn v m ca lut thu l cch thc dung ho gia hai vn - s n

nh ca nn kinh t v d kin li nhun ca cc doanh nghip. R rng
l, vic nh thu phi lm tng trng nn kinh t. Khi cc doanh
nghip chu sc p thu qu nng, h s khng th pht trin. Nh vy,
vn ca kinh t lut l t ra mt mc thu va phi nhng thc thi.
Th hai, phi c k hoch chi tiu ng tin ca nhn dn mt cch cn
thn. Cch s dng hiu qu nht l chi tiu vo u t, v mt ng u
t s ra nhiu li nhun hn mt ng tiu dng. Cc khon tin u
t bao gm u t vo c s h tng, vo cc ngnh cng nghip then
cht, vo gio dc, y t, khoa hc, qun s, quc phng. Cc khon tin
chi tiu bao gm chi tiu cho h thng hnh chnh, chi cho cc l hi hay
cc khon tr cp x hi.
Nhn chung, mi ngi u cho rng Chnh ph nn lu tm n nhng
li ch di hn hn l nhng li ch ngn hn.
2.

Kinh t lut v cc hnh vi trn thu v trnh thu

i vi vic tun th php lut thu v cc bin php trn thu, vn

nm c ch thu thu sao cho c hiu qu nht v hn ch vic trn thu.
u tin, cc nh kinh t lut cho rng vn trnh thu (tax avoidance)
hay trn thu (tax evasion) ch n thun l vic so snh chi ph v li ch
gia vic np thu v trn thu. Becker (1968) cho rng nu doanh
nghip thy ri ro do b pht hin v trn thu ln hn li ch t vic trn
thu mang li, th h s khng trn thu na. Nh vy, cch tt nht
hn ch vic trn thu l tng nng cc ch ti i vi ti trn thu. Cho
d vic trn thu c thc hin trt lt mi ln th mt ln b bt c th s
thit hi nhiu hn c 10 ln trc cng li.
Tuy nhin, vn khng n gin nh vy. K c khi lut thu qui
nh chi tit, vn c nhng l hng trnh thu. L hng th nht l
vic thnh lp doanh nghip. Khi thnh lp doanh nghip, rt nhiu
khon chi tiu cho c nhn c th c coi l chi ph hp l v c khu
tr vo doanh thu trc khi tnh thu nhp chu thu. V vy, s thu phi
np thng thng s nh. Th hai, trnh thu, doanh nghip c th
hp thc ho bng v vn cc giy t khc nhau, v hy vng rng c quan
168

thu s khng c thi gian kim tra. Tht vy, vi s lng cc

doanh nghip ngy cng tng, c quan thu s khng ngi kim
tra ht tt c cc doanh nghip v cng khng th pht hin ht c
nhng v gian lu thu. Th ba, trong c ch thu cng c nhiu bin
php khuyn khch v u i thu. y chnh l l hng cc doanh
nghip c th li dng trnh thu. Th d, doanh nghip c cp
chng nhn u i u t v thu, song trn thc t ch mt phn hot
ng ca doanh nghip l ri vo lnh vc u i u t. Ngoi ra, cn
nhiu bin php trnh thu khc trn bnh din quc t, nh cc bin php
chuyn gi hay thnh lp doanh nghip ti ni khng h phi ng thu
(thin ng thu kho tax haven). Nh vy, cc doanh nghip c th
trnh thu ti mc c quan thu khng th nhn ra, mc d nghi ng.
Nh vy, bin php loi tr trn thu khng th ch l vn so snh chi
ph v li ch, hay nh gi ri ro. Gn y, ngi ta nghin cu nhiu
hn n nhng nguyn nhn xu xa dn n tnh trng trnh thu - t vic
xy dng mt ch thu cng bng dn ch nhng ngi np thu t
nguyn np thu, n vic nghin cu tm l ngi np thu v thc
cng dn trong vic np thu thy rng vic np thu l cn thit, bn
cnh nhng bin php chng gian ln thu nh hp tc quc t v thu v
nhng hip nh trnh nh thu hai ln. Tt nhin, cng vic nghin cu
ca kinh t lut l tm nhng im bt hp l trong php lut v thu v
ci tin chng theo hng hiu qu hn.
3.

Kinh t lut v thu thu nhp c nhn (thng xuyn v khng

thng xuyn)

Thu thu nhp c nhn thng thng nh trn tng thu nhp ca c nhn.
Nh vy ngi np thu khng c khu tr nhng khon chi tiu ca
mnh hay ca gia nh. iu ny s dn n s bt cng l mt ngi c
thn cng ng thu nh ngi c gia nh, trong khi chi tiu ca ngi
c gia nh cao hn v v th khon tit kim s t hn. Mt im bt hp
l tip theo l cc mc thu ly tin khin nhng ngi cng kim c
nhiu tin th cng phi ng nhiu tin thu hn nhng ngi thu c t
tin. Ngoi ra, cc khon chi tiu khng c tr thu s khin cho c
nhn c xu hng chi tiu thai mi vo nhng khon chi nh hn l tit
kim vo nhng khon chi ln. Sau cng, s bt hp l gia thu thu
169

nhp c nhn (khng c khu tr chi ph) v thu thu nhp doanh
nghip (c khu tr chi ph) khin cho mi ngi c xu hng lp cty
c gim thu. Khi , cn c c ch c bit hn ch vic nh
thu i vi c nhn, cho php khu tr mt s chi ph c bit v c mc
thu ly tin hp l. Nhim v ca kinh t lut l xc nh xem khon chi
ph no th nn c khu tr v mc thu ly tin hp l l mc thu g.
Andrews (1974) cho rng vic cho php khu tr chi ph trong thu thu
nhp c nhn cn c cn c trn s khuyn khch ca nh nc vo
mt s khon chi ph ca ngi dn. Th d, vic s dng tin ca c
nhn vo mc ch ng gp t thin cn c coi l mt khon chi ph
c min thu. Hn na, nu Nh nc mun khi ng th trng bt
ng sn, th nn cho php cc khon tin mua nh c khu tr thu.
Tng t, nu Nh nc khuyn khch sinh con, th c th cho php hai
v chng c khu tr mt khon chi c nh trong thu nhp ca mnh
nui con. Trong khi , nu Nh nc khng khuyn khch cc chi ph
mang tnh cht tiu th xa x th khng nn cho php khu tr i vi
nhng chi ph nh chi ph tiu dng, gii tr, mua sm xe hi, v.v.
Mt s hc gi khc cng cho rng mt s thu nhp c bit nh thu nhp
t vic bn chng khon hay li vay ngn hng nn c tnh thu theo
cch thc khc vi nhng cc tnh thu nhp thng xuyn. T ny
sinh ra cch tnh thu phn bit gia thu nhp thng xuyn v thu nhp
khng thng xuyn. Mc ch ca cch phn nh ny n gin ho
cch tnh thu, v cng trnh kh nng ngi np thu ngi u t trong
trng hp mi khon thu nhp u c coi l thu nhp thng xuyn
(ngi np thu s ngi u t vo nhng khon u t nh c phiu hay
cho vay). C thi k, khuyn khch u t trn th trng chng
khon, Chnh Ph Vit Nam tm min cc khon thu nhp t bn c
phiu, tri phiu, li vay ngn hng. Ngoi ra, vic tnh thu thu nhp
khng thng xuyn khc thu nhp thng xuyn cng trnh trng hp
cc thnh vin trong mt gia nh gi to chuyn cc khon thu nhp bt
thng (nh qu tng, x s, v.v.) cho thnh vin c thu nhp t nht,
nhm hng cc u i v thu.

170

Trn quan im ca kinh t lut, cch tnh thu thu nhp c nhn ging
nh mt cuc u tr gia Nh nc v ngi np thu. Thng qua cch
tnh thu, Nh nc s iu chnh hnh vi ca ngi np thu.
4.

Kinh t lut v thu thu nhp doanh nghip

Thu thu nhp doanh nghip v bn cht khc hn thu thu nhp c nhn.
Nu thu thu nhp c nhn nh trn thu nhp rng ca c nhn, th thu
thu nhp doanh nghip ch nh trn li tc sau khi cc khon chi ph.
Trong khi thu thu nhp c nhn b nh thu theo nguyn tc cng lm
c nhiu tin th cng b nh thu cao qun bnh thu nhp gia cc
cng dn, th thu thu nhp doanh nghip b nh thu theo nguyn tc
cng mt mc thu nh nhau, mc d php lut qui nh mt s ngnh
ngh s c min hay gim thu.
S khc bit gia thu thu nhp doanh nghip v thu thu nhp c nhn
to nn mt li th nht nh ca thu thu nhp doanh nghip. Stiglitz
(1976) cho rng thu thu nhp doanh nghip l loi thu em li c hi
cho cc nh khi nghip. Nh c thu ny m h c th u t xy dng
doanh nghip m khng phi ng thu. Ngoi ra, thu thu nhp doanh
nghip s gip doanh nghip cc c hi tnh ton u t nh th no
cho c li nht, vi nhng mc u i thu m Nh nc p dng cho
doanh nghip.
i vi cc doanh nghip xuyn quc gia, vic p dng thu doanh
nghip nhiu nc khc nhau s c nhng c hi tit kim cc khon
thu. T nhng nc c thu sut bng khng (nh British Virgin Islands
hay Cayman Islands) n nhng nc c thu sut cao n 50% Bc
u, cc doanh nghip c th thit k c cu thu ca mnh sao cho c li
nht cho doanh nghip.
Gn y, c xu hng mun xo s khc bit gia thu thu nhp doanh
nghip v thu thu nhp c nhn. Mt trong nhng xu hng u tin l
trnh s nh thu hai ln ca cng mt thu nhp (th d thu nhp t li
nhun c chia ca cng ty, nu ng thu mt ln ti doanh nghip
th khng phi ng thu thu nhp ca c nhn). Tuy nhin, vn cn
171

nhiu i tng ca thu thu nhp doanh nghip cha hiu qu, cn c s
nghin cu ca cc nh kinh t lut.
5.

Kinh t lut v thu i vi vic s hu ti sn

Thu ti sn nh trn cc ng sn v bt ng sn. Mc ch ca vic

nh thu, ngoi vic thu cc khon li cho nh nc, cn l trnh vic
u c tch tr ti sn, c th l t ai hay nh . Khi mt lp ngi
tch tr nhiu t, h s to nn khan him t ai gi to, v gi t s
tng. Mt khc, khi h khng phi tr tin thu t, h c th gm gi t
bao lu ty . iu ny khin t ai b b hoang, khai thc khng hiu
qu. Trc tnh hnh , thu ti sn, c bit l thu t ai, tr nn c
hiu qu trong vic quay vng vn nhanh v s dng ti sn c hiu qu.
Th d, mt ngi s hu mt mnh t. Thay v bn ngay kim li,
nh nc c th tm cch hn ch vic mua bn t ai qu nng bng
cch nh thu cao i vi ln chuyn nhng xy ra trong vng 1 nm
(th d 50% chnh lch gi mua v bn). Nu vic mua bn c tin
hnh nm th hai, thu sut s l 30% v c th gim dn. Nh vy, vic
mua bn t ai nhanh chng kim li s b gim. Th hai, vic
mua bn t ai c hiu qu, Nh nc c th nh thu i vi vic s
hu t ai. Nu ch t khng s dng t c hiu qu, h s phi bn
t v khng c kh nng tr tin thu. Ngc li, nu ch t c th cho
thu c t, th ngi thu s tr tin thu t. Nh vy, vn ca
kinh t lut khng cn l ch c nn xy dng h thng thu bt ng
sn hay khng, m nn nh mc thu bao nhiu.
Thng thng, mc thu bt ng sn hp l l mc thu khuyn
khch c ngi s dng t u t nhng cng trnh c hiu qu trn
t ai. Th d, nu Nh nc mun qui hoch khun t thnh mt bnh
vin hay trng hc, Nh nc c th gim thu t nu khu t c
u t ng mc ch. Ngc li cc giao dch v t ai tri vi nhng
mc ch trn s phi chu thu cao. Th d th hai, gi s Nh nc
mun gip sinh vin tm ch , Nh nc c th gim thu - thm ch
min thu cho nhng ch s hu bt ng sn cho sinh vin thu nh.
Thu t, nh Quesney v Ricardo tng ni, l loi thu hp l nht v
c tc dng nht trong s iu tit nn kinh t ca Nh nc.
172

6.

Kinh t lut v thu gin thu

Thu gin thu bao gm thu tiu th c bit, thu gi tr gia tng hay
thu bn hng (sales tax) nhiu nc. Vic tm ra thu gin thu nhm
nhiu mc ch. Th nht, n gip vic thu thu c tin hnh mt cch
tin li nht v d dng nht. Nhn chung, thu gi tr gia tng rt kh
trnh v cng bng i vi vic mua i bn li mt hng ho. Trn mt
kha cnh, thu gin thu cng l mt dng ca thu ti sn. Khi mt hng
ho c mua i bn li c gi chnh lch, ngi mua i bn li s phi
tr tin thu trn khon chnh lch (phng php tr thu gin tip)
hay tr tin thu trn khon chnh lch gia khon thu GTGT u ra v
GTGT u vo.
Tng t nh thu bt ng sn, Nh nc c th iu tit nn kinh t
thng qua c ch ng n khuyn khch pht trin nhng ngnh cn
min gim thu. Th d, mua bn thc phm hay sch v c th ch chu
thut GTGT bng 0%. Trong lnh vc thu gin thu, nhim v ca kinh
t lut l tm c ch sao cho thu thu c hiu qu nht.
CU HI:
1.

c quyn c em li hiu qu cho x hi khng? Nu khng,

th ti sao nh nc vn to ra c quyn, nh bo v quyn s
hu tr tu, hay thnh lp cc tp on kinh t?

2.

Theo nh l Coase, th hn ch c quyn cn phi lm g?

3.

Vic cc cng ty sp nhp vi nhau c mang li hiu qu cho

nn kinh t hay khng?

4.

Trn thu v trnh thu khc nhau ch no? Trnh thu c

mang li hiu qu cho nn kinh t khng? Cho v d.

5.

Nn kinh t m Schumpeter d on s pht trin nh th no?

Nu d on trn l ng, th chnh ph phi lm g s pht
trin mang li li ch cho ngi dn?
173

6.

Bo him l g? Ti sao hp ng bo him lin quan n l

thuyt thng tin bt i xng trong kinh t?

7.

Lm th no bo v mi trng c hiu qu, theo nh l

Coase? Cch x l nh vy v lu di c hiu qu khng?

8.

Mt cng ty c quyn nh Microsoft c mang li nhiu li ch

cho x hi khng? Lm sao hn ch nhng tiu cc do c
quyn mang li?

9.

Kinh t lut c p dng nghin cu cc kha cnh ca

ngh y v ngh lut s nh th no?

10.

Thng mi ho quyn x cht thi ra mi trng c tc dng

hn ch vn nhim mi trng khng, v sao?

11.

Cc vn ca lut ngn hng v ti chnh l g, xt v kha

cnh kinh t lut?

174

CHNG 6: KINH T LUT V CC CHUYN NGNH LUT

QUC T
I.

KINH T LUT V T PHP QUC T

Vn quan trng trong t php quc t l vic la chon lut p dng.

Khi cc bn tha thun lut p dng, h phi cn nhc li ch chi ph
ca mi s la chn. Khi h la chn, h khng c quyn chn cc qui
nh ca php lut m ch c quyn la chn cc h thng lut. Thng tin
v h thng lut c th khng r, song t nht n khng phi l h
thng lut qu thin v cho pha bn kia. y l mt c tnh m chng ta
phi nghin cu, ti sao vn ny hin nay vn cha c quan tm
ng mc.
Vic chn h thng lut thay v cc vn bn php lut c nhiu im li:
th nht l n lm cho vic tun th php lut tr nn c h thng hn.
Th hai l n lm cho cc h thng lut phi cnh tranh vi nhau tr
thnh mt loi lut d c cc doanh nghip la chn hn.
Tuy vy, i khi s la chn lut p dng ca cc bn cng khng c
cc nc theo h thng lut Anglo-Saxon cng nhn. l khi cc lut p
dng khng lin quan g n tranh chp v chn ni phn x cng khng
lin quan g n v tranh chp. iu ny cng s khin cho vic xt x
khng c hiu qu, m ri k c li nht trong v vic l ngi vi phm
hp ng (v tranh chp khng gii quyt c). Tnh hnh bt buc
phi c s can thip ca php lut trnh nhng hnh vi li dng tha
thun ca cc bn ra nhng kt qu khng hiu qu.
II.

KINH T LUT V CNG PHP QUC T

Cng php quc t nghin cu v quan h gia cc nh nc hay cc t

chc quc t. V bn cht, cc quc gia quan h vi nhau trn tinh thn
tn trng ch quyn c lp, t nguyn v bnh ng. y cng l nhng
tnh cht ca cc ch th khi tham gia vo quan h hp ng. V vy cc
nghin cu v lut hp ng cng c th p dng cho cc vn lin
quan lin quan n cng php quc t.
175

III.

KINH T LUT V LUT THNG MI QUC T

Lut thng mi quc t mang tnh cht tng t nh lut hp ng v

lut thng mi. V th, nhng nghin cu v lut hp ng v cc vn
c lin quan cng c th p dng cho vic nng cao hiu qu cho cc
quan h lut thng mi quc t. Th d, WTO l s nh i gia cc
nc ang pht tin (LDC) v cc nc pht trin, trong cc nc
ang pht trin phi bo v quyn li ca cc nc pht trin c
xm nhp th trng cc nc pht trin. Douglas North (1990) ch ra
mi lin h gia quyn s hu, chi ph giao dch v pht trin. Nu quyn
s hu khng c m bo, chi ph giao dch cao, th nn kinh t kh
pht trin.
IV.

KINH T LUT V LUT THU QUC T

Lut thu quc t lin quan n hai vn . Th nht l thu sut chnh
lch gia cc nc, v th hai l giao dch gia cc cng ty lin thuc
cc nc khc nhau (gi l cc bin php chuyn gi).
i vi vn th nht, chng ta thy rng cc nc ang pht trin
thng thng cnh tranh vi nhau v cc thu sut u i thu ht u
t nc ngoi. iu mun ni l cc u i ny c em li li ch g cho
doanh nghip khng. Nu mt khon thu nhp ti Vit Nam c min
thu sau khi em v c b nh thu ti c th doanh nghip u t ti
Vit Nam cng khng c li g hn so vi vic thnh lp doanh nghip
ti c. V th trong cc hip nh trnh nh thu hai ln gia Vit Nam
v cc nc, vn trnh nh thu hai ln nh th no cho hiu qu
cng l iu phi bn ci. Th d, c c th min nh thu cc khon
thu nhp nh thu ti Vit Nam (phng php loi tr), hay c c
th khu tr cc thu np ti Vit Nam i vi tng thu nhp ti c
v Vit Nam ca mt doanh nghip (phng php khu tr). Phng
php u c v c li cho doanh nghip hn, song phng php sau c
cc quc gia s dng nhiu hn. Nhim v ca cc quc gia l m phn
cc Hip nh trnh nh thu hai ln sao cho c li cho c hai nc.
Ngoi ra, cc quc gia ang pht trin c khuyn khch p dng cc
bin php khuyn khch u i ngoi thu kho (nh gi nhn cng, s n
nh chnh tr hay mi trng kinh doanh r rng minh bch).
176

Chuyn gi l vic khai tng chi ph bng cch tnh gi bn mt sn phm

ti mt cng ty lin thuc nc ngoi cao hn gi bn ti chnh nc
. Th d, ph tng mt chic xe Toyota ti Nht c nh gi l 3000
USD mt b linh kin, song khi bn sang Vit Nam c nh gi l
16000 USD mt b linh kin. Do gi linh kin cao, nn khi bn xe vi
gi 30.000 USD mt chic, h cng phi chu thu thu nhp doanh nghip
cao. i vi vn th hai ny, hin nay c hai lung quan im v hiu
lc ca vic chuyn gi. Quan im th nht cho rng chuyn gi l
hnh vi phi b nghim cm, v iu ny lm tht thu thu ca ni bn
hng sn phm. Quan im th hai cho rng chuyn gi chng qua ch l
bin php hp l ho sn xut tng nc. Nu cng ty Toyota cho
rng th trng Vit Nam l th trng ch yu gia cng, v h sn
sng ng thu cao ti Nht, hay ti nc sn xut linh kin, v thu
Nht thp hn ti Vit Nam, th h hon ton c quyn nh gi sn phm
bn cho Vit Nam vi gi cao hn gi bn ti Nht. Quan im th hai
ny ngy nay cng c nhiu ngi cc nc pht trin ng h, v tt
nhiu nhng nc phn i nhiu nht l cc nc ang pht trin, ang
thu ht u t nc ngoi v nhng sn phm cao thng c gi cao hn
nc ngoi nhiu ln.
Chng chuyn gi c nhiu cch, v ch yu l nhm mc ch sao cho
bin cc giao dch gia cc cng ty lin thuc thnh cc giao dch sng
phng gia cc bn khng lin quan. Cc bin php ny bao gm phng
php nh gi bng cch so snh vi nhng doanh nghip tng ng
trn th trng (Comparable Unit Price Method), nh gi bng cch cng
ly tin t chi ph sn xut (Cost Plus Mark Up Method), hay nh gi
bng cch khu tr t gi bn l sn phm (Resale Price Mark Down
Method). Chng ta khng i su vo cc phng php y. Tuy
nhin, cn mt bin php chng chuyn gi khc, l xo b cc hng
ro bo h thu quan sao cho khng cn c s khc bit gia gi bn
hng nc ny v nc khc. iu c li cho ngi tiu dng.
i vi doanh nghip trong nc, nhng doanh nghip c kh nng s tn
ti. Doanh nghip no khng c kh nng s t phi tm cch ci t hay
tm hng kinh doanh khc.

177

CU HI:
1.

Cc nguyn tc kinh t lut trong cc chng trc c th p

dng cho chng ny c khng, v sao?

2.

Vit Nam khi gia nhp WTO s c thun li g v s gp kh

khn g? Lm g tip tc pht trin sau khi gia nhp WTO?

3.

Bn cht ca cc khon n ODA l g? Lm sao s dng v

gim st s dng cc khon vn ny mt cch c hiu qu?

4.

Th no l nguyn tc i x bnh ng theo qui nh ca

WTO? Nguyn tc ny c mang li hiu qu cho nn kinh t
khng? Ai s chu bt li khi p dng nguyn tc ny?

5.

Chuyn gi l g? N c em li hiu qu cho ai khng? Ai l

ngi chu thit hi? Lm th no chng chuyn gi?

6.

Ti sao cc quc gia c th gii tr qun b, m phn vi

nhau, mc d trc kia h l nhng quc gia th ch. Theo
ui chnh sch phng nga ri ro (u tr nghi phm) l tt
hay tin cy ln nhau (u tr anh em) l tt?

178

KT LUN
Trong tnh hnh hin nay trong nc cha c mt quyn sch no vit
v ngnh nghin cu y mi m ny, ti a mn kinh t lut vo
ging dy ti Trng i hc Lut TP HCM l bc i u tin khai ph
cho mt mn hc thc s cn thit. Trong thi gian qua, cuc tranh lun
din ra trc k i hi ng ln th X v nhng vn nh: th no l
bc lt, ng vin c c lm kinh t t nhn hay khng, v.v. cho
thy mc d Marx ch ra rt ng n rng kinh t nm mi vn
ca x hi, song cch gii thch ca Marx hay Lenin, vn da vo thi k
th k 19 v u th k 20, khi bc sang th k 21 bc l nhiu iu
cn iu chnh. Trong khi , nhn loi tin mt bc di trong t duy
v lut php, nh cc cng trnh nghin cu lin quan n mn kinh t
lut ca cc nh kinh t ot gii Nobel nh Ronald Coase, John Nash,
Friederich von Hayek hay Joseph Stiglitz. C nm c nhng kin thc,
tinh hoa nhn loi trong lnh vc ny, chng ta mi c c may bt kp thi
i trong lnh vc nghin cu kinh t v php l. Nu khng, chng ta
vn ch lun qun trong nhng cu hi khng c li p v php lut l
ch ca giai cp thng tr, v nu vy ti sao lut ca Anh - M v lut ca
Vit Nam li nhiu im ging nhau.
Dng kinh t gii thch lut, v dng cc l thuyt kinh t gii thch
tng ngnh lut trong h thng lut ca Nc CHXHCN Vit Nam l c
mong ca tc gi khi vit ti ny. y l mt mong c qu ln so vi
mt ti NCKH cp trng. V vy, tc gi mong bn c coi y l
mt quyn sch nhp mn vi nhng tng gi m, cc ging vin,
cc sinh vin tip tc nghin cu v hon thin thm phng hng
nghin cu ni trn. Cc vn chnh c nu ra trong ti ny l:
1.

Chng 1: cc cng c nghin cu ca mn kinh t lut: ti

gii thiu cc l thuyt kinh t v nh hng ca chng n
vic xy dng cc qui nh php lut. Cc cng c ph bin
nht bao gm: la chn duy ch, tnh hiu qu ca vn , chi
ph giao dch, l thuyt tr chi, ti sn cng, tnh trng tic
ca, hiu ng mng, thng tin bt i xng v hc thuyt v
cc nh ch. tng xuyn sut ca ton b chng I l khi
xy dng cc vn bn php lut phi ngh n hiu qu - tc l
179

lm sao cho chi ph ca vic thc hin cc qui nh php lut l

t nht m li ch thu c cho x hi l nhiu nht. Mc du
vy, t c hiu qu th phi lu n nhiu vn , ch
khng phi ch quan tm n li ch ca cc bn trong cc quan
h. C th l, cn quan tm n cc vn lm nh hng n
hiu qu ca quan h, nh thng tin bt i xng, tnh trng
tic ca (phn ng ca tm l i vi hiu qu c th sai lch
so vi cch nhn khch quan), hay cc chin lc suy lun
trong l thuyt tr chi. Chng ny cung cp cho chng ta ci
nhn tng th v cc cng c ca mn kinh t lut chng ta
c th p dng chng vo cc Chng tip theo.
2.

Chng 2: kinh t lut v cc mn hc ca Khoa Lut Hnh

chnh: trong chng ny, mn kinh t lut cung cp cho
chng ci nhn khc v cc mn hc nh t trc n nay
chng ta vn thy. Thay v cho rng php lut l ch ca giai
cp thng tr, cc quan im ca kinh t lut cho thy Hin
php l khoa hc v s la chn ca cng chng. Khi chng ta
ni: mi ngi sinh ra u c quyn t do v bnh ng, th
c ngha l khng ai c quyn p t ch ca mnh ln ngi
khc. Tt nhin cng khng th c chuyn 100% ngi dn
ng tnh vi tt c cc iu khon trong bn Hin php. V
th mi c nguyn tc thiu s phc tng a s. Tuy nhin, do
a s qu ng, li khng c thng tin y , nn s xy ra
trng hp l mt thiu s nh nm quyn lc c th lng on
chnh tr. Hin php c t ra l gim bt nhng ri ro
nh vy. Ngoi ra, cc c ch khc nh t ch a phng, nh
nc lin bang, v.v. cng ng vai tr quan trng trong vic to
mi trng cnh tranh lnh mnh v chnh tr. Quan im th
hai m chng ta cn xem li, l t by lu nay chng ta cho
rng Nh nc v php lut mang tnh giai cp mnh hn tnh
x hi. Cc nghin cu v kinh t lut cho thy bn cht ca
php lut l mt loi kh c. iu ny Montesquieu ni t
lu, song qua cc cng c nghin cu ca kinh t lut m chng
ta thy rng bn cht hp ng i su vo tng ngnh lut,
k c nhng ngnh c phng php iu chnh l mnh lnh
phc tng nh lut hnh s hay lut hnh chnh. iu c th
180

c l gii bi l do n gin: khng c tho thun th s

khng c hiu qu. Hiu c iu , chng ta c th ban
hnh cc qui nh hp vi lng dn hn, khp vi tng ngnh
lut khc nhau hn. Khi n bn cht hp ng ca cc
qui nh php lut, cng nn lu n nhng ri ro trong hp
ng c th xy ra, l hnh vi trc li hay vn s hu v
qun l ti sn cng.
3.

Chng 3: kinh t lut v cc mn hc ca Khoa Lut Dn s:

trong chng ny, ti xem xt cc ngun gc kinh t ca cc
qui nh v s hu, v s hu tr tu, v hp ng, bi thng
thit hi ngoi hp ng, c li khng c cn c php lut,
lut lao ng, lut hn nhn gia nh, t tng dn s. Trong
tng mn hc, cc vn php l c xt li trn kha cnh
kinh t, tm nhng vn m chng ta phi tip tc nghin
cu v lm r, sao cho cc qui nh php lut mang li hiu qu
nhiu hn cho php lut. Cc yu t nh hng n hiu qu
bao gm vn thng tin bt i xng, hn ch ri ro v thit
hi cho ngi c quyn v li ch hp php.

4.

Chng 4: kinh t lut v mn Lut Hnh s: trong chng

ny, vn xem xt s l tnh hiu qu ca cc hnh pht xt v
gc kinh t. V ngi c l tr s so snh hu qu ca vic
phm ti v khng phm ti trc khi tin hnh phm ti, nn
phi tm ch ti sao cho c tnh rn e cho h hn c. i khi,
hnh pht t ch lm gia tng chi ph cho x hi chc cha chc
hiu qu, trong khi cch hnh pht kinh t li c hiu qu
hn.

5.

Chng 5: kinh t lut v cc mn hc ca Khoa Lut Thng

mi: ti phn tch kha cnh kinh t trong cc ngnh lut t
ai, lut mi trng, lut cnh tranh, lut doanh nghip, lut
ph sn, lut bo him, lut ti chnh ngn hng, lut thu.
Mc ch ca cc phn tch ny l nhn cc qui nh ca php
lut di gc kinh t. Th d, i vi mt ngi dn thuc
din phi gii to, th nn n b cho h nh th no c li nht
c nn kt hp nhiu phng php n b hay khng, v.v.
181

i vi cc thit hi v mi trng, th cn phi dng cc bin

php no: cm on hay cho php nhng qun l bng thu?
i vi hnh vi trc li bo him th cn c nhng bin php
no ngn chn v lm sao bit c nhng bin php s
hiu qu? i vi lut cnh tranh, th nh nc nn can thip
vo qu trnh cnh tranh ca cc doanh nghip trn th trng
ra sao? Lm sao qun l c gi thuc, v.v. Cc cu hi ny
c t ra tm ra ci gc ca vn l s mu thun gia
cc li ch kinh t. T , vn t ra l phi lm sao gii
quyt c cc mu thun trn bng cch thng tin cho ngi
dn y , t h t quyt nh cch x s ca mnh. iu
chng ta mun l t c mc ch ca x hi thng qua x
s t nguyn ca ngi dn ch khng phi s p buc. Mun
vy, phi cung cp cho ngi dn nhng li ch c th ca vic
tun th cc qui nh php lut.
6.

Chng 5: kinh t lut v cc mn hc ca Khoa Lut Quc t:

v bn cht ca lut quc t trong lnh vc t php l rt tng
ng vi bn cht ca cc mn trong lut dn s v thng
mi, nn cc phn tch v lut hp ng hay v bi thng thit
hi ngoi hp ng, v l thuyt mc c v.v. u c th p dng
c cho cc mn hc ca Khoa Lut Quc t.

Tm li, kinh t lut c th lm nhng cng vic nh ch ra c thiu st

ca h thng php lut, t ra gii php. Tuy nhin cc gii php m
cc nh kinh t lut a ra thng mang tnh cht thn trng. l v
kinh t lut mi ch nghin cu cc tham s kinh t, v da trn mt s
gi thuyt n gin. Gii quyt mt vn x hi thng thng phc tp
hn, yu cu phi t ra nhiu tham s v nhiu yu t khc nhau cn
phi c quan tm. Mc du vy, cc cng c nghin cu ca kinh t
lut thc s m ra cch nhn khc cho chng ta v lut, cng nh
hng iu chnh lut php sao cho c li cho cc ch th c li ch ban
u tng chng i khng nhau. Hi ho li ch gia cc thnh phn
trong x hi v t hiu qu kinh t l ct li xy dng mt ch dn
giu, nc mnh, x hi cng bng, dn ch, vn minh.

182

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