TOPIC 2 Tariff measure

Structure

● A brief of WTO
● Tariff under WTO
● The Gains from the trade (đọc slide)
● Import tariffs for a small country
● Import tariffs for a large country

1. A BRIEF OF THE WTO

What is WTO?

● The World Trade Organization (WTO) is the only global

organization dealing with the rules of trade between nations.
● Uruguay round (the 8th GATT negotiation round): WTO was
established on 1/1/1995. GATT → WTO
● Number of members: 164, representing 98% of world trade

Functions of the WTO

● Administers trade agreements (implementation, operation)

● Acts as a forum for negotiations
● Works to settle trade disputes
● Reviews national trade policies
● Assists developing countries with trade policy
Decision-making

Consensus Waive obligation If not, decided

of a member by voting
Voting Explain article ¾ majority of
member
Amend article

Organization of structure (70 bodies; 34 standing bodies)

Ministerial Conference (Hội nghị bộ trưởng) → General Council (34

standing bodies: The Appellate Body handle if the conflict happens
between National law & WTO law) → The Security Council: be
responsible for Assists developing countries)

PRINCIPLES OF THE WTO:

● Trade without discrimination

● Freer trade, gradually, through negotiation
● Predictability, through binding and transparency
● Promoting fair competition
● Encouraging development and economic reform
 1. Trade without discrimination
Important note:
MFN:
- The advantage granted to other
countries, it means that if a
member grants an advantage to a
non-member or a member of the
WTO, this member must grant
that advantage to all WTO
member
- Each WTO member must grant
all other members immediately
and unconditionally the best
treatment it gives to any trading
partners
NT:
Foreign goods must be discriminated
against vis-a-vis domestic goods
- Domestic taxation
non-dicriminating
- Domestic regulation
non-dicriminating
MFN: equal treatment any advantage, favor,
between countries privilege or immunity
Exception: FTA and
custom union Immediately and
Unconditionally
Like product: physical
characteristic, end-use,
preferences, HS code
(base on case-by-case
basis)
NT: equal treatment btw Internal taxes
domestic and foreign
goods Kind in excess of applied
Exception to like domestic products
- Forming FTA
- Deal with the unfair treatment no less favorable
trade
- Market access for
developing countries
Phân biệt Tariff and
Tax???
Cases study - NT

Alba, Vanin, Medatia and Triast are WTO members and Ruritat is not.

1. Could Vanin impose/levy a sale tax of 12% on domestically

produced electric goods while applying a higher sale tax rate of 15%
for electric goods originating from Tristat?

What is NT. In this case, Vanin violets NT, because Vanin applies
lower sale tax (12%) on domestic product while applies higher tax
on imported goods from Tristat (a WTO member)

2. Could Alba prohibit advertisement of foreign beef in Alba’s

supermarket chains?

What is NT. No. If Alba bans advertisements on foreign beef, Alba

must bans all advertisements on domestic beef.

3. Does NT apply for all service sectors?

No. It depends on service commitments of each country. A country

might open some kinds of service sectors, while other countries
might open other service sectors.

2. Free trade: gradually, through negotiation

- Free: barriers coming down through negotiation
- The WTO encourages fair trade by disciplining barriers
relates to:
● Tariff (Tariff measures)
● Import bans or quotas (Non-tariff measures)
● Other issues

→ In favor of developing countries

 3. Predictability, through binding and transparency

BINDING: setting a fixed upper limit on tariffs and other commitments:

● Provides stability and predictability

● Can be changed only after negotiations with trading partners

NOTE: 100% of agriculture products of developed countries have

bound tariff rates

TRANSPARENCY

● The WTO discourages the use of less visible and less predictable
barriers (e.g. Quotas)
● It encourages transparency through requirement to disclose policies
and practices and notify WTO of changes
● Governments and the WTO conduct trade policy reviews

→ Foreign companies, investors and governments should be confident

that trade barriers (including tariffs and non-tariff barriers) should not
be raised arbitrarily; tariff rates and market-opening commitments
are "bound" in the WTO

4. Promoting fair competition

5. Encouraging development and economic reform

The Security Council of the WTO provide support

2. TARIFF UNDER WTO

Definition and types of tariffs: (not include service and barrier)

Define: Tariff is a financial charge in the form of tax (not tariff), imposed
at the border on goods going from one custom territory to another

Phân biệt Custom territory and Border???

Function of tariff

● Rise government income

● Protect domestic industries
● Respond to unfair trade (Trả đũa)
● Used in tariff negotiation
Type of tariffs

AD VALOREM tariff Tariff = Quantity of Calculate the tariff

calculated on the basis imported goods* revenue if the Vietnam
of the value of the Item‘s value*Tariff government levies a
imported good rate 13% ad valorem tariff
(Agreement on on imported avocados,
Customs Valuation each kg of avocados is
determines the value) worth $5/kg and there
are 1 ton of avocados
imported into Vietnam
A. $65,000 B. $650
C. $13,000 D $5,000
SPECIFIC tariff Tariff = Tariff per The US imposes a
calculated on the basis unit of goods* $30/kg on imported
of a unit of measure of Quantity of imported King crab. A Scottish
the imported good goods company wants to
export 50,000 kg of
King crab valued at
$100/kg to the US.
Calculate the tariff
revenue of the US
government.
A. $300 B. $3,000
C. $5,000,000
D. $1,500,000
COMPOUND tariff Tariff = Ad valorem Pakistan imposes a
calculated on the basis tariff + Specific tariff 25% ad valorem rate
of both the value of on imported oil in
the imported goods addition to a rate of Rs
AND a unit of 0.88 per liter of oil
measure of the exported into the
imported goods country. How much
(in addition) import tax does a
Russian company
intend to export
90,000 liters of oil
priced at Rs 45 / liter
 to Pakistan?
Ad valorem =
25%*45*90000
Specific = 0.88*90000
→ Compound = 1091700

MIXED tariff Tariff = Max (or) Canada imposes a

calculated on the basis Min 15% ad valorem tariff
of both the value of (Ad valorem tariff; on imported litchi, but
the imported goods Specific tariff) cannot exceed $ 5/ kg
OR a unit of measure of litchi. How much
of the imported goods import tax does an
(cannot exceed, at American company
least,..) wanting to import into
Canada 1000 kg of
litchi priced at $ 80 /
kg need to pay?
1 kg of ad valorem =
80*15% = $12 > $5
Choose specific =
5*1000 = $5000
TECHNICAL tariff Tariff = Tariff of the How much tariff will a
calculated on the basis main products + company import
of the specific contents Tariff of the laptop with 1.5 kg
of the imported goods, components batteries need to pay,
the duties payable by suppose:
its components or Electronic component
certain related items goods are imposed
$3/unit specific tariff
Explorable goods are
imposed a $2/kg
specific tariff
Tariff = 3 + 2*1.5 = 6
Difference between tariffs and other charges

● Other duties or charges

- include all taxes levied on imported in addition to the customs duties
(para-tariffs)
- only be charged if they were recorded in Member’s WTO Schedule
● “Fee” or “Charged”
- connected with importation or exportation: phí kiểm định, phí
xin giấy phép nhập khẩu
- be limited in amount to the approximate cost of services
- not represent indirect protection to domestic or a tax for fiscal
purposes
● Internal taxes: NT
● Anti-dumping or countervailing duties: Thuế chống bán phá giá
hoặc thuế chống trợ cấp
- applied in the form of additional customs duties
- may exceed the bound tariff rate

Bound tariffs and Applied tariffs Bound > Applied

Các nước có mức thuế đánh khác nhau nên cần phải đàm phán để
đưa ra mức thuế trần (bound tariff) khi đó các quốc gia sẽ đánh thuế
thực (applied tariff)

A bound tariff A applied tariff

- A tariff for which a WTO
member accepts a legal
commitment not to raise it
above a certain level
- Expressed in Schedules of
Concessions (Biểu thuế
quan giữa quốc gia khác
nhau là khác nhau)
- The duty that is actually
charged on imports a
most-favored-nation
(MFN) basis
- not recorded in Schedules
of Concessions
- can differ from the “bound
tariff”
Tariff peak and Tariff escalation

★ Tariff peak:
● Tariffs that exceed selected reference level:
- National peaks: above three times of average tariff (relative term)
- International peaks: higher than 15% average tariff (absolute term)
● A tariff qualifying as a peak in a country with a relatively low
national average tariff would not necessarily be a peak in
another country with a higher national average tariff
● Normally, developing countries have a higher tariff peak than
developed countries. Because they often used labor-intensive
and agricultural products → Bảo vệ cho ngành sản xuất trong
nước
★ Tariff escalation: describes the situation where the tariff rate
applicable to a product increases with the level of processing

RAW MATERIALS → INTERMEDIATE PRODUCTS → FINAL

PRODUCTS

Vs. Tariff inversion: OPPOSITE with the tariff escalation

- No domestic value-added
- An unexpected result of overlapped trade policies
Effective rate of production (ERP): a measure of how tariff structure
affects value added in an industry

→ Indicates the degree of production provided to domestic production

v(t) is value-added at domestic price

v(w) is value-added at international price

v(t) = Price of imported goods*(1 + tariff on imported goods) - Price of

imported materials*(1 + tariff on materials)

v(w) = Price of imported goods - Price of imported materials

Note:

● The higher tariff on imported materials, the lower ERP

● The higher tariff on final products, the higher ERP
● Khoảng cách giữa Imported materials và Final products càng lớn,
ERP càng được nới rộng

(Chỉ áp dụng với Tariff escalation)

Tariff schedule and the harmonized system

Chapter (two-digit)

Heading (four-digit)

Subheading (six-digit)

Objective: Product classification

The 6-digit codes are internationally standardized

GATT/WTO tariff negotiation

● Negotiating techniques:
- Request-Offer/ Product by product
- Industry
- Formula approach
● Principle of tariff negotiation
- Reciprocity and mutual advantage
- The MFN treatment principle
- Predictability and the transparency on tariff concessions (tariff
bindings)
 1. Request-Offer/ Product by product (Đàm phán theo sản phẩm)

request lists: a detailed enumeration of products of interest to one

Members

→ offer lists: an enumeration of products on which another Member is

willing to make concessions

● Principal supplier rule: request concessions in the product in

which they were likely to be the principal suppliers
● Initial negotiating right: received when the country
successfully secured a concession

Advantage
Allow Members to focus their
exchange of tariff concessions
on the products in which they
have the most interest
Disadvantage
Hard to host the negotiation
when the number of product and
participants increase

Provide flexibility by allowing Principal supplier rule - small

participants to protect sensitive traders, small reductions
sectors

2. Industry technique

Instead of focus on the products, industry technique focuses on a group of

related products (in a industry/ sector)

Advantage Disadvantage
Focus on the main export sector FREE-RIDER
(Một quốc gia không tham gia
Address the problem of tariff đàm phán nhưng được hưởng
peaks and tariff escalation toàn bộ đặc quyền, đặc lợi mà
không phải chịu bất kỳ tổn thất
nào - vi phạm nguyên tắc WTO)
 3. Formula approach

Formula approach involves tariff reduction which are calculated in a

mathematical

Dependent on initial tariff Formula Advantage Disadvantage

Linear reduction formula T1= (1 - C)*T0 Simple Fail to address the

are reduced by an agreed C is percentage issue of tariff
percentage of reduction disparities between
Tuyệt đối không the tariff peaks and
bấm % khi thay low tariff
T0 trong tính
toán
Non-linear or harmonization - Solving the Liberalizing (tự do
formula problem of Linear hóa) some of the
provide the steeper cuts to reduction formula most sensitive tariff
higher initial tariff rates and - Simple lines
more slight cuts to lower initial - Possibility to use
rates different
coefficients for
SWISS T1= (A*T0)/ different tariff line
(A+T0) groups
A is the
coefficient

SWISS ABI T1= (B*Ta*T0)/ → Take into

(B+Ta+T0) account the
Ta is the average difference among
tariff countries
Independent on initial tariff
The Simple average reduction
The reduction of the average
The target average
Step by step
(Phân biệt reduce to Vs. reduce by???)
Step 1: Calculate sum of reduction
(Reduction rate of all products) = Simple
average reduction* Number of products
Step 2: Suppose tariff rate for protected
product remains unchanged (no reduction)
Step 3: Suppose the lowest tariff rate
reduces to 100%
Step 4: Calculate the remaining tariff rate
Step 1: Calculate The average tariff = Sum
of tariff rates/ The number of products
Step 2: Calculate the reduction in the
average
The average after negotiation = The
average before negotiation* (1 - Reduction
rate)
Step 3: Assign tariff after negotiation
Sum of tariff after negotiation = The
average after negotiation* The number of
products
Không học
3. IMPORT TARIFFS FOR A SMALL COUNTRY

Net effect (loss) = b + d = ½ * tariff * (imported quantity before tariff -

imported quantity after tariff)

Government = Tariff * imported quantity after tariff = Ad valorem *

value * imported quantity after tariff
MULTIPLE CHOICE (TOPIC 1&2) - QUIZIZZ
1. Which type of goods was predominant in international trade before
World War 1?

Raw materials Basic

Processed goods
Highly processed consumer and capital goods
Raw materials and Basic processed goods

The type of goods being traded between countries has changed from the period
before World War I, when standardized goods (raw materials and basic
processed goods like steel) were predominant. Today, the majority of trade
occurs in highly processed consumer and capital goods, which might cross
borders several times during the manufacturing process.

2. What is the WTO's fundamental principle?

Trade without discrimination

Freer trade gradually through negotiation
Predictability through negotiation binding and transparency
Promoting fair competition

3. The Swiss formula

reduces the tariff disparities (Address the issue of tariff disparities

between the tariff peaks and low tariffs)
increases the tariff disparities
affect tariff disparities but depending on the coefficient (Linear
reduction formula)
doesn't affect tariff disparities
4. Which countries have the highest Trade to GDP ratio? (Openness index)

Countries have large economic size and are centers for shipping
goods
Countries have large GDP
Countries have small economic size and are centers for shipping
goods
Countries have small GDP

5. If the trade-to-GDP ratio is 50% and the value of exports is $240 billion,
trade deficit is $120 billion, then the GDP and imports value is
respectively:

$1200 billion, $360 billion

$12000 billion, $360 billion
$600 billion, $360 billion
None of the above

6. The "first golden age" of trade was

The period from 1890 to 1913, when tariffs were increased between
Countries.
The period from 1890 to 1913, when steamships and railroads
increased trade.
The period between 1919 and 1935
The inter-war period

7. Which type of goods are predominant in international trade today?

Raw materials
Basic processed goods
Highly processed consumer and capital goods
Raw materials and Basic processed goods
8. When a large country imposes tariffs, its welfare

increase
decrease either
increase or decrease
stay the same

9. Which country is the world-leading import merchandise?

China
The US
The UK
Vietnam

The most:

China is the world leading in export merchandise

USA is the world leading in import merchandise

10. Alba, Vanin and Tristat are WTO members and Ruritat is not. Vanin
levy a duty of 10% for imported computers originating from Alba while
levying a lower rate (5%) for the same computers originating from
Tristat. Vanin did break?

Vanin did break MFN

Vanin did break NT
Vanin did not break anything
Depends on the conclusion of WTO

11. The factor that influences the amount of goods and services shipped
across international borders is called

Trade barrier
Trade balance
Trade deficit
Trade surplus
12. Which tariff structure provides the highest ERP? Assume that the price
of raw materials and final products are fixed

Raw materials: 5%. Final products: 30%

Raw materials: 10%. Final products: 25%
Raw materials: 15%. Final products: 20%
Raw materials: 20%. Final products: 15%

The higher tariff on imported materials, the lower ERP

The higher tariff on final products, the higher ERP

Khoảng cách giữa Imported materials và Final products càng lớn, ERP càng
được nới rộng

(Chỉ áp dụng với Tariff escalation)

13. The position of Vietnam in the world trading ranking in 2019?

39th
31st
23rd
19th

14. "Value added" in the context of international trade refers to:

The difference between the value of the imported inputs and the
value of the exported product.
The additional value a worker provides to a firm when she is hired.
The value added by being able to purchase goods in a competitive
market. The value added by import brokers when they mark up the
price of the products

15. What is the difference between a country's total value of exports and its
total value of imports?

Trade barrier
Trade balance
Trade deficit
Trade surplus
 TOPIC 3 NON - TARIFF MEASURE
3.1. NTMs Definition

Baldwin (1970) UNCTAD (2010)

- public or private (chính phủ
hoặc khu vực tư nhân)
- trade goods and services;
resources
- reduce potential real
world income (giảm tiềm
năng thu nhập thế giới)
→ negative effect: bóp méo
thương mại
- policy measures (public)
- potentially have an
economic effect on trade
in goods, changing
quantities traded, or prices
or both.
→ NOT applied into
service sector

Effects of NTMs (Kee et al 2009)

● limit quantity of imports

● increasing the cost of getting imports into the market
● creating uncertainty about the conditions under which imports will
be permitted (Tạo ra sự bất ổn về các điều kiện nhập khẩu hàng hóa)

Classification way

Relating to border

● NTMs at the border: Import (Export) quota (hạn ngạch nhập khẩu),
Import (Export) tax # tariff
● NTMs behind the border: Domestic taxes, other charges and
subsidies

Through Channel of effects

● Quantity: Import quota, VER - Voluntary export restraint (hạn chế

xuất khẩu tự nguyện), Government Procurement
● Non-Quantity: Technical and product standards, custom procedure
 3.2. NTMs Classification (UNCTAD)

Technical measures: A, B, C

NOTE: FOOD SAFETY - CHAPTER A

A. Sanitary and phytosanitary A1-A6: Technical Exception: measures for

measures (biện pháp vệ sinh và regulations environmental protection, to
kiểm dịch động thực vật) - SPS A8: Conformity- protect consumer interests, or
assessment for the welfare of animals
Definition: procedures (Quy trình
The chapter outlines measures such as đánh giá sự phù hợp)
those restricting substances, ensuring NOT INCLUDE A7
FOOD SAFETY and preventing the
dissemination of diseases or pets
Chapter A also includes all
conformity-assessment measures
related to FOOD SAFETY

A1. Prohibitions/restrictions of A11: Prohibitions - Products originating from

imports for sanitary and phytosanitary for sanitary and countries or regions affects by
reasons phytosanitary infectious or contagious disease
reasons - are generally an ad hoc and
time-bound nature

A12: Geography - Due to lack of evidence of

restrictions on sufficient safety conditions
eligibility - Automatically until the
country concerned proves

A13: System - Combines two or more

approach independent sanitary and
Tiếp cận hệ thống phytosanitary for the same
product
- Critical control point
requirement Yêu cầu điểm kiểm
soát tới hạn → HACCP
 A14: Authorization A14-A15: YÊU CẦU VỀ CẤP
requirement for PHÉP NHẬP KHẨU
sanitary and KHÁC NHAU: ĐỐI TƯỢNG
phytosanitary CẤP PHÉP
reasons for - A14: Related to a
importing certain consignment
products Eg: Sữa của trẻ em cần phải có
giấy phép của bộ y tế
A15: Authorization - A15: Importing company
requirement for Eg: Những nhà nhập khẩu mặt
importers for hàng thực phẩm phải đăng ký
sanitary cấp phép tại bộ y tế
and phytosanitary
reasons

A19: Prohibitions or
restrictions of
imports for sanitary
and phytosanitary
reasons, not
elsewhere specified
A2. Tolerance limits for residues and A21: Tolerance - A maximum residue limit or
restricted use of substances Hạn mức limits for residues tolerance limit or substance
dung sai of or contamination - These substances are not only
by in the final products but also
certain (non – in the production process
microbiological) Eg: Hàm lượng kháng sinh mà
substances các nước nhập khẩu đề ra cho
các nước xuất khẩu động vật để
UNCTAD phòng ngừa dịch bệnh
mentioned
ZERO tolerance
limit instead of
PROHIBIT
- mang ý nghĩa rộng
hơn cấm
- chỉ chính xác vấn
đề về luật để hạn chế
 khả năng có sự phản
kháng của các quốc
gia khi thực hành
luật

A22: Restricted use Eg: Bao bì đóng gói thực phẩm

of certain substances được làm bằng nhựa không được
in foods and phép vượt quá ...
feeds and their
contact materials
A3. Labelling, marking and A31: Labelling - Directly related to FOOD
packaging requirements requirements SAFETY
- Should be provided to the
consumers
Eg: Sản phẩm này không phải là
thuốc và không có tác dụng thay
thế thuốc chữa bệnh; HSD

A32: Marking - Information for transport

require and customs that the transport
or distribution packing of goods
should carry

A33: Packaging - MUST OR CANNOT be

requirements packed
- defining the packaging
A33 # A22 ??? materials to be used
Case study: If - directly related to food safety
researchers
concluded that nylon
has some substances
negatively affecting
raw meat. Should we
put it in the A33?
- Không được sử
dụng túi nilon để
đóng gói thịt → A33
- Túi nilon đóng gói
thịt có hàm lượng
 chất cấm không vượt
quá 1% → A22

A4. Hygienic requirements related A41 Microbiological A1 - A3 → NON -

to sanitary and phytosanitary criteria of the final MICROBIOLOGY
conditions product
- hygienic practices and
microbiological criteria for food A41 Hygienic
safety vi sinh vật practices during
- extend to NON-FOOD production related
products to sanitary and
phytosanitary
conditions

A49 Hygienic
requirements not
elsewhere specified

A5. Treatment for elimination of A51 Cold or heat

plant and animal pests and treatment
disease-causing organisms in the final
product or prohibition of treatment A52 Irradiation
(Chiếu xạ)

A53 Fumigation
(Phun trùng)

A59 Treatments to
eliminate plants and
animal pests or
disease-causing
organisms in the
final product not
elsewhere specified
or prohibition of
treatment
A6. Other requirements relating to A61 Plant-growth A32 # A64
production or post production processes A32: Marking requirements
processes hậu sản xuất A62 Animal-raising (hướng dẫn vận chuyển an toàn)
or -catching A64: điều kiện nước nhập khẩu
processes đưa ra bắt nhà nhập khẩu phải
A63 Food and feed tuân theo)
processing
A64 Storage and
transport conditions
A69 Other
requirements
relating to
production or post
production processes
not elsewhere
specified

A8. Conformity assessment related to A81 Product Testing # Inspection

sanitary and phytosanitary conditions registration and
(Công cụ và quá trình để đánh giá sự approval
phù hợp) requirement
A82 Testing
requirements (insite)
A83 Certification
requirements
A84 Inspection
requirements
(outside)
A85 Traceability A85 include recordkeeping
requirements Truy requirement - A852
xuất nguồn gốc
A86 Quarantine
requirements
Summary

Scientific evidence: Do we need Scientific evidence to adopt SPS

measure? Yes. Must have Scientific evidence

Application on MFN basis: Does the application of SPS Measures

follow the MFN basis? NO

International standards: Do SPS measures need to follow the

International standard? NO. Depend on each country

Precautionary phòng ngừa measures: Does WTO allow

Precautionary SPS measures. YES. Các quốc gia nhập khẩu được
quyền cấm nhập khẩu kể cả không chứng minh được nhưng chỉ
mang tính tạm thời.
 B. Technical barriers to trade B1 - B7: Technical Excluding measures covered by
(TBT) - mang tính chất kỹ regulations the chapter on sanitary and
thuật B4: Related to phytosanitary measures
production processes
Definition B1,2,3,5,6,7:
Measure referring to technical Applied directly to
regulations and procedures of products
assessment of conformity with B8: Conformity -
technical regulations assessment
Technical regulation procedures
Sets out product characteristics or → Doesn’t have B5
related processes and production
methods, including the applicable
administrative provision, with which
compliance is mandatory.

B1. Import authorization/licensing B14 Authorization Đối tượng cấp phép

related to technical barriers to trade requirements for
importing certain
products

B15 Authorization
requirements for
importers

B2. Tolerance limits for residues and B21 Tolerance limits

restricted use of substances for residues of or
contamination by
certain substances

B22 Restricted use

of certain substances

B3. Labeling, marking and
packaging requirements
B31 Labelling the kind, color and size of
requirements printing on packages and labels
B31: vị trí kích cỡ thông tin
(mang tính chất kỹ thuật)
được in lên # A31 nội hàm
 thông tin được in lên

B32 Marking the inf for transport and customs

requirements that the transport or distribution
packing of goods should carry

B33 Packaging the mode in which goods must

requirements be or cannot be packed and
defining the packaging materials
to be used
eg: vận chuyển máy giặt
upside down
B4. Product or post-production
requirement

B6. Product identity requirements Conditions to be satisfied in

order to identify a product with
a certain denomination,
including biological or organic
labels
→ Related to TAX

B7. Product quality, safety or technical barriers to trade not

performance requirements covered under other measures

B8. Conformity assessment đánh giá

sự phù hợp related to technical
barriers to trade

B9. … not elsewhere specified

 SBS & TBT?

SPS hướng tới mục tiêu cụ thể là bảo vệ cuộc sống, sức khỏe con
người, vật nuôi, động thực vật thông qua bảo vệ sinh thực phẩm
và ngăn chặn các dịch bệnh

TBT hướng tới mục tiêu chính sách khác nhau (an ninh quốc
gia, môi trường, cạnh tranh lành mạnh)

Compare the SPS and TBT

SPS TBT
Name Sanitary and Phytosanitary Technical barrier to trades
Measures
Purposes Protect human and animal Other technical regulation
health, focus on food, sanitary
and phytosanitary measures
Scientific evidence Require scientific evidence Based on the type of goods
Application on There is exception Follow the MFN
MFN basis
International Apply the different standard if Apply the international standard
standard having enough scientific evidence
Precautionary Allowed even if lack of scientific Not allowed
measures Các điều evidence
khoản dự phòng
 Chapter C: Pre-shipment inspection and other formalities

related to pre-shipment inspections (#test) and other customs formalities

C1 to C4: relates to technical measures

C9: Other formalities not elsewhere specified

C1. Pre-shipment inspection Compulsory quality, quantity and price

C2. Direct consignment requirement
C3. Requirement to pass through specified
port of customs
C4. Import monitoring, surveillance and
automatic licensing measures
control of good prior to shipment from the
exporting country, conducted by an
independent inspecting agency mandated by
the authorities of the importing country
must be shipped directly from the country of
origin, without stopping in third country
Obligation for imports to pass through a
designated entry point and/or customs office
for inspection, testing and the like
eg: DVD players need to be cleared at a
designated customs office for inspection.
Administrative measures that seek to monitor
the import value or volume of specified
products
eg: An automatic import licence is required as
an administrative procedure for textile and
apparel prior to importation.
Automatic license: Thu thập con số thống kê và kiểm soát

# Non-automatic license: Kiểm soát ở mức độ cao hơn và không đặt

nặng thu thập số liệu

Automatic license Non-automatic license

Use for To collect statistical and To administer trade
other factual information restrictions such as
on imports quantitative restrictions
Processing 10 days Not longer than 30 days
application
Valid of license Whenever other appreciate The validity of license is to
procedures are not available be of reasonable duration and
not to be so short as to
preclude imports

Chapter D: Contingent dự phòng trade - protective measures

(Non-technical measures)

Define

Measures implemented to counteract adverse effects of imports in

the market importing country, including measures aimed at unfair
foreign trade practices, contingent upon the fulfillment of certain
procedural and substantive requirements.

Contingent: phù hợp trong một số điều kiện nhất định xảy ra trong
tương lai → dự phòng

D1. Anti-dumping measures

D2. Countervailing measures

D3. Safeguard measures

(Học ở Topic 4)
 Chapter E: NON-AUTOMATIC IMPORT LICENSING,
QUOTAS, PROHIBITS, QUANTITY-CONTROL MEASURES
AND OTHER RESTRICTIONS NOT INCLUDING CHAPTER
A OR CHAPTER B
E1. Non-automatic
import-licensing procedures
other than authorizations
covered under the chapters on
sanitary and phytosanitary
measures and technical
barriers to trade
Các biện pháp hạn chế định lượng
E11 Licensing for
economic reasons
E111 Licensing Licensing procedure where
procedure with no approval is granted at the
specific ex ante discretion of the issuing authority.
criteria This measure is also referred to as
a discretionary license.
Example: Imports of textile
products are subject to a
discretionary license.
E112 Licensing for
specified use
eg. Thụy Điển nhập
khẩu rác
E113 Licensing linked
with local production
E119 Licensing for
economic reasons not
elsewhere specified
E12 Licensing for
non-economic
reasons
E121 Licensing for
religious, moral or
cultural reasons
E122 Licensing for
political reasons

E2. Quotas
Restriction of importation of
specified products through the
setting of a maximum quantity or
value that is authorized for
import. No imports are allowed
beyond those maximums.
Exceptions for a country to use
Quotas (VCCI, 2010)
- Public purpose
- Safeguard
NOTE Quotas rent:
- Nếu chính phủ chỉ định nhà
nhập khẩu nhập khẩu theo hạn
ngạch thì nhà nhập khẩu được
hưởng tiền thuê hạn ngạch
- Nếu chính phủ thực hiện đấu
giá hạn ngạch thì cả chính phủ
và các nhà nhập khẩu được
hưởng tiền thuê hạn ngạch
E123 Licensing for the
protection of the
environment
E124 Licensing for
security reasons
E125 Licensing for the
protection of public
health
E129 Licensing for
non-economic reasons
not elsewhere
specified
Permanent dài hạn Can take place any time of the
- Global allocation: year
no restriction on the
country of origination
- Country allocation:
Tên của quốc gia xuất
khẩu phải được đề cập
tới trong tuyên bố
Seasonal quotas: take place between … and …
Khoảng thời gian cố định
được lặp lại theo quý,
năm,...
Temporary ngắn hạn:
Khoảng thời gian nhất
định không có sự lặp lại
E3. Prohibition
Prohibition on the importation of
specific products except for those
covered by the chapter on
sanitary and phytosanitary
measures
E5. Export-resistant
arrangements
Arrangements whereby an
exporter agrees to limit exports
to avoid the imposition of
restrictions by the importing
country, such as quotas, raised
tariffs or any other import controls.
Such arrangements may be
concluded at either the
government or industry level and
are formally prohibited by WTO
agreements.
E6. Tariff-rate quotas
A system of multiple tariff rates
applicable to a same product:
The lower rates apply up to a
certain value or volume of
imports, and the higher rates are
charged on imports which exceed
this amount
một hệ thống đa mức thuế áp dụng cho
cùng một sản phẩm, mức thuế thấp hơn
áp dụng cho khối lượng hoặc giá trị
nhập khẩu nhất định, mức thuế cao hơn
áp dụng cho khối lượng và giá trị nhập
khẩu vượt quá mức đó
Mixed Tariff rate
tariff quotas
Applied Both Both
E51 Voluntary VERs # QUOTAS
export-restraint VERs: xác định trần xuất khẩu
arrangements (bị cấm do vi phạm MFN của
(VERs) Hạn chế xuất WTO)
khẩu tự nguyện Quota: xác định trần nhập khẩu
is the result of requests
made by the importing
country to provide a
measure of production for
its domestic businesses
that produce substitute
E59 Export-restraint
arrangements not
elsewhere specified
eg: Rice may be imported free of
duty up to the first 100,000 tons,
after which it is subject to a tariff
rate of $1.50 per kg
Tariff rate quotas based on the
origin of the product, the measures
will be divided:
- WTO bound tariff rate
quotas, included WTO
schedules
- Other tariff rate quotas
includes on other trade
agreements
type of eg:
tariff Import up to MT: 5% (In-quota
rate
Number of 2 2 Import more than 10 MT: 20%
rates to
calculate (out-quota rate)
Calculate tariff if a country
Number 1 2 imports 15 MT?
of rates 10*0.05 + 5*0.2 (including tariff)
to apply
Compound tariff đánh vào toàn
bộ sản phẩm còn Tariff rate
quotas đánh theo từng phần

Chapter F: Price-control measures, including additional taxes and

charge

đối tượng kiểm soát giá: imported goods

Measures implemented to control or affect the prices of imported

goods in order:

- Support the domestic price of certain products when the import

prices of these goods are lower;
- Establish the domestic price of certain products because of price
fluctuation in domestic markets, or price instability in a foreign
market;
- Increase or preserve tax revenue tăng và duy trì nguồn thu thuế
chính phủ

TAXES AT THE BORDER NOT BEHIND THE BORDER

 Chapter G: Finance measures (Government)

→ ĐIỀU CHỈNH GIÁ HÀNG HÓA NHẬP KHẨU (TĂNG GIÁ

NHẬP KHẨU)

Finance measures are intended to - tiếp cận ngoại hối

regulate the access (hạn chế ngoại hối để
to and cost of foreign exchange nhập khẩu hàng hóa)
- chi phí ngoại hối
for imports and define - xác định điều khoản
the terms of payment: Increase thanh toán
import costs in the same manner
as tariff measures
G1. Advance payment G11 Advance import importer should deposit a
requirements - tăng chi phí ngoại tệ deposits percentage of the value of the
nhập khẩu hàng hóa import transaction before receiving
are made when an application is the goods. No interest is paid on
submitted or when an import the deposits
license is issued G12 Cash margin deposit the total amount of
requirements transaction or specified part of it
Người thu: Cơ quan before opening of a letter of credit
công quyền, kiểm
soát xnk hàng hóa
G13 Advance payment
of customs duties
G14 Refundable
deposits for sensitive
product categories
G2. Multiple exchange rates G3. Regulations on G4. Regulations concerning
- depend on the product category official foreign terms of payment for imports
- members are prohibited from exchange rate
engaging in a ny discriminatory allocation quy định
agreements or multiple currency phân bổ ngoại hối chính
practices without the Fun ‘s thức
approval G31 Prohibition of
essential = basic good foreign exchange
→ official rates allocation
cannot be used to pay
other goods - luxury items for imports
→ commercial rates > official G32 Bank
rates authorization cấp
phép
G33 Authorization
linked with
non-official foreign
exchange
G39 Regulations on
official foreign
exchange allocation
not elsewhere
specified

Chapter H: Measures affect competition

Measures to grant exclusive or special preferences or privileges to one

or more limited groups of economic operators.

H1 State-trading enterprises, for importing; other selective import

channels

H2 Compulsory use of national services Hàng hóa trong nước có đầy đủ các yếu
tố để có ưu thế cạnh tranh hơn so với hàng hóa nhập khẩu (Exception of NT)

→ Dùng dịch vụ ảnh hưởng đến cạnh tranh của hàng hóa xnk (không liên
quan trực tiếp tới dịch vụ)

H9 Measures affecting competition not elsewhere specified

Chapter I: Trade - related investment measure

I1 Local content measures (related to Global value chain)

I2 Trade-balancing measures (cân bằng xuất nhập khẩu → thúc đẩy ngành
sản xuất trong nước)
Chapter J, K, L (tự đọc)

Chapter M: Government procurement restrictions (EXCEPTION OF

NT)

Restrictive measures that bidders may encounter when trying to sell their
products and services to a foreign government.

→ Chương đặc biệt duy nhất có đề cập tới services

Chapter N: Intellectual property

It is sometimes difficult to associate a final traded product with

precise intellectual property rights.

Chapter O: Rule of origin

Chapter P: Export-related measure (ONLY CHAPTER RELATED

TO EXPORT)

3.3. Why are NTMs necessary?

→ Health and safety of consumers and consumer choice

(Information asymmetry: Thông tin bất cân xứng)

→ Pollution and the environment

(Negative externality)

→ Infant industry protection

3.4. Effect of NTMs

Quota rent (Tuân theo MFN)

(VS Tariff belong to domestic government)

● Allocation free to foreign exporters: Quota rent will belong to the

domestic importers
● Allocation with fees: Quota rent will belong to the domestic
government
● Auctioning the quota: Quota rent will belong to the domestic
government

Net effect on Home’s welfare: - (b + d)

In the VERs cases (Không tuân theo MFN) → Chính phủ nước nhập
khẩu sẽ là người phân phối VERs, còn tiền VERs sẽ thuộc về túi của
chính phủ nước xuất khẩu
3.6. Costs of NTMs

NOTE:

- Tất cả con số khi tính toán phải giữ nguyên %

- Tỷ trọng Import value/ GDP là 1 số được thể hiện dưới dạng %

Eg. Tariff rate 25%

Reduction in import quantity 25%

Import value 20%

GDP 18.287.000

đsố = ½* 25%* 25%* 20% = 6,25*10^ -3

→ Net national loss from non-tariff measures = đsố* GDP

Lưu ý

Nếu mà đề bài yêu cầu tính the retio → không nhân với GDP

Đề bài yêu cầu tính net national loss from tariff → nhân với GDP
 Topic 4 Trade remedies
1. Introduce

Definition: “Trade remedies, escape clause, contingency measures,

safety valves”

- Trade remedies are trade policy tools that allow governments to

take remedial action against imports which are causing material
injury to a domestic industry
- WTO Members have retained their right to:

Trade remedies Goals

Impose trade remedies:
- Antidumping
- Countervailing
Apply safeguard measures
to correct competitive imbalances
cạnh tranh không lành mạnh created by
unfair practices (dumping and
subsidies) when they cause injury
Surge of import Hàng nhập khẩu
tăng đột biến that causes, or
threatens to cause serious injury

- WTO and trade liberalization

Trade remedies may be considered as a pragmatic and temporary

tool to deal with the costs of adjustment resulting from trade
liberalization as well as to deflate the build-up of domestic
pressures against liberalization

→ Trade remedies go with conditions

Criteria Antidumping Countervailing Safeguards
Objective To counteract dumping To counteract To prevent or remedy
causing injury to the subsidization causing serious injury to the
domestic industry injury to the domestic domestic industry caused
industry by SURGE OF
IMPORTS and give time
to facilitate adjustment to
competition
Nature of Discriminatory Discriminatory Non - Discriminatory
measures eg: Ngành đường xuất khẩu (MFN)
ở Thái Lan bị bán phá giá, eg: Nếu Việt Nam áp dụng biện
Việt Nam sẽ áp dụng thuế pháp tự vệ cho một ngành
chống bán phá giá đối với hàng của một thành viên thì
ngành đường ở Thái Lan biện pháp tự vệ đó sẽ được áp
chứ không áp dụng thuế dụng theo nguyên tắc MFN cho
chống bán phá giá với mặt sản phẩm tương tự của tất cả
hàng đường nhập khẩu từ các thành viên
các nước khác

Product Like products Like products Like or directly

coverage competitive products

Substantial - Dumped imports - Subsidized imports - Increased imports

requirements - Material injury - Material injury - Serious injury
- Cause link - Cause link - Cause link
- Measure must be
applied as a result of
unforeseen developments
of the effect of the
obligations incurred by a
contracting party under
the GATT

Basic of the Margin dumping Margin of subsidy Necessity to prevent or

measure Biên độ bán phá giá remedy serious injury
Facilitate adjustment
Recipient of Products of Products of enterprises Products of enterprises
the measure enterprises practicing benefiting from of Members
dumping subsidies granted by
Members

Legal framework

- General Agreement on Trade and Tariff (GATT 1994):

+ Antidumping (Article VI)

+ Safeguard (Article XIX)

+ Countervailing (Article VI, XVI, XXIII)

- Agreement on Anti-dumping (ADA) - Anti dumping duty.

- Subsidy and Countervailing measures Agreement -

Countervailing duty. (ASCM)

- Agreement on Safeguards - Safeguard duty

- Domestic rules

2. Antidumping

Definition of Dumping

Dumping is a form of price discrimination, which take place when

the price of a product when exported to another country is less than
the price of that same product when sold in the market of the
exporting country

A product is to be considered as being dumped, i.e. introduced into

the commerce of another country at less than its normal value, if
the export price of the product exported from one country to
another is less than the comparable price, in the ordinary course
of trade, for the like product when destined for consumption in the
exporting country. (ADA)
EXPORTED PRICE < NORMAL VALUE

The important terms:

Like product

Like product is a product

- which is identical, i.e. alike in all respects to the product

under consideration
- in the absence of such a product, another product which,
although not alike in all respects, has characteristics closely
resembling those of the product under consideration.

→ No guideline on the concept of the “like product”

Investigation practices:

+ physical characteristics,

+ uses,

+ interchangeability of products,

+ channels of distribution,

+ customer or producer perception,

+ common manufacturing facilities and production employees,

and production processes

Exported price

The export price is the price at which the product is exported from
one country to another

=> Price is normally indicated in export documentation

Normal price

An essential element of a dumping determination normal value is the

price of the like product, in the ordinary course of trade, in the home
market of the exporting member

=> Normal value of a product must be greater than its export price

→ DUMPING

Dumping margin

Average normal value = (100+150+200)/3 = 150

Average export price = (50+100+150+200)/4 = 125

⇒ Because the Average normal value > Average export price, there
is dumping

Calculate dumping margin

Dumping amount: 150-125 = 25

Total dumping amount: 25*4 = 100

Dumping margin: 100/525 *100 = 19.04%

Ex - factory normal value of Producer X: 81

Ex - factory normal value of Producer Y: 76

Dumping margin: (81-76)/100 *100 = 5%

Determination of injury

Dumped imports → Injury → Causal link between dumped imports

and injury

Material injury

Material injury: Material injury is an injury resulting in damages of

a substantial nature as distinguished from merely nominal
damages. → Thiệt hại nghiêm trọng có thể tính toán được khối
lượng bồi thường.

# Nominal damages

Threat to Material injury

Based on facts and not merely on allegation, conjecture, or remote

possibility. → Chưa xảy ra, nhưng bằng việc tính toán số liệu, lập
luận logic → có thể xảy ra material injury.

Phỏng đoán từ xa, khả năng mơ hồ (Không có số liệu đi kèm)

→ not facts
 Dumped import

A significant increase in dumped imports, either in absolute terms

or relative to production or consumption in the domestic industry.

Domestic industry

The domestic producers as a whole of the like products or those of

them whose collective output of the products constitutes a major
proportion of the total domestic production of those products.

Domestic industry = domestic producers of the like product

Effect of dumped imports on prices

- Significant price undercutting, giá hàng hóa NK thấp hơn giá

hàng hóa tương tự (like product) bày bán trong nước
- Significant price depression, giá hàng hóa trong nước bị giảm
do sự xuất hiện của hàng hóa nhập khẩu
- Significant price suppression, giá hàng hóa trong nước không
tăng đến mức cần phải tăng do sự xuất hiện của hàng hóa NK

Effect of dumped imports on domestic producers

● Actual and potential decline in sales, profits, output, market share,

productivity, return on investments, or utilization of capacity;
● Factors affecting domestic prices; the magnitude of the margin of
dumping;
● Actual and potential negative effects on cash flow, inventories,
employment, wages, growth, ability to raise capital or investments.

Causal link between dumped imports and injury

→ Cần có sự điều tra mới kết luận được

INJURY MARGIN = (domestic - foreign)/foreign

Undercutting: Không tính thêm Expected profit

# Underselling: Tính cả Expected profit (10%)

Expected profit chỉ tính với Domestic producer

Antidumping procedures
Support application

The application shall be considered to have been made "by or on

behalf of the domestic industry" if it is supported by:

(i) (A+B)/(A+B+C) lớn hơn 50%

(ii) (A+B)/(A+B+C+D) lớn hơn hoặc bằng 25%

Hai điều kiện phải đồng thời xảy ra

Test 1: 50% Support from Producers Expressing an Opinion

A and B are the domestic producers supporting the application. A, B

and C are producers expressing an opinion on the application.
Therefore (A + B) must be more than 50% of (A + B + C) for the
first prong of the Article 5.4 test to be met, as it is in the example
above:

(A + B)/ (A + B + C) = 60/110 = 54.54%

Test 2: Express Support Must Constitute 25% of the Total

Production of the Domestic Industry

(A + B) represents the production of the segment domestic industry

that has expressed support. (A + B + C + D) represents the entire
domestic output. Because 60 is greater than 25% of 170, the second
prong of the Art 5.4 test is met:

(A + B)/ (A + B + C + D) = 60/170 = 35.29%

Application of Antidumping measures

- Antidumping measures: custom duties (excess bound tariff)

- Antidumping duties cannot exceed the margin of dumping

bound tariff < custom duties < margin of dumping

- Sunset clause: An antidumping measure must be terminated on a

date not later than 5 years from its imposition, or from the date of
the most recent expiry ("sunset") review or, if it has covered both
dumping and injury, the most recent changed circumstances review.
Some Members, however, apply measures for shorter periods of
time.

Applicable rules on developing country members

The volume of dumped imports shall normally be regarded as

negligible if the volume of dumped imports from a particular

country is found to account for less than 3 percent of imports

of the like product in the importing Member, unless countries

which individually account for less than 3 percent of the imports

of the like product in the importing Member collectively account

for more than 7 percent of imports of the like product in the

importing Member.
1. (ii), (iii), (i)
2. Dumping margin < 2% thì không bị điều tra
3. Antidumping NOT follow MFN
3. Countervailing

The concept of subsidy

Subsidy shall be deemed to exist if a government or any public body

makes "financial contribution” of certain specified kinds that "confers a
benefit.”

Financial contribution

● Direct transfers of funds such as grants, loans, and equity infusions

● as well as potential transfers of funds or liabilities such as loan
guarantees;
● Revenue due that is forgone or not collected, for example through
fiscal incentives such as tax credits;
● The provision of goods or services (other than general infrastructure)
or the purchase of goods;
● And any form of income or price support in the sense of Article XVI
of GATT 1994

Government or public body

Financial contribution to be a subsidy:

● By/or with the entrustment or direct of a Government or any public

body
● By a private body if the contribution is made pursuant to the
Government’s instructions
Confer a benefit

ASCM: no comprehensive guideline on benefit

→ The existence of a benefit is to be determined by comparison

with the market – place

Benefit that not relate to subsidy:

Benefit to the recipient and not with the “cost to government”

- not a subsidy - a loan

- subsidy - revenue due that is forgone or not collected - cụ thể
là financial contribution

Exception Financial contribution

(a) Government provision of equity capital shall not be considered as

conferring a benefit, unless the investment decision can be regarded as
inconsistent with the usual investment practice (including for the provision
of risk capital) of private investors in the territory of that Member;

(b) A loan by a government shall not be considered as conferring a

benefit, unless there is a difference between the amount that the firm
receiving the loan pays on the government loan and the amount the firm
would pay on a comparable commercial loan which the firm could actually
obtain on the market. In this case the benefit shall be the difference
between these two amounts;
(c) A loan guarantee by a government shall not be considered as
conferring a benefit, unless there is a difference between the amount that
the firm receiving the guarantee pays on a loan guaranteed by the
government and the amount that the firm would pay on a comparable
commercial loan absent the government guarantee. In this case the benefit
shall be the difference between these two amounts adjusted for any
differences in fees;

(d) The provision of goods or services or purchase of goods by a

government shall not be considered as conferring a benefit unless the
provision is made for less than adequate remuneration, or the purchase is
made for more than adequate remuneration. The adequacy of remuneration
shall be determined in relation to prevailing market conditions for the good
or service in question in the country of provision or purchase (including
price, quality, availability, marketability, transportation and other
conditions of purchase or sale).

ĐIỀM CHUNG: EXCEPTION HÌNH THÀNH KHI HÀNH ĐỘNG

CỦA CHÍNH PHỦ GIỐNG NHƯ 1 PRIVATE BODY

Categories of subsidy

SPECIFICITY Vs COLOR BOX POLICY

Specificity

● Enterprise-specificity: A government targets a particular company

or companies for subsidization (Chuyên biệt theo doanh nghiệp)
● Industry-specificity: A government targets a particular sector or
sectors for subsidization.
● Regional specificity: A government targets producers in specified
parts of its territory for subsidization.
● Prohibited subsidies: A government targets export goods or goods
using domestic inputs for subsidization
- Thúc đẩy xuất khẩu (trợ giá từ chính phủ)
- Sử dụng hàng hóa trong nước thay thế hàng hóa nhập khẩu (vi phạm
NT)
De jure Specificity Considerations

● Use of a subsidy program by a limited number of certain enterprises;

● Predominant use by certain enterprises;
● The granting of disproportionately large amounts of subsidy to
certain enterprises;
● And the manner in which discretion has been exercised by the
granting authority in the decision to grant a subsidy.

Red box policy (Red – light subsidy)

Prohibited subsidies

● Export subsidies: subsidies contingent, de jure or de facto,

whether solely or as one of several other conditions, upon export
performance.
● Import substitution subsidies: subsidies contingent, de jure or de
facto, whether solely or as one of several other conditions, upon the
use of domestic over imported goods.

Green box policy (Unprohibited subsidies)

- Unspecified subsidies
- Subsidies for:
● Research process of enterprises or research institution
● Remoted, poor area
● To enterprises to adjust production conditions in order to match the
new business environment

Yellow box policy (Actionable subsidies)

● Actionable subsidies are not prohibited.

● Actionable subject to challenge, through multilateral dispute
settlement (of WTO with serious injury - ảnh hưởng đến vị thế
của 1 quốc gia) or countervailing actions, in the event that they
cause adverse effects to the interest of another Member
 ADVERSE EFFECTS

1. Injury
● Subsidized imports cause injury to a domestic industry
● Challenged both at the unilateral level through countervailing
actions or at the multilateral level through the WTO’s
dispute settlement mechanism

2. Serious prejudice - ONLY THROUGH WTO

● Displacement or impedance of the complaining Member’s exports,
either in the market of the subsidizing Member or in a third country
market
● Or significant price undercutting, price suppression or depression
or lost sales of the complaining Member's product in a given market
● Or an increase in the subsidizing Member's World market share in a
subsidized primary product or commodity

→ Relate to harm to a Member's interests in its export markets

→ The subsidy can be challenged only through the multilateral track
(WTO’s dispute settlement mechanism)

Ví dụ: Nước A được trợ cấp giá cho hàng hóa xuất khẩu cùng với nước B
xuất khẩu sang nước C, khi đó nước C sẽ mua sản phẩm của nước A nhiều
hơn - lợi thế về giá cả vì được trợ cấp, điều đó gây nên thành kiến đối với
nước B khiến cho nước B đâm đơn kiện nước A

3. Nullification or Impairment of benefits

The improved access to a market that is presumed to flow from a bound

tariff reduction is undercut by subsidization in that market

(Khi nước B đàm phán với nước A để giảm thuế quan nhập khẩu thì nước
B sẽ gặp bất lợi khi nhập khẩu mặt hàng được trợ cấp từ nước A

→ Khả năng đàm phán của nước B bị vô hiệu hóa hoặc suy yếu về lợi ích
khi nhập khẩu mặt hàng nước A)
→ Giống với Antidumping
Application of Countervailing measures:

● Countervailing measures: custom duties (excess bound tariff)

● Countervailing duties: such countervailing duty shall be levied, in
the appropriate amounts in each case, on a non-discriminatory
(không liên quan tới MFN) basis on imports of such product from
all sources found to be subsidized and causing injury (đánh thuế
trên cơ sở không phân biệt đối xử với việc NK sản phẩm đó từ tất cả
các nguồn được coi là trợ cấp và có gây ra thiệt hại), except as to
imports from those sources which have renounced any subsidies in
question or from which undertakings under the terms of this
Agreement have been accepted. Any exporter whose exports are
subject to a definitive countervailing duty but who was not actually
investigated for reasons other than a refusal to cooperate, shall be
entitled to an expedited review in order that the investigating
authorities promptly establish an individual countervailing duty rate
for that exporter
● Duration of application: A countervailing duty shall remain in
force only as long as and to the extent necessary to counteract
subsidization which is causing injury (Not exceed 5 years)
Điểm giống và khác nhau so với Antidumping

● BT: đều có bài tập về Support application, Injury margin

(nhưng không có bài tập về Subsidy margin)
● Domestic industry giống Antidumping
● Thời gian áp dụng: Not exceed 5 years, nhưng Countervailing
không có Sunset review (chỉ đề cập sẽ được mở rộng nếu cần
thiết, không có tên gọi riêng biệt)
● Phương pháp đánh đều là thuế (có thể vượt quá Bound tariff)
● Đều không tuân theo MFN
● Khác nhau: trợ cấp xuất khẩu là bị đánh thuế, biện pháp (2
cách): đánh thuế hoặc mang lên WTO kiện cáo - khi gây ra
serious injury (prejudice)

Applicable rules on developing country members

(a) the overall level of subsidies granted upon the product in question
does not exceed 2 percent of its value calculated on a per unit basis; or

(b) the volume of the subsidized imports represents less than 4 percent
of the total imports of the like product in the importing Member, unless
imports from developing country Members whose individual shares of
total imports represent less than 4 percent collectively account for more
than 9 percent of the total imports of the like product in the importing
Member.
4. Safeguard

Definition

Safeguard is the action of a Member of the WTO to restrict imports of a

product temporarily when that such product is being imported into its
territory in such increased quantities, absolute or relative to domestic
production, and under such conditions as to cause or threaten to cause
serious injury to the domestic industry that produces like or (and)
directly competitive products

→ Safeguard measures shall be applied to a product being

imported irrespective of its source → CÓ TUÂN THEO MFN

Biện pháp duy nhất có xét đấy vấn đề bồi thường nếu đánh thuế nhầm

Increased quantities

● Recent, sudden, sharp and significant enough, both quantitatively

and qualitatively
● Investigating authorities will normally make findings on both
absolute and relative imports: in period. Existing the increased
trending.
● Imports from certain Members have increased in disproportionate
percentage in relation to the total increase of imports of the
product concerned in the representative period

Serious injury and Threat of serious injury:

● A significant overall impairment in the position of a domestic

(NK) industry;
● Threat of serious injury: serious injury that is clearly imminent,
based on facts and not merely on allegation, conjecture or remote
possibility;
● Evaluate all relevant factors of an objective and quantifiable nature
having a bearing on the situation of that industry
Domestic industry

Shall be understood to mean the producers as a whole of the like or

directly competitive products, operating within the territory of a member,
or those whose collective output of the like or directly competitive
products constitutes a major proportion of the total domestic
production of those products.
CÂU HỎI THỰC TẾ (KỲ NHỎ 1)

Q1. Analyze impacts of the Covid 19 pandemic on the World trade in

2020
- The COVID-19 pandemic led to merchandise trade declining by 8
per cent and trade in commercial services contracting by 21 per cent
year-on-year in 2020.
- Signal of recovery: As businesses adjusted to new working
conditions and vaccines began to be rolled out in the last quarter of
2020, trade in goods saw a recovery of 1 per cent compared with its
pre-pandemic level in Q4 of 2019.
- In fact: In the first quarter of 2021, the value of global trade in goods
and services increased by about 4% compared to the previous
quarter and by 10% over the same period in 2020. The recovery of
goods trade is mainly due to epidemic-related goods, durable
consumer goods, and medical equipment. Trade-in services are
forecast to recover at a slower rate due to restrictions on
international travel.

Q2. Analyze impacts of the Covid 19 pandemic on Vietnamese trade

Suggestion:
Năm 2020, mặc dù sự bùng phát của đại dịch Covid-19 nhưng nhờ đạt
hiệu quả trong công tác phòng chống dịch nên Việt Nam có những điểm
sáng trong kim ngạch xuất khẩu nông, thủy sản của Việt Nam năm 2020
đạt 25,0 tỷ USD, giảm nhẹ 1,7% so với năm 2019, trong đó có 6/9 mặt
hàng xuất khẩu chủ lực đạt kim ngạch trên 2 tỷ USD.
Hoạt động nhập khẩu không chịu ảnh hưởng quá nặng nề về dịch vậy, việc
tự sản xuất và đáp ứng nhu cầu người tiêu dùng trong nước là có thể xảy
ra, trong khi thu nhập của người dân giảm thì việc họ sẽ ưu tiên dùng hàng
nội địa để tiết kiệm chi phí và hoàn toàn có thể.
Tuy nhiên vẫn có một số mặt hàng nông sản không đáp ứng được nhu cầu
tiêu thụ nên chúng ta vẫn phải nhập khẩu từ nước ngoài như
- Sản lượng đậu tương chỉ đáp ứng 8-10 % lượng tiêu thụ.
Khối lượng và kim ngạch nhập khẩu đậu tương của Việt nam trong năm
2020 đạt 1,87 triệu tấn, tương đương 774 triệu USD, tăng 11,1% về lượng
và 14,8% về kim ngạch so với năm 2019.
- Lúa mì chỉ hợp với thời tiết khí hậu lạnh, như vùng núi phía Bắc nên
năng suất và sản lượng thu được chưa cao. Trong năm 2020, Việt nam
nhập khẩu 2,94 triệu tấn lúa mì với kim ngạch đạt 755 triệu USD, tăng
6,6% về lượng và 4,9% về kim ngạch so với năm 2019. Giá nhập khẩu lúa
mì năm 2020 bình quân đạt 257 USD/tấn, giảm nhẹ 1,6% so với năm
2019.

Q3. Analyze the positive factors of CPTPP on Vietnamese export

- Definition of CPTPP
The Comprehensive and Progressive Agreement for Trans-Pacific
Partnership (CPTPP) is a free trade agreement (FTA) between Australia,
Brunei Darussalam, Canada, Chile, Japan, Malaysia, Mexico, Peru, New
Zealand, Singapore and Vietnam.

- Ảnh hưởng tích cực của CPTPP lên hoạt động xuất khẩu của Việt Nam
là:
Ở các thị trường mới của Việt Nam trong CPTPP (Canada, Mexico và
Peru), tỷ lệ tăng trưởng kim ngạch xuất khẩu năm đầu tiên là rất ấn tượng,
trong khoảng từ 26%-36%
🡪 Như vậy, CPTPP đang cho kết quả ban đầu rất tích cực từ góc độ mở
đường cho hàng hóa xuất khẩu Việt Nam tiến vào châu Mỹ, một khu vực
còn mới mẻ và rất nhiều tiềm năng cho Việt Nam. Đây không chỉ là hiệu
quả trực tiếp của CPTPP (thể hiện ở các thị trường mà CPTPP đã có hiệu
lực, gồm Canada và Mexico) mà còn cho thấy hiệu ứng gián tiếp từ Hiệp
định này, thông qua động lực thúc đẩy thương mại song phương với các thị
trường mà CPTPP chưa có hiệu lực như Peru, Chile.
Tỷ lệ tận dụng ưu đãi thuế quan CPTPP của hàng hóa xuất khẩu Việt Nam
năm 2019 chỉ đạt 1,67%, mức rất thấp không chỉ so với mức trung bình
năm 2019 (37,2%) mà còn so với tỷ lệ tận dụng năm đầu tiên của nhiều
FTA khác. Mặc dù vậy, nhìn sâu hơn, tỷ lệ ưu đãi thuế quan theo CPTPP
không phải không có những yếu tố tích cực:
- Thứ nhất, nếu chỉ tính riêng các thị trường mới trong CPTPP, tỷ lệ
tận dụng tích cực hơn đáng kể.
- Thứ hai, với các thị trường CPTPP mà Việt Nam đã có chung một
hoặc nhiều FTA trước đó, tỷ lệ tận dụng ưu đãi thuế quan với các thị
trường này cần được cộng gộp tỷ lệ của tất cả các FTA đã có chứ không
nhìn ở từng FTA.
- Thứ ba, khác với tất cả các FTA trước đó, trong CPTPP, cơ chế tự
chứng nhận xuất xứ cho phép cả nhà xuất khẩu, nhà nhập khẩu và nhà sản
xuất được phép tự chứng nhận xuất xứ.

Q4. Analyze the risks faced by Vietnamese firms under the CPTPP
context?
- Definition of CPTPP
The Comprehensive and Progressive Agreement for Trans-Pacific
Partnership (CPTPP) is a free trade agreement (FTA) between Australia,
Brunei Darussalam, Canada, Chile, Japan, Malaysia, Mexico, Peru, New
Zealand, Singapore and Vietnam.

Kết quả Khảo sát cho thấy có tới ¾ các doanh nghiệp chưa từng được
hưởng lợi ích cụ thể nào từ CPTPP dù Hiệp định này đã có hiệu lực từ đầu
2019.
Kết quả Khảo sát khẳng định những suy đoán này. Trong hai năm đầu thực
thi Hiệp định, có khoảng 4% các doanh nghiệp chịu thiệt hại từ Hiệp định
này. Phần lớn các doanh nghiệp này đều thuộc nhóm doanh nghiệp dân
doanh siêu nhỏ và nhỏ, những chủ thể tương đối nhạy cảm với các thay đổi
nhỏ về thị trường và quy tắc quản lý. Những thiệt hại mà các doanh nghiệp
này phải chịu cũng tập trung ở 02 khía cạnh được dự báo, cụ thể: Từ góc
độ cạnh tranh, phổ biến nhất là thiệt hại do sản phẩm của doanh nghiệp
phải cạnh tranh gay gắt hơn với hàng hóa nhập khẩu hưởng ưu đãi từ
CPTPP (61,5%), do lo ngại các hàng rào bảo vệ sản xuất nội địa phải dỡ
bỏ theo cam kết (38,5%); Sản phẩm mà DN nhập khẩu từ ngoài CPTPP
cạnh tranh kém hơn so với hàng NK từ CPTPP trên thị trường VN (30,7%)
Từ góc độ chi phí tuân thủ, lo ngại chủ yếu nằm ở các chi phí tăng thêm để
sẵn sàng cho các cam kết tiêu chuẩn cao về sở hữu trí tuệ, lao động, môi
trường trong CPTPP (61,5%).

Q5. To what extent Vietnamese firms know about the CPTPP?

Definition of CPTPP
The Comprehensive and Progressive Agreement for Trans-Pacific
Partnership (CPTPP) is a free trade agreement (FTA) between Australia,
Brunei Darussalam, Canada, Chile, Japan, Malaysia, Mexico, Peru, New
Zealand, Singapore, and Vietnam.
Hiểu biết của doanh nghiệp về CPTPP
CPTPP là FTA được doanh nghiệp biết đến nhiều nhất ở Việt Nam, với
69% doanh nghiệp từng nghe nói hoặc biết sơ bộ. Ở mức sâu hơn thì cứ 5
doanh nghiệp thì có 1 doanh nghiệp có hiểu biết nhất định về các cam
kết CPTPP. Mặc dù vậy, trong 20 doanh nghiệp mới có 1 doanh nghiệp
biết rõ về các cam kết CPTPP liên quan tới hoạt động kinh doanh của
mình.
Trong so sánh với các FTA khác của Việt Nam, tỷ lệ biết về cam kết
CPTPP ở mức tương đối hoặc biết rõ (25%) chỉ cao hơn mức trung bình
(23%) và kém khá xa so với FTA tốp đầu (các FTA ASEAN, 31%).
Nguyên nhân
- So với các FTA khác, CPTPP là Hiệp định tập trung nhiều vào các
khía cạnh thể chế, quy tắc những vấn đề chỉ có tác động gián tiếp và
trong lâu dài với các doanh nghiệp cụ thể, do đó ít được quan tâm
tìm hiểu hơn
- Lợi ích trực tiếp về thuế quan của CPTPP phần lớn chỉ ở các thị
trường mới, vốn chưa nhận được quan tâm của nhiều doanh nghiệp
- CPTPP là Hiệp định rất mới, và các cam kết về ưu đãi thuế trong
giai đoạn đầu lại chưa đủ thu hút doanh nghiệp tìm hiểu kỹ hơn về
Hiệp định này.
Q6. Analyze effects of CPTPP on FDI flows to Vietnam.
Definition of CPTPP
The Comprehensive and Progressive Agreement for Trans-Pacific
Partnership (CPTPP) is a free trade agreement (FTA) between Australia,
Brunei Darussalam, Canada, Chile, Japan, Malaysia, Mexico, Peru, New
Zealand, Singapore, and Vietnam.
Effects of CPTPP on FDI flows to Vietnam
Thời gian đầu thực thi CPTPP cũng là khoảng thời gian mà dòng vốn đầu
tư nước ngoài trên thế giới nói chung và ở Việt Nam nói riêng có chuyển
động mạnh dưới tác động của hai xu hướng:
(i) Gia tăng đầu tư trở lại sau một thời gian trầm lắng quan sát các diễn
biến căng thẳng thương mại Mỹ-Trung năm 2019
(ii) Dịch chuyển sản xuất nhằm đa dạng hóa chuỗi cung ứng, tránh phụ
thuộc quá lớn vào một thị trường dưới tác động của dịch COVID-19.
Tuy nhiên, kết quả thu hút đầu tư nước ngoài trong thời gian này dường
như chưa phản ánh xu hướng nói trên. Việt Nam thu hút xấp xỉ 9,5 tỷ USD
vốn đầu tư từ các nước CPTPP, giảm gần 36% so với năm 2018. Đáng chú
Ý là trong khi tổng số vốn đăng kÝ giảm, số dự án cấp mới lại tăng hơn
13% so với năm 2018. Quy mô trung bình các dự án FDI mới từ các nước
CPTPP giảm mạnh trong năm 2019 so với trước đó, từ gần 11 triệu
USD/dự án năm 2018 giảm xuống còn khoảng 4,7 triệu USD/dự án năm
2019 (giảm 56,9%)
So với bức tranh ảm đạm của 2019, kết quả thu hút đầu tư từ các đối tác
CPTPP năm 2020 dường như khả quan hơn. Theo số liệu của Bộ Kế hoạch
và Đầu tư, tổng vốn đầu tư nước ngoài vào Việt Nam năm 2020 đạt 28,5 tỷ
USD, giảm gần 25% so với cùng kỳ năm 2019. Trong khi đó, vốn FDI từ
các đối tác CPTPP cùng giai đoạn đạt 11,8 tỷ USD, tăng 24,4% so với
cùng kỳ.

Q7. Analyze effects of EVFTA on Vietnamese exports and imports.

Definition EVFTA
The Free Trade Agreement between Vietnam and the European Union
(EVFTA) is a comprehensive, high-quality agreement with a deep and
broad commitment, in accordance with the provisions of the World Trade
Organization ( WTO), including both traditional and non-traditional
sectors such as Government procurement, intellectual property, and
sustainable development …
(Between Vietnam and 28 European Union member states.)
Effects of EVFTA on Vietnamese exports and imports.
In terms of exports, the EU is now one of Vietnam's major trading
partners, with two-way turnover in 2019 reaching US $ 56.45 billion, of
which exports reached US $ 41.5 billion and imports. from EU reached
14.9 billion USD. A prominent feature of the import-export structure
between Vietnam and the EU is the very large complementarity, which is
less of direct competition.
Therefore, EVFTA will be a huge boost for Vietnam's exports, helping to
promote bilateral and Vietnam trade relations in a more comprehensive
and deeper way. Commitments to reduce/eliminate tariff barriers on the EU
market will be a great advantage of Vietnamese businesses in the
post-epidemic phase to exploit this US $ 18 trillion market.
On the import side, it is expected that the increase of Vietnam's imports
from the EU will not focus on the time immediately after the EVFTA
Agreement comes into effect because Vietnam has a long roadmap to
eliminate taxes, from 7-10 years. Calculations by the Ministry of Planning
and Investment in 2019 show that, in case of improving productivity,
making good use of opportunities to attract FDI as well as commitments
on tariff and non-tariff, import turnover of Vietnam Male from EU will
increase by 0.5-1.15% (for the first 5-year implementation period), 2.72%
-5.02% (for the next 5-year period) and 10.08% -14.7% (for the next
5-year period).

Q8. Demonstrate your knowledge on Australian anti-dumping,

anti-subsidy investigation on Vietnam - originated Pressed aluminum
products.
Anti-dumping and anti-subsidy correct completive imbalances
created by unfair practices (dumping and subsidies) when they cause
injury.
Australian anti-dumping, anti-subsidy investigation on Vietnam
Ủy ban chống bán phá giá Australia (ADC) thông báo khởi xướng điều tra
chống bán phá giá và chống trợ cấp đối với sản phẩm nhôm ép có xuất xứ
từ Việt Nam do công ty TNHH Capral khởi kiện. Kết luận sơ bộ khẳng
định Việt Nam có bán phá giá trong cuộc điều tra với biên độ từ 8,5% đến
34,2%. Sau khi đưa ra kết luận sơ bộ ADC điều chỉnh biên độ phá giá sơ
bộ, từ đó thay đổi thuế tạm nộp đối với sản phẩm nhôm ép nhập khẩu từ
Việt Nam:
+ Biên độ phá giá sơ bộ đối với các bị đơn hợp tác trong quá
trình điều tra là từ 6.9% đến 17.5%
+ Biên độ phá giá cho các bị đơn không hợp tác là 34.9%
ADC ra thông báo kết luận cuối cùng vụ việc điều tra chống bán phá giá
và chống trợ cấp với nhôm ép nhập khẩu Việt Nam. Theo đó, ADC kết
luận chấm dứt điều tra và không áp dụng biện pháp chống trợ cấp đối với
Việt Nam nhưng áp thuế chống bán phá giá biên độ phá giá cho các nhà
sản xuất, xuất khẩu hợp tác là từ 7,7% đến 18%; biên độ phá giá cho các
công ty không hợp tác là 34,9% trong vòng 5 năm. Sau khoảng thời gian
áp thuế chống bán phá giá, ADC sẽ rà soát lại và đưa ra mức thuế thấp hơn
hoặc chấm dứt áp thuế đối với mặt hàng nhôm ép xuất khẩu từ Việt Nam.

Q9. Global trade policy responses to Covid-19 pandemic?

Covid-19 has posed numerous difficulties to the trade of the world. By
prohibit the negative impact of this pandemic, governments enact trade
policies, in which, the export banning of medical products accounts for the
lion share:
- Because of the fear of lack of personal perspective requirement and
foods, especially vaccine, governments tend to enact trade
merchandise policies.
- Restricting or even banning exporting relates directly to protecting
the health of citizens.
- By controlling the pandemic well, the export measures last for only
one month. These measures were enacted in order to ensure the
 domestic supply of pharmaceutical products and rice in the context
of Covid-19.
Otherwise, the virus spreads around the world, there are concerns that
global food security could come under pressure. Food production is
currently high, but it could be negatively impacted by increased workers’
morbidity, disruption in supply chains, and containment measures.
Governments’ attempts to restrict food exports to meet domestic needs
could make things worse. Covid-19 is estimated to lower the world’s
export supply of food by 12.7 percent, on average.

Q10. Vietnamese trade policy responses to Covid-19 pandemic?

Năm 2020, tổng trị giá kim ngạch xuất nhập khẩu cả nước vượt sâu mốc
500 tỷ USD, đạt 545,4 tỷ USD, tăng 5,4% so với năm 2019. Trong đó,
tổng kim ngạch xuất khẩu đạt 282,66 tỷ USD, tăng 7,0% so với năm 2019
và tổng kim ngạch nhập khẩu đạt 262,7 tỷ USD, tăng 3,7% so với năm
2019. Trong bối cảnh xuất khẩu ở một số thị trường xuất khẩu chủ lực của
Việt nam bị ảnh hưởng do đại dịch Covid-19 như xuất khẩu sang ASEAN
giảm 8,4% so với năm 2019; xuất khẩu sang thị trường châu Âu giảm
5,3%, thì kim ngạch xuất khẩu chung vẫn đạt tăng trưởng dương.

Trong thời kỳ dịch bệnh Covid-19, Việt Nam đã đưa ra các chính sách hạn
chế việc xuất, nhập khẩu ví dụ như hạn chế xuất khẩu mặt hàng khẩu
trang, dược phẩm và các vật dụng y tế; thậm chí đối với mặt hàng nhập
khẩu máy thở còn được miễn thuế để đảm bảo cho khả năng kiểm soát và
ngăn chặn dịch bệnh trong nước. Trong khi đó có những chính sách vẫn
còn hiệu lực cho đến thời điểm hiện tại và một số đã được chấm dứt. Các
sản phẩm lương thực như gạo được đưa ra mức hạn ngạch xuất khẩu để
đảm bảo lượng lương thực duy trì cho người dân khi dịch bệnh còn phức
tạp.