L NT

KINH T LUT

NXB TRI THC TP H CH MINH 2006

1

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

2

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 T 63

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

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

3

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

4

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

5

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

6

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. KINH T LUT V LUT KINH DOANH BO HIM ............ 132 1. 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

7

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

8

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

9

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,

10

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: Gii thiu v mn kinh t lut Chng II: Kinh t lut v cc chuyn ngnh lut hnh chnh Chng III: Kinh t lut v cc chuyn ngnh lut dn s Chng IV: Kinh t lut v cc chuyn ngnh lut hnh s Chng V: Kinh t lut v cc chuyn ngnh lut thng mi Chng VI: Kinh t lut v cc chuyn ngnh lut quc t.

11

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

12

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.

13

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.

3 Cc thm phn tin phong l Stephen Breyer, Richard Posner, Frank Easterbrook, Guido

Calbresi, Douglas Ginsburg, Robert Bork and Alex Kozinski.

14

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

15

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

16

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.

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

Journal of Legal Studies 88.

17

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

18

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

5 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.

19

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 2

Hu Tho Th san 1 Hu 10, 10 0, 8

Tho 8, 0 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 +

20

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.

21

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

22

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).

23

- 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

Khng ch cn kinh t Lut khi ban hnh mt chnh sch cc nh lm Lut cn phi vn dung thm nhiu lnh vc khc ban hnh chnh sch hiu qu.

24

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

25

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

26

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.

27

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:

28

- 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

29

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

Ngi bn hng s ht gi cao hn gi tr thc m hng ha c c

30

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

31

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.

32

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).

33

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.

8 Coase, R. (1988) The Firm, The Market, and the Law. The University of Chicago Press, IL.

9 Id.

34

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 non-separable 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.

35

- 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.

4. 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.

36

- 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

37

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

38

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 2 Im lang Nhan toi

Nghi

pham 1

Im lang -2, -2 -10, 0 Nhan toi 0, -10 -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

39

(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.

40

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.

41

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

42

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.

43

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

44

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.

45

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.

46

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

47

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

48

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

49

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.

50

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

51

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?

52

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?

53

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 v