BINH LUAN A N LE VE NGUYEN TAC BAO HO DAU TU
CHONG LAI VIEC TlT CHOI CONG LY (PhSn 1)
Nguyen Thi Nhung' Tom tdt: Mondev Men Hoa Ky (Mondev v. Hoa Ky) vd Loewen kien Hoa Ky (Laewen v. Hoa Ky) Id hai vu viec khd dien hinh cho logi tranh chap da duac xem xet bai Tda dti trong nuac nhttng vdn tiep tuc duac kien ra trong tdi dau tu quoc te theo cdc hiep dinh bdo ho ddu tu giiia cdc quoc gia.
Trong thai ky ddu nhung ndm 2000, hai vu viec dd thu hiit rat nhieu binh ludn, tron^ do co vdn de xdc lap cdc Ueu chuan cua^ bdo ho dau tu lien quan den chong lgi viec bi tu choi tiep can cong ly cua nhd ddu tu tgi nuac tiep nhdn ddu tit. Lap ludn cua cdc Ben vdphdn quyet cua hoi dong trong tdi buac ddu xdy dung cdc tieu chi xem xet tranh chdp lien quan den tit choi tiep can cong ly. Hai vu viec vdn con duac vien dan nhieu trong cdc vu viec gdn ddy nhdt.
Bed viet nay phdn tjch phuang phdp tiep can md Hoi dong Trgng tdi (HBTT) sic dung de trd ldi cdu hoi hoc bua ve moi quan he giira HBTT ddu tu vd Toa dn trong nuac trong tieu chudn duac bdo ddm tiep can cong ly cita nhd ddu lu theo cdc cam ket trong hiep dinh ddu lu quoc le. Cdc phdn quyet cho Ihdy viec Toa dn cua moi quoc gia ddphdn quyet ve mot bien phdp hdnh chlnh khong the ngdn cdn HBTT ddu tu quoc te xem xet lieu bien phdp do co vipham hiep dinh ddu tuhay xem xet lgi mot viphgm hiep dinh dd ton tgi truac do.^ Bay Id mot trong nhimg linh vuc dg cho Ihdy su boi roi ddng ke trong cdch tiep cdn cita HBTT quoc le. Viec nghien cicu hai phdn quyet ndy giup cung cdp ca scf de tiep tuc theo doi cdc budc phdt trien cua nguyen tik: bdo ho ddu lu rat dgc thit ndy, gdp phdn hinh thdnh cdc tieu chudn xem xet cho cdc nhd ddmphdn,^ cdc trong tai, ludt su hoat dong trong linh vice ddu tu quoc te vd gidi quyet tranh chdp Hen quan den tic choi tiep cdn cong ly.
Tie khoa: Hiep dinh ddu tu quoc te, trong^ ldi ddu tu quoc te, Ida dn trong nuac, Mondev v Hoa Ky, Loewen v Hoa Ky, tranh chdp ddu tu quoc te, lir choi cong ly.
Nhdn bdi: 27/03/2020: Hodn thdnh bien tap: 06/04/2020: Duyet ddng: 15/04/2020 Abstract: Mondev v UnitedStates of America andLowewen v. United Stales of America are two well-known cases in the field of international investment arbitration when these cases had been already ruled by domestic courts but later were brought lo international tribunals under the international investment agreements ("IIAs"). In early 2000, the two cases received a number of views and comments including discussions on investment standards lo protect foreign investor's against the denial of justice. Parties •arguments and tribunal's rulings have made significant contribution to the establishment of the investment standard in dealing with denial of justice claims.
These awards have been citations of a number of recent cases.
This case commentary analyses tribunals 'approaches in the two cases II tries to answer a hard question on relationship between international investment tribunals and domestic courts in dealing with denial of justice claim under the ILL?. These awards reveal a fact that resolved cases by domestic cowls on an administrative action could later be challenged before intemational tribunal under the IIAs. This particular area again shows confusion in various approaches of different international tribunals. < . . r
Therefore, research on these cases provides some basic points for further research on denial oj justice claim and its development II aims at contributing lo a better understanding of this type of
claim, and lo support not only international investment negotiators, arbitrators, but also lawyers, practitioners who are dealing with denial of justice claims
Key words: International investment agreements, international inveslmenl tribunal domestic court Uondevv UnitedStates of America and Lowewen v. UnitedStates of America, international
investment disputes, denial of justice ,-,„,„«,„
Date of receipt: 27/03/2020. Date of revision- 03/04/2020 Dale of Approval: 1M4/202O
' Tiiac sy, Ciiuyen vign cliinh Vu Pliap luat qu6c tS, Bo Tu phap.
1. Vu Mondev kien Hoa Ky (ten day du:
Mondev International, Ltd. v. United States of America, vidt tat: Mondev v Hoa Ky)
Vu ttanh chap Mondev v Hoa Ky (vu sd ARB(AF)/99/2), phat sinh tir ti-anh chap vd hgp ddng phat tridn bat ddng san thuong mai giira thanh phd Boston (thanh phd), Qo quan phat ttidn Boston (BRA) va Hidp hdi Place Place (LPA)- mdt lien doanh tiach nhidm hiiu ban thanh lap tai Massachusetts thudc sd hiiu eua Mondev Intemational Ltd., mdt cong ty dugc thanh lap theo luat phap eua Onada (Mondev hoac Nguydn dan).
Nam 1992, LPA da dd don kidn thanh phd va BRA Idn Tda an tdi cao Massachusetts. Trai qua eae cap xet xir khac nhau, LPA thua kien-.
Mondev (cd ddng cua LPA) sau dd da kidn Hoa Ky theo Didu 1116 cua Hidp dinh thuong mai tu do Bac My (NAFTA) sir dung Quy tie td tung phu tia ciia Trung tam qudc te vd giai quyet tranh chip diu tir ICSIiy. Ngay 11/10/2002, HDTT vu viee theo quy tae td tung phu tig cua ICSID da dua ra phan quyet bac bd cac cao budc ciia Nguydn don vdi mdt trong nhirng ly do rang HDTT qude td khdng phai la co quan xem xet lai ndi dung cac phan quydt cua tda an qudc gia.
1.1. Cff s& thuc tiin phdt sinh tranh chap Tranh chap nay sinh tir nhiing nd lyc vao cudi nhimg nam 1970 cua thanh phd Boston nham cai tao mgt khu vuc do nat d trung tam thanh phd Boston, dugc bidt ddn vdi tdn ggi "Khu vuc chidn diu" thanh mdt khu vuc mua sam. BRA la CO quan lap kd hoach va phat tridn kinh td ciia thai^ phd, da chgn Mondev va ddi tae Hen doanh sau dd cua hg, Sefiius Corporation, de thyc hidn dy an bao gdm xay dyng mgt cira hang bach hda, trung tam ban le va mgt khach san tiong khu vuc dugc chi dinh. Nam 1978, Mondev va Sefrius thanh lap LPA, qua do hg se phat tridn, xay dung, sd hiiu va quan ly dy an. Vao ngay 22/12/1978 LPA, BRA va thanh phd da ky "Thda thuan ba ben", dugc didu ehinh bdi luat phap cua Khdi
thinh vugng ehung Massachusetts, quy dinh vide phat tridn khu vuc nay theo hai giai doan. Giai doan I lidn quan ddn vide xay dyng mdt trung tam mua sam, nha dd xe va khach san. Theo Thda thuan, LPA cd dugc vao thang 9/1979 quydn phat tridn mdt so bat dgng san nhat dinh can thidt cho giai doan I. Cu thd, LPA da mua quydn sir dung khdng gian ddi vdi giai doan I. Xay dung giai doan dd da dugc hoan thanh thang U/1985.<jiai doan II dy tinh xay dung thdm cac khdng gian ban Id, mgt tda nha van phdng va mdt cira hang bach hda tidn bdn Id dat thude sd huu cua thanh phd lidn kd vdi nhiing khu dat dugc sir dung frong giai doan I. Bdn Id dat nay se duge lap rap thanh mdt Id, dugc ggi la Parcels Hayward. Vao thdi diem thda thuan, cac Id (Parcels) da hi chiem giii mdt phan bdi mgt bai dau xe cua thanh phd, dugc ggi la nha dd xe Haj'ward Place'*.
Trong Thda thuan ba bdn, vide xay dung giai doan II cua dy an se dugc dua ra tiiy thugc vao quydt dinh ciia thanh phd ve vide loai bd nha dd xe Hayward Place. Ndu dugc, thanh phd ed the xay dung mgt nha de xe dudi Idng dat trong khu vyc va LPA se duge cap quyen tidn khdng dd xay dung. Thda thuan vd vide phat tridn Hayward Parcel chu ydu dugc quy dinh tiong muc 6.02 cua Thda thuan ba ben (da dugc sira ddi). Muc 6.02 ed mdt tiiy chgn cho LPA mua Hayward Parcel vdi didu kidn la theo thdng bao cua thanh phd vd quydt dinh ngimg nha dd xe Hayward Place va xay dung mgt bai dau xe ngam. Trong vdng ba nam, LPA cd the thdng bao cho thanh phd vd y dinh mua Hayward vdi gia dugc tinh theo cdng thiic dugc md ta ttong phin 6.02 cua Thda thuan ba bdn. Thda thuan ba ben va cac ban do di kem da xac dinh ranh gidi ciia Hayward, nhung chi ra mgt sd Ilia chgn thay the lien quan den cac quydn dugc chuydn ddi. Thanh phd dugc quydn cd trong tay cac tham dinh vd gia tri thi trudng hgp ly ciia hai trong sd bdn id thanh phan cua Hayward Parcel, va da ddng y dua ra cac danh
2 Phan quyet vu MONDEV INTERNATIONAL LTD v UNITED STATES OF AMERICA, s6 ARB(AF)/99/2 doan 1, https://www.italaw.com/sites/default/flles/case-documents/ita] 076.pdf
' Phan quyit vu MONDEV INTERNATIONAL LTD v UNITED STATES OF-AMERICA, s6 ARB(AFy99/2 d o a n 2 , https://www,italaw.com/sites/defauit/files/case-documents/ital076.pdf
" Phan quyat vu MONDEV INTERNATIONAL LTD v UNITED STATES OF AMERICA, s6 ARB(AF)/99/2 doan 37, https;//www.ita]aw.com/sites/defaulffiies/case-documents/ital076.pdf
So 04/2020 - Nam ihi? mif&i lam
gia ciia hai Id edn lai^.
Thanh phd da quydt dinh pha buy nha dd xe Hayward Place va LPA da thong bao y dinh mua Hayward Parcel vao nam 1986 nhui^ cd nhidu sy cham trd va khd khan ttong vide Men thuc hda giai doan n . Bang mgt sita ddi thdm cho Thda thuan ba ben dugc thyc hidn vao nam 1987, ngay cudi cimg de ddng cua bai dau xe Hayward Place theo lya chgn ciia LPA la ngay 01/01/1989 tiir khi cd tiida thuan khac. Tuy nhidn, dieu nay tuy thudc vao
&eu kidn khdng hdt ban "ndu thanh phd va/hoac CO quan khdng thd lam vide bang thidn chi vci nha phat tridn du an khi thdng qua quy trinh xem xet thidt kd dd hoan tat vide ddng cira". Nhung sy thay doi nay ttong Thda thuan ba bdn khong thiic diy tidn do. Theo md ta bdi SJC (Tda an tdi cao Massachusetts): "LPAkhdn^ bao ^ d y d u cau va thanh phd khdng bao gid dau thiu trong khoang thdi gian can thidt hoac bat cii luc nao. Co sd dd LPA ciia khidu kidn theo hgp ddng ddi vdi thanh phd la thanh phd khdng cd thidn chi thyc hien cac nghia vu ciia minh theo Thda thuan ba bdn can thidt dd cho phep LPA tidn hanh yeu cau ddi^ cua, va thyc sy rang thanh phd tham gia vao cae hanh dgi^ khdng thidn chi vdi mue dich dd can trd LPA cd thd ddng cita Hayward Place kip thdi. Ly do cho cac chidn thuat can tid nay cua thanh phd, dugc LPA chi ra do la \ i chmh quydn mdi cua Thi trudng Raymond Flyrai tin rang gia duge thidt lap theo cdng thiic ciia muc 6.02, dya tten cac gia trj nam 1978, la khong cdng bang ddi vdi thanh phd trong bdi canh tang vgt manh me eua gia bat dgng san tron§ nhiing nam qua. LPA dua ra bang chiing vd mdt sd ttudng hgp ma hg eho la chidn thuat can
ttd ciia thaiih phd, gom vide khong hoan thanh cac danh gia can thiet dd thidt lap gia eho Hayward Parcel, khdi xudng thay ddi quy hoach se lam giam dang kd chieu cao cho phep ciia eac tda thap van phdng dugc quy hoach cho khu vyc, thidu hgp tac vd vide xac (Enh (ddng ciia dudng nhit dinh) va de dga dd dat mdt con dudng mdi qua giiia khu dat, didu nay iam eho su phat tridn cua du an khong thd thyc hien dugc vd mat kinh te. Thang 3/1988, LPA cho thud quydn cua iiunh ttong du an cho mdt nha phat tridn idn hon khac cua Canada, Campeau, da tidn hanh thidt kd lai dy an.
Campeau ddng vai ttd la bdn thud tun each gia ban nhung vd ich thdi han dong eua bai dau xe ngay 01/01/1989. Khi didu nay bi tir chdi, ttong thang 12/1988 Campeau thdng bao cho thanh phd rang hg mudn hoan thanh hgp ddng ngay nhung khdng CO dau thau thanh toan tai thdi fiem dd, ciing khdng cd budc ehinh thiic nao khac. Sau ngay 01/01/1989, Campeau da xin phep thidt kd lai dy an nhung sau dd da tir bd i^hia vu cua minh ddi vdi LPA theo hgp d d i ^ cho thud, va LPA cham dirt hgp ddng thud. Vao thang 02/1991, ngudi the chip, nha san xuSt Hanover - Cdng ty Trust ciia LPAbi tich thu. Thang 3/1992, LPA da khdi dgng vu kidn chong lai thanh phd^.
1.2. Tranh chap tgi Toa dn ciia Hoa Ky v a o 03/1992, LPA da dd don kidn thanh phd va BRA Idn tda an bang Massachusetts vdi hai can cii chinh cho vu kien' la: thanh phd va BRA da vi pham cae nghia vu hgp ddng cua hg theo Thda thuan ba bdn* va LPA ti^dn bd rang BRA (E can thiep manh me vao hgp dong ciia LPA dd ban,quydn cua minh ttong dy an cho Campeau'.
' Phan quygt vu MONDEV INTERNATIONAL LTD v UNITED STATES OF AMERICA, s6 ARB(AF)/99/2;
doan 38. https://www.italaw.com/sites/default/flles/case-documents/itai076.pdf
^ Phan quygt vu Mondev Intemational Ltd V United States Of America, so ARB(AF)/99/2; doan 39, https://www.italaw.com/sites/defaull/files/case-documents/ital076.pdf
' Lafayette Place Assoc, 694 N.E.2d tai 824-25.
' Nhu tren, dSn lai tai vimg chiSn diu: mondev international, ttd v. united slates va gach cheo chong lgi chuong 11 cua NAFTA. Tap chi luat qudc ti Dai hoc Boston, quyan. 21:399, fr. 405-406. _
" Xem Phdn quySt vu kien Mondev International Ltd V United States Of America, so ARB(AF)/99/2; doan 39 (11 thang 10 2002), m; http://www.naftaclaims.com; Lafayette PlaceAssoc, 694 N.E.2d tai 824-25. LPAcQng cho rang thdnh p h i va BRA vi pham Luat ehung ciia bang Massachusetts, chuang 93A, dieu khoan cam cac hanh vi thieu thien chi trong thtrong mai va Digu Iuat quygn dan su ciia bang Massachusetts, dieu .khoan cam can thiep vao cac quygn dan su. Tuy nhien Toa an da bac bo ca hai khigu kien tai phan quygt torn tat_tru6c phien xet xir, sach da dan tai tr. 825, b^i viet mondev international, ltd v. united states va dau gach cheo doi voi Chuang II cua Hiep dinh NAFTA, Tgp chi Ludt qudc ti dgi hoc Boston, quyen 21:399, tr 405-406.
Q
fl
^!M4IJIJ!IJIiJ!H^LPA lap luan rang "thanh phd khdng cd thidn chi thuc hidn cac nghia vu cua minh theo Thda thuan ba ben can thiet dd cho phep LPA tidn hanh ydu eau ddng cira, va thyc su la nd cd hanh dgng thidu thidn chi ngam dinh dd can trd LPA thuc hidn vide ddng cira kip thai"'". LPA cao budc rang thanh phd da ngan chan vide ddng cira thanh cdng bang each khdng hoan thanh vide tham dinh cac tai san quan ttgng, bang each khdi xudng thay ddi quy hoach, va bang each de dga xay dung mdt dudng phd thdng qua cac Id dat lam cho du an khdng kha thi vd mat kinh td". Bdi tham doan Massachusetts da img hg LPA cho ca hai khidu kidn va yen can bdi thudng thiet hai tdng edn^ 16 trieu do la 9,6 tiieu do la chdng lai thanh phd vi vi pham hgp dong va 6,4 tridu do la chdng lai BRA vi can thidp'^. Tham phan xet xir da khang dinh ket luan cua bdi tham doan ddi vdi thanh phd vdi gia 9,6 trieu do la, nhung da dua BRA ra khdi phan quydt bat chap y kidn ciia hdi thim'^ Tham phan xet xii nhan thay rang vi BRA la mot chu nhan cdng theo Dao luat vd khidu kidn gay thiet hai ciia Massachusetts''', dugc bao vd khdi cac vu khidu kidn ddi bdi thudng cd ehii y
bdi quydn midn tni. Mae dii theo phan quydt Nguyen don dugc thanh phd bdi thudng thidt hai 9,6 tiieu do la, BRA da dugc mien tru rngi trach nhidm phap ly'^ Ca LPA va thanh phd ddu khang cao quyet dinh'^. Vd xet xii phiic tham tryc tidp, Tda an Tu phap Tdi cao (SJ(i:)" khang dinh phin quydt ciia tda an cip dudi ung hd BRA trdn co sd midn trir, nhung dao ngugc phan quydt cua tda an cap dudi ddi vdi thanh phd'^. SJC cho rang vi LPA khdng thd hidn su sin sang va kha nang thuc hidn, ndn thanh phd khdng thd ehiu ttach nhidm cho vide vi pham hgp ddng'^. Didu nay mau thuan vdi kdt luan ciia bdi thSm doan vd vide LPA da hoan thanh nghia vu theo hgp ddng-". LPA 6B.
khang cao Idn Tda an Tdi cao Hoa Ky nhung da hi tir chdi". Do do, thanh phd va BRA da dugc mien mgi tiach nhidm phap Iy va LPA da phai chiu hdt tat ca cac bidn phap khae phuc tiong nudc-^.
U. Trpng tdi NAFTA
Sau khi Tda an tdi cao Hoa Ky bac bd ydu cau cua LPA ddi vdi vide xem xet tu phap, cdng ty me eiia LPA, Mondev, Canada da khdi xudng to tung trgng tai chdng Iai Hoa Ky vi vi pham
'° Lafayette Place Assoc, 694 N.E.2d sach da ddn tr. 823-24.
" D d d a n t r . 824, '= Da din tr, 825.
'^ Nhu tren,
'" Dao luat bfii thuong thiSt hai ngoai hgp dong quy dinh trach nhiem vi pham cho "cong chiic" trong boi canh hep.
"Cong chiic" dugc dinh nghia, trong nhung doan thich hgp la, "lien bang, bat ky q u i c gia, thanh pho, khu virc...
v a b a t k y phong ban hay van ph6ngnaohoi dong, uy ban, phong, coquan... dang thuc hien quygn Iuc vd kiem soat cac cong chirc chinh phu" MASS. GEN. LAWS ANN, chuong. 258, § 1 (West 1992). Doan 10 (c) loai trir trach nhiSm doi v6i "bdt ky khigu kien nao phat sinh tir hanh vi vi pham ngoai hop dong co y, bao gom hanh hung, bat bo, bo til sai, cdc hanh vi truy to, anh huong tinh than, lam dung, giet, trinh bay sai, thieu s6t, xam pham quygn neng tir, can higp vdo cdc quan h e c 6 igi ich va... quan hi hcrp dong" (nhan manh). Id. § 10(c)
' ^ D a d d n t r . 821-22.
'* Phdn quygt vu kien Mondev Intemational Ltd V United States Of America, s6 ARB(AF)/99/2; doan 1 (11/2002), lgi http://www.naftaclaims.com; Lafayette PlaceAssoc, 694 N.E,2d tai 824-25.
" Toa an toi cao tu phap la toa dn cao nhat ciia Khoi thjnh vugng ehung Massachusetts.
" Lafayette Place Assoc, 694 N,E,2d tai 822.
i« Id. Tai 827-29.
-" Vu kien Mondev Intemational Ltd V United States Of America, s6 ARB(AF)/99/2 Mondev Intemational, Ltd. v.
UnitedStates, ICSID s6ARB(AF)/99/2, Thong bdo trgng tdi doan 130(01/09/1999), tai http://www.naftaclaims.com ("Sau do b6i thdm doan chi ro nhu mgt van de thuc te rang LPA dd thtrc hien todn bg nghTa vu hgp dong trong khi thdnh ph6 thi khong, SJC mgt toa dn phiic thdm dd khong nghe cac ca so thuc tign hodc nghe nhan chimg, dao ngugc lai y kign ciia b6i thdm doan bdng each dua ra dign giai rieng ciia minh ve thuc tien vu viec"). Dong thai xem tai Lafayette PlaceAssoc, 694 N.E,2d fr. 825 ("bfii thdm doan cho rdngcb m6t hgp d6ngdg mua Hayward Parcel, ca BRA vd thdnh ph6 vi pham hgp ddng. nhung BRA khong thuc hien nhu mgt ca quan cua thanh ph6 trong hgp ddng").
^'Lafayette PlaceAssoc v. City of Boston, CK/-/ denied 525 U.S. 1177(1999).
2^ Dd ddn.
o
nghia vu ciia chuong 11 Hidp dinh Thuong mai tu do Bac My (North America Free Trade Agreement - NAFTA) Mondev ddi boi thudng 50 tridu dd la, cao huge cac cac hanh dgng cua thanh phd, BRA, tda an xet xir tidu bang va Tda an Tu phap Tdi cao Massachusetts da cau thanh su tir chdi ddi xu qudc gia, mdt bidn phap tucmg dtrong vdi vide tudc doat va tir chdi cdng ly^\ De mgt nha nude ehiu tiach nhiem vd viec vi pham nghia vu hidp dinh, hiep dinh dd phai e6 hieu lyc tai thdi didm vi pham bi cao bugc^''. Thanh phd va BRA khdng the chiu trach nhidm vd hanh vi xay ra trudc khi NAFTA cd hidu luc vao ngay 01/01/1994^^'. Theo cac nguyen tae nay cua luat phap qudc td, chi cd vide- bai bd cac khidu nai LPA eiia Tda an Tu phap tdi cao Massachusetts va Tda an Toi cao Hoa Ky ngay 01/03/1994 cd tiid ciu tiianh vi pham NAFTA^^ Do dd, HDTT thay rang hg khdng cd quydn tai phan doi vdi hai ttong sd ba ydu sach va danh phan Idn y kidn ciia minh cho ydu cau cdn lai vd Idiidu kidn ve tir choi tidp can cdng ly.
Mondev kidn Hoa Ky vi phara Didu 1105 eua NAFTA", cu thd la cac hanh dgng cua SJC gdm;
vide buy bd cao huge vi pham hgp ddng ehdng lai Thanh phd; vide thit bai tiong siia chiia phan quydt cua tda cap dudi; vide ap dung hdi td cac quy dinh phap Iuat mdi; va co chd mien trir danh cho BRA-^. Khidu kidn ciia Mondev khdng phai vide tu chdi cua tda an dia phuong vdi vu kien
•JJnIjc 8 « n t cua hg ma la quy trinh, thu tiic ma tda an dS ap dung. Theo dd, t © T T qude td ttong vu kidn nay dugc dd nghi xem xet lai tinh diing din ciia cac phan quydt eiia tda an dia phuong-^
HDTT dugc thanh lap theo Hidp dinh NAFTA tiong vu kidn nay da din chidu vu Azinian v. Mexico^°, theo dd "khd ndng buoc mot quoc gia chiu trdch nhiem phdp ly ddi vdi cdc quyet dinh tuphdp khong cho phep mot ben yeu cdu xem xet quoc te cdc quyet dinh cita toa dn quoc gia nhic the quyen tdi phdn quoc te cho phep thdm quyen xet xu phiic thdm todn dien.
Bieu ndy thudng khong dung vd noi ehung la khong dung vdi NAFTA".
ITOTT eho rang tiong vide ap dung tidu chuan tdi thidu c^udc te, dieu quan ttgng la phai phan bidt cac bdi canh thue td va phap ly khae nhau dd quydt dinh. Dd la mdt hanh ddng dd ddi phd vdi cac hanh vi khdng dugc giai quj^dt bdi tda an dia phuong va mdt hanh ddng de doan dinh vide dua ra eac quydt dinh tda an eao nhat ciia mdt qudc gia da hgp ly hay chua. Theo NAFTA, cac bdn cd tuy chgn tim kiem cac bidn phap khac phuc tai dia phuong (local remedies).
Ndu hg lam nhu vay va thua, thi chirc nang ciia cac I © T T NAFTA khdng phai la cac tda an phiic tham^'. HDTT tidp tuc eho rang: Mot sir tu choi cong ly cd the duac ket ludn neu cdc toa dn cd lien quan tic choi xem xet mot vu kien, neu ho chdm tre Idiong ddng cd, hogc neu ho dieu hdnh
-^ Vy Mondev Intemational, Ltd. v. United States, ICSID s6 ARB(AF)/99/2, Th6ng bao trgng tai tai doan 21-22 (01/09/1999), tai http://www.naftaclaims.com.
^ C o n g u a c Vien vgdiSu uac quoc ta, 23 thdng nam, 1969, D i e u 2 8 , 1155 U.N.T.S, 331, 339.
" P h a n quygt vu Mondev Intemational, Ltd. v. United States, ICSID s6 ARB(AF)/99/2, doan 68 (11/10/2002), tgi http://www.naftaclaims.com
^^Dd ddn. doan 70.
" 'Tieu chudn doi xu tdi thiiu: I) Mdi Ben se doi xu vai khodn ddu tu ciia cdc nhd ddu lu cua mot Bin kia theo ludt phdp qudc ti. boo gom doi xic cong bdng vd thda ddng vd bdo ve an loan day du; 2). Khdng dnh huang din khodn I vd bdt chdp Dieu 1108 (7) (b), mdi Ben se doi xu v&i cdc nhd ddu tu cua mot Ben kia vd khodn ddu tu cua nhd ddu tu Ben khde, ddi xir khong phdn biit doi xu vai cdc biin phdp md hg dp dung hogc duy tn lien quan thiit hai do ddu tu vdo lanh thd cua minh do xung dot v« trang hogc xung dot ddn su; 3) Dogn 2 khdng dp dung cho cdc biin phdp hiin hdnh liin quan din tra cdp hoac tra cdp se khdng phu hgp vai Dieu 1102 nhung ddi vai Diiu 1108 (7) (bp.
=^ Vu Mondev Intemational, Ltd. v. United States, ICSID so ARB(AF)/99/2, Thong bdo frgng tai doan 206 - 210 (01/09/1999), tai http://www.naftaclaims.com.
" Campbell McLahland QC, Trong tdi ddu tu qu6c tg, Nha xudt ban dai hgc Oxford, nam 2007, tr. 227
^° Vu Azinian v. United Mexican States (1999) 39 ILM 537 tai tn 552 (doan 99).
^1 Phdn quygt Mondev International, Ltd. v. United States, ICSID CaseNo.ARB(AF)/99/2, doan 127 (1 l/iO/2002), tai http://www.naftacl3ims.com.
o
:ui«*'ji:iL^ii
maa
cong ly theo cdch khong nghiem tuc. Cd mot logi tic choi cong ly thu tu, do la su dp dung sai trdi ro rdng vd nghiem trong cua phdp lugt. Kieu sai lam khong the nghi nga ndy trung lap v&i khdi niem "gid vd ve mat hinh thuc de che gidu su vi phgm lugt phdp quoc te ". Trong truang hop hien tgi, khong nhiing khong co hdnh vi sai trdi ndo duac dua ra, md HDTT muon ghi nhgn lgi rdng hg thdy bdng chirng la du de xua tan bdt ky cdi bong ndo trudc cdc phdn quyet trung thuc cua - tda dn Mexico. Nhiing phdt hien cua hg co the CO the duac cho la doc dodn, chu khdng ndi la sai lam nghiem trong^-.
Trong vu vide ELSl, Tda an dugc md ta la cd hanh vi ddc doan, hidn thi mdt each cd y coi thucmg quy trinh dung ciia pha^ luat, dd la nhiing eii sde, hoac it nhat la nhirng bat ngd, mgt y thiie he vd quyen tu phap^^. Cau hdi dat ra la lieu hanh vi hanh ehinh nhat dinh cd phai la tiiy tidn hay khdng, tiai vdi quy dinh eua mdt ludp dinh qudc td. Tuy nhien ^va khdng cd binh luan nao khae ve tinh diing dan cua quydt dinh), HDTT eoi tidu ehi ma Toa an danh gia la hiiu ich ttong bdi canh phu nhan cdng ly, va nd da duge ap dung ttong bdi canh dd, nhu Nguydn don da chi ra. HDTT se nhan manh rang tir "nggc nhien" khdng didn ra ttong cd lap. Bai kidm tta khdng phai la Hdu mdt kdt qua cu thd cd gay ngac nhien hay khdng, ma la su sde hay bat ngd xay ra do tda an khdng cdng bing, dugc phan anh de chiing minh cac mdi quan tam vd kdt qua ciia quydn tu phap, ciing ndn nhd rang cac tda an qudc td khdng phai la tda phiic thira, va mat Idiac, ehuong 11 cua
NAFTA (gidng nhu cac hidp dinh khac vd bao vg dau tu) nhim cung c i p mdt bien phap bao vd thye su. Cudi cimg, cau hdi dat ra la, d cap do qudc td va Hdn quan ddn cac tidu chuan dugc chap nhan ehung cua cdng ly, mgt HDTT cd thd kdt luan dudi anh sang ciia tit ca cac su kien co san rang phan quydt ro rang la khdng cdng bang, la khdng diing din va khdng dang tin, vdi kdt la khoan gua diu tu da bi ddi xir bat cdng va khdng edng bang. Didu nay dugc thira nhan la mdt tidu chuan cd phan rao, nhung cd thd ttong thuc td khdng cd edng thiic chinh xac nao cd the dugc dua ra dd bao quat pham vi^*.
HDTT ghi nhan rang mgt khia canh eua tidu ehuan ddi xir tdi thidu dugc thidt lap ttong tap quan qudc td la sy tir chdi cdng ly^^ Mgt bdn co sy cham tid khdng dang cd hoac tir chdi tidp can vdi cac tda an cd tbam quydn hoac ngudi da phai chiu phan quyet bat cdng rd rang cd thd vidn din hge thuydt tir chdi cdng ly'^.
Mondfv dua ra cac can cir chinh dd tuyen bo rang Tda an Tu phajp tdi cao Massachusetts da vi pham tidu chuan ddl xir tdi thidu^'. Trudc tien, SJC da di kha xa thim quydn dugc quy dinh bang each bac bd hgp ddng ciia LPA vdi Thanh pho sau khi phat hidn rd rang ring eac ben da ky.kdt hgp ddng ed gia tri rang buge^^. Tuy nhien, HDTT da kdt luan rang quydt dinh cua SJC vd vide lieu mgt thda thuan vd nguydn tic chuydn nhugng bat dgng san cd rang budc hay khdng va lieu tat ca cac dieu kidn dd thyc hidn mgt thda tfiuan nhu vay da duge dap iing, khdng gi khac ban la xet xir tiieo thdng luat^^ Tidp tiieo, SJC
'- Phan quygt vu Azinian v. United Mexican Slates (1999) 39 ILM 537 tai tr. 552 (doan 99).
" Elettronica Sicula S.p.A. (ELSI) (United States of America v. Italy), Bao cdo ciia i c j 1989 tr. 15 tai tr.76 (doan 128), trich din phdn quygt cua Toa dn trong yu Asylum, Bao cdo ICJ 1950 tr. 266 tai tr. 284, ddn chigu toi hdnh vi Iam quygn "thay thg cho nha nuac phdp quygn".
^^ Phdn quygt vu Mondev Intemational, Ltd. v. United States, ICSID so ARB(AF)/99/2, doan 127 (11/10/2002), tai http://www.naftaclaims.com.
^* Phdn quygt vu Mondev Intemational, Ltd. v. United States, ICSID sd ARB(AF)/99/2, doan 119-25 (11/10/2002), tai http://www.naftaclaims.com.
^Md.Doan. 126-27.
" Vu Mondev Intemational, Ltd. v. United States, ICSID so ARB(AF)/99/2, Thong bdo trgng tai doan 140-50 (01/09/1999), tai http V/www.naftaclaims.com
35 Vu Mondev"Intemational, Ltd.v United States, ICSID so ARB(AF)/99/2, Thong bdo trong tai doan Ml (01/09/1999) tai http://www.naftaclaiins.com,
••'> Phan quygt vu Mondev Intemational, Ltd. v United States, ICSID so ARB(AF)/99/2,doan 129-34 (11/10/2002), tai http://www.naftaclaims.com
^^
S o 0 4 / 2 0 2 0 - N a m ihiJmtfcfi lam
nen tia lai cho bdi tham doan cau hdi lieu LPA da san sang va san sang thyc hidn nghia vu theo hgp ddng hay chua'"*. HDTT khdng thay thuyet phuc rang hanh vi ciia SJC la khdng diing va nhan manh rang vide ap dung cac quy tac td tung ttoi^ nude, nhu cae can hdi ve vide tim hieu thuc te, se chi can thanh sy tii chdi cdng Iy tiong nhiing trudng hgp khac nghiet nhat". Cac co quan cdng quydn tham gia thuang mai khdng duge hudng quydn midn trir theo luat dinh ddi vdi cae vu lam dimg cd chu y va bat ky su mien trir nao ttong cac trudng hgp dd ddu vi pham tieu chuan tdi thieu''^. IffiTT luu y rang mac dii quydn midn trir theo luat dinh c6 the khdng bao vd mdt qudc gia khdi sy kidn vi pham NAFTA, nhung chi dua vao thyc td la mdt qudc ^ a da md rdng quydn midn trir theo luat. dinh ddi vdi co quan quan ly khdng cau thanh vi pham Didu 1105 (1)''^ Cudi cimg, HDTT da bac bd timg can cii ung hg ydu eau Didu 1105 (1) cua Mondev, khi thay rang quydt dinh eua SJC khdng qim ddc doan ddn mirc tir chdi cdng ly theo tap quan qude td. Mgt ldi don thuan, khdng cd gi hon, la khdng du dd xae lap vi pham tidu chuan tdi thidu''^. Xac djnh ehinh la khdi^ phai mdt kdt qua cu thd cd gay ngac nhidn hay khdng, nhung lieu cu sde hay bat ngd xay ra khidn tda an tid nen khdng vd tu, theo phan anh, dd bidn minh cho nhiing lo ngai vd cdng ly cua phan quydt, du luu y rang cac I©TT quoc td khdng phai la tda an phue tham, va mat khac, ehuong 11 cita NAFTA... dugc thidt kd dd cung cap mgt bien phap bao vd thyc sy^^
Dya tien eac Ia|) luan neu ttdn, toan bg khidu kidn eiia Mondev vd vide Mondev hi Hoa Ky tir chdi tidp can eong ly da bi HDTT bac bd.
1.4. Binh luan ve vu viec
Day la mgt vu vide thu vi, xet tien mgt sd khia canh xuat phat tir chidn luge tianh tung cua Nguydn don.
Thu nhat, hanh dgng cua eae eo quan hanh chinh cua mdt quoc gia da khdn^ duge khidu kien true tidp ra ttgng tai dau tu qudc td, ndu.nhu nd duge thye hidn trudc khi hidp dinh diu tu (trong tnrdng hgp nay la NAFTA) cd hidu lyc.
nguyen don da phai tun kidm ^iai phap khieu kidn gian tidp ddi vdi phan quyet ciia tda an dia phuang vdi hanh vi cua ca quan hanh ehinh nha nude. HDTT da chi ra, van dd midn trir tu phap trude tda an dia phuong se trd ndn sao rdng ndu nhu Mondev cd thd chgn giai phap kidn BRA true tidp theo hidp dinh''^.
Thuhai, khidu ki&i hinh thanh dya tidn loai thii tu cua tir chdi tidp can cdng ly ttong tap quan quoc td, dd la ap dung sai luat. Loai khieu kidn nay thudng dugc ap dung rat nghiem ngat. Vi du, vdi van dd quydn midn tru tu phap ciia BRA, Nguyen don ttong vu kidn nay khdng phan ddi quydt dinh eiia Tda an la theo luat cua Massachusetts va khdng cd sy bat cdr^ hay phan bidt ddi xii,... bat ky hanh dgng nao cd thd dugc nhan didn la vi pham Didu 1105'". HDTT da khang dinh hg khdng Iam nhidm vu eua tda phuc thim dd xem xet lai ban an ciia tda an tiong nude.
Vide phan ddi nhim vao ngi dung ciia phan quydt chi cd thd thanh edng trong trudng hgp chi ra
""Mondev Intemational, Ltd. v. United States, ICSID C a s e N o . ARB(AF)/99/2, Th6ng bao trgng tdi doan 141 (01/09/1999), tai http://www.naftaclaims.com.
•" Phan quygt Vu Mondev Intemational, Ltd, v. United States, ICSID s6 ARB(AF)/99/2, doan 136 (11/10/2002), tai http://www.naftaclaims.com.
••-Id. doan 139-40
••Md. doan 151-56.
^ Id. doan 126-27.
** Phan quygt vu Mondev International, Ltd. v. United States, ICSID s6 ARB(AF)/99/2, Doan. 127 (11/10/2002), tai http://www.naftacIaims.coin.
'' Phdn quygt MONDEV INTERNATIONAL LTD v UNITED STATES OF AMERICA, so ARB(AF)/99/2; doan 154, https://www.italaw.com/sites/default/riles/case-documents/ital076.pdf
"' Phan quyet MONDEV INTERNATIONAL LTD v UNITED STATES OF AMERICA, so ARB(AF)/99/2; doan 156, https://www.italaw.com/sites/default/riles/case-documents/ital076.pdf