Nghien ciru Quoc tisd 1 (116)
BAN GHI N H d (MOU):
T I E ? C ^ MOfI VE DIEU iTdC QUOC TE
Trucmg Trgng Hieu' Tdm tdt
Phdp luat quoc te dang tiep tuc phdt trien manh, nhung ciing khdng kem phdn phicc tg.p. Theo do, cdc thda thudn qudc te gia tdng ve mat sd luang, ngi dung vd hinh thuc. Tuy nhien. cd khdng it cdc thoa thudn quoc te khdng duac cdng nhan la mot dieu u&c quoc te von ddy dit cdc tinh chdt no. Tren ca sd khdi niem dieu udc quoc te vd cdc ddu hieu nhdn dang dyca theo Cdng u&c Vien 1969, bdi viet gi&i thieu mot sd hinh thirc phi rdng budc phd bien cua vdn bdn quoc te, dien hinh Id Bdn ghi nhd - MOU vd nhitng mi, khuyet diem ciia cdc vdn kien ndy, ciing v&i cdc tieu chi phdn biet giica hinh thuc phi phdp ly do v&i dieu u&c quoc te.
Tu kh6a: Dieu udc quoc tl, Ban ghi nhd, MOU, rdng bupc.
Gidi thi|u
Md dau ehuong thii nhat cudn sach 40 ndm Cdng u&c Vien ve Luat dieu u&c quoc te, giao su Alan Boyle (The University of Edinburgh, Anh qudc) viit: "Trong xa hdi hien dai, dieu udc qudc te khdng dan thuan chi nham ghi nhan nghia vu cua cac ben. Rat nhieu dieu udc qudc te da phuong quan trpng da va dang frd thanh cdng cu xay dung luat thdng qua viec he thdng cac quy dinh hien hanh hay tao ra nhiing quy tac mdi, hinh thanh nen cac nguyen t i c va quy che cd the ap dyng cho toan bp hay mpt sd lupng ldn cac qudc gia". Cdng udc Vien 1969 chinh la mpt
'Nghien cuu sinh chuyen nganh Luat, Truong Dai hpc Quoc gia Yokohama, Nhat Ban;
gidng vien Trucmg Dai hpc Kinh tl - Ludt Thdnh phi H6 Chi Minh (VNU-HCMC).
trong nhung vi du tieu biiu.' Dieu nay dupe ly giai vi sao sy ra ddi cua Cdng udc Vien 1969 dupe xem nhu da md ra mdt ky nguyen mdi ve Luat Diiu udc qudc tl, du rang diiu udc qudc tl khdng phai den thoi diim nay mdi xuit hien. Dieu dang ndi la cho den nay, nen tang phap ly quan trpng cua cdng udc van tiip tuc dupe ghi nhan du quan he quic l^
ed nhieu bien ddi.^
Nhung day khdng phai la co sd phap ly duy nhit quy dinh ve "diSu udc qudc tl." Vi Cdng udc Vien 1969 chi de cap din diiu udc giua cac qudc gia - chu thi trung tSm ciia luat qudc tl nen den nam 1986 Cong udc Vien vl diiu udc qudc tl giiia qudc gia va td chiic quoc tl va giua cac td chiic qudc tl da dupe cac nude thdng qua. Khdng nhirng the, cac tranh luan khac vl cac biln thi cua dieu udc qudc te - hien thin bSn viing cua "luat ciing" (hard law) ciing vdi cac ngudn luat dupe ghi nhan tai Diiu 38 Quy chi ciia Toa an Qudc tl xuit hien. Dac biet, tiiuat ngii
"luat mim" (soft law) lin diu dupe nhic den tai cac cupc thao luan vS quyin con ngudi da quay frd lai,^ xuat hien phd bien ban, cung vdi su phat triin cua cac biln the mdi khac cua dieu udc qudc te.'*
Chinh vi le do, each thiic giai thich va ap dung thuat ngii "diiu uoc qudc tl" - vin dl tudng da cii l^i frd thanh chu de dupe tiep tuc thao luan
'Sarah Williams, Alexander Orakhelashvih, 40 Years of the Vienna Convention on the Law of Treaties, Ban thii nhdt, (BlICL, London: British Institute of Intemational and Comparative Law, 2010): 1.
^Anthony Aust, Modern Treaty Law and Practice, 3'^ ed (Cambridge University Press, 2013), 5-6.
•'Lord Arnold McNair - chuyen gia nguoi Anh vd la Chanh an ddu tien Toa an QuySn con nguoi chau Au da de cap den cym tir "soft law" de "gop cd nhung tuyen bo mang tinh chuan muc (normative statements) dupe xdc dinh nhu nhimg nguyen tac van hanh trim tupng do su gidi thich phap luat ciia ca quan tu phap " Fabidn Augusto Cardenas Castaneda, "A Call for Rethinking the Sources of Intemational Law: Soft Law and the Other Side of the Coin," Anuano Mexicano de Derecho Internacional 13 (1/Ju2013):
373.
"•james Crawford, Martti Koskenniemi, The Cambridge Companion to International Law, Cambridge Companions to Law (Cambridge University Press, 2012): 189.
Nghien ciht Qudc ti sd 1 (116)
sdi ndi. Mdt lan niia, Cdng udc Vien 1969 dupe vien din nhu la can cii phap ly quan frpng nhat. Bai viet nay tiip CMI va nhan dien nhiing dac tnmg can ban cua dieu udc qudc te. Tren ca sd ghi rihan su xuat hien ngay cang phd bien cua "luat mem", bai viet gidi thieu mpt bien the mdi cua van ban quoc te, dang dupe sii dung phd bien va gay franh cai la Ban ghi nhd (Memorandum of Understanding - MOU).
Thu^t ngu Diiu udc Quoc te
Thudt ngy nay dupe dl cap trong Dieu 2(l)(a) cua Cdng udc. Cu the: "Thuat ngii 'dieu udc' dung de chi mdt thda thuan qudc te dupe ky ket bang van ban giiia cac qudc gia va dupe phap luat qudc te dieu chinh, du dupe ghi nhan tiong mdt van kien duy nhit hoac frong hai hay nhieu van kien ed quan he vdi nhau va vdi bat ke ten gpi rieng eiia nd la gi."
Theo nhdm tac gia quyen sach binh luan ve quy dinh cua Cong udc Vien, thuat ngii nay dupe xay dyng dya tren ba dau hieu quan trpng de xac dinh mpt van kien la dieu udc qudc te: (i) ben ky ket, (ii) binh thiie va (iii) myc tieu cua van ban. Cac diu hieu nay dupe nhan dien dya fren CO sd cac cum tu dupe su dyng trong dinh nghia neu fren.^ Thyc chat, day la each thiic tiep can phd bien frong phan tich dinh vi thuat ngii dieu udc qudc tl. Cu thi, cac diu hieu dac trung can dupe xem xet gdm: van kien nay trade hit phai la mpt thda thuan qudc te, dupe ky ket giiia cac qudc gia, dupe diiu chinh bdi luat qudc te, dupe the hien bang van ban, dupe ghi nhan tiong mpt hay nhieu van kien va cd hieu lye bat ke ten gpi cua nd la gi.
Diim quan frpng cua diu hieu thii nhat la tinh qudc te ctia thda thuan, cd nghia day phai la mpt thda thuan "qudc te", cho dii dd la thda thuan da phuang hay thda t h u ^ song phuang. Tren thuc te, tinh qudc te
'Corten Olivier, Pierre Klein, The Vienna Conventions on the Law of Treaties- A Comme/!far>'(Oxford University Press, 2011): 33.
cua tiida thuan cd the dupe nhan dien qua ten gpi cua dieu udc va duoc biiu thi bing nhiiu ten gpi khac nhau nhu toan cau (univesal), khu v\rc (regional), nhiiu ben (plurilateral) hay biln chuang (thudng la frong cac td chiic qudc te - constitunent).^
v l diu hieu thii hai, nhu da ndi diiu udc qudc tl fren thuc tl co M dupe tao lap bdi cac qudc gia vdi cac chu the khac hay giiia cac chii thg khac cua luat qudc tl. Day la cac dieu udc nay dupe dieu chinh bdi C6ng udc Vien 1986. Thyc ra, van de ai cd quy6n ky ket va tao lap dieu uoc qudc tl la mpt chu dl dupe thao luan nhieu va frong mdt thdi gian dai, trade khi Cdng udc Vien 1969 duoc thdng qua,^ cho den sau do, khi ma mpt phien ban mdi dupe bd sung la Cdng udc Vien 1986 nhu vua noi.
Tuy nhien, diu hieu ihu hai dupe de cdp frong dinh nghia fren c6 thi dupe hilu ring, diiu udc qudc te khdng phai la thda thuan dupe tao lap giiia qudc gia vdi cac thyc the khac khdng phai la chu the cua luat quoc tl nhu cac cdng ty xuyen qudc gia hay cdng ty da qudc gia, cho dii tien thuc te cac thda thu^ nay van tdn tai va xuat hien ngay cang phd bien.^
Ndi each khac, quyen thiet lap quy pham luat qudc te eiia hp frong tradng hpp nay khdng dupe thua nhan, cho du van de nay van edn nhieu franh cai cho den thdi diem nay,^ dac biet la trude sy xuat hien ngay cang nhieu cac thyc the nay tir nua sau the ky XX. '^
Theo Toa an Cong ly Qudc te (Intemational Court of Justice - ICI), qudc gia ma cdng ty mang qudc tich ciing khdng cd nghia vu phai tuan
^Anthony Aust, Mo Je/71 Treaty Law and Practice: 15.
'Richard Kearney &. Robert Dalton, "The Treaty on Treaties," American Journal of Intemational Law 64, s i 3 (6/1970): 498.
^ Anthony Aust, Morferw Treaty Law and Practice, 15-16.
' H. W. A. Thirlway, The Sources of International Law (Oxford University Press, 2014), 17-18.
'° Christian J Tams vd cac tac gid, Research Handbook on the Law of Treaties, Andreas Ziramermann (Edward Elgar Publishing Ltd, 2014): 597.
Nghien cmt Qudc ti sd 1 (116)
thu nd nhu tuan thu mpt dieu udc qudc tl.'^ Vi V£iy, qudc gia cdn lai frong cac thda thuan do, du cd vien dan den luat qudc te lam can cii, khdng the dupe nhin nhan la dang tham gia vao quan he vdi tu each cua mpt chii the luiit qudc te. Nhung ciing cin luu y ring, vi "qudc gia"
khdng phai la thyc the tu nhien (natural person), nen viec thyc hien cac dieu udc qudc te ciing khong phai la cdng vi$c ciia "qudc gia" ma la thdng qua ngudi diing dau ciia nha nude, chinh phu, bd tradng hay cac don vi dai dien khac.'^
Dau hieu thii ba la dau hieu rat quan frpng. Trd lai lich su dam phan va thao luan v^ thuat ngii "dieu udc", khdng it lin cac nude da dl cap den tinh chat phap ly cua thda thuan va dac biet cd nhiiu y kiln cho ring can ghi nhan cum tu "quy dinh ve quyen va nghia vu" khi dinh nghia dieu udc qudc te.^^ Hoan canh dam phan nay la co sd de ly giai khi tiip can ve y nghia cua quy dinh tai dieu 2(1 )(a) mac du de xuat do cudi ciing hi loai bd vi khdng can thiet, khi da c6 su ddi hdi ve viec can thiet "phai dupe dieu chinh bdi lu^t qudc te".''^ Theo each ly giai ciia Uy ban Luat phap qudc te cua Lien Hpp Qudc (Intemational Law Comission - ILC), dau hieu nay ty nd da phan anh y dinh tao ra cac nghia vu qudc te theo luat qudc te cua cac ben tham gia ky ket. Duang nhien, neu thieu di "y dinh" nay thi khd de khang dinh rang cac ben mong mudn thdng qua mpt dieu udc qudc te.'^ Dac biet, chinh y dinh nay la can cii quan frpng de phan biet dieu udc qudc te vdi cac thda thuan thuan tuy chiu sy dieu chinh cua luat qudc gia. Vi du nhu cac hpp ddng vay np, mua ban hay tham chi la thda thuan chuyen giao bat ddng san cho qudc gia khac de
" Vu Anglo-Iranian Oil Company (UK. vs. Iran) 1952. Xem them: Anthony Aust, Modem Treaty Law and Practice: 15-16.
'^ Anthony Aust: 16.
'^Dalton, 'The Treaty on Treaties,": 504.
'''Corten va Klein, The Vienna Conventions on the Law of Treaties: A Commentary: 40- 44.
'^ Anthony Aust, Modem Treaty Law and Practice: 17.
dat till sd CO quan dai dien ngoai giao, dii van de nay cd dupe dl ciip frong cac diiu udc va viec tiin hanh gdm ca budc frao ddi van kien gi5a hai ben.'^
Diu hieu tiip theo la tuyen bo cua Cdng udc vl hinh thiic cua diiu udc qudc tl: Van ban viit. Ndi each khac, Cdng udc khdng thua nhan diiu udc "quan tii" (dieu udc bang Idi ndi - oral tieaties). Su ghi nhan nay xuit phat tir gia tti minh chiing rd rang ciing nhu su phd biln cua no frong thuc tiin. Du vay, dieu nay ciing gay khdng it tianh cai frong mo!
sd tradng hpp. Dan cu viec xac dinh hinh thiic cua dieu udc frong tradng hpp cac ben thdng nhit ndi dung dam phan va npi dung do dupe ghi nhan vao bang/dia va thu tuc ky ket dieu udc ciing khdng ddi hdi thu tic ky ket hay phe chuan.'^
Theo ILC v^ nhiiu chuyen gia luat quoc te, npi ham cua thuat ng&
"van ban" can dupe md rdng theo qua frinh phat trien eiia thai dai. Noi each khac, van ban viet cd the dupe hieu la telegram, telex, fax, th^m chi la email... ciing nhu cd nhieu each de cd the "ky" vao van ban do. Nguoc lai, cung cd y kien td ra khong ddng tinh vdi each giai thich nay do co the lam phat sinh nhieu van de.'^
Neu nhu hinh thiic van ban cua diiu udc qudc tl la diu hieu bat budc thi sd lupng cua cac van kien khdng phai la yeu td quyit dinh den tinh chap phap ly cua van ban nay. Mpt khoang thoi gian dai trade day, dieu udc qudc te thudng dupe gdi gpn frong mdt van kien va thudng la van kien tiao ddi (exchange of notes). Rdi hmh thiic trao ddi kep (double exchange) xuit hien nhung ciing khdng qua phd biln. Din nay, mpt diiu udc quoc tl bao gdm mpt danh sach cac van kien ky kit hay frao doi ddng bp (a series of parellel exchanges of notes) la thyc tiin khdng con '^AnthonyAust: 26.
'^Corten vd Klein, The Vienna Conventions on the Law of Treaties- A Commentary: 38- 40.
'^Anthony Aust, Modern Treaty Law and Practice: 16-17.
Nghien cuu Qudc ti sd 1 (116)
xa la. Nhung cung cin luu y la mpt van kien frao ddi nhim dl giai thich dieu udc chi dupe xem la mpt phin bd sung cua diiu udc (subsidiary). '^
Dau hipu cudi cung la ten gpi cua dieu udc qudc te. Thyc ra, dSy cdng la van de duoc thao luan nhiiu frong qua frinh tao dyng Cdng udc.
Trong cupc gap gd nam 1965, nhiiu nude ciing cd dl xuit liet ke cac ten gpi cy the tiong dinh nghia. Nhung phuang an dupe iya chpn dl thdng qua sau dd la chi dung tii "diiu udc" (freaty) nhu mpt ten gpi chung, bao gdm tat ca cac hinh thiic va ten gpi khac nhau.^'' Cd nghia, dinh nghia ciia Cdng udc da khang dinh rang, dieu udc qudc te, khi hpi dii cac diu hifu fren, du cd dupe gpi bang ten gi thi van cd gia tri la mdt diSu udc qudc te. Day dupe xem la each tiep can hien dai cua Cdng udc tiong each xac dinh npi ham thuat ngu "diiu ude".^^
Ndi each khac, tinh chat va gia tri ciia dieu udc qudc te khdng phu thupc vao "hinh dang va kich co" cua nd.^^ Dieu nay mdt mat phan anh thyc te da dang ve ten gpi ciia dieu udc qudc te, mdt mat giai quyet cho tmh hudng Iya chpn ten gpi khdng may de dang va thudng phai mat rat nhieu thdi gian giai thich cho mpt tSn gpi nao dd duoc Iya chpn. Mat khac, vipc gpi ten cho mpt dieu udc qudc te lai khdng phai la van de phai ban tam va nhiiu khi nd chi xuSt phat tu thoi quen cua mot to chiic, mot nhdm nude hay mpt ly do mang tinh chinh tri nao dd. Tham chi, nhieu tradng hop dieu udc qudc te cdn dupe gpi bang nhimg ten gpi tat hay it thdng dung.^-* Do v^y, ten gpi cua dieu udc qudc te ciing khdng the la can eii duy nhit de phan biet vdi mpt bien the rat de nham lan la MOU dupe de cap d phan dudi day.
"Anthony Aust, 18-20.
^"Dalton, "The Treaty on Treaties," 503; Corten and Klein, The Vienna Conventions on the Law of Treaties: A Commentary, 35-36.
^'Corten, Klein, The Vienna Conventions on the Law of Treaties: A Commentary, 35.
^Crawford, K-o^keanitua, Intemational Law, 191.
^ Anthony Aust, Modem Treaty Law and Practice, 20,24-25.
Luat mem (Soft law)
Khi danh gia tim quan tipng cua dieu udc qudc te va cac ehuin nutc nhan dien diiu udc qudc te, nhieu chuyen gia van khdng the phu nhan ring luat diiu udc qudc te ciing la mot ITnh vyc phap ly rat linh ho£it vi mIm deo, cd the tiip tyc dupe bd sung tii thyc tien quan he quoc t|^
Diiu dang ndi, each tiep can nay khdng the la ngoai le ttong cac nghien ciiu d Viet Nam. Trong cac giao trinh ve luat qudc te, ben canh cac di6u udc qudc tl (phap ly) tupng trung cho "luat ciing", cac cam ket quoc t£
ve chinh tti vin dupe vien din^^ nhu mdt bien the "mem" cua van ban phap ly quan frpng ndi fren. Bdi vay, cho den nay thuat ngy dieu uoc qudc tl ttong nhieu nghien ciiu da dupe khang dinh la cd the chiia dyi^
cac quy dinh mang tinh bit bupc lan khdng bat bupe.^*
Thyc ra, luat mem frong nhiing nam gan day khdng con la mpt khai niem qua xa la, tham chi dang cd vai frd ngay cang Idn.^' Trong boi canh toan cau hda, quan diem ve ly thuyet luat qudc te da md rpng ra ca dieu udc qudc te, tuyen bd "luat mem", trinh tu dan sy va ea cac bp luat mau.^^ Trong mpt sd Hub vuc nhu quyen con ngudi, mdi tiudng,... Quy che ciia luat mem edn dupe xem la cd tinh chat "ban rang budc" (semi- binding), khi ma hinh thai luat quoc te nay den nay gan nhu xuat hien frong hau het cac linh vyc phap ly.^^ Ban vl tinh dan chu frong cac cdch
^^ Anthony Aust: 14.
^^ Truong Dai hpc LuJlt Ha Npi, Gido Trinh Luat Quoc Ti, \A Mai Anh chit bien, Tai bdn ldn thii 16 (NXB. Cong an nhdn dan, 2016), 88; Trucmg Bai hpc Lu^t TP.HCM, Gido Trinh Cong Phdp Quoc Ti (Quyen 1), Ban thu nhdt, (NXB. H6ng Due, 2015), 96.
^^Crawford vd Koskenniemi, Intemational Law, 190.
'^Dieu nay ciing da dupe thira nhan khi vai tro cua Cong uoc Vien 1969 via duoc khdng dinh sau 40 nam dp dung. Xem: Sarah Williams va Alexander Orakhelashvili, 40 Years of the Vienna Convention on the Law of Treaties, 3.
^^ Daniel W. Drezner, Alt Politics Is Global: Explaining Intemational Regulatory Regimes (Princeton University Press, 2007), 11-12.
^^ Cantii Rivera Humberto, "Developments in Extraterritoriality and Soft Law: Towards New Measures to Hold Corporations Accountable for Theu- Human R i ^ ^
Nghien cim Qudc ti sd 1 (116)
thiie luat qudc te, Rudiger Wolfrum khing dinh su da dang frong each thiic xay dyng luat qudc t§ khdng ddng nghia vdi su "la lung hay hdn loan", du dieu do mang den khdng it su phiic tap va ca nga ngang.-^" Vi le dd, da cd y kien cho rang, "lulit mem" khdng nen chi dupe nhin nhan nhu la "di tat dien hmh" (normative sickness) ma dd la dau an ciia thdi dai va la mpt san pham can thiet. Ngupc lai, "luat mIm" ciing la kit qua tat yeu cua budc tien hda thudng tmh frong cpng ddng qudc te cd cau tnic nang ddng qudc te.^' Dieu nay se cang dl hieu niu quay frd lai vdi
"bien tupng xa hpi" cua luat phap va nhiing ddi hdi cua xa hdi can phai dupe tiep nhan va phan anh trong tien trinh lam luSt.^^ Diiu quan tipng la, cho du tdn tai frong cac thda thuan thieu rang bupc phap ly hay don gian chi la nhiing "giai phap" (solotions) thi luat mem van do cac nude tao ra va khdng the nam ngoai nha nudc.^^ Nen chang, luat mem can dupe nhin nhan nhu la "mdt hinh thiic ciia ngudn luat qudc tl."?^'' Cau hdi nay ly giai vi sao viec xem xet lai cac loai ngudn "trayen thdng" cua luat qudc te dya theo liet ke tai Dieu 38 Quy che cua Tda an Qudc te dii khdng phu nhan nhung dupe thao luan nhieu nhu hien nay.-'^
Performance?," Anuario Mexicano de Derecho Internacional 14 (1/2014): 749;
Cardenas Castaneda, "A Call for Rethinking the Sources of International Law. Soft Law and the Other Side of the Com," 1/2013, 368.
^''W. Reisman Michael, "The Democratization of Contemporary International Law- Making Processes and the Differentiation of Their Application," trong Developments of Intemational Law in Treaty Making (Berlin Heidelberg: Springer-Verlag, 2005): 28.
^' Cardenas Castaneda, "A Call for Rethinking the Sources of Intemational Law Soft Law and the Other Side of the Com,": 372.
'^Georges Abi-Saab trao dli vl bdi viit cua Michael, "The Democratization of Contemporary Intemational Law-Makmg Processes and the Differentiation of Their Application," 35-36.
'^Rudiger Wolfrum and Volker Roeben, Developments of International Law in Treaty Making, Beitrage Zum Ausldndischen Offentlichen Recht Und Volkerrecht 177 (Berlin Heidelberg: Springer-Verlag, 2005): 35.
^•'Cardenas Castaiieda, "A Call for Rethinking the Sources of Intemational Law: Soft Law and the Other Side of the Com,": 372.
^^Crawford va Koskenniemi, Intemational Law: 199.
Tren thyc te, cd nhieu ly do de cac qudc gia Iya chpn luat mIm, diic biet la khi nhiing tiiuong tiiao trong ky kit diiu udc thit bai.^^ Tinh linh hoat, it rang budc v^ de thoat khdi nhiing ddi hdi khat khe ciia lu^t quic gia tiong phe chuan dieu udc qudc te thudng la nhung ly do chii ygu dupe dua ra de ly giai ve su lua chpn luat mem thay vi "luat ciing" (hard law),'' ngay ca khi hp cd the tiep tuc Iya chpn dieu udc qudc tL^^ ThSm chi, luat mem edn dupe xem la Iya chpn thay the cho each xSy dyng dm udc qudc te khdng cdn phu hpp ttong nhieu tinh hudng hien nay, dac bi?t la trade nhiing ddi hdi tao dyng mpt he thdng phap luat qudc tl that s\r hipu qua.^^
C6 the ndi, diem khac biet quan ttpng nhat giua luat ciing (tieu bigu la dieu udc qudc te) va luat mem chinh la tinh rang bupc ciia nd.'*" Khong nhiing cd gia tri rang bupc ddi vdi cac ben tham gia ma diiu udc quic te ddi khi cdn cd hieu lye ddi vdi ben thii ba."' Trong khi do, thupc tinh quan frpng cua luat mIm la khdng cd gia tri rang budc."^ Thyc tl cho
•'^Andrew T Guzman vd cdc tdc gia, "The Design of hitemational Agreements," ITie European Journal of International Law EJIL 16, so 16(2005): 587.
^''Don cir nhu cdc thoa thuan q u i c te dupe ky k i t boi co quan hdnh phap, thilu su phS chuan cua co quan Idp phap chi duoc xem la thoa thu^in thuc thi (Executive Agreements) theo Phap luat Hoa Ky. Michael John Garcia, "Intemational Law and Agreements: Their Effect upon U.S. Law," 2015: 4; Crawford va Koskenniemi, Intemational Law, 199; Guzmaan vd cdc tac gid, "The Design of International Agreements," (2005): 591-92.
^^'Guzman vd cdc tac gid, "The Design of Intemational Agreements,": 610.
^'Wolfrum va Roeben, Developments of International Law in Treaty Making: 39-52.
'"'Buong nhien, vdn con nhiiu tifiu chi bSn canh d6, nhu: nguyen nhdn, hieu qua, m6i lien he, muc dich, chu de, npi dung, cac ben... Xem them: Cardenas Castaiieda, "A Call for Rethinking the Sources of Intemational Law: Soft Law and the Other Side of the Coin,": 379.
*'Andrew Watson Samaan, "Enforcement of Inemational Environmental Treaties: At A.m\.y%i%," Fordham Environmental Law Review 5, ?,t 1 (2011): 269.
" V i CO chung tinh kh6ng bdt bupc (vi vay md soft law khong dupe xem la nguIn chinh thiic). Xem: Humberto, "Developments in Extraterritoriality and Soft Law: Towards New Measures to Hold Corporations Accountable for Their Human Rights Performance?": 754-55.
148
Nghien cuu Qudc ti sd 1 (116)
thay, trat tu luat mem se he thdng cac vin dl dya tten nin tang "danh tieng" (reputation) cua cac qudc gia va dac biet cd thi la nin tang phap ly tao dyng siic manh cho cac thuc thi "yiu thl"."^ Trong mpt vai tradng hpp, luat mem vin "cd thi" cd hieu luc phap ly (may produce legal effects) va dupe vien din bdi tda an qudc gia.'"
Ban ghi nhd (Memorandum of Understanding - MOU) v l CO ban, MOU va luat mIm cd dac tinh kha gidng nhau vi ca hai deu khdng cd gia tti rang budc. Tuy nhien, so vdi cac bieu hien da dang, da chieu cua luat mem,**^ cac MOU thudng vin la nhiing cam kit song phuang giiia cac ben va khdng it frong sd dd dupe giir bi mat, khdng cong bd. Hay ndi each khac, van ed nhiing khac biet nhit dinh giiia MOU vdi luat mem thuan tuy.
Trong liic chua dS de c6 duoc sy ddng thuan vl viec MOU cd phai la mdt dang "luat mem" hay khdng, MOU van tiep tuc xep chung vdi cac thda thuan mang tinh chinh tri, hay la cac thda thuan khdng phai la diiu udc qudc te vdi day dii cac tieu chi ciia Cdng udc Vien. Tham chi, MOU la ten gpi phd bien nhat trong so cac ten gpi dupe su dyng cho cac van ban neu tten, nhat la tii sau ChiSn ttanh The gidi lan thii hai, cd the vi ly do chinh tri hoac vi cac ben dang tim kiem mpt hinh thiic nao do cho cac thda thuan qudc tl it frang ttpng hon.''^ Trong nhieu trudng hpp, ciing tuang ty nhu luat mem, MOU cd the dupe su dung de tang cudng tinh minh bach cho luat ciing.'*'
''^Drezner, All Politics Is Global: 65.
^Crawford vd Koskenniemi, Intemational Law: 192; Anthony Aust, Modern Treaty Law and Practice: 53.
"•^Crawford vd Koskenniemi, International Law: 199.
"^Anthony Aust, Modem Treaty Law and Practice: 18, 42.
'"Cravi^ord vd Koskenniemi, Intemational Law: 192.
Va tuong ty, frong nhiiu tradng hpp cac ben rat dl nham lin giih diiu udc qudc tl vdi MOU. Bdi vi viec ky ket mpt MOU ddi khi ciii^
dupe tiin hanh nhu viec ky kit mpt diiu udc qudc tl. Dac biet, viec phan biet cang cin phai than ttpng ban neu nhu chi dya vao ten gpi vi co nhiiu tradng hpp diiu udc qudc tl ciing cd ten gpi la Ban ghi nhd.^^ Cho nen viec xem xet ky luong hoan canh ra ddi cua van ban la viec lam hSt siic can thiet.
Viec phan biet diiu udc qudc tl va MOU, theo Anthony Aust"^ - mpt trong sd it tac gia phan tich ky ludng hinh thiic van ban nay, c5n phai dua vao cac tieu chi sau:
Bdng chimg viy dinh tao (hay khdng t^o) dieu u&c
Khi ban vl luat qudc te va tinh rang bupc cua nd ddi vdi quoc gia, H.L.A Hart cho ring vl mat ly thuyit, "mpi hanh dpng cu the co tinh rang bupc ddi vdi qudc gia phat sinh tir mpt cam ket, nhung chi ttong tradng hpp quy tic (rale) ma cam kit (va...) tao ra nghia vy dd dupe ap dung dpe lap vdi cac cam ket khac".^° Dieu do c6 nghia la cho dii van cdn nhieu franh luan thi tinh chat "tao ra nghia vu" van la ddi hoi hoi quan tipng cho tinh rang budc cua dieu udc qudc te. Dieu nay nhu ph^
tich d fren dupe phan anh frong ddi hdi ve kha nang "dupe dieu chinh bdi luat qudc te" theo dinh nghia ve dieu udc qudc te tiong Cong uoc Vien 1969.
•'^Anthony Aust, Modern Treaty Law and Practice: 22.
'"Trong cu6n sdch ve Ludt dieu u6c q u i c t l , Anthony Aust da ddnh Chucmg III de bin vg MOU. Xem: Anthony Aust, Modern Treaty Law and Practice.
'"H. L. A. Hart, The Concept of Law, Leslie Green, Joseph Raz vd Penelope A. Bulloch, Bdn thii ba, Clarendon Law Senes (Oxford, New York: Oxford University Press, 2012):
225.
150 nmn
Nghien cim Qudc ti sd 1 (116)
Vi le do, vl mat ndi dung, day la tieu chi quan frpng de xac dinh mpt van ban qudc tl cd phai la mdt diiu udc qudc te mang tinh rang bupc hay khdng. Vi vay, day la tieu chi diu tien dupe sd dung dl gpi ten mdt van ban la MOU trade sy phan biet vdi cac van ban phap ly qudc te khac va cung la tieu chi chung dl phan biet diiu udc qudc tl vdi MOU va mpt ban hpp ddng (qudc te).
Theo nhu dy thao cua Cdng udc Vien 1969 ve Luat DiSu udc qudc te giua cac qudc gia, can cii quan trpng de xac dinh mdt thda thuan la dieu udc qudc te la y dinh cua cac ben the hien rang hp chap nhan su rang bupc cua luat qudc te. Ndi each khac, cac thda thuan dd se khdng dupe xem la diSu udc neu cac ben khdng bieu ho sy rang budc theo luat qudc te nhu da ndi. Tuy nhien, viec danh gia tieu chi nay phai dua tten npi dung cac dieu khoan cua thda thuan ciing nhu hoan canh tao dung nd. Viec cac ben tuyen bd nhu the nao sau do khdng cd y nghia quyet dinh den qua trinh danh gia nay.^'
Cung cd thi din chiing them thyc tien tiep can cua mpt vai nude. O Anh, dau hieu nay ciing dupe xem la su khac biet can ban nhat. De phan bi^t giiia dieu udc va MOU dua vao "cac dieu khoan ma d dd cac van ban nay da viit ra".^^ Day ciing la each tiep can tii trade tdi nay d Viet Nam. Cu thi, Giao ttinh Luat qudc tl tai hai ca sd dao tao chuyen nganh luat qudc tl ldn diu tap trung nhin manh den can cii nay. Quan diem cua tap thi tac gia Tradng Dai hpc Luat Ha Ndi cho ring, ve ndi dung, diiu udc qudc tl "thdng thudng dl true tiip diiu chmh quyen va nghia vu cua chu thi ky kit"." Cach tiip can ciia cac chuyen gia tai Tradng Dai hpc Luat Thanh phd Hd Chi Mmh cd ve dut khoat ban khi nhin manh: "Diiu
^'Anthony Aust, Jl/ot/er/i Treaty Law and Practice: 30.
"UK, 'Treaties and Memoranda of Understanding (MOUs): Guidance on Practice and Procedures" (Treaty section. Legal Directorate, Foreign and Commonwealth Office, Bdn thii hai; dupe sira vao thdng 5/2004 vathdng 4/2012; va duoc cap nhdt vdo thdng 3/2014 (2000): 2.
'^ Truong Dai hoc Luat Ha N6i, Giao Trinh Luat Quoc Te: 87.
uoc qu6c ti phai ghi nhan cac quySn va nghia vu phap ly cua cac chu U luat qu6c te."'"
Thual ngu va hinh thirc
Mac dil cong udc khong dat ra yeu cju vS mat hmh thuc ciing nhu ngon ngii cua diSu uoc qu6c tl, nhung khao sat thuc te cua nhieu chuyen gia cho thiy mot s6 khac biet trong vi$c sit dung ngon ngir giiia diSu ucrc qu6c te va MOU. DiSu nay duoc phan anh qua bang t6ng hop sau day*':
Bing 1: Nhiing thuat nguthmmg diing trong Biiu u&c qudc te va MOV
Diiu udc qudc te Article (dieu) Agree (ddng y)
Agreement (thda thuan) Authentic (xac thyc) Countinue in force (tiep tyc cd hieu luc)
Done (dupe phe ehuan/phe duyet)
Enter into force (c6 gia tri MOU Paragraph (doan)
Decide, Accept, Approve (quyet dinh, chip nhan, chap thuan)
Arrangement, Understanding (thu xep, nhan biet)
Equally valid (gia tri ngang nhau) Countinue to have effect (tiep tuc ed hieu lye)
Signed (dupe ky)
Come into effect, Come into operation]
^ Truong Dai hpc Luat Thdnh p h i H6 Chi Minh, Gido Trinh Cong Phdp Quoc Te (Quyin I): 95-96,
^^ Aoithony Aast, Modern Treaty Law and Practice: 3 1 .
Nghien ciru Quic te s61 (116) thuc thi)
Obligations (nghia vy) Parties (cac ben) Rights (cac quyin) Shall (phai) Undertake (thyc thi) Undertakings (sy tuan thu)
(cd bi^u luc, dupe thuc hien) Commitments (cam ket)
Participants, Governments (ben tham gia, chinh phu)
Benefits (lpi ich) Will (se) Carry out (thyc hien) Understandings (sy nhan biet)
Ngudn: Anthony Aust, Modem Treaty Law and Practice, Cambridge University Press, 2013.
Cu thi, hudng din ciia qudc gia, don cii la Anh, cd the dat ra danh myc cac thuat ngii dupe sd dung va khdng dupe su dung trong MOU vi cac thuat ngii do dupe xem la "ngdn ngii cua dieu udc". Nhieu thuat ngy ttong danh sach d tren ciing xuit hien trong liet ke ciia Anh. Tham chi, Bang Hudng din ky kit diiu udc qudc tl va MOU cdn dua ra cac gpi y vl ngdn ngu, van phong lan mau cac doan npi dung "ciing" ciia MOU.
Duong nhien, day ciing la can cii quan ttpng de hp phan biet hai loai van ban nay vi Anh ciing thira nhan ring day chinh la thyc tiin qu6c te phd biln tiong giai quyet tinh hudng nay.^^
Noi dung cua dieu u&c
Thyc chit, diiu udc qudc tl hay MOU dl cap ndi dung gi khdng phai la vin dl quan ttpng. Hay ndi each khac, khdng phai ddi tupng cua
^*UK, "Treaties and Memoranda of Understanding (MOUs): Guidance on Practice and Procedures," 2: 15-18.
diiu udc qudc tl se quan ttpng hon ddi tuong thuang thao frong MOU.
Tham chi, ndi dung cua MOU nhieu khi cdn de cap den ca nhiing vin dl quan trpng ban ca dieu udc qudc te, nhung vi la MOU nen nd van kh6ng gia tri phap ly trade Tda cho mpt vu ttanh chap nao dd.^^
Biiu Ig rd rdng tinh chat phi phdp ly
Dau hieu nay yeu cau cac ben tham gia ky ket MOU phai the hien mdt each ro rang vl y dinh hp khdng xem MOU la mdt van ban cd gia hi rang bupc ve mat phap ly, ke ca vdi mpt thda thuan song phuong.^^ DiSu nay ly giai vi sao Bang Hudng dan ky ket dieu udc qudc te va MOU ciia Anh ngay tii dau da khang dinh: MOU la cac cam ket qudc te dudi hinh thiic va ngdn ngu bieu dat khdng the hien y dinh rang budc nhu ddi voi mpt phan cua luSt qudc tl (Muc 1).^^
Hodn cdnh ky kit van ban
YIU td nay thudng dupe sd dung khi cac yiu td viia neu chua M manh va mach lac de ket luSn. Trong thuc tien quan he qudc tl, cac quic gia tham gia thda thuan thudng Iya chpn phuang an dung lai d mpt thoa thuan mang tinh chinh tii hay gpi ten la MOU nhung da dung thuat ngt
"can" (shall) xuyen sudt van ban.*^"
Bang ky hay khdng dang ky van ban
Viec dang ky diiu udc dupe thyc hien theo hudng din tai Diiu 102 Hien chuang Lien Hop Qudc. Tren thyc tl, qua tiinh ky kit diiu u6c
^'Anthony Aust, Morfera Treaty Law and Practice: 32.
^^Anthony Aust: 32-33.
^^UK, "Treaties and Memoranda of Understanding (MOUs): Guidance on Practice a Procedures,": 1.
*"Anthony Aust, Modern Treaty Law and Practice: 33.
Nghien cihi Quoc ti sd 1 (116)
qudc te thudng khdng bd qua budc nay. Day khdng phai la yiu td quyit dmh nhung se la bang chiing quan tipng de bieu thi y dinh cua cac ben ve tinh rang budc cua thda thuan. Dieu thii vi can luu y la, khi mpt ben tien hanh dang ky dieu udc va cac ben cdn lai khdng the hien chinh kien hay khdng cd ben nao chdng lai thi dieu dd khdng cd nghia la hp da ddng y vdi viec dang ky dd.^'
Tinh hudng bdt ddng
Cac tinh huong nay thudng xuat hien khi dang ky dieu udc, khi dieu udc da cd hieu luc hay khi cd ttanh chap. Trong cac tinh hudng dd, de the hien chinh kien khac biet dd, cac nude thudng chpn phucmg an giii cdng ham ngoai giao (diplomatic note).^^
Cho du khdng cd gia tri rang budc nhu mot dieu udc quoc te, MOU ngay nay van duac su dyng nhieu xuat phat tii nhiing diem im ttdi ciia nd. C6 the liet ke don cii nhu: tinh bao mat (vi khdng phai dang ky hay cdng bd); khdng can den nhiing thu tyc, le nghi bit budc phien phiic khi dam phan ky ket (vi thudng chi can ky); de sua ddi;^-' cd the cham diit tuong ty nhu diiu udc, nhung ddi khi chi can thdng bao; ciing cd the de cap den co che giai quyet ttanh chap (nhung it khi chi den ben thii ba, tda an hay ttpng tai) va duong nhien neu muon ciing cd the dupe dem ra Tda ICJ (ma khdng cin biit la MOU dd cd duac dang ky hay khong); ed thi dupe giai thich nhu dieu udc qudc te; va quan ttpng la MOU cd the dupe ky kit vdi ca ben khong phai la qudc gia. Kit qua, ngay ea Lien Hpp Qudc ciing khdng it lan su dyng MOU.^'^
*•' Anthony Aust: 34.
*^ Anthony Aust: 35.
** Dac biet Id khi nhiing tranh cai \k tinh nghi thiite va hnh hoat trong dam phdn vd ky kit diiu u6c vdn tiip tuc diin ra. Phdn III trong: Tams vd cdc tac gid, Research Handbook on the Law of Treaties: 257-311
" Anthony Aust, Morfe/Ti Treaty Law and Practice,20\y. 40-44.
Nhung mpi Iya chpn deu ed cai gia cua nd. Chitih sy de dang nay ma MOU ciing dl dang tao ra nhiing mdi nguy biem. Theo phan tich ciia Anthony Aust, cac mdi nguy biem ngay xuit phat bdi cac dac tmh cua MOU nhu khdng cd gia tri rang budc; cac ben tiiudng it chii tam va th(iii ttpng khi dy thao; khd tim vi MOU khdng dupe dang ky nhu vua neu, dac biet la thilu ea chi thuc thi cbtiih thiic cho MOU.^^
Ban luan vl kha nang rang budc cua (cac quy dinh) luat qudc te, cy thi la cac Idi hiia, thda thuan hay dieu udc, Hart thyc ra da nhan manh tinh quyit dinh cua mdt co che van hanh cua chinh cac quy tac mang tinh rang bupc dd (a procedure for self-binding operations).^^ Nhimg ttuoc nhirng hoai nghi vl mdt ca che thyc thi cho luat qudc te, ed d^c tinh va mang lai hieu qua nhu ddi vdi luat qudc gia, Hart da nghi den "rang bupc dao diic" hay tham chi la do cac dpng ca khac.^^ Dieu nay cd le da md ra mpt tia hi vpng cho viec thyc thi MOU. Ddi vdi Anh, vi^c ky ket MOU luon dupe xem trpng va can ttpng diing muc. Gidng nhu mpi dieu udc, MOU deu dupe du thao cin than va phai gui din Bd Ngoai giao (Foreign and Commonwealth Office) de ra soat va ludn ludn cd y nghi la se th^c hien MOU ma khdng quan tam nd cd gia tri phap ly rang bupc hay khdng.^^
Tren thyc te, theo Aust, MOU cdn cd thi dupe van hanh dua tren nen tang cua che dinh estoppel dupe vay mupn tii he thing fhdng luSt (common law).^^ Pacta sunt servanda (Diiu 26) la "nin tang chung ciia
" Anthony Aust: 45-49.
^ Hart, The Concept of Law: 225.
•^^ Hart: 234-35.
*^ UK, "Treaties and Memoranda of Understanding (MOUs): Guidance on Practice and Procedures,": 2.
*' Anthony Aust, Modem Treaty Law and Practice: 50-51.
Nghien cim Qudc tisd 1 (116)
luat dieu udc" (basis of all tteaty law)^** nen chic chin ciing se tiep tyc la nen tang quan ttpng cho viec thi hanh cac dieu udc qudc te. Nhung theo each tiep can ciia nhieu hoc gia va luat gia thi npi ham cua nd cSn phai dupe phat ttien, neu khdng muon bi choi bd trade sy phat trien cua cac mdi quan he qudc te, khi ma khdng phai tat ca cac nghia vu ttong luat qudc te phat smh tu cac giao udc (paeta)'^ vdi diy du cac yeu ciu cua mpt diiu udc qudc tl hoan chmh.
Ket luan
Dieu udc qudc te la cdng cy phap ly quan ttpng ttong quan he qudc te, mang lai tinh chinh xac va dn dinh cho cac mdi quan he qudc te va chae chan se tiep tuc thiic day cac mdi hpp tac ttong tat ca cac ITnh vuc ciia luat qudc te. Dieu do phan ldn xuat phat tu chiic nang tao dung cac quy tac luat qudc te va mang lai gia tri rang budc cho cac quy tac do cua dieu udc. Dieu nay khdng chi dupe tiep can ve mat ly thuyet, ma cdn nhan dupe sy ddng thuan rat ldn ttong thyc tien giai quyet cac xung dot qudc te cd lien quan d6n viec cdng nhan gia tri cua cac van ban qudc te.
Dac biet, sy thdng nhat nay dupe duy tri ttong sudt mdt thdi gian dai, tii nhiing phan quyet d thap ruen 1980 tai Tda an Cdng ly Qudc te (ICJ), den cac quyet dinh giai quyet ttanh chap gan day, tai Hdi ddng ttpng tai duoc dang ky trade Tda Trpng tai Thudng true (PCA). Viec tiep can va phan tich cac phan quyet nay vi vay can dupe nghien ciiu ky han ttong thdi gian tdi dl tim kiem cac gpi y hihi ich cho Viet Nam
Hien nay, mac dii thuc tiin su dyng phd biln MOU khd cd thi phu nhan, nhung vin cdn tdn tai nhieu y kien ttai chieu ve gia tri cua MOU.
Dang chu y nhit la quan diim cd nen coi MOU la mdt phan cua luat
™ G.G Fitzmaurice, Law of Treaties, Second report, Ky II, The Yearbook of the hitemational Law Commission, DOCUMENT A/CN.4/107 (The hitemational Lavi- Commission, 1957): 20.
^' Han, The Concept of Law, 233-234.
mIm (soft law) hay khdng la van de can dupe nghien ciiu them nh^m nhan dien ro ban sy thay ddi va phat ttien cua luat qudc tl, cy thi la diiu udc qudc tl, ca ve mat ly thuyet lan thyc tien./.
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Nghien cim Qudc ti sd 1 (116)
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