THAM QUYEN AP DUNG BIEN PHAP KHAN CAP TAM THOfl TRONG TO TUNG TRONG TAI
Nguyen Thi Thu Thiiy
Tom tat: Theo Ludt Trong lai thuang mgi 2010. Hoi dong trong tdi duac trao tham quyen dp dung bien phdp khdn cap tarn thai trong qud trinh gidi quyet tranh chdp cung vdi toa dn. Bdi viet phdn tich cdc khia cgnh cua ca che dong tham quyen trong dp durig bien phdp khdn cdp tgm thai vd dua ra mot so y kien nham hodn thien die dinh thdm quyen dp dung bien phdp khdn cdp lam that trong to lung trong tdi.
Abstract: Under the Law on Commercial Arbitration of 2010. in addition to competent courts, arbitral tribunals have competence lo grant interim measures in the process of arbitration procedure. This article analyses such competence and make proposals to improve it.
1. Tham quyen trong tai ap dung bien phap khan cap tam thoi
Tranh chap thuang mai la hien tugng tat yeu di kem vai cac hoat dgng kinh doanh thuang mai. Vai dac thii ciia minh, viec giai quyet tranh chap thuang niai tir iau khong con la tham quyen ciia rieng toa an ma co the dugc trao cho trgng tai vai su dong thuan ciia cac ben. Tuy nhien, tham quyen ap dung bien phap khan cap tam thai (BPKCTT), mgt bien phap to tung nham kip thai bao ve chung cii, tai san tranh chap hoac cac bao dam khac cho viec thi hanh nghia vu ciia cac ben. lai dugc xac dinh mgt each kha doc lap vai tham quyen tai phan cac tranh chap do.
6 Viet Nam, ke tu van ban dau tien quy dinh ve chuc nang, nhiem vu ctia trong tai cho den Luat Trgng tai thuang mai 2003, trgng tai khong co tham quyen ap dung BPKCTT.
Theo Luat Trgng tai thuang mai 2003.
cac ben Irong tranh chap dugc giai quyet
theo to tung trgng tai co nhu cau ap dung BPKCTT phai nop dan den toa an. Mpt so quoc gia nhu Hy Lap', Y", Achentina^
cung quy dinh tuang tu ve tham quyen ap dung BPKCTT cua toa an trong to tung trgng tai, Dieu 818 Bg luat To tung Dan su Y quy dinh: "Trgng tai khong the tjch bien tai san hoac cac BPKCTT khac, trir khi CO quy dinh khac ciia luat co lien quan" . Cac quy dmh nay bat nguon tir quan diem cho rang, trgng tai khong co quyen cuang che thi hanh quyet dmh ap dung BPKCTT-' va viec ap dung BPKCTT tir phia toa an dem lai hieu qua cao han do kha nang thuc hien a bat cu thai diem nao
' TS . Vicii \ h , i nirac >.a Phap luat.
Dicu 889 Bo luat To lung Dan sy Hy Lap, Xem:
Pierre A Karrer, Quyet cJinh ap dung BPKCTT cua toa an va hoi dong trong tai. Ky yeu Hoi nghi Ian thii 10, ICCA, chii bien Albert Jan Van Den Berg, Nxb Lao dong. Ha Npi, 2010. tr 148.
- Dieu 81^8 Bg luat lb lung Dan su Y
" Dieu 753 Bo luat To tung Dan sy va thuong mai Achentina 1982
' L W Nev-TTia va C- Ong (2014), Interim Measures in International .4!-hitration. Juris. t r 4 3 8 .
^ Picio Bemardini (1998), The Italian Law on Arhiiruiion Tex! & Notes, Kluwcr Law international, muc 30
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trong qua trinh giai quySt tranh chap va a bSt cii khu vuc dia ly nao .
Tuy nhien, cac quan diem tren da khong con phu hgp vai sir phat trien thuang mai manh me dang dien ra trong cac thSp ky gkn day c^n sir phat trien tuong xung cua cac ca che giai quy6t tranh chap ma quan trong nhit la trgng tai thuang mai.
Viec cac ben thoa thuan lira chgn trgng tai d^ giai quy6t tranh chdp tnrac het la nham tranh dua vu viec ra giai quyk tai ca quan toa an. Khi quySn, Igi ich cua cac ben dugc tin tuong trao cho trgng tai phan xir thi viec trao cho co quan nay tham quyen ap dung BPKCTT voi muc dich bao dam thi hanh quyet dinh cuoi ciing ciia minh la hoan toan hgp ly. Ben canh do, nguyen tac xet xir cong khai ciia toa an trong viec giai quyet yeu cau ap dung BPKCTT ciia cac ben trong to tung trgng tai se "de dga huy hoai hoan toan cac Igi the cua viec giai quyet tranh chap bang trgng tai"'
Nhu cau phat trien phap luat ve trgng tai phu hgp vai cac boat dgng thuang mai cung tac dgng den cac quan diem ve tham quyen ap dung BPKCTT trong to tung trgng tai a Viet Nam. Cac quan diem nay cho rang, ngoai tham quyen toa an ho trg bang each ap dung BPKCTT thi Hgi dong trgng tai cung co tham quyen ap dung cac bien phap nay nham duy tri, khoi phuc hien trang tranh chap, tien hanh bao quan tai san
c§n thilt dam bao cho viec thi hanh phM quy6t, bao quan chung cu hay bao quan tai san lien quan ddn tranh chap, bai "doi vol mpt s6 loai tranh chip co lien quan den tai san, hang hoa mau hu hong, nlu cha cac thu tuc tai toa an thi se khong kip thai, co thi dan din nhung t6n that khong dang co cho cac ben"^
Vai cac ly do do, trong vai thap ky gan day, phap luat cua nhilu qu6c gia tren thfi giai, trong do co Viet Nam, da trao tham quyin ap dung BPKCTT cho Hoi d6ng trgng tai du a cac c4p do khac nhau.
Diiu 48 Luat Trong tai thuang mai 2010 Viet Nam quy dinh: "Cac ben tranh chSp CO quyen yeu cau Hgi dong trgng tai, Toa an ap dung BPKCTT theo quy djnh cua Luat nay va cac quy dmh cua phap luat CO lien quan, trir truang hgp cac ben co thoa thuan khac"^ Diiu 1041 Bg luat 16 tung Dan su Due cho phep Hgi dong trgng tai CO quyen ap dung cac BPKCTT , Dieu 44(4) Luat Trgng tai Anh cung quy dmh Hgi dong trgng tai co tham quyen ap dung cac BPKCTT".
Nhirng phan tich tren cho thay, trao tham quyen ap dung BPKCTT cho trgng tai la mgt xu the tat yeu de ca che giai quyet tranh chap bang trgng tai tra nen hieu qua hon, phii hgp vai su phat trien ciia cac quan he thuang mai.
^ Pierre A. Karrer (2001), Interim Measures Issued by Arbitral Tribunals and the Courts- Less Theory Please, International Arbitration and National Courts Tlie Never Ending Story, Albert J van den Berg, ed, Kluwer The Hague / London / New York tr. 108.
' Axel Bosch (chu bien) (1994), Provisional Remedies in International Commercial Arbitration - A Practitioner Handbook. De Gruyter, Berlin, tr. 52.
" Uy ban Tu phap (2009), Bao cao tham tra ve dir an Luat Trong tai thuong mai, so 3148/BC-UBTP12, tr. 4.
'' Khoan 1 Dieu 48 Luat Trong tai thuang mai 2010.
'" Pham Duy NghTa (2010), BPKCTT trong t6 tpnE trong tai. Tap chi Nghien ciiu lap phap. Van phong Qu6c hoi, s6 23/2010, tr. 77 - 79, 84.
http://www.legislation.gov.uk/ukpga/1996/23/
contents - C6ng thong tin dien tii Cue luu tru quoc gia Anh, truy cap ngay 23/6/2016.
THAM OUYEN AP DUNG ...
2. C c che phoi hop trong ap dung bien phap khan cap tam thtri theo t6 tung trong tai if Viet Nam hien nay
Mac dii viec trao thara quyin ap dung BPKCTT cho trgng tai la can thilt, nhimg ciing nhu phap luat ciia nhilu qu6c gia.
phap tuat Viet Xam khong quy dinh trgng tai !a ca quan duy nhat co tham quyin ap diing BPKCTT trong to tung trgng tai.
Sa dl trgng tai khong la ca quan duy nhat CO tham quyen ap dung BPKCTT trong to tung trong tai do chinh ban ch5t cua boat dgng giai quyet tranh ch^p b§ng trgng tai. Theo phuang thirc trgng tai, cac tranh chap chi co the dugc giai quylt sau khi Hoi dong trgng tai dugc ihanh lap.
Dieu nay cung co nghia la, tham quyin ap dung BPKCTT khong the tin tai truac thai diem do, gay cham tre trong viec bao ve quyen, Igi ich cua cac ben trong tranh chSp.
Ben canh do, ban chat cua trgng tai la ca che giai quyet tranh chap tu, quyin lire ciia CO quan nay do cac ben trong tranh chip trao cho. do do. chi c6 y nghia vai cac ben.
Tren thijc te. cac tranh chap thuang mai thuang lien quan den ben thir ba nhu ngan hang, nha thau phu, nguai thii ba giir hang hoa tranh chap..., nhung viec dp dung BPKCTT doi vdi ben thir ba la khong thi.
Luat Trgng tai thuang mai 2010, Bg luat To tung Dan su 2004 (sira doi, bo sung 2011) va Bg Iuat T6 rung Dan su 2015 dIu quy dinh tham quyin ap dung BPKCTT rrong qua trinh giai quyet tranh chap thuang mai dugc trao cho ca trgng tai \-a toa an. Dong thdi. de tranh su xung dot ve tham quyen giira toa an va irgng tai, Luat Trgng tai thuang mai 2010 da xay dung ca che dong tham quyen ap dung BPKCTT.
Theo ca che nay, ca toa an va trgng tai deu CO tham quyen ap dung BPKCTT trong qua trinh giai quyet tranh chap thuang mai bang to tung trgng tai, nhung hai ca quan nay se khong thuc thi tham quyen cua minh dong thdi trong ciing mgt vu viec trir trudng hgp ngoai le. Viec xac dmh c a quan nao CO tham quyen trong ap dung BPKCTT doi vdi mgt \-u viec cu the dua tren su lira chgn ban dau ciia cac ben.
Phap tuat trgng tai cho phep cac ben co quyen tu do lira chgn c a quan cd tham quyen ap dung BPKCTT da d l cao tinh tu dinh doat cua cac ben tranh chap. Cu the:
'^Cdc ben tranh chdp cd quyen yeu cdu Hoi dong trong tdi, Toa dn dp dung BPKCTT theo quy dinh cua Ludt ndy vd cdc quy dinh ciia phdp ludt co lien quan, trie truang hap cdc ben cd thda thudn khdc"^' Thdi dilm phat sinh quyen yeu cau ciia cac ben la ngay sau khi nop dan khdi kien tai trgng tai " ma khong phan biet Hgi dong trgng tai da dugc thanh lap hay chua.
Cac ben co quyen thoa thuan de lira chon. sira doi hoac loai trir tham quyin ap dung BPKCTT trong thoa thuan trgng tai cua minh, va do vay, su lira chon ctia cac ben cd the dugc thyc hien trong qua trinh to nmg trgng tai va ca trude khi chi dinh trgng tai vien'"*. bdi thoa thuan trgng tai co the dugc thanh lap d bat cir thdi dilm nao trude hoac sau khi tranh chap xay ra.
^ Khoan 1 Dieu 48 Luat Trong tai thuong mai 2010, '-• Khoan 1 Dieu 12 Nghi quy6t hudng dan thi hanh mot so quy djnh Luat Trong tai ihuans mai s6 01 2014.NO-HDTP ngay 20/3/20)4.
Blaise Stucki Kaufmann-Kohler (2004).
Inleniatiomil .irhuration in Switzerland- A Handbook for Pracniioners. Kluucr Law International. tr.70.
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C o che dong tham quyen ciia toa an va trgng tai trong ap dung BPKCTT da dugc ghi nhan d nhieu quoc gia. Tuy nhien, co c h i nay dugc cu the hda khac nhau 6 timg quoc gia.
6 mdi quoc gia, tham quyen ap dung BPKCTT ciia toa an va trgng tai cd the dugc phan dinh dua tren cac tieu chi khac nhau. 0 H6ng Kong, toa an cd the ap dung BPKCTT trong cac trudng hgp: (a) Co lign quan den quyen Igi ciia ben thir ba; (b) Can phai ap dung don phuang; (c) Hgi dong trgng tai khong co tham quyen ap dung cac BPKCTT cSn thilt hoac (d) Viec tda an ap dung BPKCTT se cd hieu qua han trgng taI'^ 0 Malaysia, tham quyen ap dung BPKCTT cua trgng tin dugc uu tien thuc hien so vdi tda an"" 6 Bi va Lucxambua, tda an cd tham quyen ap dung BPKCTT cho den khi Hoi dong trong tai duac thanh l a p " . . .
Phap luat ve trgng tai ciia Viet Nam quy dinh, ca toa an va trgng tai deu cd tham quyen ap dung BPKCTT, nhung chi mot CO quan dugc thirc hien tham quyen nay trong mgt vu kien cu the, trir trudng hgp ngoai le. Co quan thuc hien tham quyen ap dung BPKCTT dugc xac dinh
'•' Neil Kaplan (1999), "Hong Kong", trong Jan Paulsson (chu bien). International Handbook on Commercial Arbitration. Kluwcr Law International, ir.56.
"' P.G. Lim (2000), trong Jan Paulsson (chii bien).
International Handbook on Commercial Arbitration, Kluwer Law International, tr.21
" Ernest Arendt va Thiya Harles-Walch (1994),
"Luxembourg", trong Jan Paulsson (chii bien).
International Handbook on Commercial Arbitration, Kluwer Law international, t r . l l ; Lambert Matray (1995), "Belgium", trong Jan Paulsson {chu bien), International Handbook on Commercial Arbitration.
Kluwer Law International, tr.l9.
b^ng sir lira chgn ciia chinh cac ben trong tranh chSp vdi viec dua ra yeu cau ap dung BPKCTT dau tien. D a n yeu cau dua din c a quan nao tnrdc thi c a quan do se thirc hien th5m quyin ap dung BPKCTT. Day la can cu dSu tien de xac dinh co quan thuc hien thdm quyen ap dung BPKCTT. Luat Trgng tai thuong mai 2010 quy dinh;
"Trong qud trinh gidi quyet tranh chdp.
neu mot trong cdc ben da yeu cdu Toa dn dp dung mot hoac mot so BPKCTT quy dinh tgi khodn 2 Dieu ndy md sau do lai co dan yeu cau Hpi dong trong tdi dp dung BPKCTT thi Hoi dong trong tdi phai tit choi" (khoan 3 Dieu 49) va "Trong qua trinh gidi quyet tranh chdp, neu mot trong cdc ben dd yeu cdu Hoi dong trong tdi dp dung mot hoac mot so BPKCTT md lai co dan yeu cdu Toa dn dp dung BPKCTT thi Toa dn phdi tit choi vd trd lai dan yeu cdu... " (khoan 5 Dieu 53).
Tuy nhien, trong trudng hgp cac ben da lira chgn trgng tai la ca quan giai quyet yeu cau ap dung BPKCTT, nhung lai co yeu cau tiep theo ddi vdi BPKCTT khong thugc pham vi tham quyen cua trgng tai thi tda an van cd tham quyen ap dung cac BPKCTT nay. Dieu nay xuat phat tir viec tda an cd pham vi tham quyen ap dung BPKCTT rgng hon trgng tai. Va de dam bao quyen, Igi ich ciia cac ben tranh chap, khi cd nhu cAu ap dung BPKCTT ngoai pham vi tham quyen cua trgng tai, cac ben cd quyen nop dan den tda an.
Nhu vay, can cu de lira chgn co quan thuc hien thSm quyin ap dung BPKCTT trong td tung trgng tai la nhu cau ciia cac ben va pham vi tham quyen cua tda an va trgng tai.
THAMQUYEN APDVNG..
Phuong thuc nay cho phep cac ben dugc quyen lua chon co quan ap dyng BPKCTT trong vy viec ciia minh. Day la mpt diem khac biet can ban so voi phap luait ve trong tai truac day va phap luat ve trgng tai cua nhieu quoc gia. Vi du d Hong Kong, CO quan cd tham quyen ap dung la Hgi dong trgng tai tru mpt so trucmg hpp;
mpt sd quoc gia xac dinh tda an cd tham quyen trong khoang thdi gian Hgi dong chua dupe thanh lap, sau thdi gian dd, tham quyen thugc ve Hpi dong trong tai, tda an chi thuc hien thSm quyen nay khi cac BPKCTT duoc yeu cau khong phii hpp vdi tham quyen cua Hgi dong
trgng tai'
Phuong thirc tren da giai quyet dupe van de xung dot tham quyen ap dung BPKCTT giiia tda an va trgng tai. Hgi dong trgng tai cd tham quyen ap dung cac bien phap sau: a) Cam thay doi hien trang tai san dang tranh chap; b) Cam hoac bupc bat ky ben tranh chap nao thuc hien mpt hoac mpt sd hanh vi nhat dinh nham ngan ngua cac hanh vi anh hudng bat Igi den qua trinh td tung trgng tai; c) Ke bien tai san dang tranh chap; d) Yeu cau bao ton, cat trii, ban hoac dinh doat bat ky tai san nao ciia mot hoac cac ben tranh chap; d) Yeu cau tam thdi ve viec tra tien giira cac ben; e) Cam chuyen dich quyen ve tai san ddi vdi tai san dang tranh chap' . Cac bien phap nay ciing cd the dupe ap dung bdi tda an theo quy dinh tai Dieu 114 Bd Iuat Td timg Dan su 2015. Do dd, viec loai trir tham quyen cua mgt co quan ap dung
'" David E. Wagoner (1996), Interim Relief in International Arbitration - Enforcement Is a Substantial Problem, Dispute Resolution Journal, tr.69.
'*" Khoan 2 Dieu 49 Luai Trong tai thuong mai 2010.
BPKCTT tranh dupe s\r chong cheo ve thSm quyin c6 thi anh hudng din tien trinh td tung va quyin, Ipi ich cua cac ben.
Muc dich ctia viec ap dung ca che nay la cho phep cac ben cd co hpi lira chpn trpng tai hoac tda an d miic dp nhu nhau, tir dd lam cho trpng tai trd nen hap dan hon trong qua trinh lira chpn phuang thuc giai quylt tranh chap thuang mai.
Tuy nhien, thuc tien ap dung phap luat cho th4y, trong trudng hgp Hpi dong trpng tai chua dupe thanh lap ma mpt ben cd nhu cau ap dung BPKCTT thupc thSm quyen cua Hpi ddng trpng tai de bao ve quyen va Igi ich cua minh thi hg bupc phai lira chpn giiia hai phuang an: a) Yeu cau co quan tda an ap dung BPKCTT; b) Chd den khi Hpi ddng trpng tai dupe thanh lap de yeu cau. Vdi phuang dn thu nhdt, cac ben se khong cd co hdi lya chgn trgng tai ap dyng BPKCTT; vdi phuang dn thit hai, quyen va Ipi ich cua ben yeu cau cd the bi anh hudng nghiem trpng. Mat khac, hau het nhu cau ap dyng BPKCTT xuat hien d giai doan dau ciia tranh chap, tai thdi diem Hpi ddng trgng tai chua dugc thanh lap, va bdi viec lya chgn tda an se loai trir tham quyen ap dyng BPKCTT cua trpng tai, do dd, vd hinh trung trgng tai da bi dat vao vi tri bat loi so vdi tda an. Vi vay, mac dii muc tieu la tang cudng kha nang lya chgn trgng tai ap dung BPKCTT, nhung hieu qua dat dugc lai rat thap.
Ngoai ra, trong trudng hgp Hgi ddng trgng tai da dugc thanh lap, nhung khdng cd tham quyen ap dyng BPKCTT (nhu dang trong thai gian tda an xem xet gia tri phap ly cua thda thuan trgng tai), thi cac ben duong nhien ciing khdng thi lya chgn trgng tai de yeu cau ap dung BPKCTT.
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De dam bao hieu qua ap dung cua ca che dong tham quyen, theo chung toi, mot trong hai phuong an sau day co tiie dugc ap dung:
Phtcong an tliir nhdt, xac dinh tham quyjn ap dung BPKCTT duong nhien thupc ve toa an trong thai gian Hoi dong trong tai chira co tham quyen hoac khong the thirc hien tham quyen. Sau k\\\ Hoi dong trpng tai thanh lap, cac ben CO quy<;n lua chpn giii yen ciu ap dung BPKCTT den Hpi dong trpng tai hoac toa an. Nhu vay, Luat Trpng tai thuang mai co th6 sua lai nhu sau;
Khoan 3 Diiu 49: "Trong qua trinh giai quyet tranh chap, neu mpt trong cac ben da yeu cSu Toa .in ap dung mpt hoac mpt s6 BPKCTT quy djnh tai Idioan 2 Diju nay ma sau do lai co dan yeu c§u Hoi d6ng trong tai ap dung BPKCTT thi Hpi d6ng trpng tai phiii tir choi, trir truang hap vice tip dung BPKCTT ctia Toa an duac thuc hien truoc khi Hpi d6ng trpng tai thanh lap hoac trong thoi gian Hpi d6ng trpng tai kltong ihc thuc hien tham quyin ap dung bicn phap khan cap tam thcii"
Khoan 5 Dieu 53 "Trong qua trinh giai quyet tranh chap, neu mpt trong cac ben da yeu cau Hpi dong trpng tai ap dung mpt hoac mpt s6 BPKCTT ma lai co don yen cau Toa iin ap dung BPKCTT thi Toa an pliai tit choi va tr.i lai dan yeu cau, trir truimg iipp yen c4u ap dung BPKCTT khong thupc tham quyin ciia Hot dSng trpng tai hoac trong thai gian Hpi ddng
trpng tai khong the thuc hien tham quyii ap dung bien phap khan cap tam thai"
Phuang an nay, mpt inat bao dam cix trpng till c6 kha nang ap dung BPKCTT nhu toa an, mat khac van cho phep cac ben bao ve quyen, Igi ich ciia minh trong thoi gian Hpi dong trgng tai chua dugc thanh lap hoac khong co tham quyen ap dung BPKCTT.
Plttfong cm lln'f hai. xay dimg co che bo sung thiim quyen ap dung BPKCTT cua trgng tai. Dc dam bag han nira quyin va Ipi ich ciia cac ben tranh chap trong to tung trpng tai, ben canh viec quy dinh co chi dong tham quyen, can xay dung ca chi bi sung tham quyen. Theo do, mpt ca quan trong to chuc trgng tai se co thdm quyin ap dung BPKCTT trong giai doan Hgi dong trgng tai chua duoc thanh lap. Khi do, cac ben CO ca hgi lira chpn giu'a toa an va co quan co tham quyen bo sung nay di yeu cau ap dung BPKCTT. Su t6n tai thSm quyin cua co quan nay co tinh chat dii trgng vai tham quyen cua toa an trong giai doan dau cua giai quyit tranh chjp. Thini quyen bo sung si; cham dirt vao then diim Hpi dong trpng tai co thjm quyin dSy dii.
Co che nay khong phai la vjn d i moi trong to tung trpng tai. Vi vay, viec n i p tuc nghien ciru tinh tuang thich ctia co chi vai phap luat to tung Viet Nam la cSn thiit nham hoan thien che dmh thSm quyin ap dung BPKCTT trong to tung trpng tai hien nay.
