NHA Nu'dc vA PHAP LUAT
MOT so m DE UE BIEN PHAP KU LV UIEC
KHONQ THUG HIEN DUNG HOP DONG THEO PHAP LUAT UIET NAM
HoNgocHi^n*
Do Giang Nam**
*TS. Khoa Luat - Hoc vien Khoa hoc xa hoi.
**TS. Khoa Luat-Pal hoc Quoc gia Ha Noi.
Thong tin bai viet:
Tu khoa. Bien phap xir ly viec khong thirc hien diing hgp dong; Dieu khoan phat Vl pham, Boi thucmg thiet hai, Bupc thirc hien diing hgp dong Lich su bdi viet:
Nhan bai : 18/03/2019 Bien tap : 20/05/2019 Duyet bai : 27/05/2019
T o m t a t :
Bg luat Dan su nam 2015 co nhieu diem moi tien bg hem Bo luat Dan su nam 2005 de dieu chinh quan he hgp dong, dac biet la che dinh xu: ly viec khong thuc hien diing hap dong. Tuy nhien, tir goc do phap luat so sanh, luat hgp dong Viet Nam hien nay van ton mgt mgt so han che nhal dinh hen quan den che tai phat vi pham, xac ditih miic boi thudng thiet hai va buoc thuc hien diing hgp dong
Article Infomation:
Keywords: Remedies for non- performance of contract; Penalty clauses;
Damages; Specific performance.
Article Histoiy.
Received Edited Approved
18 Mar. 2019 20 May 2019 27 May 2019
A b s t r a c t
The Civil Code of 2015 has several new improvements, as compared to the Civil Code of 2005, to govern the contractual relationships, particularly concerning the remedies for non-performance of contract. However, from a comparative law perspective, the current Viettiamese contract law still has shown a number of shortcomings regarding the provisions about penalty clauses, calculating damages and specific performances
1. Chijc nang cua che tai phat vi pham Phat vi pham la che tai duac ghi nhan xuyen suot trong cac van ban phap luat hgp dong Viet Nam tu Phap lenh Hpp dong kinh te nam 1989 cho den Luat Thucmg mai nam 1997, 2005 va Bp luat Dan su (BLDS) nam 1995, 2005 va 2015. Ban ch4t cua ehS tai nay la viec phap luat ton trpng tu do hop
dong thong qua viec cho phep cae ben dupe thoa thuan truae rang, khi mpt ben vi pham hop dong se dan den viec ben do phai ganh chiu nghTa vu phai tra mpt khoan tien an dinh truoc cho phia ben kia. Tuy nhien, ljch sii phap luat hop d6ng Viet Nam cho thay luon t6n tai nhiing su khac biet giua eac van ban luat ve giai han quyen tu do hop dong
NGHIEN cuu I -fC So 9(385) T5/2019 V_ LAP P H A P I ' "
NHA Nir6C VA PHAP LUAT
trong viec chi thua nhan miic phat toi da, hay phiic tap hon la su khac biet trong xac dinh moi quan he giiia phat vi pham va boi thucmg thiet hai (BTTH).
1.1. Xdc dinh moi quan he giira che tdi phat vipham vd che tdi BTTH
Co su khac biet ton giua BLDS nam 2005, 2015 va Luat t h u o n g mai 2005 trong viec xac dinh moi quan he giiia che tai phat vi pham va che tai BTTH. Cu the, Dieu 307 Luat Thucmg mai 2005 quy dinh:
" 1. Truang hop cac ben khong c6 thoa thuan phat vi pham thi ben bj vi pham chi eo quyen yeu cau BTTH, trii trucmg hap Luat nay co quy dinh khac;
2. Trudng hop eae ben c6 thoa thuan phat vi pham thi ben bj vi pham co quyen ap dung ca che tai phat vi pham va bupc BTTH, trir truang hop Luat nay co quy dinh khac".
Trong khi do, Dieu 422.1 va 422.3 BLDS 2005 quy dinh:
" 1. Phat vi pham !a su thoa thuan giiia cac ben trong hgp dong, theo do ben vi pham nghTa vu phai nop mgt khoan tien cho ben bi vi pham.
2. Cac ben c6 the thoa thuan ve viec ben vi pham nghTa vu ehi phai nop tien phat vi pham ma khong phai BTTH hoac vua phai nop phat vi pham va viia phai BTTH; neu khong CO thoa thuan truoc ve miic BTTH thi phai boi thucmg toan bp thiet hai.
3. Trong truong hpp cac ben khong eo thoa thuan Y'Q BTTH thi ben vi pham nghTa vu chi phai nop tien phat vi pham".
Nhu vay, theo Luat Thuang mai 2005, eh^ tai phat vi pham dupe ket hpp voi che tai BTTH ngay ca khi cae ben khong neu cu th^ ve su ket hgp nay (eae ben chi can thoa thuan v l phat vi pham). Tuy nhien, BLDS
2005 lai chi cho phep su kk hgp nay neu cac ben thoa thuan cu the trong hgp dong. ^
S u t h i a u d 6 n g b g n a y d a d a g c c h i r o W kha lau', nhmig cho den nay, f'^fJ^%
giai quyet triet d^. Mac du BLDS 20 5 da quy dinh ro rang rang ben v, ph^I? ^ ^ M ^ ^ nop tien phat ma khong Ph^'.^TTH tru khi cac ben co thoa thuan cu the ve v.ee dong thdi phai nop tien phat va BTTH,^ tuy nhien, v,?e LTM Luat thucmg mai 2005 van chua duac sua ddi. co the se dan den viec cac ben CO ca hoi ldn tranh viec ^ p dung phap luat va tao ra su phuc tap, bat on khong dang co trong quan he hop d6ng.
1.2. Mu^c phat vi pham
Quy dinh ve miic phat yi pham giiia cae van ban luat con thieu su dong bp. Tron^
khi BLDS 2015 khong quy dinh miic tran toi d a \ thi Luat Thuang mai 2015 lai ap dung miic nay Cu the, theo quy djnh ciia Dieu 301 Luat Thuang mai 2015, ''muc phat doi vdi vi pham nghia vy hpp ddng hoac tong miic phat doi vdi nhieu vi pham do eac ben thoa thuan trong hop ddng, nhung khong qua 8% gia tri phSn nghia vu hpp ddng bi vi pham...'".
Quy djnh miic tran tdi da cho thoa thuan phat vi pham ciia Luat Thuong mai 2005 dat ra vSn de hau qua phap ly eiia cac thoa thuan vugt ix'm la gi? Do Luat Thucmg mai 2005 khdng dua ra cau tra ldi true tiep, nen ve nguyen tae, Toa an cd the xu ly dieu khoan phat vi pham vupt tran theo 2 hudng:
thic nhdt, vd hieu hoa "toan bd" thoa t h u | n phat vi pham - khdng eho phep ben cd quyen dugc hudng bat ky khoan phat nao; hoac thu hai, chi vd hieu hoa phan vugt tran va quyet dinh cho ben cd quyen duoc hudng khoan tien phat bang 8% ^ia tri phan nghTa vu hi vi pham. Tren thuc te, Toa an co xu hudng lua
D6 Van Dai, Cac bien phap xii jy viec khong thitc hien dimg hgp dSng trong phap luat hgp d6ng Viet Nam, Nxb Chinh tri Quoc gia, 2010.
Xem Dieu 418 BLDS 2015
Difiu 378 BLDS 1995 quy dmh miic phat toi da la 5% gia tri phin nghia vy bi vi pham.
Ben canh do, Luat Xay dimg nam 2014 gioi han miic phat la 12% gia trj phan nghJa vy bi vi ph^m (Xem Dieu 146, Luat Xay d^mg).
> I NGHIEN CUV
> ILAPPHAP-^
NHA NlTdC VA PHAP LUAT chgn theo phuang an thii hai va ehi vd hieu
hoa phkn vugt qua, qua do tu minh ha muc phat xudng cham miic tran 8% gia trj phan nghTa vu bi vi pham^
1.3. Nguyen nhdn cua sir thieu dong nhdt Chiing tdi cho rang, sd di cd su khac biet trong quy dinh cua eac van ban luat neu tren la do each tiep can ve chiic nang ciia phat vi pham trong he thdng cae ehe tai xii ly vi pham hgp dong Viet Nam chua nhat quan. Neu nhu trong BLDS 1995, phat vi pham vira dugc ghi nhan ddng thdi la bien phap bao dam nghTa vu dan su^ va khac phuc vi pham hgp ddng, den BLDS nam 2005 va nam 2015, phat vi pham khdng edn dupe xep la mdt bien phap bao dam nghia vu dan su. Ve van de nay, cd y kien cho rang, "phat vi pham mang tinh chat la trach nhiem dan su cua ben bj vi pham vdi ben ed quyen hon la mang ban chat ciia bien phap bao dam thuc hien nghTa vu"'.
Tuy nhien, giai thieh tren ve chiie nang eiia phat vi pham khdng nhan duge su dong thuan eao tren dien dan khoa hpe. Cd y kien cho rang, phat vi pham nen dupe hieu la bien phap ngan ngira hanh vi vi pham, ehii khong phai la mdt bien phap den bii thiet hai bdi da ed bien phap BTTH thue hien chiic nang do, va eiing khdng nen hieu theo hudng ia mdt bien phap bao dam thuc hien nghTa vu vi ehiic nang do dupe thuc hien bdi bien phap dat epe^ Quan diem nay da phan anh theo hucmg tiep can cua Luat Thuang mai 2005. Cu the, viec nhin nhan che tai phat vi pham va che tai BTTH la hai che tai thuc hien ehiie nang rieng biet se luan giai
duge tai sao luat quy dinh ehi c§n eac ben CO thoa thuan phat vi pham, duong nhien, cd the ddng thai ap dung ca hai che tai.
Van de cdn trd nen phiie tap hon vdi cac tranh luan gan day lien quan den viee BLDS 2015, ben canh che tai phat vi pham, lieu cd thua nhan hieu lire eua dieu khoan BTTH an dinh trude (liquidated damages clause) hay khdng?^. Quan diem khang djnh dieu nay lap luan dua tren giai thich theo nghTa rdng Dieu 13 va Dieu 360 BLDS 2015, theo do, cac ben co the thoa thuan ve thiet hai phai bdi thudng vao bat ky thdi diem nao, ke ca tai thdi diem giao ket hgp ddng. Ngugc lai, quan diem phan ddi cho rang, Dieu 13 va Dieu 360 BLDS 2015 chi cd the duge giai thich theo nghia hep, theo dd, cae ben chi dugc thoa thuan ve thiet hai phai bdi thudng khi ehi khi xay ra hanh vi vi pham nghTa vu.
1.4. Tiep can chirc nang ciia phat vipham tii'gdc do luat hpp dong so sdnh
Ve nguyen tae, he thdng thdng luat phan biet ro rang giiia dieu khoan phat vi pham (penalty clause) va dieu khoan BTTH an dinh trudc (liquidated damages clause).
Trong dd, dieu khoan BTTH an dinh trudc la thoa thuan cd hieu luc phap ly, ngugc lai mpi dieu khoan phat vi pham deu vd hieu.
Trong an le Dunlop (1914), Toa an da thiet lap tieu ehuan phan biet giiia hai dieu khoan bang each kiem tra: "Tai thdi diem giao ket hpp ddng, cae ben da dua ra mdt thoa thuan dua tren su danh gia thue su ddi vdi cac thiet hai cd the xay ra hay ehua"'". Neu cd co sd cho rang cac ben da cd danh gia thuc su cac
5 Do Van Dai, Cac bien phap xir ly viec khong thuc hien diing hgp dong trong phap luat hop dong Viet Nam, Nxb. Chinh tri Quoc gia, 2010, Ir 250; Nguyin Viet Khoa, Chg tai phat vi pham hgp dong theo Luat Thirong mai nam 2005, Tap chi Nghien cmi Lap phap, s6 11,2005, tr 46-51.
6 Xem Dieu 324 BLDS 1995,
7 Hoang The Lien, Binh luan khoa hgc BLDS nam 2005- tap 2, Nxb Chinh trj Qudc gia Ha Noi, 2009, tr. 265 8 Nguyin Viet Khoa, Che tai phat vi pham hop d6ng theo Luat Thuang mai nam 2005, Tap chi Nghien ciiu Lap phap, so
11, 2005, h-46-
9 D5 Van Dai, Luat Hgp d6ng Viet Nam - Ban an va bmh luan ban an (tap 2), Nxb. H6ng Due, 2017, tr, 557.
10 UKHL 1/7/1914, Dunlop Pneumatic Tyre Co Ltd v. New Garage & Motor Co., Lid httpV/www.bailii.org/uk/cases/
UKHL/1914/l.httnl Truy cap 1.3,2019
So 9(385) T5/2019
NHA Nir6c VA PHAP LUAT
thiet hai, do la dilu khoan BTTH 4n djnh;
ngugc lai, neu su thoa thuan din den viec mpt ben phai tra mdt khoan vupt qua so vdi su danh gia thuc sy dd, su thoa thuan dd la phat vi pham va khdng cd hieu luc.
Trong khi do, he thdng dan luat, ve nguyen tae, thira nhan hieu luc eiia dieu khoan phat vi pham. Dieu khoan phat vi pham duge cho la ddng hai chiic nang ehinh sau day: (i) xac djnh trudc, khoan BTTH;
theo dd, tranh viec phai tranh chap ve danh gia thiet hai sau nay; (ii) tao ra dpng lyc de phia ben ddi tae thye hien diing nghTa vu bang each an djnh trudc khoan phat cao n6u nhu cd hanh vi vi pham". Tuy nhien, he thong dan luat cung khdng cho phep cae ben dugc tuy y ap dat miic phat vi pham thai qua; tit ca cac dieu khoan ph^t se bi vd hieu neu nd bat cdng (unfair)'^.
Trong xu the nhat the hoa phap luat hpp ddng, de dung hoa su khac biet giua hai hudng tiep can cCia he thong dan luat va thong luat, cac dfio luat mlu, nhu Bd nguyen tac ciia Unidroit ve hgp ddng thuang mai qudc te (PICC)'^ va Bd nguyen tac luat hpp ddng chau Au (PECL)'"' da thien ve giai phap ciia he thdng dan luat, tuy nhien, hp lai lua chgn thuat ngii trung dung hem la "Khoan tien bdi thudng thoa thuan chi viec khdng thye hien - Agreed payment for non-performanee".
Chang han, khoan 1 Dik 7.4.13 PlCC cjuy dinh ve nguyen tie: "Khi hgp ddng quy dinh ben khdng thuc hien nghTa vu se phai tra mdt khoan tien boi thudng nhat djnh do viec khdng thuc hien nghTa vu, ben cd quyen se dugc hudng khoan tien nay mot each dpc lap vdi thiet hai thye te phai ganh chju".
Ben canh dd, de tranh viee lam dung, khoan 2 Dieu 7.4.13 PlCC trao cho ca quan
tai phan quy^n giam miic bdi thudng "^" . qua bat hop ly. "Tuy nhien, mac du f '^
thu?n, khoan t i k bdi thudng co the a giam mdt each hap ly neu no Q^a mirc^
vdi thiet hai gay ra do viec khdng thuc men va do cac hoan canh khac".
D6i chiSu xu huong tren vai cac quy dinh v'e phat vi pham trong BLDS iUi:" va Luat Thucmg mai 2005 c6 the thay, each tilp ean ciia BLDS 2015 phu hop hon va.
thong ie qu6c t8. Thoa thuan phat vi ph,m theo quan niem do, tu than mang trong mmh d6ng thai ca 2 chirc nang: chirc nang ran de va phong ngira vi pham va chiic nang boi thuang khi CO vi pham. Vi vay viec Luat Thuang mai 2005 quy dinh mac dinh viec kk hop ca 2 chS tai ve phat vi pham va BTTH la khong thuySt phuc, tao ra sti thieu ddng bp vai BLDS 2015. Ben canh do, cung c k nhin manh, quy dinh inot giai han toi da cho mire phat la tuong d6i ctog nhac, nen dugc thay thS bang co chS uy6n chuyen han nhu cho phep Toa an can thiep iiiu chinh lai cac thoa thuan gay bit cong nhu quy dinh tren cua PlCC.
2. Xac dinh miic bhi thiroTlg thift hai Voi tu each la bien phap nham bii dap cac t6n thit cho ben bi vi pham hop d6ng khi xay ra hanh vi vi pham hgp dong, BTTH da dugc ghi nhan xuyen suot trong qua trinh phat trien phap luat hgp dong Viet Nam, la che tai quan trgng va pho bien nhat de xii ly viec khong thuc hien dung hgp dong. Tuy nhien, phai den BLDS 2015, phap luat hgp dong Viet Nam mai co ban thong nhat dugc triet ly ciia che tai BTTH la boi thudng ky vong nham dat muc dich dua ben bi thiet hai vao dung vi tri ma dan§ le ben nay se dugc huong neu nhu hgp dong dugc thuc hien
R Zimmermann, The Law of Obligations - Roman Foundations of the Civilian Tradition (Oxford. CUP, 2nd edn 1996). pp 95-96.
Nhirtren.
Bo nguyen tie Unidroit vg hop ddng thucmg mat qu5c 16 2004, Nxb. Ttr di4n Bich Khoa. 2010.
Xem dife 9509, The Principles Of European Contract Law 2002 (Pans 1, " , and 111); hrtps:«wwwtrans-lex.
org/400200/_/pecl/#headJ53 truy cap 1.3.2019
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I L A P P H A P - S6 9(385) T5/2019
diing.'^ Triet ly nay dap iing yeu cku ciia su an toan phap ly, khuyen khich cae chu the luat tu tham gia giao dich va phu hgp vdi thdng le qudc te. Tuy nhien, hien nay khi danh gia chi tiet cac quy djnh ve BTTH trong phap luat hgp dong Viet Nam, van thay cdn nhieu sy chdng cheo, mSu thuan va chua thye sy ro rang giira quy djnh ciia BLDS 2015 va Luat Thuong mai 2005 lien quan den viec xac djnh miic BTTH do vi ph^m hgp dong.
Ve nguyen tac, ben cd quyen cd the doi bdi thudng toan bp nhirng thiet hai ma minh da phai chju tu viec vi pham hgp ddng ciia ben kia'*,'^ Tuy nhien, nguyen tae bdi thudng toan bp cd the dan tdi he qua ma ben bj vi pham se dua ra cae ky vpng qua xa so vdi miic dp ma hp dang dupe hudng. Chinh vi vay, luat hpp ddng nhieu nudc tren the gidi deu cho rang, cac yeu cau ddi BTTH can phai thoa man nhiing dieu kien nhat dinh nhu thiet hai phai mang tinh xac djnh, thiet hai phai du doan trudc dugc va ben ed quyen da nd lyc de giam thieu thiet hai'^.
NHA NlTdC VA PHAP LUAT
2.1. Dieu kien thir nhat: Ti'nh xdc dinh cua thift hffi (Certainly)
Yeu cku dSu tien la ben bi thiet hai phai chi ra rang, thiet hai ma hp ganh chju CO the xac djnh mdt each hpp ly. Dieu do cd nghia la, nhiing thiet hai nay phai dua tren nhiing can eii cu the cd the xac thye chii khdng phai ia nhung thiet h^i mang tinh gia djnh'^. Mac dii vay, can nhan manh rang tinh xac djnh ciia thiet hai khdng nhat thiet ham y la thiet hai do can phai xay ra tren thye te, bdi le cd nhiing thiet hai trong tuong lai van mang tinh xac djnh.
Xet mpt each khai quat, BLDS 2015 da ed budc tien quan trgng khi ghi nhan dieu kien nay trong Dieu 361.2, theo dd djnh nghTa thiet hai ve vat chat la "nhiing tdn that vat chat thye te xdc dinh duac, bao gdm tdn that ve tai san, chi phi hgp ly de ngan ehan, han ehe, khac phuc thiet hai, thu nhap thye te bi mat ho5c bi giam siit". Tuy nhien, dudng nhu ngdn tu eua BLDS 2015 da ddng nhat tinh xac dinh thiet hai vdi nhiing thiet hai da xay ra tren thye te, va khdng cho
15 Chiic nang ciia he thong che tai trong luat hgrp dong la nhSm vSn hoi cong 1>? (corrective justice) cho ben co quy§n. Hay n6i c^ch khac, cac chi tai dirge thigt ke de ^p dat trach nhiem dan su len bSn vi pham tuong xiing, bii dap cho ben c6 quyen tai ca cac thi?t hai ma ho da phai ganh chiu do hanh vi cua ben vi pham d3 gay ra cho ho. Muon d^it chiic nang tren, ben bi vi pham hijp dong, qua viec ap dung bien phap xir ly vi pham, can phai dugc dat vao dung vj Iri ma dang te hg si dugc huong neu nhu khong co hanh vi vi pham va hgp dong duoc thirc hi?n day dii. Hien nhien, vi tri do se dat dugc, neu nhu luat hgp dong cho ph^p Tea an can thiep de bugc ben vi pham phai thuc hien diing hgp dong, Tuy nhien, trong nhieu trucmg hgp, khi khong the bugc ben vi pham thuc hifn diing nghia w , che tai boi thuong thi?t hai can dugc thiet kl dl trao cho bSn bi vi pham nhuTig khodn b6i thuong tuong xiing vdi Igi ich ma hg dSng le dirge hirong neu nhu khong CO hanh vi vi pham hcrp dong Theo nghia do, mgt trong dilm moi quan trgng ciia BLDS 2015 la vi^c BLDS 2015 da dung nap hgc thuyet vl bdi thudng ky vgng va quy dinh tai Khoan 2 Dieu 419 ve thiet hai dugc boi thudng do vi pham hop ddng, theo do: "Ngudi c6 quyen cd the yeu cau boi thudng thiet hai cho Igi ich ma 16 ra minh se dugc hudng do hop ddng mang tai. Ngudi cd quyen con co the yeu cau ngudi cd nghia vy chi tra chi phi phal sinh do khong ho^n thanh nghia vy hgp ddng ma khdng iriing lap vdi muc bdi thudng thiet hai cho Igi ich ma hgp ddng mang lai."
Quy dinh nay cd the so sanh vdi trilt ly ciia LTM 2005 tdii cho phep bdi thudng ky vong ddi vdi cac khoan Igi dang le dugc hudng de dSt ben bi vi ph^m vao diing vi tri dang cd ciia ho. Theo quy djnh ciia khoan 2 DiSu 302 LTM 2005:
"Gia tri bdi thudng lhi?t hai bao gdm gia tri tdn that thuc ll, tryc tilp ma ben bi vi pham phai chju do ben vi pham gay ra va khoan Igi true tiep ma ben bi vi phgm dang le dugc hudng neu khdng cd hanh vi vi pham."
16 Dilu 13 BLDS 2015.
17 Cac thiet hai dugc bdi thudng, theo quy dmh mdi ciia BLDS 2015 khong chi la nhiing thiet hgi ve vat chat ma cdn bao gom ca nhihig thi?t hgi vl tmh thSn {xem Dilu 361 BLDS 2015), Cu thi, theo Dilu 419 BLDS 2015, Toa an cd thi
"bugc ngudi cd nghTa vy BTTH vl tinh thin cho ngudi cd quyln" \k miic bdi thudng do "Toa an quyet dinh can cii vao ngi dung vu viec".
18 Robert A.Hillman, Principle Of Contracl Law, West Publisher, 2004, p.201 19 Xem Robert A.Hillman, Pnnciple Of Contract Law, West Publisher, 2004, p. 201-205
, NGHIEN CtfU I -tn S69(385)T5/2019 \ _ L A P PHAP' ' * '
NHA NlTdC VA PHAP LUAT
phep bdi thudng cac thiet hai trong tuang lai. Dieu nay, vd hinh trung, mau thuSn vdi chinh triet ly "bdi thudng ky vpng" da dugc ghi nhan trong BLDS va cung khac biet so vdi thdng le chung tren the gidi. Vdn de mdu chdt ma tieu chi nay hudng tdi khdng phai la loai tru bdi thudng cae thiet hai chua xay ra, ma la viec nhan manh cac thiet hai dugc bdi thudng phai ed mdi lien he nhan qua vdi hanh vi khdng thue hien. Cd the ndi, viec chiing minh tinh xae djnh ciia cac thiet hai trong tucmg lai se phiic tap han so vdi viec chung minh tinh xac djnh eiia cac thiet hai thye te. Tuy nhien dd khdng phai ly do loai bd ca hdi bdi thudng eho cac thiet hai trong tuang lai, chang han nhu thiet hai do mat di mdt ca hpi, neu nd hoan toan kha thi va nam trong pham vi cd the trd thanh hien thye ciia thiet hai-".
2.2. Dieu kien thir hai: Tinh dif doan tru&c duac cua thiet hai (Foreseeability)
Tinh du doan trudc dupe eiia thiet hai duge hieu la kha nang cac ben cd the du lieu trude mdt each hop ly nhiing thiet hai co the cd neu khdng thye hien diing hgp ddng vao thdi diem giao ket hgp ddng-'. Trong he thdng thdng luat, an le Hadley kien Baxendale da dua ra cac quy tac mang tinh kinh dien dc danh gia tinh dy doan trudc cua thiet hai".
Trong vu viec nay, nha may xay Hadley thue Baxendale ehd true tay quay bj hdng den cua hang suta chiia. Baxendale da tri hoan viec ehd hang dan den viec nha may xay Hadley phai ngiing hoat dpng dan den bj thua Id.
Hadley kien Baxendale doi BTTH ma nha may phai chju trong thdi gian Baxendale tri hoan viee chd hang. Tuy nhien, toa an tuyen rang, nha may xay Hadley khdng dugc BTTH trong quang thdi gian bj tri hoan vdi
lap luan ring Baxendale hoan toan ^o 'V de tin rang nha may xay cd them niPt ^ ^ tay quay khac de thay the va tn hoan _ chd true tay quay di sua se khdng anh huong den hoat ddng cua nha may. Toa an trong vy Hadley kiin Baxendale da dua ra mp quy tac eho rang ngudi bj thiet hai do hau qua eua viec vi pham hgp ddng se chi duac boi thudng d miic thiet hai trung binh,_tru ktii anh ta co giai thich hop. ly ve nguyen nhan su tdn thdt cao d miic bat thudng:^ Quy tac Hadley dudng nhu nhan manh rang ben bi thiet hai se chi nhan dupe bdi thucmg neu tdn thdt eiia ben bi thiet hai la tdn that co the thdy trudc vao thdi diem xac lap hgp dong;
mat khae khdng bupc ben vi pham phai tim hi^u va biet tdi nhung hoan canh dac biet ciia ddi tac'^.
Tinh dy doan trude dugc ciia thiet hai dugc ghi nhdn trong Dieu 74 Cdng udc Vien 1980 ve hpp dSng mua ban hang hoa qudc te, theo dd: "Miic BTTH khdng the cao han t6n thdt ma ben bj vi pham da dy doan hoac dang le phai du doan dupe vao thdi diem giao ket hgp ddng nhu la he qua cd the xay ra do vi pham hgp ddng, trong dd cd tmh den cac tinh tiet ma hg da biet hoac budc phai biet".
Khac vdi quy djnh tren, BLDS 2015 dudng nhu khdng dua ra yeu cau dieu kien ve tinh dy doan trude eiia thiet hai. Cho dii dieu kien nay cd the tim thdy tuang duang d yeu cdu ve mdi quan he nhan qua giira hanh vi vi pham va thiet hai trong ly thuyet chung ve trach nhiem BTTH. Tuy nhien, viec ghi nhdn mpt each tryc tiep dieu kien ve ti'nh dy doan trudc dupe nhu quy dinh eua Cdng ude Vien 1980 se td ra hgp ly hon, bdi le nd khdng chi lam tdng tinh an toan phap ly
1 Aron Eisenberg, The Principle OfHadley v. Baxendale, 20 Xem khoan 2 Dieu 7.4.3 PlCC.
21 Xem Dilu 7.4.4 PiCC.
22 Ve vu kien giQa Hadley va Baxendale. xem them Melvm / California Law Review, 1992.
23 XemRobertA-Hillman,PrincipleOfContractLaw,WestPublisher,2004.p.l93. ^
24 Xem them Bin Th, Thanh H k g . Bdi thudng thiet hai do vi phgm hgp dong. Luan an TS. Da. hgc Lugt Ha Noi, 201 f tr 130-131
20
NGHIEN CiruLAP P H A P ^ Sd 9(385) T5/2019
NHA NlTdC VA PHAP LUAT ma cdn truyen tai nhiing thdng diep ve tinh
hop tac trong quan he hpp ddng bang each khuyen khich eac ben phai tiet Id thdng tin lien quan giao ket hgp dong va tren ca sd sy trao ddi thong tin dd, cac ben phai cd nhiing dy dodn hpp ly ve thiet hai cd the xay ra viec vi pham hgp ddng.
2.3. Dieu kien thir ba: NghTa vu han che thiet hai (Mitigation of harm)
De kiem sodt viee ben cd quyen hdnh xu mdt each thieu thien chi, bd mac thiet hai ma dang le ra hp ed the han che hoac trdnh khoi, ludt hgp ddng thudng quy djnh ben vi pham se khdng phdi bdi thudng cho ben bi vi pham nhiing thiet hai cd the tranh dugc neu ben bi vi pham thye hien nhiing bien phap can thiet de giam nhe thiet hai dd^^ Hay ndi each khac, dieu nay cd nghTa la ben cd quyen se khdng the ddi boi thudng nhiing tdn thdt ma hp phai gdnh chiu do da khdng cd nd lyc can thiet de ban che cdc tdn that do.
Ngugc lai, neu ben cd quyen bd ra chi phi de thuc hien cac bien phap can thiet han che thiet hai va qua dd giam thieu dugc nhiing thiet hai nhdt dinh xay ra thi hp cd quyen ddi den bu cho nhiing chi phi hpp ly do. Ben canh dd, trach nhiem ban che va giam thieu thiet hai se khdng dupe dat ra neu ben cd quyen eiing khdng the thuc hien duge viec gidm thieu tdn that do vupt qud kha nang hp, hay viec dp dung nhiing bien phap giam thieu tdn that dd se gay ra nhiing
thiet hai qud ldn cho ngudi bj thiet hai hoac khdng phu hgp vdi ngudi bi thiet hai-''.
Yeu eau nay cung dugc ghi nhdn minh thi trong quy djnh tai Dieu 362 BLDS 2015, theo do: "Ben cd quyen phai dp dung cae bien phap can thiet, hgp ly de thiet hai khdng xay ra hoac han che thiet hai cho minh".
Mac du quy djnh nay da truyen dat quan diem ro rang ciia nha lam ludt mudn dp dat ben cd quyen yeu eau hanh xii thien chi de giam thieu miic thiet hai, tuy nhien, ro rang dieu khodn nay khdng chi ro hau qua phap ly khi ben cd quyen cd co hdi giam thieu thiet hai nhung da bd mac thiet hai xdy ra. Cd le, hudng tiep can ciia Dieu 7.4.8 PICC se lap dugc ehd trdng dd trong BLDS 2015 khi dieu ludt quy djnh true tiep:
"1. Ben cd nghia vu khdng chju trach nhiem ddi vdi thiet hai ma ben cd quyen le ra ed the ban che dugc bang nhiing bien phap hgp ly.
2. Ben cd quyen cd the ddi den bCi nhiing chi phi hgp ly da bd ra nham ban che thiet hai".
3. Che tai buoc thvc hien dung hgp dong Mdt trong nhiing quy dinh mdi dang chu y cua BLDS 2015 la viec lan ddu tien BLDS Viet Nam da minh thi huge thuc hien diing hgp ddng nhu la che tai mac djnh xii ly viec vi pham hpp ddng.-'' Ve pham vi dp dung, quy djnh nay cua BLDS 2015 con cd
25 Xem them, Bui Thi Thanh Hang, Boi thudng thiet hai do vi pham hgp ddng, Luan an TS, Dai hgc Luat Ha Ndi, 2018, tr. 57-59.
26 Xem Robert A.Hillman, Pnnciple Of Contract Law, West Publisher, 2004, p, 198
27 Dieu 292 LTM 2005 da xep bugc thuc hien diing hgp dong a vj tri dau tien trong he thdng cac che tai, sau do giai thich
"Budc thuc hien diing hop ddng la viec ben bj vi pham yeu cau ben vi pham thuc hien diing hgp ddng hoac diing cac bien phap khac de hgp ddng dugc Ihuc hien". Tuy nhien, dieu dang chii y la vdi tu each la luat gdc thi BLDS 2005 lai ve chi dua ra cac quy dmh neng bif t ma da khdng dua ra quy dinh cd tinh nguyen tac chung dinh hudng viec ap dung che tai budc thuc hien diing hgp ddng nhu la quy tic mac dinh ciia luat hop ddng, Dieu nay khdng chi gay ra khd khan ve ly thuyet, ma nd da tao ra nhieu su bat cap trong thirc te; chang han, neu viec yeu cau thuc hien diing hop ddng khdng thuge vao trudng hgp ma BLDS d§ dinh sin, thi Toa an khdng cd co sd de yeu cau ben vi pham bugc th\rc hiSn dung hgp ddng.Nh£in thiic dilu dd, BLDS 2015 da dua ra cai each c5n ban khi lin diu tien quy dmh nguyen tac chung vg budc thuc hien diing hgp ddng. Cu thd, ngay sau khi dua ra quy dinh bao quat "Ben cd nghia vu ma vi ph^m nghTa vu thi phai chm trach nhien dSn s\r vdi ben cd quyln", BLDS 2015 da thilt kl dilu 352- mgt luat hoan toan mdi - de ghi nhSn mgt each minh thj vl trach nhiem tilp tuc thuc hien nghTa vu, theo dd. "Khi ben cd nghTa vy thuc lucn khdng dung nghTa vu cua minh thi ben cd quyln dugc yen clu ben cd nghTa vu tilp tuc thuc hien nghTa vu",
-, NGHIEN CIIU I O"!
S69{385)T5/2019 \ L A P P H A P ' ^ '
NHA NtraC VA PHAP LUAT the xem la budc tien so vdi quy dinh ciia Luat Thucmg mai 2005 vdn chi gidi han \iec bupc thuc hien dung hgp ddng ddi vdi mot sd loai vi pham'*. Tuy nhien, tii gdc do phap luat hgp ddng so sanh, cd le quy djnh trong BLDS 2015 van cdn nhimg ban che sau:
thieu hieu nang do khdng dugc thiet ke kem CO che bao dam thye thi hieu qua: khong dy lieu kha nang ben cd quyen cd the lam dun^ quyen ciia minh anh hudng thai qua tdi quyen Igi phia ben kia.
3.1 Cff che bdo ddm thyrc thi
Mpt cau hdi dat ra la trong trudng hgp ngay ca khi da bi tuyen phai buoc thye hi?n diing hpp ddng, neu nhu ben vi pham CO tinh khong thuc hien hop ddng, luat hgp dong cd ca che b6 sung nao khdng de dam bao thi hanh che tai bupc thye hien diing hgp ddng hay khdng? Phap luat dan sy Viet Nam, trong chimg myc nhat dinh, da thiet ke CO che bd sung ddi vdi mdt loai trach nhiem cu the la trach nhiem do cham thuc hien nghia \IJ tia tien. Khoan I Dieu 357 BLDS 2015 quy dinh, "trucmg hgp ben cd nghia \Ti cham tra tien thi ben dd phai tia lai ddi vdi sd tien cham tra tucmg ung vdi thdi gian cham tra"^. Tuy nhien, ngoai trudng hgp tren, BLDS 2015 da khong du Ueu ca che bao dam thye thi cd tinh tdng quat cho tdt ca cac loai nghia vu^. Chinh vi vay, cd y kien da khuyen nghj rang, Met Nam cd the tham khao kinh nghiem ciia Phap khi Toa an Phap dugc phep ap dung bien p h ^ phat
"astreinte"-' cho \ iec cham hoac khdng thuc hien nghTa vu ma Toa an bupc ben vi ph^n
phai thuc hien'-. . ..
-muc xk. kinh nghiem ap dung bi|n phap astreinte dugc thira .nhan la .™ " ^ quiT vi no tao ra ca che bo sung <:° ?" ^ rtnde ben vi pham can thi hanh <i^r'fV^
cua Toa v6 viec buoc .hue hien tog hgp ddng nju khong muon tiep tuc g?nh =5?"
them hau qua bat loi nva" }'. \ » ' . " ^ - , da dung nap bien phap.tren de duet l?p mpt diiu khoan vi che .ai bo sf> 8 " ^ S ^ ?^^°
te, ap dung cho mpi quyet m "»«« *VC hien, kica nhung quyet dmh ve v.?c tomh toin mot khoan tien. Cu die, Dieu 7^.4 PlCC quy dinh: "1. Trong miong hPP J o a an quyi. dinh ben co nghia ™ phai thuc hien diing nghia ^^l, ma ben co nghia yu khong tuan diii quyit dinh cua Toa, flu Toa an cung CO dii buoc ho phai tta mp. khoan vi ph^t;
2 Khoan tiin phat nay dupe dianh toan cho bSn CO quyin, ttii tnrong hop quy pham bat buoc o noi xet xir c6 quy dinh khac Viec thanh toan tiin phat khong.lam mat dt qu; en d5i BTTH ciia ben co quyen".
3.2 ShOng tnttng hgp ngoai le khong^ip dung chi tai buoc thirc hien dung hap idng
Lien quan den che tai buoc thuc hien dung hpp dong ttong phap luat Viet Nam, duong idiu each thiet ke dieu khoan nay trong BLDS 2015 dang theo huong nguyen t5c ap dung bupc thuc hien diing hpp dong la tuyet doi, khong co bat ky ngoai le nao.
Trong khi do, phap luat hpp dong so saiih da chi ro. ngay ca 6 nhirng nuoc theo truyen thing dan luat khi bupc thirc.hien diing hpp dong la che tai hien lihien can ap dung khi xay ra vi pham hpp dong thi no ciing co nhimg giqi han nhat dinh de bao %"e quyen cua bin doi tac. Tren co so do, PlCC da khai quat hoa cac truong hpp ma ben co quyen
28 Xem khoan 2. Dieu 297 BLDS.
29 An le 09 2016 AL ciing thua nhan glai phap tuong tir khi giai thich dieu 360 LTM 2005.
30 Thuc ra. ndu ap dung cac quy djnh \k dii banh an dan su, co 2 co ch^ duoc phap luil Viet Nam ghi nhan lai kioan 1 DiMi 118 LTHADS nam 2008 (sua d6i nam 2014) dieo do " a) Tnrong hpp cong viec do co die giao cho nguoi khac Ihuc hien Ihay Ihi Oiip hanh vien giao cho nguoi CO d i ^ kiCT diuc him; chi phi diyc hien (to ngum phai tw chiu; h) Truong hop cong %iec do phai do chinh nguoi phai tiii hanh in diuc hien tiii Chap hanh vien de nghi co quan CO diim quyen tmy cihi trach nhiem hinh suve toi khong chip hanh an".
31 Ve hch siraiabienphapastieinte.xemHughBeale.Cases. MalefialsandTenonCootraciU*. Han PubUshui820I0, lr.843. . . . - , . . , . . - -
32 D6VSnOaLCacbienphapMlyv,eckh6ogtiiuchi=ndmighopd6ng»ongphaplu,lbopdongVie,Nam.s4^^^, 33 Xem hinh luan D i k " 2 4 PICC.
^ I I A P PHAP,^^ S6 9(385} T^/2019
NHA NU6C VA PHAP LUAT cung khdng the yeu cku budc thuc hien dung
hgp ddng:
1. Khdng the thuc hien dugc nghia vu theo quy dinh cua phap luat hay tren thye te;
2. Viec thye hien nghTa vu ddi hdi nhirng nd lyc hoac khoan chi phi thai cjua (bSt hgp ly so vdi Igi ich ciia ben cd quyen);
3. Ben cd quyen cd the vin nhan dugc vi?c thye hien mgt each hgp ly tu cac phuong each khac;
4. Viec thye hien nghTa vu mang tinh nhan than tuyet ddi;
5. Ben cd quyen khdng yeu cau thye hien nghTa vu trong mgt thdi gian hgp ly ke tir thdi diem ben nay biet hoac bugc phai biet ve viec khdng thuc hien nghia vu^^.
Ddi chieu vdi quy djnh cua phap luat hgp ddng Viet Nam, chiing ta ciing cd the tim thdy mdt so giai phap cd chuc nang tuong ty. Chang ban, khoan 1 Dieu 356
BLDS 2015 cho phep, ddi vdi nghTa vu giao vat dac djnh, neu vat khdng cdn hoac bj bu hdng thi ben cd nghTa vu chi phai thanh toan gia tri cua vat. Hay cac quy djnh chung nhu quy djnh ve gidi ban viec thye hien quyen dan su tai Dieu 10 BLDS 2015 cam cac chu the dugc lam dyng quyen cua minh, quy djnh ve nguyen tac thien chi tai Dieu 3 BLDS 2015 deu cd the dugc giai thich bdi Toa an de "kiem che" viec ap dung che tai budc thye hien dung hgp ddng khi nd tao ra su bat cdng bang thai qua cho mdt ben hgp dong. Tuy nhien, viec tiep can theo hudng giai thich quy djnh chung ciia BLDS ludn ty than ham chua trong minh tinh bat dn, BLDS 2015 chua cd each tiep can mang tinh he thdng va day du nhu quy djnh tuffng tu ciia PICC ve viec can bang giiJa quyen yeu cau budc thye hien hgp ddng ciia mgt ben vdi Igi ich chinh dang ciia ben kia>
NGUYEN TAC PHAP QUYEN...
(Tiep theo trang 8)
phap quyen d nudc ta. Su ghi nhan nguyen t5c phap quyen trong van kien cua Dang va trong dao luat cd hieu lyc cao nhat la Hien phap da phan anh quyet tam rat Idn ciia Dang v^ Nha nudc trong viec xay dyng Nha nudc phap quyen vdi cac gia tri phd bien.
4. Ket luan
Tu cac quy djnh ciia phap luat qudc te, cua EU, cua ASEAN, ciia Hien phap mdt so nudc va Hien phap hien hanh cua nudc ta da din d tren cd the xac djnh phap quyen la nguyen tic hien djnh, la mgt trong nhirng nguyen tac co ban thudc nhdm nguyen tac chung khdng the thieu cua Nha nudc phap . quyen. Vdi tinh chat dd, nguyen tac phap quyen tdn tai trong mdi quan he cd tinh he th6ng va trong sy tac dgng qua l^i vdi cac nguyen tac khac ciia nha nudc phap quyen.
Do dd, khdng the nhin nhan nguyen tac phap quyen tach rdi vdi cac nguyen tac khac ciia nha nudc phap quyen. Hieu qua thye hien nguyen tic phap quyen anh hudng den hieu qua thye hien cac nguyen tic khac cua nha nudc phap quyen. Ngugc lai, hieu qua thuc hien cac nguyen tac khac cua nha nudc phap quyen ciing tac ddng, anh hudng den hieu qua thye hien nguyen tac phap quyen. Vi vay, mgt trong nhung nhiem vu trgng tam trong phucmg hudng xay dyng va hoan thien nha nudc phap quyen XHCN d nudc ta la tiep tuc hien thuc hda cac nguyen tic cua Nha nudc phap quyen da dugc ghi nhan trong Hien phap, trong dd cd nguyen tac phap quyen.
Viec thuc hien nguyen tac phap quyen can tien hanh ddng bg vdi thuc hien cac nguyen tic khac cua Nha nudc phap quyenB
34 Xem Dieu 7.2 2 PICC.
S6 9(385)15/2019 ^ L A P PHAPl
