NGHltNCUV- TRAOBdl
TRACH NHIEM HINH Sl/CUA PHAP NHAN TRGNG LUAT QUOC TE
NGUYEN THI THUAN * Tom tdt: Trudc khi 3$ lugt hinh sv nam 2015 (sica doi, bo sung ndm 2017) dugc ban hdnh, vdndi trdch nhiem hinh su cua phdp nhdn a Viet Nam cung da dugc quan tdm nghien cuu a cdc phgm vi vd miic dg khdc nhau. Diem chung trong cdc nghiin ciht ndy la thira nhgn su cdn thiit phdi quy dinh trdch nhiem hinh su ciia phdp nhdn thuang mgi trong lugt hinh s{c. Tuy nhien, cdc nghiin cicu vi trdch nhiem hinh sir cua phdp nhdn trong phdp lugt quoc ti hdu nhu vdng bdng. Bdi viit phdn tich. ddnh gid quy dinh trong mgt sd dieu udc quoc te phd cgp lien quan din trdch nhiem ciia phdp nhdn ndi chung vd trdch nhiem hinh sir cua phdp nhdn ndi rieng; tic do dua ra nhiing kit lugn khoa hgc vd khdng dinh: tren ca sd chu quyin vd bdng phdp lugt cua minh, qudc gia todn quyin dinh dogt trdch nhiem phdp li ciia phdp nhdn la trdch nhiem hinh su, ddn s\c hay hdnh chinh.
Tie khod: Lugt hinh s^; phdp nhdn; qudc ti; trdch nhiem hinh s{c
Nhgn bdi-19/7/2019 Hodn thdnh biin tgp: 28/8/2019 Duyet dang: 19/9/2019 CRIMINAL LIABILITY OF LEGAL ENTITIES UNDER INTERNATIONAL LAW Abstract: Before the 2015 Criminal Code (amended and supplemented in 2017) was passed the issue of criminal liability of legal entities attracted many studies in different perspectives and at different levels. These studies commonly recognise the need to prescribe criminah liability of commercial legal enitities in criminal law. There are. however, almost none of studies on criminal liability of legal entities under international law. The paper analyses and assesses some universal treaties relating to liabilities of legal entities in general and criminal liability of legal entities in particular. On that basis, it offers scientific conclusions and asserts that with their sovereignty and the law, the countries have full powers to determine legal liabilities of legal entities as criminal liability, civil liability or administrative liability.
Keywords: Criminal law; legal entity; international; criminal liability.
Received: My 1^, 2019; Editing completed: Aug 28f\ 2019; Accepted for publication: Sept ISf", 2019
1. Trdch nhiem hinh s y cua p h a p n h a n nay ngdy cdng tinh vi, pbdc tgp, nhat la cdc theo theo quy dinh cua cdc dieu u"dc quoc te hdnh vi gay d nhiem mdi trudng, budn lau, Thye tien ddi song eda cdc q u I c gia trdn thul, sdn xuat, vdn chuyen vd budn bdn ttong nhiing thdp nien g i n day cho thiy, hdng gid, hdng cam, gian Ian thuang mai, phdp nhdn, ddc biet la cac phdp nhdn thuang trIn ddng bdo hiem cho ngudi lao dgng...
mai ttong boat ddng kinh t l cua minh da gdy dnh hudng tidu eye den mdi trudng song
"pham phdi" cdc tgi phgm hinh sy ngMem an Idnh ciia ngudi ddn, gay mdt dn dinh ve ttong va dien biln cua cdc hanh vi phgm tdi an ninh chinh tti cua qudc gia. Chinb vi vay, phdp ludt cua m^t sd qudc gia da cd cdc quy
•Gia„gvil„cocip,Tr.<mgD,ih,cL„atmN5i « • * ^^ t ^ ^ * " " ^ ^ " ' ^ ( ™ " ^ ' "^
E-mail: thuanngnyenlghlii.edu.vn phap nhan. Mile dp va pham vi TNHS cua
NGHIENCUV- TRAODOI
phdp nhan dugc gM nhgn ttong phdp lugt eda cdc nude khdng gilng nhau do dge thu kinh te-xd hdi ciia mli nude.*'' Qua trinh bdt ddu binh sy hod ttdch nMem ciia phdp nhdn duge thuc Men d cdc quIc gia cung cd sy khdc bi?t, cd quIc gia da ghi nhdn ttdch nMem ndy trudc kM cd cde quy dinh eda dilu ude quoc tl ve TNHS ciia phdp nhan, cd quIc gia kM tham gia cdc dieu udc qudc te loai nay da cam ket chuyen hod cdc quy pham lugt quIc td vdo he thdng phdp luat quIc gia dl dp dyng. NMn chung, viec xdc dinh TNHS eua phdp nhan ngdy edng ttd thdnh xu tbl chung tren the gidi. Cho tdi nay dd cd 119 qudc gia quy dinh TNHS cua phdp nhdn. Trong khudn khd Hiep hdi cde qudc gia Ddng Nam A (ASEAN) da cd 5 qudc gia quy dinh TNHS cua phap nhan ttong bd ludt binh sy.'^' Trong thuc tien xet xir hinh su cua cac qudc gia dd cd nhilu vu dn Idn md cde phdp nhdn, chu yeu la cdc tap doan va cdng ti xuyen qudc gia ttong vai trd bi edo da dugc tien hdnh thy li va giai quyet. Gdn ddy nhdt, mgt toa an d Hoa Ky dd xet xii Cdng ti Monsanto ve edo huge sdn xudt thudc diet cd gdy ung thu cho ngudi su dyng la dng Dewayne Johnson - ngudi chdm sdc sinh thai cho mdt trudng hgc d California. Phan quyet cua tod dd dua ra dn phgt hang ndy phai bdi thudng cho ngudi bi hgi tdng sd tien la 289 trieu dd la
(1). Trinh Qu6c Todn, ChuySn dl: "M^t s6 van dl ca bdn vl trdch nhiem hinh sir ciia phdp nhan trong lu£t hinh su m6t si nuic theo truyln fli6ng Common Law", Dl tdi nghien cilu khoa hpc cdp bp: "Nghien aip so sdnh ca sa li lugn vd thuc tiin cua vi4c dp d^ng track nhifm hinh su ddi v&i l6 chicc", Cao Thj Canh (chii nhi$m), Vi^n khoa hpc phdp li. Bo tu phdp, 2011.
(2). Phu luc J KI ho^ch ciia Chinh phii idy >- kien nhdn ddn vl du thao B6 ludt hinh sir (sua dii) ndm 2015.
MS do khdng cd nhOng cdnh bdo phu hgp vl nguy ca logi thudc diet cd Roundup cua hang ndy cd thi gay ung thu eho ngudi dimg.
Day Id vy kien ddu tien dugc dua ra xet xu lien quan din edo bugc chdt glyphosate, thdnh phan chu ylu ttong thudc diet cd Roundup ciia Cong ti Monsanto cd lien quan din b?nh ung thu. Bdn dn da "kich hogt" Idn sdng ki^n tyng cd tinh todn cdu ddi vdi Cdng ti Monsanto. Hien cd hang nghin vy kien tuong tu dang dugc tod dn cdc cdp cua Hoa Ky thy li chdng Igi "ke tdi dd" - Cdng ti Monsanto.*^'
Dudi su tdc ddng vd dnh hudng quyet dinh cua dinh che TNHS cua phap nhdn ttong Mat cua cdc qudc gia tten the gidi.
Cling nhu mil quan he tuang tdc cua TNHS cd nhdn trong ludt qudc tl dd gdp phdn dinh hinh nen dinh chi mdi cua lugt Mnh su quIc tl - dinh chi TNHS cua phdp nhan. Danh gia tu gdc do lich su, loai hinh TNHS nay da cd tiln de vd ca sd thye tien, phap li ngay tu sau Chiln ttanh tbl gidi Idn thu hai. Ngay ttong cdc van ban phdp li Uch su cua khdi Ddng minh sau ehien thing da xdc lap vi?c thanh lap Toa dn quan sy qudc te Nuremberg xet xu tgi pham ddu sd Due qudc xa, ddng thdi tuydn bd Ddng qudc xd (Dang qudc gia xa hgi Due) vd cdc ca ciu vu trang SS va Giettapd la cdc td chuc tOi phgm, bi ddt ra ngodi vdng phdp Mat, phdi chdm dut tdn tai.
Bdn thdn cdc thanh vi6n cua cdc tl ehde chinh tti-qudn su neu tren phdi chiu TNHS qudc tl dii vdi hanh vi tdi dc do ea nhan (3). https://vtv.vn/the - gioi/du - luan - my - voi -vu - kien - cong- ti - monsanto - 201808121224 1856.htm, tmy cdp 13/11/2018.
62 TAP CHI LUAT HOC SO 6/2019
NGHIEN CUV - TRA O DOI
tiiyc M?n. Day Id trudng hgp hdn him vl TNHS ciia phdp nhdn (td chiic) troi^ ludt quoc te.
TrSn phuong dien li ludn, vgn de TNHS eda phdp nhdn td quan dilm ludt qudc te mdi tiiyc sy dugc chii y ttong nhihig thdp nien gan ddy, kM Idn sdng tdi pham do phdp nhan
"thye hien" ngdy cdng gia tang vl sd lugng vd tinh chit, miic dd tdi phgm ngay cdng phire tgp va tinh vi. Dge biet la cdc logi tdi phgm cd td chiic xuyen qudc gia, tgi phgm tham nhiing, tgi phgm khiing bd, tdi pham rda tien... do phdp nhan vdi dac thu ve eo ciu tl chirc va tdi ehinh thue Men ngay cdng nMeu, nhdt Id cdc tdp dodn, cdng ti ngdn hdng xuyen qudc gia, da gay nMlu he luy nghiSm ttgng cho quyen vd Igi ich khdng cW ciia mgt qudc gia ma thdm chi cd khd nang 1dm dnh hudng tdi nen kinh tl toan cdu.*'*' CMnh vi IS dd, dya tten ca sd cdc quy dinh M?n hdnh cua Mat qudc gia ve TNHS cua phdp nhdn, ddng thdi nhdm muc dich thdng nhdt hod cdc quy pham ludt qudc gia cua cdc nude ve van de ndy, cdng ddng qudc t l ttong khudn khd Li€n hgp qudc da tien hdnh sogn thdo vd thdng qua eac dieu ude qudc te vl phdng chdng tgi phgm, ttong dd cd phdn gM nhdn vl TNHS ciia phdp nhdn. Trong Mat hinh sy qudc tl, khdng cd nMlu dilu udc qudc t6 chIng tgi pham cd tinh chat quIc te ghi nhan TNHS ciia phdp nhdn. Mdc dii khdng nMeu nhung do dac thu ca ciu td chiic vd hogt dgng ciia phdp nhdn, ddc biet la phdp nhdn thuang mai, "dd phu" cua dinh
che TNHS ciia phdp nhdn ttong lugt quIc l l bao triim hdu nhu toan bg cdc hdnh vi tdi phgm eua phdp nhdn thye Men ttong ddi sing kmh tl todn cau. Cd thi ting kit duge cdc ddc tiamg co bdn cua dinh chi TNHS cua phdp nhdn ttong lugt quIc tl thdng qua vi^c ngM6n ciiu, phdn tich ndi dung dinh chi ndy dugc ghi nhdn ttong mdt si dilu udc quoc tl cd lien quan sau ddy:
Thu nhdt, Cdng udc eua Lien hgp quIc ve chIng tgi pham cd t l chiie xuyen quIc gia dugc ki kit nam 2000 tgi Palermo (Cdng udc Palermo). Ddy Id Cdng udc da phuong toan ciu cMnh thiic cd Men lye tii ngdy 08/6/2012. Viet Nam Id thdnh vien cua Cdng udc nay kl tii ngay 08/6/2012.
Trong phan quy dinh TNHS cua phdp nhan, Cdng udc da quy dinh rd; Moi quIc gia thdnh vien se ban hanh nhiing bien phdp can thiet, phii hgp vdi nhihig nguyen tdc phdp li eda minh nhdm myc dich xdc dinh trdch nhiem phdp li cua phap nhan ttong vi?c "tham gia" cdc tgi phgm ngMSm ttgng lien quan den nhdm tgi phgm ed t l chiic vd ttong vi?c "thye Men" nhung hdnh vi tgi phgm sau ddy:*
Tham gia vdo nhdm tgi phgm cd td chdc: Ddy la nhiing hdnh vi dugc thye M^n mdt each cl y thoa thudn vdi mdt hogc nhidu ngudi dl thuc Men tgi phgm ngMem ttgng bode cd lien quan din mgt hdnh vi do mOt
(4). Hi Trpng Ngu, "Vdn dl t0i pham c6 t l chiic vd trdch nhi^m hinh s\r phdp nhdn trong sua doi B$ lu^t hinh Sit 1999", T<fp chi nghien cicu Igp phdp, si 3/2009.
(5).Xem them: Khodn 1 Dilu 10 Cong u6c Palermo ndm 2000 ve ph6ng chong t$i pham c6 to chiic xuySn qu6c gia. B$ cong an, Vu phdp che, Tuyin t§p cdc vdn ki?n phdp If qu6c tl c6 lien quan den ph6ng, chong tOi pham c6 to chfrc xuyen quoc gia md Vi6t Nam dd i kit ho^c gia nhdp, (t$p I), Nxb. Lao d^ng, HdN9i,2014.
63
NGHIJNCtJV- TRAODdl
thdnh vien thye M6n thod thudn hode lien quan din m0t nhdm tdi phgm cd t l chdc, nlu phdp ludt ttong nude quy dinh nhu vdy.
Cdng udc Palermo quy dinh cdc quIc gia phdi Mnh sy hod cdc hdnh vi n§u trdn.**'
- Hgp phdp hod tai sdn do pham tdi md cd: Ddy Id cdc hdnh vi chuyin ddi, chuyin giao tdi sdn do phgm tgi ma cd nhdm che giau ngudn gdc bat hgp phdp hode nhdm giup dd bit ki k6 phgm tdi ndo lin trdnh phdp lugt; hode Id hdnh vi che gidu bdn chat thye sy, nguon gdc, dia dilm, viec chuyen nhugng, v$n chuyen, quyln sd hftu hay nhung quyen khac ddi \m tai sdn; bode Id hdnh vi cMlm biru bode sii dyng tai sdn do pham tgi ma cd. Ngodi ra, Cdng udc quy dinh hdnh vl hgp phdp hod tdi sdn do phgm tdi md cd cdn bao gdm cdc hdnh vi tham gia, hdnh vi liSn ket bay thdng dong thye Men, hi ttg, xiii giyc, tgo dieu kien vd thye M$n bat ki hdnh vi tgi phgm nao dugc liet ke d tten. Tuy nhien, Cdng udc nhan mgnh, cdc hdnh vi hgp phdp hod tdi sdn do phgm tdi md cd phdi dugc dinh danh la tgi phgm dya tten nIn tdng vd phu hgp vdi phdp Iudt ciia qudc gia thdnh vien.
- Tham nhiing: Theo Cdng udc, day la cde hdnh vi cl y hira h?n, de nghi tiiic tilp hay gidn tiep mgt mdi Igi khdng cMnh ddng cho mgt vien chdc nhd nude hay thue thi khdc, de viSn chdc dd hanh dgng hogc khdng hanh ddng, cung nhu cdc hdnh vi gg gam chip nhdn true tilp hay gidn tiep cua viSn chiic nha nude ddi vdi mdi Igi ndo dd khdng chinh ddng danh cho ngudi dd bay thue the
. khdc dl vien ehde nhd nude hdnh dgng hode khdng hdnh dOng ttong kM thye tM cdng vy cua minh.
- Cdn ttd boat dgng tir phap: Ddy Id hdnh vi dugc Cdng udc Palermo yeu cau cdc qudc gia phdi cd nghia vy hinh su bod. Theo Cdng udc, day Id cdc hdnh vi sd dung, de dga sd dyng vii lye bode hdm dga, hda hen, de nghi hogc cimg cdp mdt mli Igi khdng cMnh dang dl ngudi bi thdm vin khai sai sy thdt ho^c nhdm myc dich can tMep vdo viec dua ra Idi khai hay ehung cd ttong vu dn lien quan den tdi pham thuge phgm vi dilu chinh cua Cdng udc Palermo. Ngodi ra, Cdng udc cdn quy djnh cdc hdnh vi sd dung bay de dga sd dung vii luc hogc ham dga nhdm can tMep vao viee thye tM cdc nhiem vu cMnh thdc cila nhdn vien tu phdp hogc hdnh phdp li6n quan din cdc tdi pham thudc dii tugng dilu cMnh cua Cdng udc deu bi coi Id tgi phgm.
- Hanh vi pham tdi ngMdm ttgng Id eac hdnh vi cd the hi trimg phgt theo khung Mnh phat tii giam it nhat la bdn ndm hode m$t Mnh phat ndng han.*^*
Nhu vdy, TNHS eda phdp nhdn sS dugc xac dinh kM phap nhan "tham gia thye Men"
ede hanh vi dugc xdc dinh ttong ndm logi Mnh tgi pham neu tren, ddy Id tgi pham cd to chdc xuyen qudc gia. Trong khoa hgc luat binh sy quIc tk, logi tgi phgm nay Id m^t ttong si it tdi pham cd tinh chat qudc te cho din nay dugc coi la nIn tdng phat sinh ttdch nhiem phdp li cua phdp nhdn. Ddc thii ciia tgi phgm cd t l ehiic xuydn quIc gia Id dugc
(6). Khoan 1 Dieu 5 Cong u6c Paleimo ndm 2000.
(7). Xem tham: Muc b Dilu 2 Cong udc Palermo ndm 2000.
TAP c m LUAT HOC SO 6/2019
NGHIEN CVV - TRAO Ddi thye Men bdi nhdm tgi pham cd td ehde vdi
eo cau gdm td ba ngudi ttd Idn vdi diu Mdu bilu hi?n tdi phgm cd tinh xuydn qudc gia (lien quan din td hai quIc gia ttd len).*
Tuy nMSn, quy djnh eda Cdng udc vl nghia vy xdc lap trdch nhi&n phdp li cua phdp nhdn dii vdi quIc gia khdng thuc sy triet dl, nd bi hgn chi bdi khudn khd phdp ludt qudc gia vd theo y cM eda quIc gia. Dilu ndy dugc thi Men ttong quy dinh, qudc gia thdnh vien xdc dinh ttdch nMem nay phu hgp vdi cde nguyen tdc phdp ludt cua minh vd hg cd quyln ty do xac dinh trdch nMem dd cua phap nhdn cd the la Mnh su, dan sy hay hanh chinh phu thudc vdo he thdng phdp ludt cua quIc gia. Nhu vgy, tinh rang bugc phdp U qudc tl cua dinh chi trdch nhifm phdp li cua phdp nhdn la khdng cao, bi gidi hgn bdi ludt qudc gia. j
Cdng udc Palermo nhdn manh ttdch nM^m phdp li eda phdp nhan hodn todn khdng anh hudng din TNHS cua cde ed nhdn thuc Men cac hanh vi phgm tgi. Cde ed nhan nay phai chiu TNHS rieng biet, ddc lap vdi TNHS eiia phdp nhdn, vdi khung binh phat eu th6 dugc quy dinh ttong ludt quoe gia.
Dieu ndy cung dugc Cdng udc gM nhdn ddi vdi phdp nhan: "Qudc gia thdnh vien se bdo ddm rdng cdc phdp nhdn chiu trdch nhiem phdp li... phdi chiu cdc hinh phgt hinh su hay phi hinh s\c cd tinh hieu qud, tuang xung vd cd tdc dmg ngdn chdn, bao gdm cd cdc hinh phgt bang tien".^^^ Vdi quy dinh nay, Cong udc Palermo ddnh quyen xet xu vd dp
dyng cdc bign phdp chi tai cho quIc gia vd phdp ludt quoe gia dii vdi cae hdnh vi phgm tgi cd t l chuc xuySn qudc gia cua phdp nhan.
Thie hai, Cdng udc cua Lien hgp quIc vl chIng tham nhiing dugc cac qudc gia ki ket vdo nam 2003 vd cd Men lye td ngay
18/9/2009.*'**'
Trong phan quy dinh ve trdch nhiem phdp li cua phap nhdn, Cdng udc da ghi nhdn ngMa vu eua moi qudc gia thanh vi6n phdi dp dyng cdc bien phdp can tMet, phu hgp vdi cdc nguySn tdc phdp lugt ciia minh de xdc dinh ttdch nMem cua phdp nhdn ddi vdi hdnh vi tham gia vdo eac tdi pham duge Cdng ude quy dinh. Cdc loai tdi phgm tham nhiing dugc ghi nhdn va xdc dinh ro ttong Cdng udc Id:
- Hanh vi hIi Ig cdng chuc quIc gia, cdng chdc nude ngodi va cdng chiic cua td chiie qudc te cdng.
- Hdnh vi tham d, biln thu hogc cdc Mnh thuc chilm dogt tdi sdn khdc dugc cdng chdc thye Men.
- Hdnh vi Igi dung dnh hudng de tryc Igi, Igm dyng chdc ndng de kiem Igi bat cMnh, lam gidu mdt edeh bat hgp phdp.
- Hanh vi hdi Id trong khu vye tu nhu kinh tl, tdi cMnh vd thuong mgi.
- Hanh vi biln thu tai sdn ttong khu vye hi.
- Hdnh vi tiy rua tai sdn do phgm tdi ma cd; hdnh vi che gidu vd tilp tuc chilm giu tai sdn; hdnh vi can ttd hoat dgng tu phap.
Ddi vdi eac hdnh vi neu tren, qudc gia thdnh vien phdi su dung cdc bien phdp lap phap vd cac bien phdp khac xac dinh tdi (8). Xem thSm: Muc a Dilu 2 C6ng uoc Palermo
ndm 2000. (10). Vi?t Nam dd phe chuan Cong uoc tii ngdy (9). Khoan 4 Dieu 10 C6ng u6c Palenno ndm 2000. 30/6/2009.
TAP CHI LUAT HOC SO 6/2019 65
NGHIEN CUV- TRAO Ddi
phgm vd se thudc phgm vi dilu chinh ciia Cdng ude. Cung nhu Cdng ude Palermo, Cdng udc chIng tham nhimg quy dinh quyln cua qudc gia thanh vien phy thudc vdo cdc nguyen tdc phdp lugt cua minh xde Igp trdch nMem cua phdp nhan, cd till la TNHS, ddn sy hogc hanh chinh.*'" Nhu vdy, dinh chi ttdch nhi?m phdp li eiia phdp nhan ddi vdi tgi phgm tham nhiing cung cd gidi hgn vd duge xac Idp ttong khudn khd Mat quIc gia.
Dong thdi, Cdng udc ve ebing tham nhiing nhdn mgnh, trach nhi?m neu tten hodn todn khdng dnh hudng din TNHS cua tbl nhdn da thye hien tgi phgm tham nhiing, ddy la hai dinh chi TNHS rieng biet danh cho hai chu the chinh cua he thdng ludt ttong nude cua bdt ki quoe gia ndo. Dge biet, Cdng udc cdn quy dinh rdng huge nghTa vu phdp li qudc tl cua qudc gia phai dam bao cdc phdp nhdn gdnh cMu TNHS theo quy dinh eua Cdng udc phdi chiu che tai hinh sy hogc phi hinh sy thich ddng, tuong xiing va cd tdc dyng ngan chdn, bao gdm ed hinh phat tien. Ddy la dac ttimg khdng chi ddi vdi TNHS cua phdp nhdn md cdn ca cd nhdn. Ludt hinh su qudc te (cu the Id dieu ude quoe te hdu quan) thudng dan ehieu tdi ludt qudc gia trong toan bg qud trinh xet xu, ra phan quyet vdi cac hinh phat cu the, vdi dieu kien ede hinh phat nay phai thich dang, tuong xiing vd cd tac dung ngdn ngua tgi pham.
Thu ba, Cdng udc qudc te ve trimg tri viec tdi trg cho khdng bd dugc ki ket nam 1999. Viet Nam da Id thdnh vien cua cdng ude qudc te da phuong todn eau ndy.
Cdng ude quy dinh TNHS cua.phdp nhdn ttong viec thye Men tdi phgm tdi ttg cho khdng bd vdi ngi dung: "Mdi qudc gia thdnh vien se thicc hiin cdc biin phdp cdn thiet, phii hgp vdi cdc nguyen tdc phdp lugt cua qudc gig, di mgt phdp nhdn cd tru sd trong Idnh thd ciia minh hogc duoc id chicc thdnh lap theo lugt phdp cua qudc gia minh phdi chiu trdch nhiem khi ngudi cd trdch nhiem qudn li hay kiem sodt phdp nhdn dd, vdi tu cdch ndy thuc hiin tgi phgm thuge phgm vi dieu chinh cua Cdng uoc ". Day la cdc hanh vi tryc tilp hay gian tiep, bdt hgp phdp va cd y cung cap hode huy ddng ngudn tdi chinh vdi y dinh sd dung hoac nhdn thuc dugc nguIn tai chinh dd dugc sd dyng mgt phdn hay todn bd nham thye Men bit ki hdnh vi khiing bd nao dugc dinh danh trong 8 cdng udc ve chdng khung bd quoc te edng nhu nhdm thye bien bdt ki hanh vi ndo khdc nhdm giet hai hogc lam hi thuang ngMem ttgng den than the thudng dan hode bat ki ngudi ndo khdc khdng tham gia vao xung dot qudn su, vdi myc dich hdm doa ddn ehung hay chinh phd bode td chuc quoe te phai thye hien hogc khdng thye M$n hdnh vi ndo dd. Phu hgp vdi cdc nguyen tac phdp ludt trong nude, cdc quoc gia thdnh vi^n ed the xac dinh ttdch nhiem nay Id hinh sy, ddn sy hode hdnh cMnh.*'^' Ben egnh dd, Cdng udc cdn nhdn manh ttdch nhiem phap li eua phdp nhan hodn todn khdng 1dm dnh hudng tdi ttdeh nhiem cua cd nhan da pham tgi tdi trg
(11). Khodn 1 vd 2 Dieu 26 C6ng udc chIng tham nhung ndm 2003.
(12). Dieu 5 Cong \xisc ve chong tdi trp khiing b6 ndm 1999.
(13). Khodn I Dilu 5 Cong u6c chIng tdi trp khiing bl ndm 1999.
66 TAP CHI LUAT HOC SO 6/2019
NGHIENCUV- TRAODOI cho khung b l , mdi qudc gia phdi ddm bao
ring phdp nhan cd ttdch nhiem phdp U d i i vdi tgi tai ttg khung b l phdi gdnh chiu cdc Mnh phgt v l Mnh sy, ddn sy va hdnh cMnh hiiu hieu, thich hgp. va cd tinh chdt ngdn ngira, bao gdm ed cdc binh phat tien.*''*'
Xudt phdt tir dac trung cua logi tgi phgm tdi ttg khiing bd, Cdng ude cdn quy dinh cac ngMa vy ddi vdi phdp nhan, cy the Id cdc td chdc tdi chinh, tin dyng phdi su dung cdc bien phap hieu qud nhat de nhdn dang cdc khdch hdng thudng xuyen hoac vang lai cua nunh, Cling nhu dac biet luu y tdi nhiing giao dich nghi vdn; dong thdi Cdng udc ydu cdu cde phdp nhdn tai chinh, tin dung phdi dp dung cac bien phdp kiem tra sy tdn tai phap li vd CO edu td chuc thye te cua khdch hdng vd nghia vu bao edo nhanh chdng eho cac co quan nhd nude cd thdm quyen ve cac nghi ngd eiia minh ve cdc giao dich Idn bat thudng. Ngoai ra, ede phdp nhdn tai ehinh, tin dung cdn phdi luu giu it nhat trong 5 nam tdt cd cdc hd sa cdn thiet ve cdc giao dich ttong nude va qudc t e . . . Cdc nghia vu neu tten dugc cy the hod trong luat qudc gia md phdp nhdn tdi ehinh - tin dung mang qudc tieh (thdng qua boat dgng ngi ludt hod Cdng ude chdng tai ttg khung bo) eua cdc qudc gia thanh vien.
Thu tu, Cdng ude ve chdng hdi Ig ede quan chuc nude ngodi trong giao dich thuang mgi quoc te cua Td chuc hgp tdc va phdt triln (OECD) ndm 1997 cd hieu lye t u nam 1999. Cdng ude Men ed 44 thanli vien.
(14). Khodn 3 Dieu 5 Cong ucrc -'hlng tdi trp khting bindm 1999. '
trong dd bao gdm 8 qudc gia khdng phdi Id thdnh viSn eda OECD, Nhat Bdn la qudc gia duy nhdt d chau A la thdnh vien cua t l chuc qudc te ndy.
Ngi dung Cdng udc ghi nhdn cdc dilu khodn cu the lien quan den trdch nhiem phap li cua phdp nhan trong viec chdng hdi Id ede quan chuc nude ngodi ttong giao dich thuong mgi qudc te. Theo quy dinh cua Cdng udc, mdi thdnh vien cua Cdng udc se thi hdnh cac bien phdp can thiet, phu hgp vdi cdc nguyen tac phdp ludt nude minh nhdm xdc lap trdch nhiem eua phdp nhdn trong vdn de hdi Id cdc quan chuc nude ngodi. Cdc hdnh vi hdi Id phdi dugc cde nude thdnh vien ghi nhdn la tgi pham, cu the cac hanh vi ndy bao gdm:
- Hdnh vi cd y de nghi. hua hen hogc danh cho quan chdc nude ngoai mgt each tryc tiep hoac gian tiep cac Igi ich vgt chat bode cde Igi ieb khac hogc cho ngudi thu ba, nhdm muc dich de quan chuc ndy hanh dgng hogc khdng hdnh dgng trong ITnh vye thue quan chinh thue, nham nhdn dugc hoac chiem dung cae Igi ich kinh doanli hoac cde quyln Igi khdng chinh ddng khdc trong qua trinh giao dich thuang mai qudc te.
- Hdnh vi ddng phgm. bao gdm ca hdnh vi xui giuc, trg giup, khuyen khich hoac u>
nhiem hdi Id cde quan chue nude ngoai.
Hdnh vi ed gdng vd dm muu hdi Id cde quan chuc nude ngodi eung dugc col la hdnh vi tgi phgm cung muc dp nhu hdnh vi cd gdng vd am muu hdi Id quan chdc trong nude.
Cdng udc eua OECD nhan manh, hdnh vi tgi pham h I i Id s6 bi truug phat bang cde bien phap c h i tai hieu qua, tuong xung vd 67
NGHIJNCUV- TRAO Ddi
cd khd nang ngdn ngda ttong trudng hgp ludt qu6c gia khdng gM nhdn TNHS dugc dp dyng ddi vdi phdp nhdn, bao gdm cd bi§n phdp phgt tiln. Nhu vdy, Cdng ude cua OECD vl chIng tgi pham hIi Id cdc quan chuc nude ngodi ttong giao dich thuang mai cd ngi dung quy dinh vl ttdch nMem cua phdp nhdn eung tuang ty nhu eac cdng ude dd ttinh bay d tten nhung sir dyng td ngii ed khac hem, cy thi ban. Nhdn xet vl vdn de ndy, Binh ludn cua Hgi nghi dam phdn ndm 1997 dd ghi nhdn: "Trong trudng hgp theo he thdng phdp lugt cua qudc gia thdnh vien, trdch nhiem hinh su khdng dugc dp dung ddi vdi phdp nhdn thi qudc gia thdnh viin se khong bi rdng bugc trong viec xdc djnh trdch nhiim hinh su nhu vdy". Nhu v|iy, mgi quIc gia thanh vien Cdng ude xdc lap hay khdng TNHS eda phdp nhan hodn todn phu thudc vdo y ehi cua nhd nude thi Men ttong he thing phdp lugt nude minh.
Dua tren nen tang ngMen eiiu cdc quy dinh xdc lap ttdch nMem phdp li eda phdp nhan ttong ludt qudc te, cu the la TNHS dugc gM nhgn ttong cac cdng udc da phuong todn cdu n6u tt§n, cd tbl xdc dinh duge mdt sd ddc trung cua dinh che nay:
TNHS ciia phdp nhdn dugc xay dyng dya ttSn ca sd cde quy dinh ve TNHS cua cd nhdn dugc gM nhdn ttong cdc dieu udc quoc te ve ddu ttanh phdng chdng tgi pham cd ti'nh chdt qudc te.
- Qudc gia cd quyln dp dung mgi biSn phdp dl xde dinh ttdch nMem cua phdp nhan tten eo sd phu hgp vdi lugt qudc gia. Dong thdi dya tten cdc nguyen tdc phdp luat cua
minh, quIe gia cd tbl xdc dinh dd la ttdch nMem ddn sy hode hdnh chinh, chii khdng nhdt tMit phdi Id TNHS.
- TNHS cua phap nhdn la doc Igp vd riSng biet dii vdi TNHS cua cd nhdn phgm tdi. Viec ttiiy cuu TNHS cua cd nhdn khdng duang nMSn logi bd ttdch nhiem cua phdp nhan vd nguge Igi TNHS cua phap nhdn khdng mac nMdn logi trd ttdch nhiem tuong dng cua cd nhdn phgm tdi cd HSn quan.
- Trong vin dl dp dung khung hinh phat, tudn thu ludt ttong nude, mli qudc gia thanh vien dIu cd nghia vy ddm bdo phdp nhan phdi gdnh chiu cde Mnh phgt ed M6u qud, tuong xiing va cd tdc dung ngan ngda tdi pham. Cdc bien phdp nay cd the Id Mnh su hode phi Mnh su, bao gIm ed hinh phat bang tien.
Tir ede ddc trung nay cd the khdng dinh:
1) Viec xdc lap dinh che TNHS cua pl^p nhdn, phgm vi vd muc do trdch nMem ndy den ddu phu thudc vdo y chi eua qudc gia.
Quyet dinh nay bi cM phdi bdi quan diem, dudng loi, ehinh sdch va thye tiln cua moi quoe gia. Ddy ciing la mgt trong nhung nguyen nhdn ddn din sy da dgng ttong dinh che TNHS cua phap nhan ttong phdp lugt hinh sy cua cac nude. 2) Xu hudng Mnh sy hod ttdch nMem cua phdp nhdn dii vdi mdt si loai tdi phgm nhu Id ngMa vu eua cdc qudc gia hiiu quan se ddn dugc khdng dinh, md "budc di ban diu" chinh Id viSc gM nhgn nhimg quy dinh Hen quan din TNHS cua phdp nhdn (du chu yeu mdi cM mang tinh chit khuyln nghi) - dilu md cM tiiyc tien hgp tdc diu ttanh phdng ehing tdi phgm nhiing thgp men gan day mdi dugc ehung kiln.
68 TAP CHI LUAT HOC SO 6/2019
NGHltNCUV' TRAOBdl 2, Che dinh trach nhiem hinh sy cua
phdp nhan trong phap iu^t Vift Nam tu goc dp lu$t quoc te
Vigt Nam M?n dd la thdnh vien cua Cong udc chong tgi phgm cd td chdc xuyen qudc gia, Cdng udc chdng tham nhiing, Cdng udc chong tdi trg eho khung bl, ddng thdi la thanh vi&i tieh eye ciia nhdm AlPG (nhdm chau A - Thdi Binh Duong ve phdng, chdng tdi pham rda ti6n). O Vi$t Nam ciing da cd mgt sd edng trinh ngMen cuu ve TNHS cua phap nhan dugc cdng bd trudc vd sau kM Bd ludt hinh sy ndm 2015 dugc ban hanh.* ^* Mae du Meu lye eua nhihig quy dinh vl hinh su hod ttdeh nMem eiia phdp nhdn ttong cac dieu ude qudc tl da phuong todn cdu Men nay ehua triet de*'^* nhung hudng tdi viee hdi hod boa phap lugt qudc te vd phdp ludt Viet Nam cung nhu dam bdo va tdn ttgng tuan thu nguygn tdc pacta sunt servanda ttong ludt qudc te, Viet Nam da chuyen hod cdc quy dinh vl TNHS cua phdp nhan tir cdc vdn bdn phap li qu6e te ndi tten vao lugt hinh sy Viet Nam.
Bg ludt hinh su Viet Nam 2015 (dugc sua ddi, bd sung nam 2017) da ddnh Chuong XI de gM nhdn eac quy dinh ddi vdi phdp nhan thuang mai pham tgi vdi ede ngi dung quan ttgng:
- Dieu kien chiu TNHS cua phdp nhan thuang mgi;
(15). Trk Vdn Dp, Chuyen 3k "Co so li lu^n vd thye tien cua vi§c quy dinh vl trdch nhiem hinh sy doi vdi tl chiic phdp nhdn trong ludt hhih sy Vi|t Nam", D I tdi nghifin ciiu khoa hpc cdp bp: "Nghien cuu so sdnh ca sa li lu^n vd thtcc tien cua viec dp dyng trdch nhi$m hinh stf doi vai to chuc", Cao Thi Oanh (chu nhi?m), Vi?n khoa hpc phdp li - B6 tu phdp, 2011.
(16). Quy dinh chi c6 tfnh chit tuy nghi.
- Pham vi chiu TNHS cya phdp nhdn thuang mgi;
- Cdc Mnh phgt ddi vdi phdp nhan thuong mgi phgm tgi va cdn ed quylt dinh hinh phgt doi vdi ede phdp nhdn ndy;
- Cde tinh tilt tdng ndng hode gidm nhe TNHS eiia phdp nhdn thuong mai;
- Cde vdn de cd tinh ki thuat lien quan den Mnh phgt nhu quylt dinh hinh phat ttong . trudng hgp phgm nhilu tgi; tdng hgp hinh phat cua nMeu bdn dn; mien hinh phat vd xod dn tich.
Trong dd, phgm vi chiu TNHS va Mnh phat ddi vdi phdp nhan la cdc vdn dl phdp li cd lien quan den ede dieu khodn cam ket ciia cdc qudc gia ve ttdch nMem phdp li eua phdp nhan ttong cdc dieu ude quIc tl htm quan md Viet Nam la thanh vien. Theo Bd ludt hinh sy Vi6t Nam, phdp nhdn tljuang mgi phdi chiu TNHS ddi vdi 33 tdi danh dugc gM nhgn trong Bg ludt Mnh su, nhu: tgi budn Igu; tdi van chuyen ttdi phep hdng hod, tien te qua bien gidi; tgi san xuat, budn ban hang cdm; tgi tdng trii, van chuyen hdng edm; tgi sdn xuat, budn bdn hang gid; tdi ddu co; tgi ttdn thue; tgi ttong ITnh vuc hoat dgng chiing khodn; tgi gian Ian ttong kmh doanh bdo Mim; tgi vi phgm quy dinh ve cgnh ttanh vd cdc tgi pham khac ttong ITnh vuc quyen tde gid, quyln lien quan, sd hiiu cdng ngMep, phdng ngda vd ling phd khac phuc sy cd thiSn tai, bdo ve cac ngudn tdi nguyen tMSn nMen, khodng sdn, riing, ddng thuc vat, khu bdo tin thi^n nMen, tdi tdi ttg eho khung bd, tdi nia tiln. NMn ehung cac tdi phgm neu tren deu cd thi dugc phdp nhan thye hien ttong ITnh vuc hogt ddng nghe nghiep ciTa
TAP CHI LUAT HQC SO 6/2019 69
NGHIENCUV- TRAODdl
minh. Vi?c gM nhdn cde tgi phgm md phdp uhan phdi chiu ttdeh nM$m ttong lugt Mnh sy Viet Nam vl ea bdn da ddp ling duge cdc ydu cau ma dilu udc qudc tl chIng tdi phgm cd tinh qudc tl ddi hdi, ed "do phd" tuong ddi toan dien, tuy nMgn cin ngMSn ciiu va bd sung cdc tgi danh mdi cho phd hgp vdi cdc cam ket qudc tl ma Viet Nam ty nguyen thye Men kM chung ta la thdnh vien eua dilu ude quIc tl hiiu quan*^^* nhu tdi cdn ttd boat dgng tu phdp, tdi hIi Id, tgi tham nhiing, tdi tham d, biln thu... Ddy Id nhiing hdnh vi tgi pham dugc gM nhdn ttong hai cdng udc vl chong tham nhung va tgi pham cd t l chiic xuyen quIc gia md Vi$t Nam la thdnh vi6n.
Theo do, cac qudc gia thdnh vien phdi cd ngMa vy dp dung cdc bi?n phdp edn tMit dl quy dinh trdch nMSm cua phdp nhdn, ttong dd cd TNHS ddi vdi vide thuc hign cac tgi phgm dugc dinh danh ttong cdng udc.
V£ vdn de Mnh phgt ddi vdi phdp nhdn thuong mgi phgm tdi, Bd luat hinh sy Viet Nam quy dinh cdc Mnh phgt cMnh: phgt tiln, dinh cM boat dgng cd thdi ban, dinh cM hogt dgng vTnh viln vd cdc Mnh phat bd sung: elm kinh doanh, eim hogt dgng ttong mdt sd linh vye nhdt dinh; cdm huy dgng vdn; phat tiln kM khdng dp dung Id Mnh phgt cMnh. Ddi vdi mdi tdi phgm, phap nhdn thuang mai pham tgi cM bi dp dyng mdt Mnh phat cMnh vd cd the hi dp dyng m0t hoac mdt sd hinh phat bl sung. NMn ehung cde Mnh phgt dugc Bd ludt Mnh su Viet Nam quy dinh ddi vdi phdp nhan pham tgi Id phu hgp vdi thye tien ddi sdng va
(17). Day Id cdc dilu u6c qu6c t l c6 ghi nhdn ve trdch nhiem phdp li cua phdp nhan md Viet Nam Id thdnh vi6n.
quan ttgng hon cd la phd hgp vd dam bao thye M?n cd Meu qud cdc earn kit qudc te ve vdn 6k ndy dugc gM nhdn trong dieu udc quIc tl hiiu quan ma Viet Nam la thdnh vien.
Vdi vi$c ban hdnh Bg lu$t Mnh sy ndm 2015 (sda ddi, bd sung 2017), Viet Nam da thye thi vd tuan thu nghiem chinh nguySn tac Pacta sunt servanda cua lugt quoc te, TNHS cua phdp nhdn dd dugc gM nhdn vdi cdc Mnh phgt ey thi, ddm bdo tfnh Mgu qud, tuang xung vd cd tdc dung ngdn chdn tgi pham ttong tuong lai. Td gde dd li lugn, ddy cMnh Id minh chung cho mdi quan he bien chung gida Mat qudc tl vdi ludt qudc gia. Cac dieu udc qudc tl phdng chdng tgi pham cd tinh chdt quIc tl da tdc dgng tieh eye tdi sy Mnh thanh djnh chi TNHS cua phdp nhdn ttong phdp Mat Viet Nam, gdp phdn "thu hep" sy khac biet giua phap ludt cua Viet Nam vdi phdp ludt qudc te ciing nhu phap lugt cua nhieu quIc gia tr6n the gidi.
Cd the thay, ludt hinh sy qudc te rat
"than ttgng" kM quy dinh vl TNHS eda phap nhdn ttong cde dieu udc quIc tl ve hgp tdc dau ttanh phdng chIng tdi phgm. Minh chiing cho dieu ndy ehinh la sd lugng kha khiem ton cac dieu ude qudc te cd quy dinh vl TNHS cua phdp nhdn ciing nhu ngi dung cua ede dilu khodn ttong dieu udc.
Nghien cuu cde quy dinh dieu chinh cde van de neu tten duge gM nhgn trong ede dilu udc qudc te da phuong todn cdu, cd tbl rut ra mdt si kit luan sau:
Thic nhdt, viee quy dinh trach nhiem phdp li cua phdp nhan chi Id xac dinh chu thi thd hai (phap nhdn) ttong viec tham gia hdnh vi pham tdi dugc ghi nhan ttong dilu ude
70 TAP CHI LUAT HOC SO 6/2019
NGHIENCUV- TRAODdl qudc tl cd lidn quan vd phdi gdnh phju trdch
nMem phdp li (Mnh su, hdnh chinh, ddn su).
Trong trudng hgp theo luat quIc gia; Id TNHS tM ed thSm m^t chu thi (phdp nhan) phdi chiu TNHS b6n canh ed nhan da thye M$n chmh tgi phgm dd. 6 ddy hodn toan khdng xuit Men hdnh vi pham tOi mdi do phdp nhdn thye Men md cM cd hai chu the phdi chiu ttdch nMgm (cd nhdn vd phdp nhan). Vi du: Vu Hdng d td Wolkswagen (Bdc) dd gian Ian ttong viec lap bg phan kilm soat kM thdi, gdy tMet hai cho mdi trudng vd ngudi tieu diing. Ben cgnh viec hang ndy phdi chiu ttdch nM$m phap li ddi vdi khdch hdng tM ede cd nhdn ed Uen quan cua hang cimg phdi chiu trdch nhiem phdp li hinh sy ddi vdi hdnh vi gian Ian ndi tten.
Thic hai, ttdch nMem phdp li ciia phdp nhdn khdng logi bd TNHS eua ed nhdn thye Men tgi phgm. Quy dinh nay the M$n hai logi trdch nMem phap li cua bai chu the khdc nhau ve ciing mdt hanh vi phgm tgi. Theo do, ttdeh nMem phap li cua cd nhdn la TNHS, ttdeh nM6m eua phdp nhdn ed the Id TNHS, dan su hode hdnh chinh tuy thuge quy dinh eda phdp ludt ttong nude eda qudc gia thdnh vi6n. Ngay cd kM phdp nhdn "thye Men" hdnh vi pham t$i theo quy dinh cua dieu ude eung khdng cd ngMa Id phdp nhdn duong nMSn phdi chiu TNHS.
Thu ba, ttong bdt ki trudng hgp ndo, moi qudc gia thdnh vi€n phdi ddm bdo cde phap nhan chiu h:acb nMSm theo dieu udc qudc te him quan phdi chiu che tai Mnh sy ho|c pM hinh su tMeh dang, tuong xiing vd cd tdc dung ngan ch^n. Ddy Id nghia vu md moi quIe gia thdnh vien phdi thye tiii.
Tdm lai, tir gdc dg ngMen cdu cua ludt hinh sy quIc tl, vin dl TNHS eda phdp nhdn dugc nhin nhgn la khdng dan gidn va ddi hdi phdi than ttgng kM dilu cMnh bdng ludt qudc te. Dieu ndy tbl Men qua viee cM ed khd it dieu ude quIc tl gM nhgn logi ttdch nMem ndy va ede quy dinh cdng cM ehu ylu dimg d miic dg nguyen tdc. Vi vdy, suy din eung, tten co sa chd quyln vd bdng phdp ludt cua minh, quIc gia todn quyln djnh doat ttdch nMem phdp li cua phdp nhdn Id TNHS, ddn su hay hanh cMnh./.
TAI Ll£U THAM KHAO 1. Trin Van Do, Chuyen de: "Co sd li lugn
vd thye tien ciia viec quy dinh ve ttdeh nhiem Mnh sy ddi vdi td ebue phdp nhdn ttong Iudt Mnh sy Viet Nam", De tdi ngMen ciiu khoa bgc cap bg: "Nghien cuu so sdnh CO so li ludn vd thuc tiin cua viic dp dung trdch nhiem hinh su dot vdi to chicc", Cao Thi Oanh (chu nMem), ViSn khoa bgc phdp li - Bg tu phdp, 2011.
2. Hd Trgng Ngii, "Viti dl tgi pham ed tl chdc vd trdch nhiem hinh sy phdp nhan ttong sua dii Bg lugt hinh sy 1999", Tgp chi nghiin ciht lap phdp. so 3/2009.
3. Trinh QuIc Todn, Chuyen de: "Mgt si vdn de ca bdn ve ttdch nhiem hinh sy cua phdp nhan ttong Mat hinh sy mdt sd nude theo tii^iyln thing Common Law", De tdi nghien eiiu khoa hgc cap bO: "Nghien cuu so sdnh CO so It ludn vd thuc tiin cua viec dp dung trdch nhiem hinh su ddi vdi td chicc", Cao TM Oanh (ehu nhiem), Vien khoa hgc phdp li, Bg tu phdp, 2011.
TAP CHI LUAT HOC SO 6/2019 71
