KINH NGHIEM QUOC TE

AP DUNG QUYOjNH TRUING H0P NGOAI LE VE MOI T R l l i G TRONG PHAP LUAT

DAU Tl/ QUOC TE VA MOT SO SO SANH Vfil THUC TIEN VIET NAM

Tran T h a n g L o n g *
*TS. PhioTrUdng khoa Ngoai ngu'Phap ly.TrLfdng Pai hoc LuatTP. Ho Chi Minh

Thong tin bai vi6t: Tom tat:

Tie khda: trucmg hop ngoai le, hiep uoc Hien nay, cac hiep dinh dau tu thuong co quy dinh vS tnrong hop
dau hi, sung cong, moi tniong, luat dau ngoEii le, trong do tao ca so phap ly cho quoc gia tiep nhan dau tu
tuquoc thuc hien cac bien phap can thiep dan den viec tuoc quyen set him
cua nha dau tu. Bieu quan trpng la, mpt khi cac bien phap truat hiru
Lich sir bdi viet:
duoc thuc hien tren co so cac ngoai le ve moi truong, cac quoc gia
Nhanbai • 17/09/2018 can can nhac va chuan bi kj^ lu5ng ve ca so phap ly, co sil khoa
Bientap : 02/12/2018 hoc va cac luan cir cho hanh vi ciia minh va luu y den van de boi
Duyetbai .07/12/2018 thuong mpt each hop ly va thoa dang cho cac nha dau tu.

Article Infomation: Abstract

Keywords, exceptions, investment Currently, mvestment treaties often retain the provisions on
treaty, expropriation, environment, exception cases, which provide the legal ground for the host country
intemahonal investment law. to implement interventions to the deprivation of investor ownership.
It is important that, once deprivation measures are taken on the basis
Article History:
of environmental exceptions, the host countries should carefiilly
Received 17 Sep.2018 consider and prepare the legal grounds, scientific justifications
Edited 02 Dec. 2018 and arguments for their behavior and attention to the issue of
Approved 07 Dec. 2018 compensation reasonable and satisfactory for the investors.

1. Ngoai le ve moi trirtrag trong lu^t d4u eong cu can bang giiia yeu cau cua bao hg
tir qu5c te dau tu nude ngoai va bao ve cac gia tri hoac
1.1. Khdi quat chung cac muc tieu khac, do do chung la co sd de
Luat dau tu quoc te co nhiJng ngoai eac quoc gia lien quan tien hanh cac hanh
le cho viec ap dung va tuan thu cac cam kit dgng doi vdi nha dau tu, vi du nhu nhim
quoc te cua cac quoc gia tiep nhan dau tu. bao ve siic khoe con ngudi, mdi trudng'. Ne
Muc dich chung cua cac ngoai le la tao ra CO ban, cac ngoai le trong luat dSu tu qu6c

1 Dai hgc Luat Ha Noi (2017), Giao trinh Luat BSu tir qu6c tl, Nxb. Thanh Nien, HaNoi, tr. 611.

MILAPPHAP^
l HGHIfeN Cini ,

S64.
 KINH NGHIEM QUOC TE

te bao gom: cac ngoai le chung, cac ngoai trgng ve moi trudng.
le cu the neu ra trong eac hiep djnh dau tu 1.1. Bieu kien dp dung cdc ngoai li vi mdi
va nhiing ngoai le rieng cho tiing quoc gia. trudng
Trong do, cac ngoai le chung thudng gSn Trong cac hiep dinh dau tu qu6c tk,
vdi viec thuc thi cac nguyen tSc vk bao hg cac ngoai le ve moi trudng nhin chung dugc
dku tu, v6 CO ban tuang ttr nhu Di6u XX ciia mo phong theo Dieu XX cua GATT Vi vay,
GATT^ va Dilu XIV cua GATS trong khuon chung se dugc giai thich dua tren ca sd cac
khd WTO. giai thich cua GATT. Noi each khac, can
Cac ngoai le ve moi trudng thudng co cii de giai thich tinh phii hgp cua cac bien
the hieu la nhung ngoai le ma trong do, ly do phap ap dung dua tren ly do ve moi trudng
ve mdi trudng la ca sd cua viec ap dung cac se dugc giai thich theo dung each giai thich
bien phap, bao gom viec bao ve, gin giu va ciia Dieu XX ciia GATT va da dugc lam ro
ngan ngua nhiing nguy ca tac dgng tieu cue qua mot so vu kien tai WTO'.
den moi trudng. Hien nay, cac hiep dinh d^u Thuc tien phan xii tranh chap cua
tu CO quy dinh ve trudng hgp ngoai le nay, WTO cho thay, de mot bien phap roi vao
the hien dudi dang "su can thiet de bao ve pham vi ciia doan (b) Dieu XX, la mot bien
siic khoe ciia con ngudi, dgng thuc vat" va phap "can thiet de bao ve cugc song hoac
"lien quan den viec bao ton cac tai nguyen tinh trang siic khoe con ngudi, dgng vat hoac
CO the bi can kiet cua quoc gia". Cac ngoai thuc v^t". Trong khi do, de roi vao pham vi
le ve moi trudng la co sd ciia viec ti6n hanh ciia doan (g) Dieu XX, mot bien phap phai
bien phap truat hiiu va ciing la tieu chi &k "lien quan den viec bao tdn tai nguyen thien
danh gia tinh "hgp phap" ciia bien phap truat nhien co the can kiet". Thuat ngii "lien quan
hiru ma qudc gia tiep nhan dau tu da thuc den" dugc dinh nghia la "cd lien quan den,
hien. Cac ngoai le nay chinh la nhiing ngoai dugc ket noi vdi". Tuy nhien, giiia doan (b)
le chtmg ciia cac hiep dinh dau tu va la mot va (g) CO nhiing sir khac nhau. Doan (b) ciia
cac CO sd dan den viec ap dung cac bien Di6u XX cho phep cac quoc gia co the co
phap truat hiiu dua tren ly do ve moi trudng. nhiing hoat dgng han che "can thiet" nham
Nhin chung bao gora cac dang: (i) ly do bao muc dieh bao ve sue khoe con ngudi va
ve mdi trudng la ca sd dan den viec truat dgng thuc vat trong khi d doan (g) thi quy
hiiu, thdng thudng la truit hiiu gian tiep; (ii) dinh nay lai dugc ap dung d mot tieu chuan
bien phap truat hiiu dugc thuc hien dua tren thap han, do la chi can "lien quan" den viec
ca sd ciia nhiing vi pham phap lu^t ciia nha bao ve nguon tai nguyen thien nhien c6 the
dau tu ve van de bao ve moi trudng, trong dd bi can kiet va bien phap nay phai dugc ap
bao gom viec phong tranh cac tham hga mdi dung song song vdi cac bien phap han che
hudng hoac sau khi xu ly cac su co nghiem san xuat va tieu dung trong nude.

GATT •- General Agreement on Tariffs and Trade, Hiep irdc chung v6 thug quan va ra^u dich.
Xem vu EC - Cac bien phap anh hircmg tdi san pham chiia a-mi-^ng va a-mi-ang, WT/DS135/AB/R 443, Vu Trung
Qu6c - Cac bien phap li6n quan din xuk khSu cac nguyen lieu tho, 355, WT/DS394/AB/R,WT/DS395/AB/R, WT/
DS398/AB/R {ngay 30/1/2012); Vu Hoa Ky - Cac tieu chuSn doi voi xang diu thirong va xang d k tai ch6, 22 WT/
DS2/AB/R (ngay 29/4/1996; Vu Thai Lan - Han che nhap khSu va ap thug noi dia voi tJiufic la, DS i 0/R-37S200 {ngay
05/10/1990).

-LAP PHAP 55
 KINH NGHIEM QUOC TE

De dam bao rang cac bien phap moi can phai dugc ap dung phu hgp vdi doan md
trudng nay khdng dugc ap dung tuy tien va dau cua Dieu XX hay khong.
khong dugc su dung nhu mot bien phap bao 1.3. Track nhiem bdi thudng
hg tra hinh, doan md dau ciia Dieu XX co
Nhu tren da phan tich, nguyen tic
quy dinh 3 di8u kien de mot thanh vien cd
trach nhiem dkn bu ciia ben gay d nhiem la
thi xem xet de ap dung cac bien phap nay:
nguyen tae n8n tang ciia luat qudc te ve moi
Mpt Id, khong tao ra cong cu phan biet doi
xu tiiy tien; Hai Id. khdng tao ra su phan biet trudng. Tuy nhien, trong luat dau tu quoc
doi xu mot each vo ly; Ba la, khong tao ra te, nguyen tac nay chua nhan dugc sy ung
mot sir han chS tra hinh doi vdi thuong mai. hd can thiet de trd thanh co sd phap ly loai
trii trach nhiem ciia nha nude^. Ve ca ban,
Nhu vay cac ngoai le tai Dieu XX hau het cac Hiep dinh dau tu song phuang
noi ehung va tai doan (b) va (g) noi rieng la (BITs) dSu bao ve nha dau tu khoi viec bi
nhiing ngoai le doi vdi cac nghia vu ciia mdt
truat hiiu gian tiep va cac bien phap cd tac
quoc gia thanh vien. Tuy nhien, cac ngoai
dgng tuong duong va rat it trudng hgp quy
le nay phai dugc thuc hien kem theo nhUng
dinli tinh hu6ng ma nha nude khong phai
nghTa vu va dieu kien nhat dinh. Chinh vi
b6i thudng khi ap dung cac bien phap nay.
ly do do, khi mot quoc gia muon ap dung
nhiing ngoai le lien quan den moi trudng Theo Du thao Cong udc Havard ve
nay hg phai chiing minh dugc rang bien trach nhiem quoc te cua nha nude vdi thiet
phap ma minh ap dung co dugc de cap den hai ciia ngudi nude ngoai thi viec tich thu tai
trong doan (b) va (g) hay khong va co thoa san do ban hanh chinh saeh nham dam bao
man nhiing quy dinh cua doan md dau ciia trat tu cdng, dao due hoac siic khde cong
Dieu XX hay khong. dong thi khong phai boi thudng. Theo Julien
Tdm lai, theo thuc tien ciia GATT Chaisse, t$p quan quoc te cho phep nha
1947 va WTO, viec giai thich va ap dung nude CO linh hoat phap ly trong mot so tinh
diing Dieu XX GATT phai dugc thuc hien huong dac biet va trong trudng hgp khong
bang mot cugc kiem tra gdm ba budc": Thu CO ngoai tni nao trong hiep dinh thi nude
nhdt, xac dinh xem chinh saeh theo duoi cua nhan dau tu cung co the bien giai bien phap
thanh vien vdi viec ap dung cac bien phap cua minh theo thong 18 quoc te. Nhiing quy
dugc de cap den co roi vao pham vi ciia cac tac nay van ap dung trong trudng hgp hiep
chinh saeh va dgng co liet ke d cac doan dinh khdng co quy dinh ve an ninh quoc gia.
tii (a) den (j) hay khong; thu hai. tuy thuoc Dieu quan trong la xac dinh dugc miic do
vao tung doan cu the tu (a) den (j) neu tren, dugc phep ngoai tni theo thong le quoc te.
xac dinh xem lieu bien phap do phai la 'can Cac trudng hgp nay gom trudng hgp bat kha
thief hoac 'lien quan den' viec theo du6i khang, tinh canh hiem ngheo va trudng hgp
chinh saeh hay khong; thu ba, bien phap nay can thiet^.

Xinjie Luan & Juhen Chaisse (2011), 'Preliminary Comments on the WTO Seals Products Dispute: Traditional Hunting,
Public Morals and Technical Barriers to Trade', 22 Colo. J Int'l envtl. 1. & pol'y 79 (2011), din trong Dai hoc Luat Ha
Noi (2017), tldd, tr. 618.
Xem Rahim Moloo, Justin Jacino (2011), 'Envhonmental and Health Regulation: Assessing Liability under Investment
Treaties', Berkeley Journal of Intemational Law, Volume 29( I).
Julien Chaisse, bai giang tai khoa dao tao nang cao vS Luat diu tir qu6c te va giai quyet tranh chap giira nh& diu tu nuoc
ngoai va chinh phU nuac tiep nhan dau tir. Ha Noi, ng&y 07-11/11/2016.

E C I NGHIEN CUU ^
0 0 I LAP P H A P ^ S6 4(380)12/2019
 KINH NGHIEM QUOC TE

2. T h y c tien ap dung phan doi hoat dong ciia cong ty nay. Sau do,
Thuc tien giai quyet tranh chap ve dau tieu bang nay ciing da thong qua mot Nghi
tu quoc te cho thky, hku hit cac trudng hgp quyet sinh thai. Nghi quyet tuyen bo mot khu
tranh chap giu'a nha dSu tu va qu6c gia tiep vuc bao ton tu nhien (bao gom ca bai rac) de
nhan dau tu la co lien quan din bien phap bao ve cae loai xuong rong quy hiem. Quan
truat hiru, tuy nhien, chu ylu la cac bien diem eiia phia Mexico la viec chkm dut cac
phap truat hiiu gian tilp. Trong hai thap ky hoat dgng ciia Metalclad dua tren muc dich
vua qua, cac tranh chdp phat sinh giiia nha cong cgng, eu the la viec bao ve moi trudng
dau tu va nha nude lien quan den chinh saeh trudc nguy co gay 6 nhiem do hoat ddng ciia
moi trudng dugc xem xet d cac ca quan du an chon lap chat thai noi tren.
trgng tai dau tu quoc te cho thdy, cac bien Metalclad sau do da khdi kien chinh
phap bi kien Hen quan den kha nhilu Imh phii Mexico, doi boi thudng so tien len din
vuc moi trudng nhu chat thai nguy hai, da
90 trieu USD d l bu d i p thigt hai phat sinh.
dang sinh hgc, 6 nhiem nude, khong khi'.
Cong ty nay cao buoc chinh quyen Mexico
Can phai nhac lai rang, neu viec tudc da vi pham mdt loat cac nguyen tac ve bao
doat true tiep phuc vu muc dich cong cgng, hg dau tu va viec truat huu mang tinh phan
vi du bao ve moi trudng, dugc thuc hien mot biet doi xu va dugc tiln hanh khong diing
each khong phan biet doi xii va phu hgp vdi thu tue. Mot Toa an theo co che bo sung ciia
quy trinh phap luat, quoc gia tiln hanh tra tiln ICSID da thu ly vu viec va sau do dua ra
boi thudng nhanh chong, day dii, hieu qua va phan quyet iing hg nha dau tu. Phia Mexico
viec tudc doat se dugc coi la hgp phap. da yeu cau xem xet phan quyet nay tai mot
* Cham dirt du dn ddu tu nhdm ngdn Toa an d Canada. Toa nay buy bo mot phan
ngiea nguy ca gay d nhiem mdi trudng cua phan quyet nhung van yeu eau Mexico
phai boi thudng cho nha dau tu.
Ve bien phap nay, vu Metalclad va
Mexico^ dugc xem la mot trong nhiing vu * Tie choi gia hgn giay phep thuc hien
viec tieu bieu. Trong vu viec nay, chinh du dn
quyen dia phuang tai tieu bang San Luis Bien phap nay dugc minh hoa thong
Potos, iVlexico da tii choi cho phep nha may qua vu Teemed vd Mexico. Technicas
ciia Metalclad, mot cong ty cua Hoa Ky hien Medioambientales Teemed S .A. (ben nguyen
dang quan ly mot co sd xu ly chat thai nguy don) la mot cong ty Tay Ban Nha va la cong
hai tai Mexico trien khai xay dung du an va ty me cua Technicas medioambientales
hoat dpng, dua tren nhiing bang chirng cho Mexico, S.A. de C. V. (Teemed), sd huu 99%
rang c6 kha nang chat thai dugc xu ly tai nha CO phan ciia Teemed, mot cong ty dugc thanh
may se lam 6 nhiem nguon nude dia phuong. lap theo luat phap Mexico. Teemed lai nam
D6ng thdi, co sd de cham dut du an nay la giu han 99% co phan cua Cytrar, S.A. de
do CO cac cugc bieu tinh eong khai lien tue CV. (Cytrar) ciing la mot cong ty Mexico.

Nathalie Bernasconi-Osterwalder va Lise Johnson (2011), International Investment Law and Sustainable Development
- Key cases from 2000 - 2010, Intemational Institute for Sustainable Development
Metalclad Corp. v United Mexican States, ICSID Case No. ARB(AF)/97/I, Award (Metalclad Award), 30 August
2000, https://www.italaw.com/cases/671

— ^^—. NGHIEN CUV

))T2/2019 V LAP P H A P 157
 KINH NGHIEM QUOC TE

Cytrar da dugc cap phep nham thue hien du Vu kien S.D. Myers, Inc. v Canada'"
an chon lip chit thai cong nghiep nguy hai la mot vi du tieu bilu. S.D. Myers, Inc.
(bai rae) tai khu do thi ciia Hermosillo, nam ("SDMI") la mpt cong ty Hoa Ky co diu
d bang Sonora, Mexico bdi co quan chinh tu d Canada vdi ten ggi la Myers Canada.
phu Mexico la INE vao nam 1996. Den nam Mot trong cac ITnh vyc kinh doanh chii chot
1998, INE ban hanh nghj quylt tu choi gia cua SDMI la xii ly Polychlorinated biphenyl
han gi4y phep va thay vao do tim each de (PCB). Day la mot chit nguy hai din moi
Cytrar dong bai rac. Ly do ma INE neu ra trudng sii dung chii ylu trong cac thiet bi
la do su thay doi chinh quyen ciia thanh pho dien. MYERS Canada dugc thanh lap de thu
Hermosillo. Teemed cho rang viec khong gom chit thai PCB cua Canada de xii ly bdi
gia han giiy phep eau thanh viec chiem doat SDMI tai CO sd d Hoa Ky.
tai san, va do do da khdi kien doi boi thudng Nam 1980, Hoa Ky dong ciia bien
thiet hai vat chit va danh tieng cung nhu gidi d6i vdi chat thai PCB nhung vao miia
lgi ich lien quan den thiet hai vao thdi diem thu 1995 Hoa Ky lai cip phep cho SDMI
INE tu choi don xin gia han. trong 25 thang de nhap khau chat thai PCB
Trong vu nay, nha dau tu cho rang tu' Canada. Ngay sau do, Canada da ra m6t
chinh quyen Mexico da phan biet doi xii va lenh c i m xuat khau PCB sang Hoa Ky do
khdng thuc hien doi xu cong bang va binh dd khiln SDMI va co sd dau tu cua ben nay
dang ciing nhu da thuc hien truat hiiu tai san d Canada khong tien hanh dugc hoat dgng
cua hg. Toa Trgng tai giai quyet vu viec da du kiln. SDMI da khilu nai theo Chuong 11
lap luan theo hudng c6 lgi eho nha dau tu, NAFTA rang lenh cam ciia Canada vi pham
ket luan rang hanh dgng tu ehdi gia han giay nghia vu NAFTA. Tda Trgng tai ket luan
phep da tao nen mot su truat hiiu. Dieu quan ring, lenh cam cua Canada khong phai vi
trgng la, cac yeu to thiie d§.y viec tu ch6i eiia ly do moi trudng nhu Canada neu. Trai lai,
INE chu yeu la vi ly do chinh tri va khong lenh cam nay chii yeu nham bao hg nganh
phai moi trudng, va mong muon eiia cgng xu ly chit thai PCB eua Canada trong cugc
dong la khong qua Idn de dan den khung canh tranh vdi Hoa Ky va im dai hon cho
hoang xa hgi hay bat on cong cgng, tu do doanh nghiep eua Canada so vdi doanh
kho CO the cho rang lgi ich cong cgng bj anh nghiep nude ngoai. Toa ket luan, SD Myers
hudng la Idn hon viec mat di tai san ciia phia va CO sd dau tu cua ben nay tai Canada bi
Teemed. Tii do, Tda Trgng tai ket luan rang, ngan can thyc hien hoat dgng kinh doanh dy
nghi quyet cua INE la khong phu hgp, nghi kien. Day la mot bat lgi ro rang cho ben nay
quyet va hieu luc eua no dan den viec tudc so vdi cac doi thii canh tranh Canada. Vi the
quyen vi pham cac hiep dinh va luat phap Tda Trgng tai da ket luan rang viec ban hanh
quoc te^. lenh c i m la vi pham Dieu 1102.
* Cam thuc hien du dn vi ly do mdi * Xiephgt vi pham ve mdi trudng nhu
trudng mpt bien phdp truat hiru gian tiip

9 Tecnicas Medioambientales Tacmed S.A.("Tecmed") v. United Mexican States, ICSID Case No. ARB (AF)/00/2,
Award, 43 l.L.M. 133 (2004).
10 S.D Meyers v. Govemment of Canada, UNCITRAL, 2002

NGHIEN CIIU
58 LAP PHAP-
 KINH NGHIEM QUOC TE

Vu cong ty Newmont lam 6 nhilm ra moi trudng lugng chat thai Idn nhu vay.
Vinh Buyat, Indonesia la mot vi du dien hinh. D6ng thdi, Bg khing dinh hanh vi d6 chat
Vu viee nay tuong hr nhu trudng hgp vu viec thai ra biln ciia Newmont la da vi pham Quy
cua Vedan va Formosa d ViSt Nam. Trong dinh s6 19/1994 ciia Chinh phii vl Quan ly
vu kien nay, PT Newmont Minahasa Raya la chit thai nguy hiem va doc hai, ciing vdi hai
mgt cong ty con ciia tap doan khai thae mo quy dinh khac dugc ban hanh nam 1999 (so
Newmont da tiln hanh dy an khai thae mo 9 va s6 85) cua Indonesia. Ket qua la, vao
vang Mesel d Bic Sulawesi, Indonesia tu ngay 9/3/2005, Bg Moi trudng da de don
nam 1996 den nam 2004. Du an nay sau do kien ch5ng lai PT Newmont Minahasa Raya
cham diit hoat dgng vi ly do da khai thae het tai Toa an Quan Nam Jakarta, doi boi thudng
quang vang d day. Newmont da dugc phep thiet hai vdi sd tien la 13 3,6 trieu USD nham
do chat thai da la phan da dugc nghien min de phuc hoi mdi trudng d Vinh Buyat va
sau khi tach va lay ra vang theo mgt dudng viec di ddi cu dan dia phuong". Kem theo
ong dan dai 900 met tren day bien d do sau do la mdt yeu cau khdi to hinh sy chong lai
82 met tai vinh Buyat Bay. Sau khi viec thai cdng ty va chu tich cong ty nay la Richard
do dugc tien hanh da gap phai phan iing Ness vi ly do da gay 6 nhiem Vinh Buyat vdi
quyet liet tir cac cgng dong dia phuang va muc dich nham ngan chan cac cong ty khac
cac to chiic phi chinh phu khi tuyen bo rang vi pham luat moi tnrdng qudc gia.
cac chat thai nay da lam gay 6 nhiem Vjnh
Sau do, Toa an Quan Nam Jakarta
Buyat ddng thdi gay ra tac dgng bat lgi cho
da bac bo khieu kien dan su ciia Bg Mdi
sue khoe ciia cac cu dan dia phuang. Tren co
trudng chIng lai Newmont. Cuoi ciing,
sd ciia nhiing phan iing nay, mgt s6 nghien
vao ngay 16/2/2006, Chinh phii Indonesia
ciiu duge thyc hien dudi su uy quyen bdi ca
da thoa thuan vdi Newmont khoan tiSn 30
Chinh phii Indonesia va Newmont. Ket qua
trieu USD, sau do hai ben da ky ket mgt
la trong nude da phat hien co chat asenie va
Thoa thuan thien chi'. Trong thoa thuan
thuy ngan d nong do cao. Dang ehii y la, mgt
nay, Chinh phii Indonesia dong y rang eac
nghien ciiu ciia Chinh phu Indonesia da cho
dieu tra khoa hgc sau ban ve viec lieu cac
thiy chit thai tii mo vang de lai ham lugng
boat dgng ciia Newmont c6 gay ra bat ky tac
asen va thiiy ngan cao trong tram tich tren
ddng xau nao den moi trudng d vinh Buyat
day vinh, sau dd chiing dugc tham thau vao
hay khong va lieu chiing co tac dgng tieu
cac sinh vat song dudi tang day la thiic an
eye tdi siic khoe d ngudi dan dia phuang
cho cac loai ca trong viing bien nay. Nghien
hay khong se dugc tien hanh bdi mgt Hdi
cim nay sau do da khuyen cao ngudi dan
dong gom 6 nha khoa hgc trong 10 nam. Doi
giam tieu thu ca va neu ra phuong an di ddi
lai, Newmont da dong y thanh lap mgt quy
lang chai vdi 300 cu dan khoi khu vuc nay.
tli thien de giam sat viec phan bo tien h6 trg
Bg Moi trudng Indonesia da tuyen bo Hgi dong khoa hoc eiing nhu cac dy an khac
trong cgng dong dia phuong'^.
ring, Newmont da khong dugc phep dua

Cultural Survival, "Newmont to pay 30 million lo end pollution suit",, 16 February 2004, <http s://www. cultural surviv-
al. org/n ews/campai gn-up date-newmon t-pay-3 0-m i 11 i on - end-p ol I ution-suit>.
"Buyat Bay: History and Status," Newmont Brochure, May 2006, httpV/www.newmont.com Xem them "The Govemment

1
of Indonesia and Newmont Announce Buyat Bay Agreement", 16 February, 2006, <https://www.newmont com/newsrooi
newsroom-details/2006yThe-Govemment-of-lndonesia-and-Newmont-Aiuiounce-Buyat-Bay-Agreement/defaultaspx>.

NGHIEN Ciru
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* Nhdn xet: 3.1. Ngogi le vi mdi trudng trong cdc hiep

Cac vu kien noi tren la nhung vu kien dinh dau tu cua Viet Nam
tieu bilu trong hoat ddng dau tu quoc te va Hien nay Viet Nam da tham gia gan
diu CO lien quan din vi8c ap dung din cac 70 Hiep djnh diu tu song phuang (BITs)
ngoai le vl moi trudng. Cac bien phap ma va Hiep dinh thucmg mai ty do cd quy dinh
ehinh phii thuc hien nhin chung da dap iing vl vin dl diu tu^l Cac hiep dinh nay deu
cac tieu chi dl ciu thanh nen hanh vi truat chiia dung nhiing ngi dung co ban nhu bao
hg ddi vdi nha diu tu, cae nguyen tac bao
hiru tai san ciia nha dau tu va do do deu
hg diu tu va cac bao dam khac, ea ehe giai
bi nha diu tu ap dung cac quy dinh tii cac
quylt tranh chip va viec giai quyet nhiing
hiep dinh diu tu tucmg iing de khdi kien ddi vin dl lien quan*"*. Mac du vay, cac ngoai
boi thudng. Trong cae vu kien nay, cac Toa le lien quan din m6i trudng trong cac BITs
Trgng tai co khuynh hudng iing hg nha dau ciia Viet Nam hiu nhu khong t6n tai. Trong
tu bing viec dua ra nhiing ket luan co lgi khi do, cac ngoai le nay dugc the hien dudi
eho nha diu tu. Tuy nhien, dilu nay ciing dang cac ngoai le chung d cac hiep dinh dau
xuit phat tir thye te rang cac co sd phap ly tu giiia ASEAN va eac ddi tac. Nhin chung,
ma cac chinh phu dua ra ehua thuyet phyc chiing CO n6i ham va each the hien tuong tu
trgng tai vl tinh hgp ly, su dam bao cac quy Dilu XX ciia GATT.
tic vl truit hiiu hgp phap va tinh khoa hgc Ching han, Hiep dinh dau tu toan dien
ciia nhiing bang chiing dua ra, chang han ASEAN (ACIA) tai Dilu 14 quy dinh dilu
nhu lap luan ve tinh can thiet khi thyc hien kien dl tiln hanh bien phap truit hihi (trong
bien phap vi myc dich dam bao lgi ich cong Hiep dinh dugc sii dung dudi thuat ngy "sung
cgng. Dilu quan trgng la mac dii cac ly do cong" hoac qudc hiiu hoa tryc tiSp hoac cac
ve moi trudng co the dugc vien dan nhu la bien phap tuang tu, bao g6m: (a) phyc vu
can cii de tien hanh cac bien phap truat hiiu cho muc dich cong cgng; (b) thuc hien ma
va d goc do nao do, cac can cii nay da cho khdng CO phan biet ddi xu; (c) eo bdi thudng
thiy nhiing bien phap truat hiiu la hgp phap, kip thdi, diy du va hieu qua; va (d) tuan thu
viec boi thudng luon dugc dat ra. Dieu nay diing quy trinh cua phap luat. Dieu 17 quy
ro rang la mgt diem ma cac quoc gia tiep djnh ve cac ngoai le chung, cho phep cac
qu6c gia thanh vien ap dung cac bien phap
nhan diu tu khong mong dgi va vi vay se
thich hgp, miln la chiing khdng t^o thanh
phai rat can trgng trong cae quyet dinh lien
phuang tiSn phan biet ddi xii tiiy tien hoac
quan den khoan dau tu ciia nha dau tu nude
vd ly giiia cae nude thanh vien hoac nha dau
ngoai, ngay ca trong tnrdng hgp co co sd ve tu ciia cac nude thanh vien noi co dieu kien
moi quan ngai moi trudng. tuong tu, hoac han chS tra hinh doi vdi cac
3. Ngoai le ve moi trirdng trong c^c hifp nha diu tu cua nude thanh vien khac va eac
djnh dSu tur cua Viet Nam va mot so bai khoan dau tu cua hg. Trong do, diem (b) va
hoc kinh nghiem dilm (f) CO nhiing tuong dong vdi cac ngoai

13 Vu Thi Chau Quynh, 'Gidi thieu t5ng quan vk cac hiep dinh diu tu qu6c te ciia Viet Nam' tai lieu Hoi thao Phong ngira
va giai quygt tranh chdp dSu tu qu6c th do Bp Tu phap va USAID t6 chiic thang 10/2015
14 Trmh Hai Ygn (2017), tldd, tr 240 - 241.

' A I NGHIEN eiiu . —• ^

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 KINH NGHIEM QUOC TE

le chung tai D i l u XX ciia GATT. D6ng thdi, Cong ty CO phan huu ban Vedan Viet
diem (e) de cap d i n ngoai le trong viec ap Nam dugc thanh lap va hoat dong tai tinh
dyng eac bien phap nhim "bao ve tai san Ddng Nai la doanh nghiep 100% von nude
qudc gia co gia tri nghe thuat, lich su hoac ngoai do BurghleyEnterprises Pte., Ltd.
khao cd", day la su md rdng ciia khai niem (Singapore) dau tu. Ke tu khi Vedan hoat
"bao ve moi trudng", co lien he vdi van de dpng vao nam 1993 eho tdi giiia nam 1994,
"moi quan tam v l mdi trudng" nhu da de cac dia phuang dgc theo sdng Thi Vai,
c|.p d phan trudc. huyen Long Thanh, Dong Nai bat dau nhan
Hiep dinh thuong mai Viet Nam - Han thay song Thi Vai bi d nhiSm, ca chet ngay
Quoc nam 2009, chuang Dau tu c6 quy dinh cang nhieu. Qua trinh gay 6 nhiem song Thi
va giai thich kha chi tiet cac ngi dung lien Vai keo dai qua 14 nam sau do nhung vu
quan den tudc quySn sd hiiu. Dang chii y la viec khSng dugc cac co quan quan ly dia
doan (c) diem (ii) cua Phy luc 9-B co quy phuang phat hien.
dinh khong coi la tudc quyen sd hiiu gian
Ngay 08/09/2008, Cue Canh sat phong
tiep neu nhu chiing dugc ap dung de dat
chong tgi pham ve moi trudng va Doan
dugc muc dieh e6ng cgng hgp phap, nhu
kiem tra lien nganh bit qua tang Vedan xa
bao ve sue khde cgng ddng, an toan, mdi
chat thai chua qua xii ly ra song Thi Vai qua
trudng.
nhiing dudng ong ngam. Ngayl3/09/2008,
Trong khi do, Hiep dinh Thuang mai doan kiem tra da lap bien ban hanh vi xa
Viet Nam - Lien minh chau Au (EUVFTA) nude thai chua qua xii ly thong qua nhiing
CO quy dinh ve van de thu hoi du an dau tu'*, dudng 6ng ngam ra song Thi Vai. Theo udc
trong dd cac ben ky ket co quyen ap dung tinh thi Vedan da xa 3.500 - 4.500 m3 chit
theo ngoai le chung, nhung khong de cap den thai/ngay, m6i nam co hang trieu tan nude
vin d l moi trudng. Do do van de moi trudng thai chua qua xu ly da dugc xa thang xuong
chi cd the dugc suy ra tii khai niem d diem song Thi Vai qua he thong dudng ham bi
(a) "phyc vu cho myc dich cong ich". Chang mat va tinh vi. D i n diu thang 10/2008, Bd
han, qu6c gia tilp nhan dau tu co the thu hdi Tai nguyen Moi trudng kit luan Vedan cd
dy an diu tu trong ITnh vuc moi trudng hoac 12 hanh vi vi pham phap luat va da ban hanh
CO lien quan d i n van de bao ve mdi trudng, quylt dinh xu phat hanh chinh Vedan 267,5
miln la phai chiing minh dugc viec thu hoi trieu d6ng, buoc Vedan truy nop 127 ty dong
nay n h i m phyc vu cho mue dich cong ich. phi bao ve moi trudng.
Cach ap dung nay co thg hieu tuong tu nhu
cac vu viec Santa Elena v Costa Rica,'^ va Vu viec Formosa ndm 2016
Southern Pacific v Egypt". Cong ty TNHH Gang thep Hung
3.2. Thuc tiin dp dung tgi Viet Nam: vu Nghiep Formosa Ha Tinh la chi nhanh
viec Vedan vd Formosa ciia Tap doan nhya Formosa, Dai Loan.
Vu viec cua Vedan nam 2008 Formosa la ehii diu tu du an khu lien hgp

15 B\hi 16 Hiep dinh Thuong mgi Viet Nam - Lien minh Chau Au (EUVFTA) nSm 2017
16 Compafiia del Desarrollo de Santa Elena S.A v. Republic of Costa Rica, ICSID Case No. ARB/96/1
17 Southem Pacific Properties ltd v Arab Republic of Egypt, ICSID 1992.

-^ NGHIfeN CUU I C 4
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 KINH NGHIEM QUOC TE

gang thep va cang nude sau Son Ducmg (bat hien diing cam kit, hoan thanh viec chuyen
diu tli nam 2008) thugc Khu kinh te VGng tien boi thudng cho Viet Nam vdi tong so
Ang(HaTrnh). tiln la 500.000.000 do la My (tucmg duong
Ngay 6/4/2016, tai vung bien cang h-en 11.500 ty d6ng Viet Nam).
Vung Ang da xay ra hien tugng mgt so loai • Nhdn xet:
thuy san bi chet. Ngay sau do, hien tugng Hai vu viec ciia Vedan va Formosa t^i
thuy san chet lan tren dien rong, bat dau tii
Viet Nam cd dilm chung la cac bien phap
ven bien Ha Tinh, sau do lan dgc ven bien
xu phat hanh chmh va ehe tai ve moi trudng
cac tinh Quang Bmh, Quang Tri va Thiia
dua ra chong lai cac ben vi pham la nha diu
Thien Hue. Su co nay da gay ra nhiing thiet
tu nude ngoai can cir tren co sd vi pham
hai nang ne ve kinh te, xa hgi va moi trudng.
nghiem trgng ve mdi trudng cua eac cong ty
Nguyen nhan dugc cong bo vao ngay
nay. Cac bien phap dugc ap dyng la nhiing
30/6/2016 la do Cong ty Formosa, trong qua
trinh thi cong, van hanh thii nghiem to hgp bien phap xu ly doi vdi ben vi pham dua tren
nha may, da co nhiing vi pham va de xay nhiing co sd va bang ehiing ro rang, thuyet
ra sy eo, dan tdi nude thai co chira dgc to phuc, va dieu nay kho co the lien he d§n vin
chua dugc xii ly dat quy chuan xa ra moi de truat hHu. Cac nha dau tu cho thay su
trudng. Cu the, nude thai ciia Formosa co chap thuan va cam ket tuan thu quyet dinh,
chiia dgc to nhu phenol, xyanua... kit hgp khac phuc hau qua mgt each eo thien chi.
vdi hydroxit sat, tao thanh mpt dang phiic Tuy nhien, cac vy vi6c nay ciing co the
hon hgp, co ty trgng Idn hem nude bien, theo dan den cac vu kien theo luat diu tu qu6c
ddng hai luu di chuyen theo hudng Bac - te, xuat phat tu eae hiep dinh diu tu ky giua
Nam tu Ha Tinh din Thiia Thien - Hul'l Viet Nam va cae ben lien quan trong trudng
Bg Tai nguyen va Moi trudng da hgp Viet Nam ap dung nhirng bien phap
ban hanh Quyet dinh xir phat vi pham manh me hon, chang ban nhu viec dong
hanh chinh doi vdi Formosa s6 tiln phat la cua cac du an nay, thay vi dung lai d viec
4.485.000.000 dong va buoc Formosa phai xir phat vi pham. Trudng hgp Chinh phii
thuc hien cac bien phap khac phuc hau qua Viet Nam sii dung cac bien phap chi tai cao
vi pham theo quy dinh ciia phap luat. Vl han ddi vdi Formosa, nhu yeu cau nha may
phia Formosa, cong ty da nhan trach nhiem d6ng cua den khi khac phuc tSt ca cac sai
gay ra 6 nhiem moi trudng bien nghiem pham lien quan den tieu chuan moi trudng
trpng noi tren, thuc hien cong khai xin hoae tam thu hoi giay phep boat ddng thi co
loi Chinh phu va nhan dan Viet Nam, bdi thS bi xem la bien phap truat hiru gian tiep
thudng thiet hai cho ngudi dan, khic phyc va khong the dugc ap dung ma khong b6i
hau qua moi trudng, cam kit khdng tai pham thudng thoa dang cho nha dau tu tren ea sd
viee vi pham phap luat ve mdi trudng. Din Hiep dinh khuyen khich dau tu song phuong
cu6i thang 8/2016, Cong ty Formosa da thuc giiia Dai Loan va Viet Nam ky kit nam

18 Tong cue M6i truog, 'Bao cao hien trang moi tnrcmg quoc gia' <20I6http;//cem.gov.vn/Portals/0/quynh/2017/BC
SOE_20I6/11 %20Phu%20chuong.pdPver=20l7-07-25-160659-403>, tr. 151.

62 p_/ So 4(380) 12/2019

 KINH NGHIEM QUOC TE

1993'^ Nhu da dl cap d tren, trong tucmg Nam cin phai co sy chuan bi ky ludng ve
lai neu phai ap dung nhiing bien phap nham nhiing npi dung tren de phuc vu cho viec
ngan chan, phong ngua hoac xii ly vi pham theo duoi cac vu kien sau nay.
nghiem trpng vl moi trudng hoac nhting Ba la, can quy djnh cu the trong hgp
bien phap can thiep vl hanh chinh hoac tu dong dau tu ve kha nang ap dung cac ngoai
phap doi vdi cac dy an diu tu, Chinh phii ie trong trudng hgp bao ve moi trudng tren
Viet Nam cin phai chuin bi nhiing co sd CO sd sy nhat quan vdi cac nguyen tie va
phap ly va khoa hgc that vung chac va dam quy dinh ciia hiep dinh dau tu.
bao dap ling nhiing tieu chuan eiia viec truat Bdn Id, khi thu hoi cac loai giay phep
hiiu ciing nhu co sd de ap dung cae ngoai le phai c6 can cii thu hoi quy dinh trong phap
ve moi trudng. luat, thu hdi do hanh vi vi pham ciia nha dau
3.3. Mptsd kiin nghi tu phai CO CO sd rd rang, chac chan ve hanh
Mpt Id, can sua doi Luat Dau tu nam vi vi pham, tuan thii day dii eac quy dinh ve
2014, bo sung giai thieh ro mgt so khai niem thdi han va thu tue. Can xac dinh nguyen
nhu: Igi ich cong cpng", "muc dich eong tac CO tinh chat pho bien trong quan he dau
ich"..., dugc sii dung trong cac hiep dinh tu quoc te, do la khi tu'dc quyen sd hiiu ciia
dau tu song phuang giiia Viet Nam va mgt nha dau tu thi phai boi thudng theo gia thi
nude khac. trudng. Cac hanh vi gay thiet hai kinh te
Hai Id, cac bien phap bao ve moi hoac vo hieu hoa quyen ciia nha dau tu vdi
trudng thudng gan vdi viec giai thich va tai san co the dugc coi la tudc quyen sd hiiu
thyc thi cac hiep dinh dau tu trong mgt so gian tiep.
trudng hgp khac nhau. Do do, viec ap dyng Ndm Id, can quan tam thich dang doi
cac ngoai le gan lien vdi viec thuc thi cac vdi viee nghien cuu cac vu kien tranh chap
bien phap ciia nha nude va can phai dugc ve dau tu quoc te da dugc cac co quan giai
lap luan mdt each chat che, co co sd. Nhirng quylt tranh chap ve dau tu phan xu. Dieu
van de can phai co sy chuan bi ky ludng bao nay se giiip eho cae co quan chiie nang lien
gom: muc dich cua bien phap bao ve mdi quan din viec chuan bi ho so vu kien va lap
trudng; khong phan biet doi xu, theo do luan hiiu ro hon ve quy trinh, thu tue va ngi
cac bien phap nay khong lien quan tdi nha dung phap ly da dugc giai quyet trong cac
dau tu nude ngoai hoac khoan dau tu nude vu kien do.
ngoai; va cac bien phap dugc ap dung bat ke Ngoai ra, viec xiic tien tham gia Cong
qu6c tich ciia nha dau tu; diing tham quyen udc ICSID ciing la co hgi cho Viet Nam tiep
giai quylt tranh chap (co quan tai phan co can vdi cac vu kien da dugc giai quyet theo
thim quyen thu ly vu kien). Trong do, bing CO ehl nay va tilp can vdi nhiing hudng dan,
chiing khoa hgc la co co sd ciing nhu su giai binh luan va nghien ciiu ciia cae chuyen gia
thich cac tieu chi vl "sy cin thilt", "co sd trong viec nim viing cac vu kien da dugc
khoa hgc xac dang" dong vai tro rit quan phan xii, lam nIn tang nghien ciiu, hgc hoi
trgng. Vi vay, cac co quan lien quan cua Viet cho Viet NamB.

19 Nguyin Thi Lan Hirong, tldd, tr. 8

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