LUAT DAN SU"
MOT SO KIEN NGHI HOAN THIEN CAC QUY DINH CUA
B 6 L U A T D A N Sl/NAM 2005 VE HINH THUC HOP DONG
Tom tat: Bdi viet trinh bdy nhiing bdt
cap cua cde quy dinh trong Bg ludt Ddn
su (BLDS) ndm 2005 vi hinh thuc cua hgp
dong ddn su. Theo tae gid, quy dinh vi
hinh thiie hgp dong trong BLDS 2005 vdn
con nhieu bdt cap nhu chua nhdt qudn vdi
cdc quy dinh khdc trong he thong phdp
ludt, chua phil hgp vcri yeu cdu cua thuc te.
Tit do. tdc gid dua ra nhirng kien nghi cu
the de hodn thien cdc quy dfnh cua BLDS
2005 lien quan den cdc ngi dung ndy.
Bat vdn de.
Ban chat eiia hgp ddng la su thda thuan
giiia cac ben nham lam phat sinh, thay doi
cham diit quyen va nghTa vu dan syV Mgt
trong nhung thanh td quan trgng cua su
thoa thuan chinh la y chi va su gap gd y
chi cua cac ben. Nhung y chi la yeu td
bdn trong, la mong muon chii quan ciia
moi ngudi. Y chi ciia con ngudi va ndi
dung cua y chi do se khdng dugc ngudi
khac biet den neu nd khong dugc bieu lg
ra ben ngoai dudi nhirng hinh thiic khach
quan nhit dinh. Bdi vay, de y chi cua cac
bdn trong hgp ddng ed the dugc cdng bd
ra ben ngoai, nham tao lap bang chiing
ciia hgp ddng va xac djnh thdi diem giao
kdt hgp dong, trong phap luat va ca trong
thyc tidn phap ly cua nhidu he thdng phap
luat trdn thd gidi ludn doi hoi hgp ddng
phai dugc thd hidn dudi mgt hinh thiic
khach quan nhSt dinh, ggi la hinh thirc
hgp dong. Hinh thiic cua hgp dong dugc
* TS Luat hpc, giang vien Khoa LuSt DSn sir,
Tnrcmg DH Lu$t Tp. H6 Chi Minh.
' t>i6u 388 BLDS 2005.
2S
LE MINH HUNG*
thira nhan va quy djnh trong phap luat cita
hau het cac qudc gia^.
Tuy theo quan nidm phap ly khac nhau
ma cac he thdng phap luat trdn the gidi quy
dinh yeu td hinh thuc hgp ddng co phai la
dieu kien bat bugc de hgp dong co hidu
lyc hay khdng. O Viet Nam, hinh thiic ciia
giao djch dan su ndi chung, hgp ddng dan
sy noi rieng, la dieu kien co hieu lyc ciia
hgp ddng trong trudng hgp phap lugt co
quy djnh^. Qua thuc tidn ap dung nhung
quy djnh nay da bpc Id nhieu bat cap. Bai
viet nay phan tich nhirng bat cap trong cac
quy djnh ve hinh thirc hgp ddng va dua ra
mpt sd kien nghi hoan thien phap lueit ve
van de nay.
1. Quy dinh chung ve hinh thirc hgrp dong
tai khoan 1 Dieu 124 va khoan 1 Dieu 401
BLDS 2005
Bat cap: Trong BLDS 2005, vdn dd hinh thirc
giao djch dan su va hinh thiic hgp dong, giai
quyet hau qua phap ly khi hgp ddng vd hieu ve
lunh thiic, thdi hieu khdi kien cdng nhan hoac
tuyen bd hgp dong vd hieu ve hmh thiic dugc
quy dinh tai nhieu dieu luat khac nhau, cu the
diem d, khoan 1 Didu 122, Didu 124, Didu 401,
^ Phap luSt hop dong ciia cac nucrc Phap, My, v i
nhi6u nir6c khac dfiu khdng phu nhSn vai tr6 va s\r anh
hirong quan trpng cua hinh thiic hgp d6ng. Xem them,
Pham Duy NghTa (Cb), Tun hieu phdp ludi ^oa Ky trong
dieu kien Viet Nam hot nhdp kinh le khu vuc va the gidi,
Nxb. CTQG, H 2001, tr. 177 - 83; Corinne Renault -
Brahinsky, Dai citang ve phdp ludt hap ddng (Dg: TrSn
Dire Son), Nxb. VH-TT, H. 2002, tr. 64; Mc Kendrick
E., Contract Law, 4* ed., Macmiilan, London 2000, tr.
74-9; Richard Stone, The Modern Law of Contract, 5""
ed.. Cavendish, London 2002, tr. 73 - 4.
' Khoan 2 Dilu 122 BLDS 2005.
26
Didu 134, va Didu 401 BLDS 2005. Khoan I
Didu 124 quy djnh: "Giao dich ddn su dugc
thi hien bang Idi ndi. bdng vdn bdn hogc bdng
hdnh vi cu thi". Khoan 1 Didu 401 BLDS 2005
Cling quy djnh: "Hgp ddng ddn sir co the duac
giao kit bdng ldi ndi. bdng vdn bdn hoac bdng
hdnh vi cu thi. khi phdp ludt khdng quy djnh
logi hgp ddng dd phdi duge giao kit bdng mgt
hinh thuc nhdt dinH\ Xem xet ky ndi dung ciia
cac didu luat nay. tac gia cho rang quy djnh nay
bdc lg mdt sd bat cap cSn dugc nghidn cim,
hoan thien. Cu the:
Tha nhdt. ca khoan 1 Didu 124 va khoan I
Didu 401 deu chi nhic ddn cac hinh thtic xac
djnh don nhat ciia hgp ddng. Phuang phap quy
dinh tlieo kidu liet ke lam cho ngi dung dieu
luat ro rang, cu thd, nhung phuang phap thudng
cd nhugc diem la khdng bao quat va de bo sot
nhiing trudng hgp khac. 6 day, dieu luat da
gidi ban danh sach cac hinh thiic don nhat ciia
hgp ddng: lai ndi, vdn bdn, hoac hdnh vi cu the.
Dieu do ciing co nghta la didu luat da thieu tinh
bao quat. Dua trdn nguyen tac ty do, tu nguyen
trong phap luat hgp ddng, cac ben chii the dugc
chgn each the hidn y chi, hgp dong bang bat ky
hinh thuc nao, tham chi co the sii dung ddng
thdi nhieu hinh thiic. Vi du: trong mpt vu viec
thyc te^, A da gpi dien cho dai didn ciia cdng ty
B de de nghi cong ty B cho A mua bao hiem
d to (ldi ndi) va A ddng y chuyen tien phi bao
hidm vao tai khoan cua cong ty B theo miic
phi bao hiem xac dinh (hanh vi). Nhan du tien
phi bao hiem tu A, cdng ty B ddng y cap cho
A dieu khoan bao hidm, giay chiing nhan bao
hiem/don bao hiem hgp le (van b^n). Trong
trudng hgp nay, cac ben da su dung ddng thdi
nhieu hinh thiic the hidn giao ket hgp ddng, chii
khdng chi la mot hinh thiic don nhat.
Nhu vay, thyc tidn cho thay, hinh thiic cua
hgp ddng khdng chi la ldi noi, van ban, hay
hanh vi ma co thd la bang bit ky hinh thirc nao,
hoac bang sy ket hgp sir dyng ddng thdi nhidu
hinh thirc khac nliau. Do do, khoan 1 Didu 124
can dugc sira doi theo hudng md rgng kha nang
* Xem ban an s6 195/2007/KDTM-PT ngay
09/10/2007 cua T6a Phiic thIm TANDTC t^i Ha Npi
ve "Tranh ch5p hgp d6ng bao hiSm".
TA P CHI KHOA HOC PHAP LY SO 1/2013
lua chgn thd hi?n hinh thirc hgp dong bang
nhidu hinh thiic khac nhau.
Thu hai, so vdi khoan 1 Didu 124 thi khqan
1 Dieu 40 i nhae lai ingt each khdng dSy dii quy
djnh tai khoan 1 Didu 124: khoan 1 Didu 124
CO bao nhieu hinh thiic giao dich, thi khoan 1^
Dieu 401 ciing liet ke bay nhieu hinh thirc hppi
ddng tuong irng. Dudi goc do he thong, hppi
ddng la mpt loai giao dich dan su va cac quyi
dinh trong phSn giao djch dan sy (phinchungji
duong nhien dugc ap dung doi ven hgp dongr
(phSn ridng). Xet vd mat ky thuat, khi cungdifiu,
chinh mgt van de, neu ngi dung dd da dugc quy,
dinh d phan chung thi phan rieng khdng can,
phai nhae lai npi dung dd nira, trir trudng hgp'
do la quy djnh dac thii, co npi dung khac biet so'
vdi quy djnh trong phan chung. Ndi dung quy'
djnh tai khoan 1 Dieu 401 nhae lai toan bp noi'
dung cita dieu luat da cd trong phan chung la'
khdng can thiet vi nd lam cho ngi dung dieu luat'
trd nen dai dong, nhung lai khdng chiia dyngi
nhung ngi dung mdi hay dua ra mgt trudng hop i
khac bidt nao. Vi vay, thidt nghT didu luat nayi
can dugc bidn soan lai cho tinh ggn hon. \
Kien nghi: Nhu da phan tich trong phin trSn,;
phap luat hien hanh quy dinh ve hinh thiic hppr
dong chi bao gdm ba hinh thiic nhu hien n^,
la ban chd qua muc quyen ty do hgp dong vi,
khdng phil hgp vdi yeu cau ciia thuc tien. Nha^
lam luat can quy djnh ve hinh thiic hgp dong
theo hudng md de vira dap iing yeu cau ciia'
thyc tidn, vira bao dam quyen tu do hgp ddng;'
qua dd tao didu kien thuan Igi cho cac giao dich'
dan su phat trien buih thudng, ddng thdi cung'
de hoa nhap vdi xu hudng phap luat tien tieni
tren the gidi. Theo do, luat can thiia nhan W
ky hinh thirc bieu hieu khach quan nao cuahgpi
ddng mien sao hinh thiic do cd the chiing ininhi
sy tdn tai thyc te cua hgp dong, va co the dieoi
dat chinh xac y chi dich thyc cua cac ben trong;
hgp ddng, ma vdi cac hinh thirc dd, cac ben (A
thd luu trii va tiiam chieu khi can thidt r
Diem nay can hgc hoi kinh nghiem cua Cflng
udc Vidn 1980^, Bg nguyen tac ciia UNIDROlt
^ Dieu 11 Cong udc ciia Li€n hi^p qudc ve hpp wRl
mua ban. hang hoa quoc t£ - Cong udc Vien - CISG -1980.
LUAT DAN s i r
vd hgp ddng thuang mai qudc td^, va Bd nguyen
tac chung cua Lu^t Hgp ddng chau Au^ vd viec
cdng nhan cac hmh thirc khac co thd dien dat
dugc ngi dung hgp ddng ma cac ben co thd xuat
trinh lam bang chiing khi cd tranh chip. Nhung
can luu y, hau het nhiing didu khoan kd tren
khong phai dd dieu chinh mpi loai hgp ddng,
ma chii yeu !a dieu chinh trong Imh vyc hgp
dong thuong mai hoac mua ban hang hda qudc
te. Bdi vay, khi thiet ke didu khoan quy djnh vc
hinh thiic hgp ddng trong BLDS, chiing ta can
tinh den nhiing hgp dong dan sy lien quan tdi
cac tai san quan trgng hoac lien quan tdi trat ty
cong cdng, nhu nha d, dat dai, bat dpng san,
tau bien, tau bay, cac phuang tien giao thdng ca
gidi khac... Tir nhan thiic tren day, tac gia kidn
nghi sira ddi, bd sung cac quy djnh true tidp ve
hinh thirc hgp dong nhu sau:
Boi vdi khodn 1 Bieu 124, de nghi sii-a doi,
bo sung nhu sau: "Giao djch ddn sir dugc thi
hi$n bdng lai noi. bdng vdn bdn, bdng hdnh vi
cu thi, bdng cdc hinh thuc vdt chdt hiiu hinh
khdc md co thi diin dgt dugc y chi cua cdc ben
vd chung minh dugc su ton tgi cua giao dich,
hogc bdng su ket hgp ciia hai hay nhieu hinh
thae ke trin".
Ndi dung dieu luat nay da md rpng them cac
hinh thirc khac cua giao djch ngoai 3 hmh thirc
da dugc Het ke trong Dieu 124 hidn nay, ddng
thdi ciing du lieu ca trudng hgp giao djch dugc
lap bang sy kdt hgp nhieu hinh thiic khac nhau.
Su md rgng danh sach cac hinh thiic nhu tren
cho phep cac ben dugc lya chgn hinh thuc giao
dich mgt each linh hogt. Hon nira, viec xac djnh
hinh thiic hgp ddng khdng chi dya tren cac hinh
thiic CO san nhu quy dinh hidn hanh, ma con
bao gdm bat ky hinh thiic vat chit nao, nhung
phai tuan thu tidu chi xac dinh tdn tai dudi dang
"vat chat hiiu hinh" va "cd the dien dat dugc
y chi cua cac ben". Tinh chat "vat chit", "hiiu
hinh" la tinh chat vat ly rat quan trgng, the hien
su tdn tai khach quan ciia hgp ddng - nghTa la
hgp ddng phai tdn tai dudi dang vat chit xac
" Di6u 1.2 Bo nguyen t3c cQa UNIDROIT ve hop
dong thucmg m^i quoc te.
' Khoan 2 DiSu 2: 101 Bo nguyfin tac Luat hgp
d^ng Chau Au.
27
djnh ma con ngudi co the nhin thay, nhan thirc
dugc va dgc dugc ngi dung ciia hgp ddng dugc
thd hien d fren do. Nhiing dang vat chat khong
CO hinh dang xac dinh hoac khdng the nhin thiy
dugc, hoac khdng the dien dat dugc ndi dung
hgp ddng thi khdng the dugc coi la hinh thirc
ciia hgp ddng.
Bong thdi can sii-a doi quy dinh tgi khodn I
Bieu 401 nhu sau:
Khoan 1 Dieu 401: "Hgp ddng dan su co the
dugc giao ket bang nhirng hinh thirc duac quy
dinh tgi khodn 1 Biiu 124 cua Bo lugt ndy".
Ve ky thuat, bang phuang phap dan chieu,
khoan 1 Dieu 401 (siia ddi) co ngi dung ngan
ggn, chat che, vira tranh sy trimg lap, nhung
cung vira khac phuc dugc tiiidu sot ciia khoan
1 Dieu 401 hien nay. Ve ngi dung, quy dinh
nay nham bao dam su thdng nhat trong cac quy
dinh ve hinh thiic ciia hgp ddng vdi hinh thiic
ciia giao dich dan sy noi chung dugc quy djnh
tai Dieu 124. Theo do, hmh thiic ciia hgp ddng
khdng chi bao gdm nhiing hinh thiic dugc liet
ke Cling nhae nhu each quy djnh cu, ma con cho
phep cac ben co the xac lap hgp ddng bang bat
ky hinh thiic vat chat hiru hinh nao, hoac co the
ket hgp tir hai hay nhidu hinh thiic khac nhau,
trif trudng hgp phap luat quy dinh hgp ddng
phai tuan theo mpt hinh thiic bat bupc.
Vi du: Hgp ddng cd the dugc lap ddng thdi
bang van ban, bang thu dien tir (hoac gpi dien
thoai) va bang hanh vi: A giri thu dien tir cho
B de de nghi giao kdt hgp ddng, vdi cac dieu
khoan cy the dugc ghi trong van ban dinh kem.
Ngay sau do, B da giri thu tra Idi bang van ban
chap nhan hSu hdt cac ngi dung ciia de nghi,
nhung cd neu y kidn sua doi mpt sd ngi dung
cu the ve gia cua hgp ddng so vdi gia ma A da
de nghi, va kem theo dieu kidn: neu A ddng y
vdi nhung dieu B noi thi hay mang hang hoa
den giao cho B tai dja chi xac djnh. Trdn thuc
td, A da nhan dugc thu tra ldi cua B va da tu
thyc hidn diing nhiing gi ma B yeu cau. Trong
trudng hgp nay cd the kdt luan rang hgp ddng
giiia A va B da dugc giao kdt. Trong do, B la
ngudi dd nghi va A la ngudi chap nhan de nghi.
Day la hgp ddng dugc the hien bdi su kdt hgp
bang nhidu hmh thirc khac nliau: ca thu didn tii
28
(hoac ldi noi), bing van ban ma Ada giri cho B,
bing van ban ma B dua ra de nghi mdi vdi A,
va ca bing hanh vi cu the ciia A khi thyc hidn
hgp ddng.
Mdt khdc, each quy djnh nay ciing dd cao
nguyen tic ty do cam kdt, thda thuan. Tinh than
CO ban cua nguyen tic tu do cam ket, thoa thuan
thd hidn d chd "cde bin tham gia trong quan
hii ddn su co quyin tu do the hi^n y ehi. tu do
lua chgn doi tdc. lu do lira chgn cdc hinh thiic
vd cdc logi giao dich cung nhu tu do lif a chon
cdc diiu kien ciia giao dich md minh tham gia
..."^ Ddng thdi trong quy dinh mdi cung can
luge bo doan "khi phdp ludt khong quy dinh
logi hqp ddng do phdi dugc giao kit bdng mgt
hinh thuc nhdt dinh", lam cho ngi dung trd nen
ngin gpn va hgp ly ban. Bdi Id, day la quy djnh
ca ban ve hinh thiic cua hgp ddng, ndn khdng
can thidt phai dua them doan tren vao. Neu cac
ben CO thoa thuan khac hoac phap luat quy dinh
khac thi do la nhiing ngoai Id, se dugc dieu chi-
nh trong mdt dieu khoan ridng, cu the la khoan
2 Didu 401 BLDS 2005, nhu dugc phan tich
trong muc tiep theo dudi day.
2. Quy dinh ve hinh thirc bat bugc cua hop
dong tai khoan 2 Dieu 122, khoan 2 Dieu 124
va khoan 2 D i k 401 BLDS 2005
Bat cap. Theo quy dinh tai khoan 2 Didu
122, hinh thiic la dieu kidn co hieu iuc cua giao
djch trong trucmg hgp phap luat cd quy djnh.
Theo khoan 2 Dieu 124, neu phap luat c6 quy
djnh hinh thiic giao djch bat bugc, thi hinh thiic
do CO the la: van ban, hoac van ban co cong
chiing, chiing thyc, hoac dang ky, xin phep.
Khi nghien ciiu cac quy djnh nay, tac gia nhan
thay npi dung ciia chiing con nhieu bat cap, cu
the nhu sau:
Thu nhdc ddi chieu hai dieu luat nay, ta thiy
quy dinh tai khoan 2 Didu 124 co quy djnh
hinh thiic bat budc ciia giao dich bao gdm ca
"van ban", nhung quy djnh ve hinh thirc ciia
hgp ddng tai Didu 401 da bd quy djnh "bdng
van bdn". Trong cac quy djnh khac vd hgp
ddng thdng dung, hgp dong bao dam, hgp ddng
thuong mai... deu co quy djnh mpt so loai hgp
* Phan nau Thu & Le Thu Ha (Cb), Gido trinh Ludt
Ddnsu, Nxb. CAND, H. 2007, tr. 35.
TAP CHI KHOA HOC PHAP LYS61/2011
ddng phai lap bing van ban. Vi du: hgp dongv^
nha d theo quy dinh tai khoan 3 Didu 93 Luiil
Nha d, hoac hgp ddng hgp dong thirong mai
dugc quy djnh trong Luat Thuang mai 2005:
hgp ddng mua ban hang hoa (khoan 2 Dieu 24),
hgp dong mua ban hang hda qudc td (khoan 2
Dieu 27), hgp dong dich vu ma phap luat qi^
dinh phai dugc lap thanh van ban (khoan 2
Dieu 74), hgp ddng djch vu khuyen mai (DiSu
90), hgp ddng djch vu quang cao thuoaig mai
(Didu 110), hgp ddng djch vu trung bay, gioi
thieu hang boa, djch vu (Dieu 124)...
Xet ve mat van ban, chiing ta thiy da co sir
thidu nhit quan gi&a quy djnh tai khoan 2 DiSi-
401 so vdi quy djnh tai 2 Didu 124 BLDS 2005
cac quy djnh trong phan rieng, va quy dinhliei
quan ciia phap luat chuydn nganh. Dieu nay
dan tdi hau qua la, ddi vdi cac hgp dong ma
phap luat quy dinh la phai dugc lap bang var
ban ma cac ben khdng tuan thu, thi khdng r6 se
can phai can cii vao quy dinh nao dd giai quyft,
Vi du: Theo Didu 492 BLDS 2005, hgp dong
thud nha d dudi 6 thang thi bat budc phai diroc
lap bang van ban. Gia sii trdn thuc te, cac ben
da lap hgp dong bang mieng, thi giai quyet the
nao (?). Theo quy djnh tai Didu 492 BLDS
2005 la quy pham menh lenh: "hgp donglh^
nhd phdi dugc lap thdnh vdn bdh'\ Khi cac
ben khdng tuan thii quy dinh nay thi hinh thur
ciia hgp ddng la khdng hgp phap. Dya vao qig'
dinh ciia BLDS 2005, thi trudng hgp nay cun^
khdng biet cd bi coi la vi pham quy djnhve
hinh thiic hay khdng. Bdi le, neu ap dung qi?
djnh tai khoan 2 Dieu 122 va khoan 2 Dieu 124,
thi hgp ddng thue nha ndi tren la khdng hop
phap, vi khoan 2 Dieu 124 quy djnh rd: ''Tron^
tfuang hop phdp ludt co quy dinh giao dfchdm
sir phdi dugc the hien bdng vdn bdn, phdi con^
chung hogc chung thuc. phdi ddng ky ho^:^
phep thi phdi tudn theo cdc quy dinh do".
Nhung neu dua vao quy dinh tai khoan 2
Dieu 401 thi hgp dong thud nha noi tren khong
bj coi la trai phap luat vi dieu luat nay chi quy
djnh: "Trong trudng hap phdp lugt CO quy 0
hgp ddng phdi dime the hien bdng van banco
cdng chiing hogc chung thuc, phdi ddng k
hogc xin phep, thi phdi tudn theo cdc quy #*
LUAT DAN S i r
do". Theo quy dinh nay, chi cac hinh thiic hgp
ddng dugc didu luat liet kd mdi coi la "hinh thiic
hgp ddng" thudc trudng hgp "phap luat co quy
dinh" thi mdi bupc phai "tuan thu tiieo quy djnh
do". Do trong khoan 2 Didu 401 khdng chi ra
hinh thiic bat bugc cua hgp ddng la "van ban",
'lieu CO the cho ring viec hgp ddng thue nha
dudi 6 thang khong dugc lap bing van ban thi
'khong bi coi la vi pham quy djnh ve hinh thuc?
Nhu vay, phai chang nha lam luat chi xem van
'ban la hinh thiic bat bugc bit budc cho mdt so
loai giao dich dan sy nhit dinh, chii khdng phai
'la hinh thiic bat bupc ciia cac hgp ddng (?).
• Mat khac, xet ve thii ty uu tien ap dung,
thi quy dinh tai khoan 2 Dieu 124 la quy dinh
•chung ve hinh thiic giao dich, con quy djrih tai
•khoan 2 Dieu 401 la quy dinh rieng ve hinh thiic
'hgp ddng - mgt loai giao djch dan sy chuyen
'biet. Vi the, de giai quyet tranh chap ve hinh
'thiic hgp dong, khoan 2 Dieu 401 phai dugc ap
3dung uu tien hon so vdi khoan 2 Didu 124. Neu
'suy luan nay la diing, thi ddi vdi cac hgp ddng
'chuyen biet ma phap luat co quy djnh bat budc
phai lam bang van ban, cac ben ciing khdng bat
bugc phai tuan theo. Bdi vi, theo quy djnh tai
khoan 2 Dieu 401, cac ben chi budc phai tuan
' theo khi hinh thiic hgp ddng dugc lap bang van
iban c6 cdng chiing hoac chiing thuc, phai dang
:ky hoac phai xin phep; trong khi do quy dinh
inay lai khdng bat bugc ddi vdi hinh thiic hgp
iddng bang van ban nhu quy djnh ciia khoan 2
I Didu 124.
: Vay phai chang, trong trudng hgp phap
jli4t CO quy djnh hgp ddng phai lap bang van
jban ma cac bdn khdng tuan thii thi hgp ddng
•do van co hieu lyc? Tuy nhien, khao sat nhieu
,quy djnh lien quan ddn hinh thiic hgp ddng
ikhdng cho chiing ta cau tra ldi nhu vay. Vi
du: khoan 1 Didu 358 BLDS 2005: "viec ddt
icgcphdi dugc lap thdnh van bdn". Theo quy
idjnh nay thi van ban la hinh thiic bat budc
;cua hgp ddng dat cpc. Gia su khi dat cgc, cac
i;ben khdng lap van ban thi viec dat cgc co gia
;tri hay khong? Ndu chidu theo quy dinh tai
, khoan 2 Didu 401 nhu vira phan tich, van ban
jkhdng phai la dieu kien bat budc vd hinh thiic
;,ciia hgp dong dat cgc. Tuy vay, vd mat van
29
ban va ca trong thyc tidn phap luat, neu cac
ben dat cgc ma khdng lam van ban thi coi
nhu hgp ddng dat cgc khdng co hieu lyc'.
Tom lai, khoan 2 Dieu 401 lap lai quy djnh
tai khoan 2 Dieu 124, nhung ndi dung lap lai
khdng day dii (bd cac hgp dong bit bugc bing
van ban thdng thudng). Tuy hai dieu luat cimg
dieu chinh ve mgt van de, nhung ndi dung
khdng nhat quan. Cau hoi dat ra la, phai chang
quy djnh tai khoan 2 Didu 401 da "vd hidu
hda" cac quy dinh khac ciia phap luat ve cac
hgp ddng co hinh thuc bat budc bang van ban
(thdng thudng)(?). De co each hieu thong nhit
va tao dieu kien thuan Igi, de dang ban trong
vide nhan thiic va ap dung phap luat, thidt nghT,
van de nay can phai dugc lam ro.
Kien nghi. Co the thay quy djnh tai khoan
2 Didu 401 con thieu sdt, va chua nhit quan
vdi quy djnh tai khoan 2 Didu 124 BLDS 2005.
Mat khac, each quy djnh mang tinh chat liet ke
lam cho khoan 2 Dieu 401 vira dai ddng, vira
khdng day dii, vi chua dy lieu dugc het mpi
hinh thirc bat bugc ciia hgp dong. Do d6, khoan
2 Didu 401 can phai dugc sua ddi, bd sung cho
phil hgp.
Mac dii khoan 2 Didu 124 khdng du lieu tat
ca cac hinh Ihiic bat bugc cua hgp ddng, nhung
vi day la quy dinh chung vd hinh thiic bat bupc
cac loai giao djch dan sy, khdng nhat thidt phai
thd hien day dii cac yeu cau ve hinh thiic hgp
dong, ndn cd the dugc giii nguyen. Con quy
djnh tai khoan 2 Dieu 401 la quy dinh ridng
so vdi khoan 2 Didu 124, va la ngoai Id so vdi
khoan 1 Dieu 401 vd hinh thiic ciia hgp ddng,
nen can phai dugc sua ddi, bd sung theo hudng:
vua ngan gpn vira dam bao sy nhat quan so vdi
quy dinh tai khoan 2 Dieu 124 va khoan 1 Didu
401.
Cu the, khoan 2 Bieu 401 nen duac sua
ddi, bo sung nhu sau:
"2. Trong trudng hgp cdc bin co thoa thudn
hoac phap luat co quy djnh hgp ddng phai dugc
' Theo quy dinh tai Nghj quyet 01/2003/NQ-HDTP
ngay 16/4/2003 ciia H6i dong IhSm phan - TAND tfii
cao thi hgp dong dat cpc chi co hieu lire n£u dugc bSng
van ban. Nhu vSy, nfiu hop dong dat cgc khong dugc
lap bang van ban thi khong co hieu lire.
30 TAPCHIKHOA HQC PHAP LYSO 1/2011

thd hien bdng hinh thac nhdt dinh thi hgp dong vudng mac sau day:
phdi dugc giao kit theo dung hinh thuc do." Thu nhdt, quy dinh nay cd su mau thuan vj
6 day, viec cac ben thda thuan khdc hoac lam vo hieu hoa cac quy dinh khac ve hinli
phap luat quy dinh khae la nhOng trudng hgp thiic hgp dong. Hon nita, ddi chieu vdi cac
ngoai le so vdi quy djnh co ban ciia khoan 1 quy dinh tucmg iing vd hinh thiic hgp ddng\^
(vira dugc ki^n nghi siia ddi, bo sung d phan giai quydt hau qua do vi pham ve hinh thiic, ft]
trdn). So vdi khoan 2 hidn nay, thi quy dinh nky quy djnh nay la khdng chinh xac. Bdi lg, thec_
CO tinh khai quat cao hon va siic tich hon, vi: quy djnh ciia phap luat, co nhieu hgp ddngtii
tiiir nhit, didu luat dy lieu ca trudng hgp "cac vi pham hinh thiic thi khdng dugc toa an cong
ben CO thda thuan khac"; thir hai, npi dung dieu nhan. Vi du: vide dat cpc de bao dam giao k^
luat tuy khdng liet ke cac hinh thiic cu the ciia thuc hien hgp ddng khdng lap thanh van bin,
hgp ddng, nhung cum tir "bing hinh thiic nhat thi khi c6 tranh chip, tda an se khong cong"
djnh" lai bao ham ca nhirng hinh thirc da dugc nhan hgp ddng dat cgc giiia cac ben". Tuong"
liet ke tai khoan 2 Dieu 401 hidn hanh, nhu van ty, hgp dong tang cho nha d khdng dupe l|p-
ban cdng chiing hoac chiing thyc, dang ky, diing hinh thiic va chua hoan tit thii tuc lual-
hoac xin phep. djnh, thi tda ciing khdng the cong nhgn gia Bi-
Ngoai ra, nghTa ciia cum tir nay cdn cd the phap Iy cua hgp ddng". Suy cho cimg thi viec-
dugc giai thich md rdng, bao ham ca nhiing tda an khdng cdng nhan hgp ddng cung co _
lunh thiic khac khong dugc dy lieu trong khoan nghTa la hgp dong chua cd gia tri phap ly, chua _
2 Dieu 401 hien hanh, nhu van ban (hoac bang lam phat sinh quydn va nghTa vu giiia cac ben. _
hanh vi cy the). Vi du: hinh thiic hgp ddng dat Vi theo cac chuyen gia, tren thyc te khdng co
cpc (khoan 1 Didu 358 BLDS 2005), hgp ddng su phan biet dang ke giira hgp ddng khdng co
thue nha dudi 6 thang (Didu 492 BLDS 2005). hidu lyc vdi hgp ddng khdng dugc toa an cong
Hon niia, quy dinh nay ciing cho phep cac bdn nhan do khong chung minh dugc su tdn tai
CO quyen thda thuan hgp dong dugc lap bang cua hgp ddng'^
hinh thuc xac dinh, ndn hinh thiic cac ben thoa Thu hai, quy dinh nay co sy phii nhan cac"
thuan CO the ia bat ky hinh thirc nao ma cac ben quy djnh khac vd ydu ciu hinh tfiiic bit buoc"
cho la phil hgp. Bdi vay, cum tir "bing hinh ddi vdi mgt so loai hgp ddng. Theo quyffinh-
thiic nhat djnh" co y nghTa vira bao dam tinh phap luat, cd mdt sd loai hgp ddng phai dum -
khai quat va siic tich ciia didu luat, vira dam lap vdi lunh thiic xac djnh va cdn phai tuan theo -
bao sy nhat quan vdi cac quy dinh khac co lien nhimg thu tuc bat bugc. Vi du cac ben thd chap -
quan. nha d, the chap quyen sii dung dit... thi hop -
Ngoai ra, trong didu luat con dy lieu ca dong the chap phai dugc lap bang van ban w _
trudng hgp "cac ben co thoa thuan khac". Dua phai thuc hien thii tuc dang ky tai co quan ^ _
ndi dung nay vao day la cin thidt, vi viec lua ky giao dich bao dam theo quy dinh cua phap _
chpn hirih thirc bit bupc cua hgp ddng khdng luat. Ndu khong dang ky thi giao dichflippdoflg
chi quyet dinh cua nha lam luat, ma con la bao dam se khdng co hieu lyc doi vdi ngudi m _
quyen ty do hgp ddng ciia cac ben chu the.
3. Quy djnh tai doan 2 khoan 2 Dieu 401
'" Dieu 358 BLDS 2005; Muc 1 Nghj qup
Bo luat Dan su 2005
01/2003/NQ - HDT? ngay 16/4/2003 ciia Hpi ik "
Bat cgp. Theo doan 2 khoan 2 Didu 401: thim phan TANDTC v^ huong din ap dung p h a p P -
"HtjFp dong khong bi vo hieu trong trudng hgp trong viec giSi quyet m$t so loai tranh ch^p dansyva
CO vi phgm vi hinh thuc. tru truang hap phdp h6n nhan gia dinh. !^
ludt ed quy dinh khdc". Doi chidu vdi quy dinh " Khoan 2 Di6u 467 BLDS 2005, khoan 3 Difiu'' "
tai khoan 2 Didu 122, Didu 134 va trong doan Lu^t Nha o.
" LS Thi BIch Thg, Hinh thtic cua hgp ddng *)'»* -
1 Dieu 401 vira ndu, tac gia nhan thiy quy
/ / va dieu ki4n co hi^u lire cua hgp ddng. Tap chf Luf _
dinh tai doan 2 khoan 2 Dieu 401 co nhiing hgc, s6 02/2002, tr. 44.
LUAT DAN S t /
ba". Day co thd dugc coi la "trudng hgp phap
luat CO quy djnh khac". Nhung trong hlu hdt
cac hgp ddng dugc phap luat quy djnh tuan theo
hinh thiic bat huge, chiing ta khdng thd tim thiy
quy dinh khac minh dinh "hgp dong vo hieu khi
viphgm hinh thuc". Dieu nay khdng cd nghTa la
hgp dong khdng bi vo hieu khi vi pham ve mSt
hinh thiic: Trai lai, theo quy djnh tai Dieu 134
BLDS 2005, khi phap luat quy djnh giao dich/
hgp ddng phai dugc lap theo hinh thuc bat bugc
ma cac bdn khdng tuan thu, thi cung co the bj
toa an tuyen bd vo hieu sau khi da ra quyet djnh
bupc cac ben phai thyc hien dimg quy djnh ve
hinh thiic, nhung mot ho^c cac ben lai khdng
chiu thyc hien.
Nhu vay, quy dinh tai doan 2 klioan 2 Dieu
401 BLDS rd rang la khdng phii hgp va gay ra
su liuig tiing trong vide nhan thiic va ap dung
phap luat, va do vay can dugc bai bd.
Kien nghi. De bao dam tinh thdng nhat, dong
bp trong cac quy dinh ve giai quyet hau qua ly
cua hgp ddng bj vi pham hinh thiic, can bo quy
djnh tai doan 2 khoan 2 Dieu 401 • "Hgp ddng
khdng bi vd hieu trong trudng hgp cd vi phgm
ve hinh thiic. trir trudng hgp phdp ludt co quy
dinh khdc".
4. Bo sung quy dinh hinh thirc hop dong
la dieu kien co hieu lire cua hgp dong khi cac
ben CO thoa thuan
Bat cap. Theo quy dinh tai khoan 2 Didu 122
BLDS 2005, hinh thiic la dieu kien co hidu lyc
cua giao djch dan su trong trudng hgp phap luat
c6 quy dinh. Nhu vay, nha lam luat chi coi hinh
thiic cua giao dich dan sy la didu kien cd hieu
luc khi dugc phap luat quy djnh cu the. Dieu
nay cho thay nha lam luat chua dy lieu kha nang
cac ben thoa thuan hinh thiic la mdt dieu kien co
hieu Iuc cua hgp dong. Tac gia cho rang day la
mdt diem thieu sot cua khoan 2 Didu 122.
! Tren thyc td, khong hidm cac trudng hgp cac
ben thoa thuan hgp ddng chi cd hieu luc ndu no
dugc cac ben \^ kdt chinh thiic bang van ban
'hoac bang van ban co cdng chiing, chiing thyc.
Vi du: Doanh nghiep kinh doanh bat ddng san
A ban cho B mgt tda chung cu va cac ben thda
ifliuan hgp ddng chuydn nhugng chi co hieu lyc
• '^ Khoan 3 Difiu 323 BLDS 2005.
31
khi hgp ddng dugc cdng chimg. Theo Luat Nha
d va Luat Kinh doanh bat ddng san, hgp ddng
loai nay khdng bupc phai cdng chiing trir trudng
hgp cac ben co thoa thuan khac".
Hon niia, xu hudng chung d Viet Nam
hidn nay la giam bdt quy dinh bit bugc thu
tiic cdng ehiing, chiing thyc ddi vdi hgp ddng.
Dong thdi, tang cudng quyen ty djnh doat
ciia duong su: cho phep cac ben dugc ty do
quyet djnh la hgp ddng giira hg cd can phai
dugc cdng chiing, chiing thyc hgp ddng hay
khdng^^. Neu quan niem nay dugc chap nhan
thi van de quy dinh ve hinh thiic bat bugc ciia
hgp dong se bi gidi han pham vi ap dung trong
rat nliieu trudng hgp^^ va nhu vay se co nhung
trudng hgp, tuy phap luat khdng quy djnh bat
bugc hgp ddng phai tuan theo hinh thiic cdng
chiing, chiing thyc nhung cac ben lai ty thda
thuan lya chgn viec tuan thii hinh thiic nhat
dinh la dieu kien cd hieu lyc cua hgp ddng.
Vdi quan niem theo xu hudng mdi nay, phap
luat can dy lieu ca nhiing trudng hgp neu tren.
Trong thyc tien thuang mai, chiing ta ciing
thudng thay cac ben co the thoa thuan lya
chgn mpt hinh thirc hgp ddng xac djnh lam
'" Xem Dieu 93 Luat N h i a 2005, sira doi bo sung
2009 va khoan 3 Dieu 67 Luat Kinh doanh bat dgng
san 2006.
" Theo tinh thin Nghj quyit sd 25/NQ-CP
ngdy 02/6/2010 vd Nghi quyil sd 52/NQ-CP ngdy
10/12/2010 ciia Chinh phii ve doTi gian hoa thii tuc
hanh chinh thugc pham vi chuc nSng ciia Bg Tir phap
th) nhieu hgp dong, giao djch se khong bat bugc phai
cong chiing, trir tnicmg hgp cac ben yeu cau. Tren co
so do, Bg Xay dimg da co van ban s6 657/BXD-VP
ngay 5/5/2011 gui Bo Tu phap de nghj siia doi khoan
3, khoan 5, Dieu 93 ciia Luat Nha 6 theo huong bai bo
yeu cSu bat bugc cong chiing doi voi 7 lo^i hgp d6ng
vS nha if, bao gom: mua ban, doi, tSng cho, the chip,
thue mua, thue nha 6 ciia cac to chiic co chiic nang
kinh doanh bat dgng san.
_ '^ Theo Th6ng bao so 63/TB-VPCP ngay 28/2/2012
v l k£t luSn ciia Thii tudng Chinh phii ve ig trinh thuc
Ihi phucmg an don gian hoa bSi bo yeu cSu bat bugc
cong chiing hgp dong ve nha or va quyfin sir dung dit:
Tiip tuc thuc iht phuang dn bdt bd yeu cdu bdt bugc
cdng chting ddi vai cdc hap ddng: cho thue quyen sir
dung ddi. (fuyen sti dung ddt vd tdi sdn gdn lien vai
ddi: chuyen ddi quyen sic dung ddt ndng nghiep; cho
mu(rn. cho d nhd nhd d; cho thue nhd a, uy quyen
qudn ly nhd a theo Nghi quyet sd 52/NQ-CP ngdy
10/12/2010 ctia Chinh phu...
32
didu ki?n c6 hidu lyc ciia hgp ddng. Tuong ty,
cac ben cung cd thd thda thuan viec sua ddi, bo
sung hgp ddng phai dugc the hi?n bang mdt
hinh thiic xac dinh thi mdi cd hidu lyc. Thyc
tien nay da dugc cac nha soan thao bp Nguyen
tic hgp ddng thuang mai qudc td Unidroit
tdng ket va dy li?u tgi cac Dieu 2.1.13 "Trong
cdc cugc ddm phdn, khi mgt ben yiu cdu vi^c
giao kit hgp ddng phu thugc vdo thda thudn
vi mQl sd vdn di lien quan den ngi dung hogc
hinh thac, thi hgp dong se chi dugc giao kel
neu cdc bin dgt dugc thda thudn ve nhiing
vdn di ndy"; hoac quy dinh tai Dieu 2.1.18 vd
viec sira doi hgp ddng bing hinh thiic d^c bi?t.
Trong lu^t thyc djnh ciia mgt sd qudc gia ciing
timg CO tien Id cho phep cac bdn dugc quyen
thoa thuan hinh thiic la dieu kidn co hieu lyc
cua hgp ddng. Vi du: khoan 2 Dieu 162 BLDS
Nga quy dinh: "Khdng tudn thu hinh thiic vdn
bdn dan gidn Idm cho hgp dong vo hieu niu
phdp ludt CO quy dinh hogc cdc ben cd thoa
thugn". Tuong ty, Dieu 10 Luat Hgp ddng
Trung Qudc ciing co quy djnh: " ...niu ducmg
su thda thudn vdi nhau su dung hinh thuc hgp
ddng bdng vdn bdn, thi phdi xdc lap hgp dong
theo hinh thac vdn bdn".
Kien nghi. Do quy djnh tai khoan I Dieu
122 chua liet ke trudng hgp cac bdn thda thuan
hinh thiic la dieu kien ciia giao dich dan su,
nen chua dam bao yeu cau dieu chinh phap
luat doi vdi trudng hgp lidn quan. Va do vay,
doi hdi can phai dugc nghien cuu, hoan thidn.
Tuy vay, quy djnh tai khoan 2 Dieu 122 BLDS
2005 la quy djnh chung vd didu kien co hidu
luc ciia giao djch dan su, cd thd khdng bao
gdm het cac ydu cau doi vdi hinh thiic cua cac
loai giao dich khac nhau. Do do, cin dua ndi
dung nay vao quy dinh tai Didu 401 BLDS.
De cd quy dinh rieng xac djnh ro hinh thiic la
dieu kien cq hidu lyc ciia hgp ddng, tac gia kien
nghj bd sung quy dinh nay vao Dieu 401 va thidt
kd thanh khoan 3 Didu 401. Cu the:
"3. Hinh thuc hgp ddng la diiu kiin eo hieu
luc cita hgp dong trong truang hgp cdc bin cd
thda thudn hogc phdp lugt co quy dinh hgp ddng
phdi dugc lap bdng mgt hinh thiic xdc dinh'''
Thiet nghi trong tuong lai, quan niem nay cin
TAPCHIKHOA HQCPHAPLYSO 1/2013
dugc xem la xu h u d i ^ chu dao vi phap luat c5n
h ^ che bdt sy can thiep cua Nha nuoc vao v^n
de lya chgn hinh thiic hop ddng va cin t ^ dilu
kien de cac ben tham ty mmh quydt djnh. Nha
nude chi nen quy djnh hinh thiic bit buoc d6i
vdi mgt sd logi hgp ddng vi ly do trat tii cong
cgng, bao vd ke ydu, luu giit chiing cii khi hpp
ddng cd thdi ban lau dai... Cd nhu vay moi bao
dam dugc nguyen tic ty do hgp ddng, dua phap
lugt hgp ddng trd ve dung vj tri va chiic nang
ciia nd la bao ve quyen Igi hgp phap ciia cac ben
chii the, dam bao an toan phap ly trong cac giao
luu dan sy.
Mat khac, vi?c bd sung quy dinh nay ciing
lam cho cac quy djnh trong toan bp E)ieu 401 tro
nen logic hon, dam bao cd sy thdng nhat gifia
khoan 3 (mdi) so vdi quy dinh tai khoan 2 (moi
- nhu da dd xuat d tren); khi cac ben c6 thoa
thuan thi hinh thirc cung cd the dugc coi la dieu
kien co hieu lyc cua hgp dong.
Ket luan. Hinh thiic la mdt yeu td ph^ ly
quan trgng cua hgp ddng, cd quan he bien chimg
vdi ban chit, npi dung, gia tri hieu lyc, thdi diem
cd hieu lyc cua hgp ddng; va la phuong tien de
dien dat y chi cua cac ben, cung nhu de chiing
minh sy ton tai ciia hgp ddng. Ngudi ta sS khong
bidt den sy tdn tai ciia hgp dong, neu n6 khong
dugc the hien dudi mgt hinh thirc xac djnh.
Nhan thiic dimg ve hinh thiic, miic dp anh
hudng cua hinh thiic hgp ddng ddi vdi quan
he phap luat hgp ddng co y nghia ly lu|in va
thyc tien quan trgng trong viec xay dung cac
quy dinh phap luat phu hgp v l hinh thiic cua
hgp dong, quy djnh cac hau qua phap ly thich
ling ddi vdi cac hgp ddng vi pham hinh thic;
ciing nhu tao lap co sd ly luan dd giai thich va
ap dung phap luat trong vieq giai quyet cac
tranh chap ve hgp ddng. Dd bao dam nguySn
tic ty do hgp ddng, phap luat can quy dinh
linh hoat hon ve cac hinh thiic hgp dong.
Ngoai ra, can sua ddi quy dinh ve hinh thiic
hgp dong trong mdi quan he bien chiing voi
cac quy dinh khac trong phin chung va t?o
CO sd phap ly vung chac cho cac quy djnh ve
hinh thiic cua cac loai hgp ddng chuyen bi^
trong BLDS va cac van ban phap luat chuyen
nganh. •