本文選題：間接征收 + 比例原則��； 參考：《中國政法大學》2011年碩士論文

【摘要】：征收問題向來是國際投資保護領域最具爭議的問題之一,南北矛盾的焦點從征收合法性到補償標準,近年來又集中到間接征收的認定上。有關投資的國際公約和各國締結的雙邊投資條約或自由貿易協(xié)定中,對于“間接征收”從未明確進行概念性界定,只是簡單描述為“任何其他具有相似效果的措施”或“具有相當于國有化或征收的效果的措施”等,規(guī)則的不確定性導致了仲裁實踐的不一致。而傾向于保護投資者利益的仲裁庭大多純粹從政府行為的“效果”出發(fā),將一些東道國政府為保護安全、環(huán)境等公共利益做出的管制行為認定為間接征收。東道國不但面臨訴累和高額補償的風險,而且其政府管制權亦受到挑戰(zhàn),國際投資仲裁的正當性受到質疑。尤其是自NAFTA生效實施以來,依其第11章提起的征收仲裁案頻頻發(fā)生,一直主張高標準保護投資者的美國被多次推上被告席。 這種“間接征收”擴大化的趨勢引起了一些國家及國際組織的反思,開始強調維護東道國政府的正當管制權,以保障其國內的公共利益。因此,在間接征收的界定上,開始逐步增強了對政府行為“目的”的關切,這些努力也直接促成了間接征收條款的新發(fā)展,例如2004年美國新BIT范本中征收及相關條款的變化。 但由于目的本身的主觀性,以及效果與目的之爭背后存在的多方利益與價值博弈,導致了間接征收界定上仍存在激烈爭論。本文通過對相關學說、規(guī)則及仲裁實踐的研究,試圖通過從平衡外國投資者利益與東道國公共利益角度出發(fā),提出較為合理的界定標準。同時,針對我國目前“走出去”戰(zhàn)略的實施,中國企業(yè)海外投資大增,如何平衡我國作為投資東道國和投資者母國的地位需要結合國情進行思考。 本文除導言及結論外共分為四章。 第一章間接征收概述。介紹間接征收理論和實踐發(fā)展簡史以及近期間接征收擴大化趨勢。提出東道國正常的管制行為與間接征收之間存在灰色地帶,需要平衡投資者權利與東道國公共利益以確定合理的界限。 第二章間接征收界定現狀。歸納了間接征收界定的相關學說、規(guī)則和仲裁實踐。無論規(guī)則層面還是仲裁實踐,都缺乏一致性、確定性的界定標準。各種學說和規(guī)則的分歧實質在于行為認定時目的與效果的不同權重,解決問題的關鍵在于如何在投資者利益和東道國利益之間進行平衡。 第三章間接征收界定問題的解決方法探索。從比例原則的一般理論得出運用比例原則權衡目的與效果的可能性。從國際仲裁實踐角度分析出運用比例原則界定間接征收還存在法律依據和適用方法上問題,從而難以達到預期效果。最后針對上述問題探討解決問題的方法,試圖從利益平衡角度提出合理化建議。 第四章晚近間接征收擴大化趨勢下中國的對策分析。首先通過分析中國當前吸收投資和對外投資的現狀,得出轉型期的中國面臨兩方面風險。其次對中國外資立法中與征收有關條款,尤其是晚近新型征收條款進行分析,找出優(yōu)缺點。最后從原則和規(guī)則兩個層面,對轉型期的中國如何應對晚近間接征收擴大化趨勢提出合理化建議。
[Abstract]:The problem of expropriation is one of the most controversial issues in the field of international investment protection . In recent years , the focus of the contradiction between the North and the South has focused on the recognition of indirect expropriation .


The tendency of the " indirect expropriation " to expand is a reflection of some countries and international organizations , beginning to emphasize the preservation of the legitimate right of the host Government to safeguard the public interests of the host country . Therefore , on the definition of indirect expropriation , the concern about the purpose of government behavior has been gradually strengthened . These efforts have also directly contributed to the new development of indirect expropriation provisions , such as the changes in the collection and relevant provisions of the new BIT model in 2004 .


However , due to the subjective nature of the purpose and the multi - stakeholder and value game behind the dispute between the effect and the purpose , there is still a heated debate on the indirect collection definition . Through the study of the relevant theories , rules and arbitration practice , this paper tries to propose a reasonable definition standard from the perspective of balancing the interests of foreign investors and the public interests of the host country . At the same time , in view of the implementation of the " go out " strategy in China , how to balance the position of our country as the host country of the investment and the investor ' s home country needs to reflect on the national conditions .


In addition to the introduction and conclusion , this paper is divided into four chapters .


Chapter One introduces the brief history of indirect expropriation theory and practice development and the recent trend of indirect expropriation . It is suggested that there is a grey zone between the normal control behavior and indirect expropriation of host country . It is necessary to balance investor ' s rights and public interests of host country to determine reasonable limits .


In chapter 2 , the definition of indirect expropriation is summarized . The theory , rules and practice of indirect expropriation are summarized . No matter the rule or arbitration practice , there is a lack of consistency and certainty . The differences between various theories and rules lie in the different weights of the purpose and effect when the behavior is determined . The key to the problem is how to balance the interests of investors and the interests of the host country .


The third chapter explores the problem of indirect expropriation . From the general theory of proportionality principle , the possibility of using proportional principle to weigh the purpose and effect is drawn . It is difficult to achieve the expected effect from the angle of international arbitration practice . Finally , the method of solving the problem is discussed in the light of the above - mentioned problems . Finally , the rationalization proposal is put forward from the angle of balance of interest .


Chapter four analyzes the countermeasures of China under the trend of indirect expropriation and expansion . First , by analyzing the current situation of China ' s current absorption investment and foreign investment , it is concluded that China faces two risks . Secondly , it analyzes the relevant clauses in China ' s foreign investment legislation , especially the new collection clause in the late period , and finds out the advantages and disadvantages . Finally , from the two aspects of principle and rule , how to deal with the tendency of China to deal with the tendency of expansion and expansion in the late period should be put forward .

【學位授予單位】：中國政法大學
【學位級別】：碩士
【學位授予年份】：2011
【分類號】：D996.4

【參考文獻】

相關期刊論文 前1條

1 范劍虹;歐盟與德國的比例原則——內涵、淵源、適用與在中國的借鑒[J];浙江大學學報(人文社會科學版);2000年05期

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本文編號：1766549