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

【摘要】：征收問題向來是國(guó)際投資保護(hù)領(lǐng)域最具爭(zhēng)議的問題之一,南北矛盾的焦點(diǎn)從征收合法性到補(bǔ)償標(biāo)準(zhǔn),近年來又集中到間接征收的認(rèn)定上。有關(guān)投資的國(guó)際公約和各國(guó)締結(jié)的雙邊投資條約或自由貿(mào)易協(xié)定中,對(duì)于“間接征收”從未明確進(jìn)行概念性界定,只是簡(jiǎn)單描述為“任何其他具有相似效果的措施”或“具有相當(dāng)于國(guó)有化或征收的效果的措施”等,規(guī)則的不確定性導(dǎo)致了仲裁實(shí)踐的不一致。而傾向于保護(hù)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(guó)政府為保護(hù)安全、環(huán)境等公共利益做出的管制行為認(rèn)定為間接征收。東道國(guó)不但面臨訴累和高額補(bǔ)償?shù)娘L(fēng)險(xiǎn),而且其政府管制權(quán)亦受到挑戰(zhàn),國(guó)際投資仲裁的正當(dāng)性受到質(zhì)疑。尤其是自NAFTA生效實(shí)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(biāo)準(zhǔn)保護(hù)投資者的美國(guó)被多次推上被告席。 這種“間接征收”擴(kuò)大化的趨勢(shì)引起了一些國(guó)家及國(guó)際組織的反思,開始強(qiáng)調(diào)維護(hù)東道國(guó)政府的正當(dāng)管制權(quán),以保障其國(guó)內(nèi)的公共利益。因此,在間接征收的界定上,開始逐步增強(qiáng)了對(duì)政府行為“目的”的關(guān)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(guó)新BIT范本中征收及相關(guān)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(zhēng)背后存在的多方利益與價(jià)值博弈,導(dǎo)致了間接征收界定上仍存在激烈爭(zhēng)論。本文通過對(duì)相關(guān)學(xué)說、規(guī)則及仲裁實(shí)踐的研究,試圖通過從平衡外國(guó)投資者利益與東道國(guó)公共利益角度出發(fā),提出較為合理的界定標(biāo)準(zhǔn)。同時(shí),針對(duì)我國(guó)目前“走出去”戰(zhàn)略的實(shí)施,中國(guó)企業(yè)海外投資大增,如何平衡我國(guó)作為投資東道國(guó)和投資者母國(guó)的地位需要結(jié)合國(guó)情進(jìn)行思考。 本文除導(dǎo)言及結(jié)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(shí)踐發(fā)展簡(jiǎn)史以及近期間接征收擴(kuò)大化趨勢(shì)。提出東道國(guó)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(quán)利與東道國(guó)公共利益以確定合理的界限。 第二章間接征收界定現(xiàn)狀。歸納了間接征收界定的相關(guān)學(xué)說、規(guī)則和仲裁實(shí)踐。無論規(guī)則層面還是仲裁實(shí)踐,都缺乏一致性、確定性的界定標(biāo)準(zhǔn)。各種學(xué)說和規(guī)則的分歧實(shí)質(zhì)在于行為認(rèn)定時(shí)目的與效果的不同權(quán)重,解決問題的關(guān)鍵在于如何在投資者利益和東道國(guó)利益之間進(jìn)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(yùn)用比例原則權(quán)衡目的與效果的可能性。從國(guó)際仲裁實(shí)踐角度分析出運(yùn)用比例原則界定間接征收還存在法律依據(jù)和適用方法上問題,從而難以達(dá)到預(yù)期效果。最后針對(duì)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(kuò)大化趨勢(shì)下中國(guó)的對(duì)策分析。首先通過分析中國(guó)當(dāng)前吸收投資和對(duì)外投資的現(xiàn)狀,得出轉(zhuǎn)型期的中國(guó)面臨兩方面風(fēng)險(xiǎn)。其次對(duì)中國(guó)外資立法中與征收有關(guān)條款,尤其是晚近新型征收條款進(jìn)行分析,找出優(yōu)缺點(diǎn)。最后從原則和規(guī)則兩個(gè)層面,對(duì)轉(zhuǎn)型期的中國(guó)如何應(yīng)對(duì)晚近間接征收擴(kuò)大化趨勢(shì)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(xué)位授予單位】：中國(guó)政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2011
【分類號(hào)】：D996.4

【參考文獻(xiàn)】

相關(guān)期刊論文 前1條

1 范劍虹;歐盟與德國(guó)的比例原則——內(nèi)涵、淵源、適用與在中國(guó)的借鑒[J];浙江大學(xué)學(xué)報(bào)(人文社會(huì)科學(xué)版);2000年05期

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本文編號(hào)：1766549