【摘要】：雙邊投資條約(bilateral investment treaty,亦可簡(jiǎn)稱BIT)是國(guó)際投資法的重要的組成部分,在保護(hù)外國(guó)投資方面發(fā)揮著重要作用。重大安全例外條款指東道國(guó)采取措施保護(hù)本國(guó)基本安全利益和維護(hù)本國(guó)公共秩序的條款,是雙邊投資條約中不可或缺的條款,依據(jù)其作用可以形象的稱之為“安全閥”及“風(fēng)險(xiǎn)調(diào)配器”。根據(jù)聯(lián)合國(guó)貿(mào)易和發(fā)展會(huì)議(英文簡(jiǎn)稱為UNCTAD)的統(tǒng)計(jì),截止2008年底,國(guó)際上雙邊投資條約的數(shù)量為2676個(gè),其中200多個(gè)包含重大安全例外條款。[’]各種國(guó)際司法機(jī)構(gòu)受理的投資者與東道國(guó)因投資產(chǎn)生的投資爭(zhēng)議案件逐年增多,但是涉及重大安全例外條款的案件并不多見。直到2001年阿根廷經(jīng)濟(jì)危機(jī)后,解決投資爭(zhēng)端國(guó)際中心(以下稱ICSID)受理了幾起美國(guó)投資者訴阿根廷的案件,基本相同的案情,同樣的抗辯條款,仲裁庭卻做出了截然不同的裁決。重大安全例外條款的解釋和適用引起廣泛的關(guān)注,國(guó)際組織、國(guó)際投資法學(xué)者開始對(duì)重大安全例外條款做出深入的研究。 本文采用了實(shí)證分析、比較分析和文獻(xiàn)研究的方法,除引言和結(jié)語(yǔ)外,分為四大部分,在對(duì)重大安全例外條款的概念、設(shè)置模式進(jìn)行論述,對(duì)重大安全例外條款存在問題進(jìn)行評(píng)析后,提出完善我國(guó)重大安全例外條款的建議。 第一部分,重大安全例外條款概述。本文首先簡(jiǎn)要說明了重大安全例外條款的含義和作用,然后介紹了重大安全例外條款的產(chǎn)生、發(fā)展歷程,特別是重大安全例外情形的發(fā)展,并且對(duì)晚近的重大安全例外條款做出了四種分類。 第二部分,設(shè)置重大安全例外條款的模式。一種為在附錄中規(guī)定重大安全例外條款,另一種在條約的正文中通過專門的條約或?qū)ｉT的條款規(guī)定。 第三部分,重大安全例外條款存在的問題及評(píng)析。對(duì)雙邊投資條約中缺乏清晰界定的“公共秩序”、“基本安全利益”的概念加以區(qū)并分析二者的不同適用范圍；對(duì)國(guó)際習(xí)慣法例外免責(zé)條款和重大安全例外條款進(jìn)行分析比較得出仲裁庭應(yīng)當(dāng)主要適用重大安全例外條款,必要的時(shí)候?qū)?guó)際習(xí)慣法作為補(bǔ)充的結(jié)論；分別論證了自行判斷重大安全例外條款和非自行判斷重大安全例外條款的仲裁性質(zhì)；在賠償問題上,認(rèn)定援引重大安全例外條款即免除了東道國(guó)對(duì)投資者的物質(zhì)賠償責(zé)任。 第四部分,完善我國(guó)BIT重大安全例外條款的建議。通過研究中國(guó)重大安全例外條款,特別是重點(diǎn)分析中國(guó)-印度、中國(guó)-芬蘭的雙邊投資條約后,提出完善我國(guó)重大安全例外條款的五點(diǎn)建議。
[Abstract]:Bits (bit) is an important part of international investment law and plays an important role in the protection of foreign investment. Significant security exceptions, which refer to the measures taken by the host country to protect its basic security interests and maintain its public order, are indispensable provisions in bilateral investment treaties, According to its function can be called "safety valve" and "risk modulator." According to the United Nations Conference on Trade and Development (UNCTAD), at the end of 2008, the number of international bilateral investment treaties stood at 2,676. More than 200 of them contain major security exception clauses. ['] Investment disputes between investors and host countries due to investment have increased year by year, but there are few cases involving major security exceptions. Until 2001, after Argentina's economic crisis, the International Centre for settlement of Investment disputes (ICSID) heard several American investor v. Argentina cases, essentially the same case, the same defense clause, but the arbitral tribunal made a very different decision. The interpretation and application of the major security exception clause has aroused widespread concern. International organizations and international investment law scholars have begun to make in-depth research on the major security exception clause. This paper adopts the methods of empirical analysis, comparative analysis and literature research. Besides the introduction and conclusion, it is divided into four parts. After analyzing the existing problems of the major security exception clause, the paper puts forward some suggestions to perfect the major security exception clause in our country. The first part is an overview of major security exceptions. This paper first briefly explains the meaning and function of the major security exception clause, then introduces the emergence and development of the major security exception clause, especially the development of the major security exception. And the recent major security exceptions to make four categories. The second part, the mode of setting the major safety exception clause. One provides for a major security exception in an appendix, the other for a specific treaty or provision in the body of a treaty. The third part, the major safety exception clause exists the question and the appraisal. The concept of "public order" and "basic security interests", which are not clearly defined in bilateral investment treaties (bits), is defined and their different application scope is analyzed. Through the analysis and comparison of the exception exemption clause of international customary law and the major security exception clause, it is concluded that the arbitration tribunal should mainly apply the major security exception clause, and take international customary law as a supplement if necessary; The paper demonstrates the arbitration nature of the major safety exception clause and the non-self-judgment major safety exception clause respectively. On the issue of compensation, it is concluded that invoking the significant safety exception clause relieves the host country from the material liability to the investor. The fourth part, perfect our country bit major safety exception clause suggestion. Based on the study of China's major security exception clauses, especially the analysis of bilateral investment treaties between China and India, China and Finland, this paper puts forward five suggestions to perfect the major security exception clauses in China.
【學(xué)位授予單位】：大連海事大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2011
【分類號(hào)】：D996.4

【引證文獻(xiàn)】

相關(guān)碩士學(xué)位論文 前3條

1 陳安妮;中外BITs中的NPM條款研究[D];南京大學(xué);2012年

2 劉先軍;國(guó)際投資協(xié)定中的“根本安全利益”條款研究[D];廣東商學(xué)院;2012年

3 苗壯;雙邊投資條約重大安全例外條款研究[D];遼寧大學(xué);2013年

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本文編號(hào)：2130721