【摘要】：南方國(guó)家的崛起對(duì)傳統(tǒng)的貿(mào)易、投資制度的格局提出了調(diào)整要求,調(diào)整路徑之一是通過(guò)修訂傳統(tǒng)的法律規(guī)則體系以反映其發(fā)展的利益訴求,因此,國(guó)際經(jīng)濟(jì)法律體制及其部門(mén)法醞釀著從追求一元化標(biāo)準(zhǔn)的體制向著滿足多元化利益訴求的變革。在眾多訴求中,基于歷史舊債和現(xiàn)實(shí)的發(fā)展差距,發(fā)展中國(guó)家一直致力于構(gòu)建公正、合理的國(guó)際秩序和規(guī)則,以求在國(guó)際經(jīng)濟(jì)交往中獲得快速發(fā)展,縮小與發(fā)達(dá)國(guó)家的差距,共享經(jīng)濟(jì)一體化的成果。然而,除了個(gè)別發(fā)展中國(guó)如“金磚五國(guó)”獲得令人矚目的發(fā)展外,廣大發(fā)展中國(guó)家的發(fā)展仍然緩慢,很多國(guó)家的生存權(quán)和發(fā)展權(quán)保障仍面臨著巨大困難,是國(guó)際人權(quán)保障中的薄弱環(huán)節(jié)。 國(guó)際投資作為推進(jìn)世界經(jīng)濟(jì)發(fā)展的引擎之一,在提升發(fā)展中國(guó)家能力中發(fā)揮著積極作用,但是,當(dāng)前的投資條約體制并未反映出發(fā)展中國(guó)家發(fā)展權(quán)訴求,尚未建立系統(tǒng)的有益于實(shí)現(xiàn)發(fā)展權(quán)的機(jī)制。發(fā)展權(quán)作為一項(xiàng)發(fā)展中國(guó)家向國(guó)際社會(huì)提出的人權(quán),已經(jīng)發(fā)展為一項(xiàng)國(guó)際法基本原則。這一原則的內(nèi)涵包括發(fā)展中國(guó)家在國(guó)際經(jīng)濟(jì)交往中有權(quán)利要求承擔(dān)與其能力相適應(yīng)的義務(wù),發(fā)達(dá)國(guó)家承擔(dān)較多的義務(wù),在國(guó)際貿(mào)易和投資法律機(jī)制中實(shí)行非互惠待遇,從國(guó)際經(jīng)濟(jì)規(guī)則的權(quán)利和義務(wù)方面具體地實(shí)現(xiàn)發(fā)展權(quán)。因此,本論文以發(fā)展權(quán)為切入,試圖將發(fā)展權(quán)實(shí)現(xiàn)的考慮因素納入追求一元高標(biāo)準(zhǔn)的投資自由化、保護(hù)投資者私人利益的投資體制中,并在國(guó)際投資協(xié)定中設(shè)置能夠?qū)崿F(xiàn)發(fā)展權(quán)原則的規(guī)則以及相關(guān)的制度安排,將抽象的發(fā)展權(quán)原則在國(guó)際投資實(shí)踐中具體化,推進(jìn)國(guó)際經(jīng)濟(jì)向著和諧共進(jìn)的方向發(fā)展。 除了序言之外,本文主體部分共分六章進(jìn)行論述。 第一章是發(fā)展權(quán)原則在國(guó)際投資協(xié)定中的確立。對(duì)發(fā)展權(quán)原則在國(guó)際經(jīng)濟(jì)和諧共進(jìn)中的作用以及在國(guó)際投資體制中提出和實(shí)現(xiàn)發(fā)展權(quán)的必要性進(jìn)行了闡述,從發(fā)展權(quán)原則的產(chǎn)生、內(nèi)涵及推進(jìn)國(guó)際經(jīng)濟(jì)和諧共進(jìn)的價(jià)值為切入,并對(duì)國(guó)際投資協(xié)定中的發(fā)展權(quán)原則進(jìn)行了界定,論述了國(guó)際直接投資在推動(dòng)?xùn)|道國(guó)經(jīng)濟(jì)增長(zhǎng)和現(xiàn)代化過(guò)程中發(fā)揮的巨大作用。然而,國(guó)際投資協(xié)定缺少對(duì)發(fā)展權(quán)實(shí)現(xiàn)相關(guān)規(guī)定,給發(fā)展中國(guó)家執(zhí)行投資協(xié)定帶來(lái)了種種困難。國(guó)際投資法律體制有必要將發(fā) 展權(quán)實(shí)現(xiàn)因素納入其中,在促進(jìn)國(guó)際資本流動(dòng)的同時(shí),將發(fā)展中國(guó)家的發(fā)展目標(biāo)和發(fā)展進(jìn)程融入國(guó)際投資法律體制保護(hù)的價(jià)值之中。 第二章研究發(fā)展權(quán)原則在國(guó)際投資協(xié)定中的適用。這章在第一章提出的給予發(fā)展中國(guó)家非互惠待遇以實(shí)現(xiàn)發(fā)展權(quán)的總體思想指導(dǎo)下,又進(jìn)一步提出在國(guó)際投資法律體制中適用發(fā)展權(quán)原則要處理好的幾個(gè)核心問(wèn)題,以給予發(fā)展中國(guó)家特殊和差別待遇為靈魂,圍繞投資協(xié)定承諾的穩(wěn)定性與國(guó)家發(fā)展管理的變動(dòng)性沖突與協(xié)調(diào)、投資仲裁中對(duì)發(fā)展中國(guó)家國(guó)內(nèi)法和國(guó)際法的綜合考察、對(duì)基于發(fā)展權(quán)而為東道國(guó)外資管理政策空間的保留而展開(kāi),這些關(guān)系的協(xié)調(diào)貫穿在如何實(shí)現(xiàn)發(fā)展權(quán)的條款的設(shè)計(jì)中。此外,本章還簡(jiǎn)要闡述了投資法律制度中實(shí)現(xiàn)發(fā)展權(quán)需要完善的諸方面。 第三章到第六章分別對(duì)投資準(zhǔn)入階段發(fā)展權(quán)的保障機(jī)制、公平公正待遇中的發(fā)展權(quán)、國(guó)際投資條約例外體系中的發(fā)展權(quán)、國(guó)際投資征收制度中的發(fā)展權(quán)這四個(gè)方面的法律問(wèn)題,圍繞第二章提出的幾個(gè)核心問(wèn)題,進(jìn)一步從規(guī)則的權(quán)利、義務(wù)的層面來(lái)具體實(shí)現(xiàn)發(fā)展權(quán)。 第三章是國(guó)際投資準(zhǔn)入制度中的發(fā)展權(quán),這是考慮到發(fā)展中國(guó)家承擔(dān)義務(wù)的能力不足,在準(zhǔn)入階段設(shè)定的差別性的義務(wù)承諾和過(guò)渡期制度安排。本章分為兩個(gè)問(wèn)題來(lái)探析,第一個(gè)問(wèn)題探討投資準(zhǔn)入差別待遇,運(yùn)用列表清單的方法,依據(jù)國(guó)家的發(fā)展水平和實(shí)際需要,東道國(guó)享有裁量空間,可以選取不同的方法來(lái)控制投資進(jìn)入的部門(mén)、領(lǐng)域,以及在本國(guó)投資中所占的比例,即通過(guò)控制權(quán)給予發(fā)展中國(guó)家更多的優(yōu)惠。第二個(gè)問(wèn)題是履行要求的規(guī)制,一項(xiàng)履行要求在經(jīng)濟(jì)發(fā)展水平不同的國(guó)家會(huì)產(chǎn)生認(rèn)識(shí)和作用上的差異,在履行要求制度設(shè)計(jì)中,可以通過(guò)三分法對(duì)履行要求的內(nèi)容進(jìn)行分類,并引入履行要求條款下的發(fā)展例外來(lái)滿足發(fā)展中國(guó)家對(duì)某些外資管制措施的需要。 第四章論述國(guó)際投資中公平公正待遇的發(fā)展權(quán),是從條約解釋和適用此待遇的角度,提出公平公正待的評(píng)價(jià)要考慮發(fā)展中國(guó)家的現(xiàn)實(shí)發(fā)展水平,投資仲裁應(yīng)當(dāng)結(jié)合國(guó)內(nèi)法和國(guó)際法綜合考察國(guó)家行為的合法性與合理性。公平公正待遇是衡量國(guó)家治理水平的一則標(biāo)準(zhǔn),此標(biāo)準(zhǔn)內(nèi)涵的不確定性使國(guó)際投資仲裁庭不斷提高國(guó)家“治理良好”的解釋標(biāo)準(zhǔn),本文不提倡用明確的語(yǔ)言列舉公平公正待遇的內(nèi)容,建議從其適用的角度,將公平公正待遇作為仲裁庭對(duì)國(guó)家行為進(jìn)行審查的一項(xiàng)標(biāo)準(zhǔn),這項(xiàng)標(biāo)準(zhǔn)要對(duì)國(guó)家行為合法性和合理性的區(qū)分,分別用國(guó)內(nèi)法和國(guó)際最低待遇標(biāo)準(zhǔn)進(jìn)行判斷,在對(duì)投資者合理期待的認(rèn)定中考慮一國(guó)的發(fā)展階段和水平,合理地確定最低國(guó)際標(biāo)準(zhǔn)的水平,由此控制仲裁庭的任意解釋。 第五章研究國(guó)際投資協(xié)定例外體系中的發(fā)展權(quán),這是從協(xié)調(diào)投資協(xié)定承諾的穩(wěn)定性與國(guó)家管理的變動(dòng)性之沖突角度展開(kāi)的。不論在發(fā)達(dá)國(guó)家還是在發(fā)展中國(guó)家,重大利益的沖突與協(xié)調(diào)都不可避免,而發(fā)展中國(guó)家在某些利益協(xié)調(diào)環(huán)節(jié)由于發(fā)展能力不足,更需要予以重視和協(xié)助。例外條款這種法律機(jī)制為利益協(xié)調(diào)提供了有益的方法,本文以利益主體為標(biāo)準(zhǔn),圍繞國(guó)家主體、社會(huì)公眾主體、個(gè)人主體三分法進(jìn)行了劃分,進(jìn)而對(duì)紛繁復(fù)雜的“利益”歸類梳理,在此基礎(chǔ)上提出了建立由一般例外、國(guó)家安全例外和發(fā)展例外構(gòu)成的例外體系,由此來(lái)全面協(xié)調(diào)國(guó)際投資協(xié)定中的利益沖突。 第六章探討國(guó)際投資征收制度的發(fā)展權(quán),這是圍繞如何給予發(fā)展中國(guó)家發(fā)展政策空間而展開(kāi)的。隨著國(guó)家干預(yù)社會(huì)事務(wù)范圍的擴(kuò)展,正當(dāng)?shù)膰?guó)家管理行為被認(rèn)定為征收的可能性增大,征收條款對(duì)征收種類和范圍的界定仍然不明晰,現(xiàn)實(shí)中,發(fā)展中國(guó)國(guó)家發(fā)展變革的頻繁度超過(guò)發(fā)達(dá)國(guó)家,已有征收條款在間接征收的認(rèn)定中排除了安全、健康和環(huán)境管理措施,這些排除事項(xiàng)仍不能滿足發(fā)展中國(guó)家管理社會(huì)事務(wù)的需要。本章對(duì)國(guó)家管理行為展開(kāi)全面分析,認(rèn)為有必要將發(fā)展中國(guó)家基于發(fā)展權(quán)實(shí)現(xiàn)的管理行為也從間接征收中予以排除,增加發(fā)展權(quán)實(shí)現(xiàn)的政策空間。
[Abstract]:The rise of the Southern countries has put forward adjustment requirements for the pattern of the traditional trade and investment systems. One of the adjustment paths is to revise the traditional legal system to reflect the interests of its development. Therefore, the international economic legal system and its departmental laws are brewing from the system of pursuing unified standards to satisfying the demands of diversified interests. Among the many appeals, based on the historical debt and the actual development gap, developing countries have been committed to building a just and reasonable international order and rules in order to achieve rapid development in international economic exchanges, narrow the gap with developed countries, and share the fruits of economic integration. In addition to the remarkable development of the BRICS, the development of the vast number of developing countries is still slow, and the protection of the right to subsistence and development in many countries is still facing enormous difficulties, which is a weak link in the international human rights protection.
International investment, as one of the engines of promoting world economic development, plays an active role in enhancing the capacity of developing countries. However, the current investment treaty system does not reflect the demand of developing countries for the right to development and has not yet established a systematic mechanism conducive to the realization of the right to development. The principle of human rights has developed into a basic principle of international law. Its connotation includes that developing countries have the right to assume obligations compatible with their capabilities in international economic exchanges, developed countries have more obligations, implement non-reciprocal treatment in the legal mechanism of international trade and investment, and derive rights from international economic rules. Therefore, this paper attempts to take the realization of the right to development into consideration in the pursuit of one-dimensional and high-standard investment liberalization and the protection of the private interests of investors, and to set up rules and relevant regulations to realize the principle of the right to development in international investment agreements. Degree arrangement embodies the abstract principle of the right to development in the practice of international investment and promotes the development of the international economy in a harmonious way.
Besides the preface, the main body of this article is divided into six chapters.
The first chapter is the establishment of the principle of the right to development in the international investment agreements. It expounds the role of the principle of the right to development in the harmonious development of the international economy and the necessity of putting forward and realizing the right to development in the international investment system. It starts with the emergence of the principle of the right to development, its connotation and the value of promoting the harmonious development of the international economy, and it also discusses the international situation. The principle of the right to development in investment agreements is defined and the great role of international direct investment in promoting the economic growth and modernization of the host country is discussed. To send out
While promoting international capital flows, the development goals and processes of developing countries should be integrated into the values protected by the international investment legal system.
Chapter II studies the application of the principle of the right to development in international investment agreements. Under the guidance of the general idea of granting non-reciprocal treatment to developing countries in order to realize the right to development proposed in Chapter I, this chapter further proposes several core issues to be dealt with in the application of the principle of the right to development in the international investment legal system so as to give it to developing countries. Special and differential treatment as the soul, focusing on the stability of investment agreement commitments and the volatile conflict and coordination of national development management, the comprehensive investigation of domestic and international law of developing countries in investment arbitration, and the preservation of policy space for foreign investment management of host countries based on the right to development, how to coordinate these relations throughout In the design of the clauses for the realization of the right to development, this chapter also briefly expounds the various aspects that need to be perfected to realize the right to development in the investment legal system.
Chapter 3 to Chapter 6 respectively discuss the four legal issues of the right to development in the stage of investment access, the right to development in fair and just treatment, the right to development in the exceptional system of international investment treaties, and the right to development in the system of international investment collection. On the other hand, we must realize the right to development.
Chapter III is the right to development in the international investment access system, which takes into account the inadequacy of developing countries'ability to undertake obligations, the differential commitments set in the admission phase and the transitional institutional arrangements. The second issue is the regulation of compliance with requirements, a compliance requirement for economic development. Different countries have different understandings and roles. In the design of the performance requirement system, the content of performance requirement can be classified by the tripartite method, and the development exception under the performance requirement clause can be introduced to meet the needs of developing countries for some foreign capital control measures.
Chapter Four discusses the right to development of fair and just treatment in international investment. From the perspective of treaty interpretation and application of this treatment, it is proposed that the evaluation of fair and fair treatment should take into account the actual development level of developing countries. Investment arbitration should examine the legitimacy and rationality of state acts in combination with domestic law and international law. The uncertainty of the connotation of this standard makes the international investment arbitration tribunal constantly improve the interpretation standard of "good governance" of a country. This paper does not advocate enumerating the contents of fair and just treatment in clear language. It is suggested that fair and just treatment be regarded as an arbitration tribunal's action to state from the angle of its application. A criterion for examination, which distinguishes the legitimacy and reasonableness of State acts, is to be judged separately by domestic law and international minimum treatment standards, to take into account the stage and level of development of a country in determining the reasonable expectations of investors, and to reasonably determine the level of minimum international standards, thereby controlling arbitrary interpretation by the arbitral tribunal.
Chapter V studies the right to development in the exceptional system of IIAs, which is carried out from the perspective of coordinating the conflict between the stability of investment agreement commitments and the variability of national management. Exceptional clauses, as a legal mechanism, provide a useful way to coordinate interests. Based on the criterion of interest subject, this paper classifies the state subject, the public subject and the individual subject, and then sorts out the complicated interests. A system of exceptions consisting of general exceptions, national security exceptions and development exceptions is established to comprehensively coordinate conflicts of interest in IIAs.
Chapter 6 explores the right to development of the international investment levy system, focusing on how to give developing countries room for development policies. With the expansion of the scope of state intervention in social affairs, the possibility of legitimate state management actions being recognized as levy increases, and the definition of the levy category and scope of the levy clause is still unclear and realistic. In China, the frequency of national development and change in developing countries is higher than that in developed countries. The existing expropriation clause excludes safety, health and environmental management measures in the indirect expropriation. These exclusions still can not meet the needs of developing countries in managing social affairs. The management behavior of developing countries based on the realization of the right to development is also excluded from the indirect expropriation to increase the policy space for the realization of the right to development.
【學(xué)位授予單位】：武漢大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2014
【分類號(hào)】：D996.4
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本文編號(hào)：2182160