【摘要】：二十世紀90年代，國際條約中征收條款的含義開始被放大，或者更準確地說是被實踐中的仲裁機構做了放大性的解釋，間接征收的問題日益被突顯出來。這其中一部分原因在于通常意義上的直接征收逐漸減少以及伴隨雙邊投資條約的激增，之前頗有爭議的補償標準問題已經(jīng)逐漸不再是爭議的中心，但間接征收之所以成為新焦點的重要原因在于它再度引起了發(fā)展中國家和發(fā)達國家之間的戰(zhàn)火，只不過這一次，即便是發(fā)達國家也無法站在發(fā)展中國家的相對方向而真正做到獨善其身。 近年來，，不斷增加的間接征收訴訟被認為是對國家管制權的威脅。但仲裁庭處理這些訴訟的不一致的方式對于投資者和國家都意味著間接征收問題認定的不確定性。為了解決這個問題，學術界以及仲裁實踐中已經(jīng)提出了三個主要的理論：單一效果標準、目的標準和效果與目的兼顧標準。有學者認為，單一效果標準應該作為認定間接征收的首選，因為它更符合這一領域現(xiàn)有的法律。也有學者贊成目的標準，認為這一標準更能確保東道國的管制權。為了平衡東道國的公共利益和外國投資者的私人財產(chǎn)權益，越來越多的學者傾向于適用效果與目的兼顧標準中的比例原則來確定東道國的措施是否構成間接征收。比例原則為東道國采取符合公眾利益的措施提供了更大的空間，同時也提供了足夠的審查以控制公共權力的濫用。 本文從雙邊投資條約中的間接征收的認定為切入點，并結合案例具體說明各個理論標準在實踐中的運用。全文分四個部分，首先明確本文所指的“間接征收”的概念，結合相關的國際條約中關于征收條款的規(guī)定，總結出本文要討論的間接征收的定義。其次，研究間接征收的認定問題，結合間接征收與無需賠償?shù)恼苤拼胧┲g的區(qū)別并討論二者的區(qū)分標準。再次，通過總結國際仲裁組織依據(jù)雙邊投資條約等國際條約審理的間接征收案件的判例以及外國的國家實踐，得出間接征收爭端解決的路徑。最后，整理并分析中國目前已經(jīng)簽訂的雙邊投資條約中的間接征收條款所存在的問題，并結合實踐中可能遇到的問題進行研究,希望能為中國將來締結或重新簽訂的雙邊投資條約中關于間接征收條款的定義、認定及爭端解決機制等提供一些可取的建議。
[Abstract]:In the 1990s, the meaning of the expropriation clause in international treaties began to be amplified, or more accurately, it was interpreted magnified by the arbitration institution in practice, and the issue of indirect expropriation was increasingly highlighted. Part of the reason is that the previously controversial issue of compensation is no longer at the heart of the usual decline in direct expropriation and the proliferation of bits. But an important reason why indirect expropriation has become a new focus is that it has once again sparked a war between developing and developed countries, but this time, Even the developed world cannot stand in the relative direction of the developing world. In recent years, an increasing number of indirect expropriation lawsuits have been seen as a threat to state control. But the inconsistent manner in which the tribunal dealt with these lawsuits means uncertainty about the identification of indirect expropriation for both investors and countries. In order to solve this problem, three main theories have been put forward in academic circles and arbitration practice: single effect standard, objective standard and objective criterion. Some scholars believe that the single effect criterion should be the first choice for the identification of indirect expropriation because it is more in line with the existing law in this field. Some scholars also agree with the goal criterion, which can ensure the host country's right of control. In order to balance the public interests of the host country and the private property rights of foreign investors, more and more scholars tend to apply the principle of proportionality in the criterion of both effect and purpose to determine whether the measures of the host country constitute indirect expropriation. The principle of proportionality provides more space for the host country to take measures in the public interest and provides sufficient scrutiny to control the abuse of public power. This paper starts with the identification of indirect expropriation in bilateral investment treaties and illustrates the application of various theoretical standards in practice. The paper is divided into four parts. Firstly, the concept of "indirect expropriation" is defined in this paper, and the definition of indirect expropriation, which is discussed in this paper, is summarized in combination with the provisions on expropriation clauses in relevant international treaties. Secondly, the paper studies the identification of indirect expropriation, and discusses the difference between indirect expropriation and government regulation measures without compensation. Thirdly, by summing up the cases of indirect expropriation handled by international arbitration organizations based on bits and other international treaties, as well as the practice of foreign countries, the path of indirect expropriation dispute settlement is obtained. Finally, the problems existing in the indirect expropriation clauses in the bilateral investment treaties that China has signed are sorted out and analyzed, and the problems that may be encountered in practice are studied. It is hoped that some suggestions can be provided for the definition, determination and dispute settlement mechanism of indirect expropriation clauses in the bilateral investment treaties concluded or resigned by China in the future.
【學位授予單位】：遼寧大學
【學位級別】：碩士
【學位授予年份】：2013
【分類號】：D996.4

【參考文獻】

相關期刊論文 前4條

1 榮慶;國際投資風險問題初探[J];金融科學;1992年01期

2 陳安;我國涉外經(jīng)濟立法中可否規(guī)定對外資不實行國有化[J];廈門大學學報(哲學社會科學版);1986年01期

3 蔡從燕;;效果標準與目的標準之爭:間接征收認定的新發(fā)展[J];西南政法大學學報;2006年06期

4 徐崇利;國際投資法中的重大爭議問題與我國的對策[J];中國社會科學;1994年01期

相關重要報紙文章 前1條

1 徐春林;[N];中國信息報;2003年

相關博士學位論文 前1條

1 石儉平;國際條約中的征收條款研究[D];華東政法大學;2011年

本文編號：2327891