國際投資協(xié)定中一般例外條款研究及中國的立場與選擇
發(fā)布時間：2018-12-20 11:31
【摘要】：21世紀(jì)以來,隨著世界范圍內(nèi)可持續(xù)發(fā)展理念的普及,經(jīng)濟(jì)全球化負(fù)面效應(yīng)的顯現(xiàn)以及全球市民社會與非政府組織的興起,各主權(quán)國家開始注意到國際投資協(xié)定單一的投資保護(hù)目標(biāo)和宗旨對東道國必要管理主權(quán)的限制及對公共利益的損害,并積極推動國際投資法制改革。越來越多的國家開始注意合理設(shè)計投資協(xié)定,通過在投資協(xié)定中增加一般例外條款,在做出投資保護(hù)承諾的同時,為東道國實施必要措施保護(hù)公共利益保留合理的政策空間,使其由原來的單向注重投資者保護(hù)向追求投資者利益與東道國公共利益平衡的模式發(fā)展。但是,一般例外條款起源于國際貿(mào)易領(lǐng)域,其在國際投資領(lǐng)域的利益平衡功能在近年來才受到重視。而且相比于投資協(xié)定中普遍存在的其他實體性條款,一般例外條款的發(fā)展起步晚,在不同國際投資協(xié)定中的規(guī)定形式各樣,在國際投資仲裁實踐中還未出現(xiàn)援引一般例外條款的案例。國際投資法學(xué)界對一般例外條款的價值功能、性質(zhì)、解釋適用和審查標(biāo)準(zhǔn)等方面也存在分歧意見。本文肯定了際投資協(xié)定中納入一般例外條款的必要性,但要想實現(xiàn)一般例外條款平衡投資者-東道國間利益的功能,有必要對其進(jìn)行專門研究。本文的研究內(nèi)容共分為以下五章:第一章主要對一般例外條款的概念進(jìn)行了界定,明確一般例外條款是適用于整個投資協(xié)定的保護(hù)東道國公共利益的免責(zé)條款。其中具體分析了公共利益這一核心概念,并肯定了公共利益目標(biāo)的發(fā)展變化性。為進(jìn)一步明確一般例外條款的概念,將其與非排除措施條款、特別例外條款、安全例外條款進(jìn)行了對比分析。第二章主要從公共利益保護(hù)問題的提出、國際投資法制利益平衡模式改革和一般例外條款的利益平衡功能三方面詳細(xì)分析了在國際投資協(xié)定中納入一般例外條款的必要性。認(rèn)為一般例外條款的納入無論對國際投資法制的可持續(xù)發(fā)展還是對東道國、投資者與投資者母國的共同的可持續(xù)發(fā)展都有積極的促進(jìn)作用。第三章首先總結(jié)了一般例外條款的發(fā)展現(xiàn)狀及條款規(guī)定的特點,并將一般例外條款按照結(jié)構(gòu)構(gòu)成分為前言性要求、公共利益目標(biāo)和目標(biāo)與措施的關(guān)聯(lián)性要求三部分進(jìn)行了詳細(xì)分析。然后為引起仲裁庭對東道國公共利益的關(guān)注,對一般例外條款的解釋提供方向和指引,限制仲裁庭的自由裁量權(quán),介紹了可持續(xù)發(fā)展視角下的解釋方法和借鑒WTO 一般例外條款的解釋方法。第四章對一般例外條款在仲裁實踐中的審查與適用問題進(jìn)行了研究。首先綜合考慮一般例外條款的利益平衡功能,加上對重大安全例外條款自裁決性質(zhì)的分析,筆者認(rèn)為一般例外條款的性質(zhì)不易采用一刀切的方式,應(yīng)該綜合考慮締約國國情實際和具體的公共利益目標(biāo)的特點,使用確定的的措辭設(shè)定成自裁決性質(zhì)或者非自裁決性質(zhì)。并且明確了一般例外條款不能排除仲裁庭的審查權(quán)。仲裁庭可以根據(jù)一般例外條款的性質(zhì)進(jìn)行相應(yīng)的實質(zhì)審查或者善意的形式審查。第五章根據(jù)中國目前兼具投資輸入國和投資輸出國身份的國際投資角色定位,從綜合考慮的角度,提出符合我國目前雙重投資身份需要的一般例外條款設(shè)計建議,以期能夠為我國今后新投資協(xié)定的簽訂或者已有投資協(xié)定的修改提供可行性借鑒。
[Abstract]:Since the 21st century, with the popularization of the concept of sustainable development in the world, the negative effects of the economic globalization and the rise of the global civil society and non-governmental organizations, The sovereign states have begun to take note of the limitations of the single investment protection target and purpose of the international investment agreement on the need to manage the sovereignty of the host country and the harm to the public interest, and to actively promote the reform of the international investment legal system. A growing number of countries have begun to pay attention to the rational design of investment agreements, through the addition of general exceptions in the investment agreement, the implementation of the necessary measures to protect the public interest in a reasonable policy space, while making investment protection commitments, It is developed by the original one-way focus on the investor protection to the pursuit of the balance of the investor's interests and the public interest of the host country. However, the general exception clause originated in the field of international trade, and its balance of interests in the field of international investment has been paid attention in recent years. Moreover, as compared with other substantive provisions that are prevalent in the investment agreement, the development of the general exception clause is very late, and in the various international investment agreements, there is no case in which the general exception clause is invoked in the practice of international investment arbitration. There are differences in the value function, nature, interpretation and application of the general exception clause in the international investment law circle. This paper affirms the need to include the general exception clause in the inter-host investment agreement, but it is necessary to study the general exceptions to balance the function of the investor-host country's interests. The research contents of this paper are divided into the following five chapters: the first chapter defines the concept of general exception clause, and makes clear that the general exception clause is a disclaimer that is applicable to the whole investment agreement to protect the public interest of the host country. In this paper, the core concept of the public interest is analyzed, and the development of the public interest target is affirmed. In order to further clarify the concept of general exceptions, the non-exclusion clauses, special exception clauses and safety exception clauses are compared and analyzed. In the second chapter, the necessity of the general exception clause in the international investment agreement is analyzed in detail from the aspects of public interest protection, the balance model of international investment and the balance function of general exceptions. It was considered that the inclusion of the general exception clause had a positive effect on the sustainable development of the international investment rule and the common sustainable development of the host country, the investor and the home country of the investor. In the third chapter, the present situation and the characteristics of the general exceptions are summarized, and the general exceptions are divided into the preface, the objective of the public interest and the relationship between the objective and the measures, and the three parts are analyzed in detail. Then, in order to attract the attention of the arbitration tribunal to the public interest of the host country, to provide direction and direction for the interpretation of the general exception clause, to limit the discretion of the arbitral tribunal, the interpretation method under the view of sustainable development and the interpretation method of the general exception clause of the WTO will be introduced. The fourth chapter makes a study of the review and application of general exceptions in the practice of arbitration. First of all, considering the benefit balance function of the general exception clause, and the analysis of the self-ruling nature of the major security exception clause, the author thinks that the nature of the general exception clause is not easy to adopt a one-size-fits-all manner, The characteristics of the actual and specific public interest objectives of the State party should be considered in a comprehensive manner, and the use of the established language is set to the nature of the award or the nature of the non-self-determination. and it was clear that the general exception clause could not exclude the power of the arbitral tribunal's review. The arbitral tribunal may, in the light of the nature of the general exceptions, conduct a corresponding substantive review or a form of good faith. In the fifth chapter, according to the current position of the international investment in the status of both the investment and the investment-exporting countries, the paper puts forward the general exception clause design proposal which is in accordance with the present dual-investment status of our country from the point of view of the comprehensive consideration. so as to provide a feasible reference for the signing of the new investment agreement in China or the modification of the existing investment agreement.
【學(xué)位授予單位】：山東大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2017
【分類號】：D996.4
[Abstract]:Since the 21st century, with the popularization of the concept of sustainable development in the world, the negative effects of the economic globalization and the rise of the global civil society and non-governmental organizations, The sovereign states have begun to take note of the limitations of the single investment protection target and purpose of the international investment agreement on the need to manage the sovereignty of the host country and the harm to the public interest, and to actively promote the reform of the international investment legal system. A growing number of countries have begun to pay attention to the rational design of investment agreements, through the addition of general exceptions in the investment agreement, the implementation of the necessary measures to protect the public interest in a reasonable policy space, while making investment protection commitments, It is developed by the original one-way focus on the investor protection to the pursuit of the balance of the investor's interests and the public interest of the host country. However, the general exception clause originated in the field of international trade, and its balance of interests in the field of international investment has been paid attention in recent years. Moreover, as compared with other substantive provisions that are prevalent in the investment agreement, the development of the general exception clause is very late, and in the various international investment agreements, there is no case in which the general exception clause is invoked in the practice of international investment arbitration. There are differences in the value function, nature, interpretation and application of the general exception clause in the international investment law circle. This paper affirms the need to include the general exception clause in the inter-host investment agreement, but it is necessary to study the general exceptions to balance the function of the investor-host country's interests. The research contents of this paper are divided into the following five chapters: the first chapter defines the concept of general exception clause, and makes clear that the general exception clause is a disclaimer that is applicable to the whole investment agreement to protect the public interest of the host country. In this paper, the core concept of the public interest is analyzed, and the development of the public interest target is affirmed. In order to further clarify the concept of general exceptions, the non-exclusion clauses, special exception clauses and safety exception clauses are compared and analyzed. In the second chapter, the necessity of the general exception clause in the international investment agreement is analyzed in detail from the aspects of public interest protection, the balance model of international investment and the balance function of general exceptions. It was considered that the inclusion of the general exception clause had a positive effect on the sustainable development of the international investment rule and the common sustainable development of the host country, the investor and the home country of the investor. In the third chapter, the present situation and the characteristics of the general exceptions are summarized, and the general exceptions are divided into the preface, the objective of the public interest and the relationship between the objective and the measures, and the three parts are analyzed in detail. Then, in order to attract the attention of the arbitration tribunal to the public interest of the host country, to provide direction and direction for the interpretation of the general exception clause, to limit the discretion of the arbitral tribunal, the interpretation method under the view of sustainable development and the interpretation method of the general exception clause of the WTO will be introduced. The fourth chapter makes a study of the review and application of general exceptions in the practice of arbitration. First of all, considering the benefit balance function of the general exception clause, and the analysis of the self-ruling nature of the major security exception clause, the author thinks that the nature of the general exception clause is not easy to adopt a one-size-fits-all manner, The characteristics of the actual and specific public interest objectives of the State party should be considered in a comprehensive manner, and the use of the established language is set to the nature of the award or the nature of the non-self-determination. and it was clear that the general exception clause could not exclude the power of the arbitral tribunal's review. The arbitral tribunal may, in the light of the nature of the general exceptions, conduct a corresponding substantive review or a form of good faith. In the fifth chapter, according to the current position of the international investment in the status of both the investment and the investment-exporting countries, the paper puts forward the general exception clause design proposal which is in accordance with the present dual-investment status of our country from the point of view of the comprehensive consideration. so as to provide a feasible reference for the signing of the new investment agreement in China or the modification of the existing investment agreement.
【學(xué)位授予單位】：山東大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2017
【分類號】：D996.4
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1 張菊輝,康衛(wèi)東;論關(guān)貿(mào)總協(xié)定中的例外條款和限制性措施[J];深圳大學(xué)學(xué)報(人文社會科學(xué)版);1993年02期
2 任潔;關(guān)貿(mào)總協(xié)定的基本規(guī)則及其例外條款[J];w蕓，
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