本文選題：域外效力 + 域外適用�。� 參考：《蘇州大學(xué)》2007年博士論文

【摘要】： 法律空間效力可以分為域內(nèi)效力和域外效力。前者是法律在頒布者權(quán)力所及范圍內(nèi)有效,后者則指法律的效力擴(kuò)展至立法者管轄區(qū)域之外。如將“域”理解為“法域”,則中國大陸法律對港、澳、臺行為的效力也是域外效力。 經(jīng)濟(jì)行政法的域外效力包括兩層含義:法律對域外的人、物、行為有拘束力;法律在域外被適用,即國內(nèi)法的跨國執(zhí)行。 法律的域外效力(extraterritorial effect)有時又稱域外管轄權(quán)。國際法上的管轄權(quán)是一國,相對于其他國家,所擁有的權(quán)力,它包括立法管轄權(quán)(jurisdiction toprescribe)、裁判管轄權(quán)(jurisdiction to adjudicate)和執(zhí)法管轄權(quán)(jurisdiction toenforce)。 經(jīng)濟(jì)行政法域外效力的特殊情形包括:(1)法律對南極、北極、公海和外空行為的效力。(2)條約對第三國的效力。(3)基于特殊安排所確立的域外效力。如享有外交特權(quán)的人只是免于東道國法律的管轄,并不能免于其本國法律的管轄,其本國法律對他們具有域外效力。在領(lǐng)事裁判權(quán)下,外國人的行為也得受其本國法律管轄,其本國法也具有域外效力。 在域外效力問題上,存在著一個“不具域外效力的假設(shè)”(the presumptionagainst extraterritorial effects),即所有的法律原則上只具有域內(nèi)效力。該假設(shè)存在以下例外:(1)清晰立法意圖的例外;(2)不利后果的例外;(3)行為地點的例外。法律域外效力的建立方式有兩種:法律的明確規(guī)定;法院在審判過程中的認(rèn)定。 經(jīng)濟(jì)行政法域外效力的大規(guī)模推行發(fā)生在二戰(zhàn)以后,之所以如此是因為這一時期具備了推行法律域外效力的基礎(chǔ)。經(jīng)濟(jì)的融合是其經(jīng)濟(jì)基礎(chǔ);全球環(huán)境污染和勞工標(biāo)準(zhǔn)下降是道德基礎(chǔ);對不同政策目標(biāo)的追求是動力基礎(chǔ);一些國家的超強(qiáng)地位和強(qiáng)權(quán)政治的推行是政治基礎(chǔ);國際法上缺乏對法律域外效力的明確限制,同時提供了廣泛管轄依據(jù)是法律基礎(chǔ)。 法律的域外效力與國際法上的管轄規(guī)則有關(guān)。在傳統(tǒng)國際法上,管轄的依據(jù)有屬地原則(territorial principle)和屬人原則(nationality principle)。屬人原則(nationality principle)是以國籍為基礎(chǔ)行使管轄權(quán)。依據(jù)屬人原則,國家有權(quán)對其國民在外國的行為實行管轄。國籍原則常被引用作為法律域外效力的依據(jù)。如美國對其國民自外國取得的收人征稅。1927年的“荷花號”案(The Lotus Case)常被引用,作為法律域外效力的證據(jù)。該案確立了兩項原則:(1)可以根據(jù)境外行為在境內(nèi)的效果賦予法律域外效力;(2)不能根據(jù)國際法未明確規(guī)定就得出禁止權(quán)力行使的結(jié)論。 屬地原則被解釋成包括客觀(objective)屬地原則和主觀(subjective)屬地原則。屬人原則被解釋成包括積極(positive)人格、消極(passive)人格和居民管轄權(quán)(resident jurisdiction)。這些解釋大大擴(kuò)展了經(jīng)濟(jì)行政法域外效力的依據(jù)。 二戰(zhàn)之后,又出現(xiàn)了一些新的原則,如影響原則、行為歸屬原則和實施原則。影響(效果)原則(the effects doctrine)是基于國外行為在國內(nèi)的后果賦予法律域外效力。根據(jù)“單一經(jīng)濟(jì)體”(single economic entity)說,如果國內(nèi)子公司依據(jù)外國母公司的指示和要求行事,則可以對外國母公司主張國內(nèi)法的域外效力。依據(jù)實施檢驗說(implementation test doctrine),作為行為環(huán)節(jié)之一的實施行為在國內(nèi)時,國內(nèi)的經(jīng)濟(jì)行政法可以域外適用。 一些域外效力的擴(kuò)張富有爭議,如基于產(chǎn)品、技術(shù)的來源地賦予法律域外效力;基于控制關(guān)系賦予法律域外效力,即外國的企業(yè)只要為本國控制,則可以賦予本國法律域外效力。 普遍性管轄權(quán)(universal jurisdiction)原指對公認(rèn)的國際罪行,任何國家可以管轄并適用其法律。該原則被用于推行基本勞動標(biāo)準(zhǔn)、金融管制(反恐)法律的域外效力。傳統(tǒng)的保護(hù)性原則也成了域外效力的依據(jù),它被用于推行出口管制法、本國利益保護(hù)法的域外效力。 在不同部門法中,域外效力的情況是不同的。在競爭法領(lǐng)域,主要依賴影響原則、行為歸屬原則和實施原則;在環(huán)境法領(lǐng)域,則依據(jù)國籍原則和影響原則;在勞動法領(lǐng)域,依據(jù)普遍性原則和國籍原則;在證券法領(lǐng)域,依賴影響原則;在稅收領(lǐng)域,則主要依賴居民身份;而在出口管制法領(lǐng)域,依賴的卻是被規(guī)范者之國籍、相關(guān)貨物及科技之原產(chǎn)地和控制關(guān)系。 經(jīng)濟(jì)行政法域外效力的實現(xiàn)除了靠自覺遵守外,還得依靠強(qiáng)制執(zhí)法,包括由立法國家的行政機(jī)關(guān)或法院執(zhí)法和由他國行政機(jī)關(guān)或法院執(zhí)法。立法國家針對自然人、法人的執(zhí)法措施有凍結(jié)、扣押、中斷經(jīng)濟(jì)往來、拒絕簽證,針對其他國家的執(zhí)法措施有取消貿(mào)易優(yōu)惠、禁止進(jìn)口和貿(mào)易報復(fù)。 對經(jīng)濟(jì)行政法能否跨國執(zhí)行看法不一。否定說提出的否定理由有:懲罰性法律只有域內(nèi)效力;執(zhí)行他國法律有損本國利益;違反主權(quán)理念、損害公共秩序;用公共秩序?qū)彶闀づ鈬?外國稅法復(fù)雜,跨國執(zhí)法在技術(shù)層面不可行。肯定說則認(rèn)為,國家之間應(yīng)該攜手合作,共同制止違反經(jīng)濟(jì)行政法的行為,指望從違反他國法律的行為中獲益是不道德的,相互執(zhí)行是一個對雙方都有利的共贏的選擇。一些條約和國內(nèi)法規(guī)定,經(jīng)濟(jì)行政法可以跨國執(zhí)行,如《國際貨幣基金組織協(xié)定》規(guī)定了外匯管制法的跨國執(zhí)行,美國和法國、加拿大等簽訂的稅收互助條約規(guī)定了稅法的跨國執(zhí)行。國際法學(xué)會(The Institute of International Law)在威士巴登(Wiesbaden)通過的決議也認(rèn)為,經(jīng)濟(jì)行政法可以跨國執(zhí)行。經(jīng)濟(jì)行政法跨國執(zhí)行的方式有間接執(zhí)行和直接執(zhí)行,前者指外國執(zhí)行本國的行政法判決,后者指外國直接適用本國經(jīng)濟(jì)行政法。 一國經(jīng)濟(jì)行政法的域外效力會與他國法律的域內(nèi)效力發(fā)生沖突。所引發(fā)的對抗有:對管制對象發(fā)出相沖突的命令;外交抗議;制定和實施對抗性的法律;禁止本國人參與外國的程序;政治、經(jīng)濟(jì)報復(fù)。在不同的領(lǐng)域,經(jīng)濟(jì)行政法沖突的激烈程度是不同的。法律沖突的本質(zhì)是利益沖突。 過度推行經(jīng)濟(jì)行政法域外效力構(gòu)成對域外效力的濫用。這種濫用是未經(jīng)允許利用他國資源,是表面正義掩蓋下的政治操縱,它會導(dǎo)致雙重標(biāo)準(zhǔn)和差別待遇。為了防止濫用,需要對域外效力進(jìn)行限制,要求域外效力的推行不得違反國際法基本原則,不得違反條約義務(wù),不得違反習(xí)慣國際法。 經(jīng)濟(jì)行政法的域外效力有一些負(fù)面效果,如商業(yè)上和法律上的不確定性,扭曲貿(mào)易和投資,產(chǎn)生不合理的成本,并最終導(dǎo)致就業(yè)減少和經(jīng)濟(jì)增長放緩。單邊的努力和國家之間的合作都能減緩負(fù)面效果。單邊努力包括采用禮讓原則(principle of comity)、合理原則(principle of reason)、國家行為原則(act of statedoctrine)、外國主權(quán)強(qiáng)制原則、不與東道國法律沖突原則和從嚴(yán)認(rèn)定本國公共秩序原則。國際合作和協(xié)調(diào)是減少沖突的成功方法,具體包括雙邊協(xié)調(diào)和多變協(xié)調(diào)。國際組織制定的示范法對沖突的解決也發(fā)揮了重要作用。 《關(guān)貿(mào)總協(xié)定》(GATT)本身沒有明確規(guī)定經(jīng)濟(jì)行政法的域外效力,但它提出了一些要求,如不歧視、透明。《關(guān)貿(mào)總協(xié)定》第二十條囚犯產(chǎn)品的例外支持勞動法的域外效力。保護(hù)人類、動植物生命或健康措施的例外、保護(hù)可用盡自然資源措施的例外、保證與該協(xié)定不相抵觸的法律得到遵守措施的例外等,常被引用,作為環(huán)境保護(hù)法律域外效力的依據(jù)�！蛾P(guān)貿(mào)總協(xié)定》第二十一條關(guān)于安全的例外也常被引用,作為出口管制法律域外效力的依據(jù)。GATT/WTO的爭端解決機(jī)制處理了一些涉及經(jīng)濟(jì)行政法域外效力的案例。新一輪貿(mào)易談判更將環(huán)境、勞工標(biāo)準(zhǔn)和競爭法等列為新議題。如果談判取得成功,則能減少法律域外效力沖突。 中國是法律域外效力濫用行為的受害者。中國長期是一些國家貿(mào)易封鎖的對象,中國澳門的匯業(yè)銀行(BDA)受到了美國基于《愛國者法案》的制裁,中國也遭到了基于勞動法域外效力的指控。在國內(nèi)法上,中國也適度推行了法律的域外效力,其出口管制法律、《個人所得稅法》和2007年通過的《企業(yè)所得稅法》、審議中的《反壟斷法》(草案)等都規(guī)定了域外效力。中國也參與了一些國際協(xié)調(diào)。截至2007年3月30日,中國已經(jīng)和82個國家簽訂了雙邊的稅收協(xié)定,中國大陸還與澳門和香港特別行政區(qū)簽訂了稅收安排,這些協(xié)議和安排有效減少了稅收法律域外效力引起的沖突。中國還參與了一些競爭法領(lǐng)域的國際合作,1999年與哈薩克斯坦簽訂了《關(guān)于反不正當(dāng)競爭與反壟斷領(lǐng)域合作協(xié)定》。但在《證券法》、《環(huán)境保護(hù)法》方面尚需加入域外效力的條款。此外,中國協(xié)調(diào)效力沖突的國內(nèi)法幾乎是空白。為了對抗其他國家的濫用,中國也需要制定自己的對抗法。關(guān)于經(jīng)濟(jì)行政法域外效力的立法,中國還有許多工作可作。
[Abstract]:The validity of legal space can be divided into intra domain effect and extraterritorial effect. The former is the validity of law in the scope of the power of the enactment, and the latter means that the validity of the law extends beyond the jurisdiction of the legislator. If the "domain" is understood as a "legal domain", the effect of the Chinese mainland law on Hong Kong, Australia and Taiwan is also extraterritorial effect.
The extraterritorial effect of economic administrative law includes two meanings: the law has binding force on extraterritorial persons, objects and acts; and the law is applied outside the country, that is, the transnational execution of domestic law.
The extraterritorial effect of the law (extraterritorial effect) is sometimes referred to as extraterritorial jurisdiction. The jurisdiction of international law is a country, relative to other countries, which includes the power of the legislative jurisdiction (jurisdiction toprescribe), the jurisdiction of the referee (jurisdiction to adjudicate) and the jurisdiction of law enforcement (jurisdiction toenforce).
The special circumstances of extraterritorial effect of the economic administrative law include: (1) the effect of the law on the act of Antarctica, the Arctic, the high seas and outer space. (2) the effect of the Treaty on a third country. (3) the extraterritorial effect established on the basis of special arrangements. For example, the person enjoying diplomatic privileges is only exempt from the jurisdiction of the law of the host country and cannot be exempt from the jurisdiction of its domestic law, and its national law The law has the extraterritorial effect on them. Under consular jurisdiction, foreigners' behavior must also be governed by their own laws, and their national laws also have extraterritorial effects.
On the issue of extraterritorial effect, there is a "the presumptionagainst extraterritorial effects", that is, all legal principles only have intra domain effect. The hypothesis has the following exceptions: (1) exceptions to clear legislative intent; (2) exceptions to adverse consequences; (3) exceptions to the location of the act. There are two ways of establishing: the clear stipulation of the law; the cognizance of the court in the trial process.
The large-scale implementation of the extraterritorial effect of the economic administrative law occurred after the Second World War, which was the basis for the implementation of the extraterritorial effect of the law. The economic integration was the basis of its economic integration; the decline of the global environmental pollution and labor standards is the moral basis; the pursuit of different policy objectives is the motive foundation; the over of some countries The implementation of strong status and power politics is the political basis; international law lacks a clear restriction on the extraterritorial effect of the law, while providing a broad jurisdiction based on the legal basis.
The extraterritorial effect of the law is related to the rules of jurisdiction in international law. In traditional international law, the basis of jurisdiction is the principle of territoriality (territorial principle) and the principle of personal (nationality principle). The personal principle (nationality principle) is the exercise of jurisdiction on the basis of nationality. According to the principle of personal, the state has the right to be in a foreign country to its nationals. The principle of conduct is governed. The principle of nationality is often cited as the basis for the extraterritorial effect of the law. For example, the "The Lotus Case" in the.1927 year of the tax collection for its nationals from foreign countries is often cited as evidence of the extraterritorial effect of the law. The case establishes two principles: (1) it can be given in accordance with the effect of foreign acts in the territory of the country. The extraterritorial effect of law; (2) the conclusion that prohibition of power can not be exercised can not be obtained according to the provisions of international law.
The principle of territoriality is interpreted to include objective (objective) territoriality principles and subjective (subjective) territoriality principles. Human principles are interpreted to include positive (positive) personality, negative (passive) personality and resident jurisdiction (resident jurisdiction). These explanations greatly extend the basis of extraterritorial effects of economic administrative law.
After World War II, there are some new principles, such as the principle of influence, the principle of attribution and the principle of implementation. The the effects doctrine is based on the extraterritorial effect of the foreign behavior on the domestic consequences. According to the "single economic entity", if the domestic subsidiary is based on a foreign parent company. On the basis of the implementation inspection (implementation test doctrine), the domestic economic administrative law can be applied extraterritorial, according to the implementation test (doctrine).
The expansion of some extraterritorial effects is controversial, such as the extraterritorial effect of the law from the source of technology, based on the product, and the extraterritorial effect of the law based on the control relationship, that is, foreign enterprises can give the domestic law the extraterritorial effect of the domestic law as long as it is controlled by its own country.
The universal jurisdiction (universal jurisdiction), originally referred to as a recognized international crime, can be governed and applied by any state. This principle is applied to the implementation of the basic labour standards, the extraterritorial effect of the law of financial control (anti terrorism). The traditional protective principle has also been the basis of extraterritorial effectiveness, which is used in the implementation of export control law. The extraterritorial effect of the law of interest protection.
In the law of different departments, the situation of extraterritorial effect is different. In the field of competition law, it relies mainly on the principle of influence, the principle of attribution and the principle of implementation; in the field of environmental law, it is based on the principle of nationality and the principle of influence; in the field of labor law, according to the principle of universality and the principle of nationality; in the field of securities law, it depends on the principle of influence; in the field of Taxation, the field of taxation; in the field of taxation. However, in the field of export control law, it depends on the nationality of the regulated person, the origin and control relationship of the relevant goods and technology.
The realization of the extraterritorial effect of the economic administrative law, in addition to self-conscious compliance, must also rely on compulsory enforcement, including the enforcement of the administrative organs or courts of the legislative state, and the law enforcement by the administrative organs or courts of other countries. The law enforcement measures for natural persons and legal persons in the legislative state are frozen, detained, interrupted economic exchanges, denial of visas and the enforcement of other countries. The legal measures include abolition of trade preferences, prohibition of import and trade retaliation.
There are different views on whether economic administrative law can be carried out across the country. The negation of the negation is that the punitive law has only the internal effect of the punitive law; the enforcement of the law of other countries is harmful to the interests of the country; it violates the concept of sovereignty and damages the public order; the public order review will irritate the foreign countries; the foreign tax law is complex and the transnational law enforcement is not technically feasible. Affirmative is that It is believed that the state should work together to stop violations of the economic administrative law and expect to benefit from the violation of the law of other countries is immoral and mutual enforcement is a win-win choice for both parties. Some treaties and domestic laws stipulate that economic administrative law can be carried out across the country, such as the International Monetary Fund Agreement. > stipulates the transnational implementation of the foreign exchange control law. The tax mutual assistance treaties such as the United States and France and Canada stipulate the transnational implementation of the tax law. The resolution adopted by the The Institute of International Law in William Baden (Wiesbaden) also believes that the economic administrative law can be carried out across the country. The way of transnational implementation of the economic administrative law There are indirect enforcement and direct execution. The former refers to the execution of foreign administrative law judgments by foreign countries, while the latter refers to the direct application of foreign economic administrative laws by foreign countries.
The extraterritorial effect of an economic administrative law of a country will conflict with the internal effect of the law of other countries. The confrontation is: a conflict of orders on the subject of control; diplomatic protest; the formulation and implementation of the antagonistic laws; the prohibition of the country's participation in foreign procedures; political, economic retaliation. In different fields, the intense conflict of the economic administrative law. The degree of conflict is different. The essence of legal conflict is conflict of interests.
The excessive application of extraterritorial effect of economic administrative law constitutes an abuse of extraterritorial effect. This abuse is a political manipulation under the cover of surface justice without permission to use the resources of other countries. It will lead to double standards and differential treatment. In order to prevent abuse, it is necessary to restrict the extraterritorial effect, and the implementation of extraterritorial effectiveness should not be violated by international law. The basic principles must not violate treaty obligations and violate customary international law.
The extraterritorial effects of economic administrative law have some negative effects, such as commercial and legal uncertainty, distorting trade and investment, producing unreasonable costs, and ultimately reducing employment and slowing economic growth. Unilateral efforts and cooperation between countries can mitigate negative effects. Unilateral efforts include the principle of courtesy (principle Of comity), the principle of principle of reason, the principle of national behavior (act of statedoctrine), the principle of foreign sovereignty coercion, the principle of non conflict with the host country and the strict identification of the principle of public order in its own country. International cooperation and coordination are the successful methods of reducing conflict, including bilateral and changeable coordination. The model law also played an important role in solving conflicts.
The GATT (GATT) itself does not clearly specify the extraterritorial effect of the economic administrative law, but it raises some requirements, such as non discrimination, transparency, transparency. GATT, the exception of twentieth prisoners' products to support the extraterritorial effect of the labour law. Protection of human, animal and plant life or health measures to protect the use of natural resources measures In addition, the exception to the law, which is incompatible with the agreement, is often cited as the basis for the extraterritorial effect of the law on environmental protection. The GATT twenty-first exceptions for security are often cited, and some of the disputes concerning the extraterritorial effect of export control laws are dealt with by the dispute settlement mechanism of.GATT/WTO. A case of extraterritorial effect of economic administrative law. A new round of trade negotiations has made new issues such as the environment, labour standards and competition law. If the negotiations are successful, the conflict of extraterritorial effect of the law can be reduced.
China is the victim of the extraterritorial abuse of the law. China has long been the object of the trade blockade of some countries. The BDA of Macao, China, has been sanctioned by the United States based on the Patriot Act, and China has also been charged with the extraterritorial effect of the labor law. Its export control laws, the income tax law of the individual and the enterprise income tax law adopted in 2007, the anti trust law (Draft), and so on, stipulate extraterritorial effects. China also participates in some international coordination. As of March 30, 2007, China has signed bilateral tax agreements with 82 countries, and China is also with Macao and Hongkong. The administrative region signed the tax arrangement, which effectively reduced the conflict caused by the extraterritorial effect of the tax law. China also participated in international cooperation in the field of competition law. In 1999, Kazakhstan signed the agreement on cooperation in the field of anti unfair competition and antimonopoly. But in the securities law, the environmental protection law. In addition, the domestic law of coordinating the effectiveness of conflict in China is almost blank. In order to counter the abuse of other countries, China also needs to formulate its own counteract law. There is still a lot of work to be done in China's legislation on the extraterritorial effect of economic administrative law.
【學(xué)位授予單位】：蘇州大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2007
【分類號】：D912.29;D912.1;D99

【引證文獻(xiàn)】

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