间接征收界定的晚近发展与中国对策研究

发布时间：2018-04-18 03:16

本文选题：间接征收 + 比例原则　；参考：《中国政法大学》2011年硕士论文

【摘要】：征收问题向来是国际投资保护领域最具争议的问题之一,南北矛盾的焦点从征收合法性到补偿标准,近年来又集中到间接征收的认定上。有关投资的国际公约和各国缔结的双边投资条约或自由贸易协定中,对于“间接征收”从未明确进行概念性界定,只是简单描述为“任何其他具有相似效果的措施”或“具有相当于国有化或征收的效果的措施”等,规则的不确定性导致了仲裁实践的不一致。而倾向于保护投资者利益的仲裁庭大多纯粹从政府行为的“效果”出发,将一些东道国政府为保护安全、环境等公共利益做出的管制行为认定为间接征收。东道国不但面临诉累和高额补偿的风险,而且其政府管制权亦受到挑战,国际投资仲裁的正当性受到质疑。尤其是自NAFTA生效实施以来,依其第11章提起的征收仲裁案频频发生,一直主张高标准保护投资者的美国被多次推上被告席。这种“间接征收”扩大化的趋势引起了一些国家及国际组织的反思,开始强调维护东道国政府的正当管制权,以保障其国内的公共利益。因此,在间接征收的界定上,开始逐步增强了对政府行为“目的”的关切,这些努力也直接促成了间接征收条款的新发展,例如2004年美国新BIT范本中征收及相关条款的变化。但由于目的本身的主观性,以及效果与目的之争背后存在的多方利益与价值博弈,导致了间接征收界定上仍存在激烈争论。本文通过对相关学说、规则及仲裁实践的研究,试图通过从平衡外国投资者利益与东道国公共利益角度出发,提出较为合理的界定标准。同时,针对我国目前“走出去”战略的实施,中国企业海外投资大增,如何平衡我国作为投资东道国和投资者母国的地位需要结合国情进行思考。本文除导言及结论外共分为四章。第一章间接征收概述。介绍间接征收理论和实践发展简史以及近期间接征收扩大化趋势。提出东道国正常的管制行为与间接征收之间存在灰色地带,需要平衡投资者权利与东道国公共利益以确定合理的界限。第二章间接征收界定现状。归纳了间接征收界定的相关学说、规则和仲裁实践。无论规则层面还是仲裁实践,都缺乏一致性、确定性的界定标准。各种学说和规则的分歧实质在于行为认定时目的与效果的不同权重,解决问题的关键在于如何在投资者利益和东道国利益之间进行平衡。第三章间接征收界定问题的解决方法探索。从比例原则的一般理论得出运用比例原则权衡目的与效果的可能性。从国际仲裁实践角度分析出运用比例原则界定间接征收还存在法律依据和适用方法上问题,从而难以达到预期效果。最后针对上述问题探讨解决问题的方法,试图从利益平衡角度提出合理化建议。第四章晚近间接征收扩大化趋势下中国的对策分析。首先通过分析中国当前吸收投资和对外投资的现状,得出转型期的中国面临两方面风险。其次对中国外资立法中与征收有关条款,尤其是晚近新型征收条款进行分析,找出优缺点。最后从原则和规则两个层面,对转型期的中国如何应对晚近间接征收扩大化趋势提出合理化建议。
[Abstract]:The problem of expropriation is one of the most controversial issues in the field of international investment protection . In recent years , the focus of the contradiction between the North and the South has focused on the recognition of indirect expropriation .

The tendency of the " indirect expropriation " to expand is a reflection of some countries and international organizations , beginning to emphasize the preservation of the legitimate right of the host Government to safeguard the public interests of the host country . Therefore , on the definition of indirect expropriation , the concern about the purpose of government behavior has been gradually strengthened . These efforts have also directly contributed to the new development of indirect expropriation provisions , such as the changes in the collection and relevant provisions of the new BIT model in 2004 .

However , due to the subjective nature of the purpose and the multi - stakeholder and value game behind the dispute between the effect and the purpose , there is still a heated debate on the indirect collection definition . Through the study of the relevant theories , rules and arbitration practice , this paper tries to propose a reasonable definition standard from the perspective of balancing the interests of foreign investors and the public interests of the host country . At the same time , in view of the implementation of the " go out " strategy in China , how to balance the position of our country as the host country of the investment and the investor ' s home country needs to reflect on the national conditions .

In addition to the introduction and conclusion , this paper is divided into four chapters .

Chapter One introduces the brief history of indirect expropriation theory and practice development and the recent trend of indirect expropriation . It is suggested that there is a grey zone between the normal control behavior and indirect expropriation of host country . It is necessary to balance investor ' s rights and public interests of host country to determine reasonable limits .

In chapter 2 , the definition of indirect expropriation is summarized . The theory , rules and practice of indirect expropriation are summarized . No matter the rule or arbitration practice , there is a lack of consistency and certainty . The differences between various theories and rules lie in the different weights of the purpose and effect when the behavior is determined . The key to the problem is how to balance the interests of investors and the interests of the host country .

The third chapter explores the problem of indirect expropriation . From the general theory of proportionality principle , the possibility of using proportional principle to weigh the purpose and effect is drawn . It is difficult to achieve the expected effect from the angle of international arbitration practice . Finally , the method of solving the problem is discussed in the light of the above - mentioned problems . Finally , the rationalization proposal is put forward from the angle of balance of interest .

Chapter four analyzes the countermeasures of China under the trend of indirect expropriation and expansion . First , by analyzing the current situation of China ' s current absorption investment and foreign investment , it is concluded that China faces two risks . Secondly , it analyzes the relevant clauses in China ' s foreign investment legislation , especially the new collection clause in the late period , and finds out the advantages and disadvantages . Finally , from the two aspects of principle and rule , how to deal with the tendency of China to deal with the tendency of expansion and expansion in the late period should be put forward .

【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.4

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