国际投资协定中的劳工权保护问题研究

发布时间：2018-04-28 04:49

本文选题：国际投资 + 协定　；参考：《武汉大学》2014年博士论文

【摘要】：国际投资法和国际人权法在其历史发展过程中基本上处于一种彼此独立的状态。20世纪80年代以前,国际投资规制和劳工之间并没有建立法律上的联系。无论在单边、双边层面,还是在区域投资协定中,少有考虑把劳工和投资联系起来予以法律规制。80年代以后,随着全球范围内的国际投资的迅速增长,它所带来的影响冲击着国家更多的公共政策能力,当然也包括各国的劳工政策,国际投资和劳工权利之间开始建立法律联系,国际投资规则与劳动者权益保护之间的关系也开始引起一些学者的重视。国际投资协定晚近的发展特点表明,各国在促进国际投资自由化和全球化发展的同时,也越来越注重可持续发展问题,保护劳工权、强调有关企业的社会责任也是联合国贸发会议提出的可持续发展投资政策框架中的政策建议。但是,双边投资协定的维护投资者利益“先天性”特征,使得东道国在国内劳工权保护与投资者权益之间的冲突与矛盾难以避免,投资协定条款的不明确也为仲裁庭随意解释BIT条款留有较大的空间；另一方面,国际投资仲裁的“商事化”特征使得其成为“投资者友好型”争端解决机构,国际投资仲裁实践对投资者确立了较高的保护标准,国际投资仲裁裁决的不确定性与不一致性也对劳工权保护带来了负面影响。为国家公共政策监管留有一定空间,保护劳工者权益,降低投资诉讼的风险、制定可持续发展友好型BIT范本成为新一代投资协定的新议题。因此,需要修改国际投资协定的实体法条款,加强对劳工权的保护,同时改革国际投资仲裁机制的程序规则,在实践中逐步推动和接纳投资人本化的理念与原则,既要注重保护投资者的利益,又要考虑国家保护劳工权等公共政策主权的行使,在投资者利益保护与劳工权保护之间保持一定的利益平衡,以促进国际投资的可持续发展。论文共分五章：第一章对劳工权保护的有关理论问题进行了概述。劳工权又称劳工权利或工人权利,是指劳动者在劳动关系中所享有的权利。所谓核心劳工标准,是指被联合国相关条约以及国际劳工组织处理劳工标准的相关公约所认可的标准,国际劳工标准的确立对劳工权益保护带来了积极作用。关于劳工权的国际立法规定相互补充,为劳工权保护提供了法律保障,但是国际劳工立法具有一定的局限性。对劳工权进行保护的理论基础有：人权保护理论、维护社会公正理论、以及劳资博弈理论。因此,在国际投资法规则中加强对劳工权益的保护,以促进国际投资良性循环发展。第二章论述了在国际投资协定中加强劳工权保护的必要性。随着国际投资自由化的发展,国际经济的迅猛发展对劳工权带来了负面影响：外国投资者在追求利润最大化的同时,往往以侵犯劳动者权益的方式作为其实现投资目标的手段,国际投资和劳工权利之间开始建立法律联系。国际投资协定近期的发展特点表明,保护劳工权、有关企业的社会责任在新签署的国际投资协定中表现出来。国际法的人本化发展趋势要求国际投资协定更应关注对人权的尊重,更加注重对劳工权益的保护,企业社会责任运动的兴起要求跨国公司在遵守劳工标准方面负有一定的社会责任,同时,加强对劳工权益的保护也是各国促进国际投资可持续发展的一项内容之一。所以,在当前的国际投资发展的形势下,加强对劳工权保护是国际投资协定发展的必然趋势。第三章论述了国际投资协定中劳工权保护现状与缺陷。在国际投资协定中,无论是双边投资条约还是区域投资协定,很少直接涉及劳工权保护问题。美国的2004年和2012年BIT范本对劳工权保护进行了全面而详细的规定,它代表着BIT范本的新方向,成为未来双边投资协定劳工条款的新模板。在区域协定中,近几年也显示出将可持续发展议题纳入协定的趋势,其中提及了健康安全保护、劳工权利和环境问题。国际投资协定的“先天性”特征决定了它是单一的商业工具,其主要目的和任务是维护投资者的利益,关于劳工权保护等涉及东道国公共利益管制则考虑较少。而现有的双边投资协定的实体法条款规定不明确,也为仲裁庭随意解释BIT条款留有较大的空间,对投资者确立了较高的保护标准,使得东道国的劳工权保护与投资者权益之间的冲突与矛盾难以避免。晚近国际投资仲裁的实践表明,仲裁庭过在仲裁过程中一味维护投资者利益,没有适当考虑东道国对外资实行管制措施的公共目的的正当性,而使仲裁裁决有失公正性与合理性；而由于仲裁员本身素质不高,不具有高水平的专业知识,又没有设置有效的监督机制加以限制与约束,实践中出现了仲裁裁决的不一致性、不确定性,甚至相互矛盾。现有国际投资仲裁的缺陷,也对东道国的劳工权保护等人权状况产生了负面影响。第四章论述了国际投资协定的完善与劳工权保护。为更好地尊重并保护劳工权,应注意考虑投资者利益与东道国公共利益管制规则的平衡,修改或明确双边投资协定的实体法条款,如在条约序言中加入劳工权保护的说明、澄清间接征用的具体含义与外延、明确待遇标准的适用范围、删除“保护伞”’条款、增加例外条款、规定投资者的义务等,以防止仲裁庭随意解释BIT条款,以尊重或促进劳工权保护。国际投资仲裁的实践所暴露出的缺陷使得改革势在必行,可以从以下方面着手：限制国际投资仲裁庭的管辖权、增强仲裁程序的透明度、扩大法庭之友的范围、构建统一的国际投资仲裁上诉机制、加强对仲裁员公正性的监督等,以促进劳工权保护与国际投资仲裁机制的良性互动。第五章论述了中国国际投资协定的劳工权保护。面临国际投资协定的人本化这一发展趋势,我国对外签订的国际投资条约近年来在注重保护投资者利益的同时,也为国家的公共监管政策留有一定余地,但是总体来看,还存在很多缺陷：如投资条约条款缺乏劳工权的直接规定,投资待遇条款、征收条款有待于进一步明确适用范围,全面接受ICSID管辖的争端解决方式等都不利于劳工权保护。因此,应及时制订我国“可持续发展友好型”BIT范本,改革投资条约条款,逐步在实践中树立人本化的理念,在投资者利益保护与东道国主权维护之间寻求一种利益平衡,既注重保护投资者的利益,进一步吸引外资,又要考虑国家维护公共政策主权的行使,以维护国内劳工、环境等公共利益,从而促进国际投资的可持续发展。
[Abstract]:International Investment Law and international human rights law are basically in a state of independence in the course of their historical development. Before the 80s of.20 century, international investment regulation and labor have not established legal ties. With the legal regulation of the.80 years, with the rapid growth of international investment worldwide, the impact of the international investment on the country's more public policy ability, of course, including the labor policy of various countries, the establishment of legal links between international investment and labor rights, the relationship between international investment rules and the protection of workers' rights and interests The recent development of the international investment agreement shows that, while promoting the liberalization of international investment and the development of globalization, the development of international investment also pays more and more attention to the problem of sustainable development, protects the labor rights, and emphasizes the social responsibility of the related enterprises as well as the sustainable development investment policy proposed by the United Nations Conference on Trade and development. However, it is difficult to avoid the conflict and contradiction between the domestic labor rights protection and the investor's rights and interests between the host country and the investor's rights and interests. The uncertainty of the terms of the investment agreement also gives the arbitral tribunal a larger space for the arbitral interpretation of the BIT clause, on the other hand, the international agreement. The "commercial" characteristics of investment arbitration make it a "investor friendly" dispute settlement agency. International investment arbitration practice has established high protection standards for investors. The uncertainty and inconsistency of international investment arbitral awards also have negative impact on the protection of labor rights. Space, protecting the rights and interests of the laborers, reducing the risk of investment litigation, making the model of sustainable development and friendly BIT become a new issue of the new generation investment agreement. Therefore, it is necessary to modify the substantive law provisions of the international investment agreement, strengthen the protection of the labor rights, and reform the procedural rules of the international investment arbitration mechanism and step by step in practice. The idea and principle of accepting investors' localization should not only pay attention to protecting the interests of investors, but also consider the exercise of the sovereignty of public policy, such as the protection of labor rights of the state, and maintain a certain balance of interests between the protection of investors' interests and the protection of labor rights, so as to promote the sustainable development of international investment.
The thesis is divided into five chapters: the first chapter is an overview of the theoretical issues related to the protection of labor rights. Labour rights, also known as labor rights or workers' rights, refer to the rights of workers in labor relations. The so-called core labour standards are recognized by relevant UN related treaties and relevant conventions dealing with labour standards by the International Labour Organization. The establishment of international labor standards has brought positive effects on the protection of labor rights and interests. The international legislation on labor rights is complementary to each other and provides legal protection for the protection of labor rights. However, the international labor legislation has some limitations. The theoretical basis for protecting labor rights is the theory of human rights protection and the maintenance of society. Fairness theory and labor capital game theory. Therefore, we should strengthen the protection of labor rights and interests in the rules of international investment law, so as to promote the sound circular development of international investment.
The second chapter discusses the necessity of strengthening the protection of labor rights in international investment agreements. With the development of international investment liberalization, the rapid development of international economy has a negative impact on Labor Rights: foreign investors, while pursuing the maximization of profits, often take the way of violating the rights and interests of workers as their hands to achieve the investment goals. The recent development characteristics of international investment agreements indicate that the protection of labour rights and the social responsibility of enterprises are shown in the newly signed international investment agreements. The trend of the development of human rights in international law requires that international investment agreements should pay more attention to respect for human rights. For the protection of labor rights and interests, the rise of the corporate social responsibility movement requires the transnational corporations to have a certain social responsibility in compliance with the labor standards. At the same time, strengthening the protection of the rights and interests of labor is also one of the contents of the sustainable development of international investment. Labor rights protection is an inevitable trend in the development of international investment agreements.
The third chapter discusses the status and defects of labor rights protection in international investment agreements. In international investment agreements, both bilateral investment treaties and regional investment agreements are rarely involved in the protection of labour rights. In 2004 and 2012, the BIT model of the United States made a comprehensive and detailed provision for the protection of labour rights, which represents the BIT model. The new direction is a new template for the labour provisions of the future bilateral investment agreements. In the regional agreements, the trend of integrating sustainable development issues into the agreement has also been shown in recent years, with reference to health and safety protection, labour rights and environmental issues. The "innate" characteristics of the international investment agreement determine that it is a single business tool, its owner. The purpose and task are to safeguard the interests of the investors, and less consideration is given to the control of the public interests involving the host country on the protection of labor rights. The provisions of the existing bilateral investment agreements are not clear, and the arbitral tribunal has a larger space for the arbitrary interpretation of the BIT clause, and has established a higher protection standard for the investors to make the host country a host country. The conflict and contradiction between the protection of labor rights and the rights and interests of investors is difficult to avoid. The practice of late international investment arbitration shows that the arbitration tribunal maintains the interests of the investor in the process of arbitration and does not properly consider the legitimacy of the public purpose of the control measures of the host country, and makes the arbitral award impartiality and reasonableness. And because the arbitrators themselves are not high in quality, they do not have high level of professional knowledge, and they have not set effective supervision mechanism to restrict and restrict them. In practice, the inconsistency, uncertainty and even contradiction of the arbitral award appear in practice. The defects of the existing international investment arbitration also produce the human rights situation of the labor rights protection of the host country. There's a negative impact.
The fourth chapter discusses the perfection of the international investment agreement and the protection of the labor rights. In order to better respect and protect the labor rights, we should take into account the balance between the interests of the investor and the host country's public interest regulation rules, and modify or clarify the substantive law clauses of the bilateral investment agreements, such as the explanation of the protection of labour rights in the preamble of the treaty and the clarification of the indirect expropriation. The specific meaning and extension, the scope of application of the standard of treatment, the deletion of the "umbrella" clause, the addition of the exception clause and the obligation of the investor to prevent the arbitral tribunal from explaining the BIT clause at random to respect or promote the protection of the labor rights. The defects exposed by the practice of international investment arbitration make the reform imperative and can be from the following On the other hand, we should restrict the jurisdiction of the international investment arbitration tribunal, enhance the transparency of the arbitration procedure, expand the scope of the tribunal, construct a unified international investment arbitration appeal mechanism, strengthen the supervision of the fairness of the arbitrators, and so on, so as to promote the benign interaction between the protection of labor rights and the international investment arbitration mechanism.
The fifth chapter discusses the protection of labor rights in the international investment agreement of China. Facing the development trend of humanism in international investment agreements, the international investment treaty signed by China has paid more attention to protecting the interests of investors in recent years, but also has a certain margin for the public supervision policy of the country. However, in general, there are still many defects. If the provisions of the investment treaties lack the direct provisions of the labor rights, the terms of the investment treatment are to be further defined and the comprehensive acceptance of the dispute settlement methods under the jurisdiction of ICSID is not conducive to the protection of the labor rights. Therefore, the "sustainable development and friendly type" BIT model should be formulated in time, and the provisions of the investment treaties should be reform gradually. In practice, the concept of humanism is set up to seek a balance of interests between the protection of the interests of investors and the maintenance of the sovereignty of the host country, not only to protect the interests of the investors, to further attract foreign capital, but also to consider the state's exercise of maintaining the sovereignty of the public policy so as to maintain the public interests of the domestic labor and the environment, thus promoting the sustainable development of international investment. Continue to develop.

【学位授予单位】：武汉大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：D996.4

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