国际投资协定中的“根本安全利益”条款研究

发布时间：2018-06-12 01:20

本文选题：国际投资 + 国际投资协定　；参考：《广东商学院》2012年硕士论文

【摘要】：在投资自由化思想的影响下，国际投资法更多关注的是推进准入自由、提高投资待遇、加强投资保护和倡导投资争议的非东道国解决。在此背景下，经济主权意识被弱化，国际投资中的“根本安全利益”问题以及作为“安全阀”和“风险调配器”的“根本安全利益”条款，长期没有得到足够的重视。直到2001年阿根廷经济危机后，根本安全利益条款才因在针对阿根廷的国际投资仲裁案中被阿根廷用作抗辩理由，被人重新关注。这些涉及国家根本安全利益例外条款适用的仲裁案件不仅显示出了根本安全利益条款的重要作用，，也引发了一系列的诸如如何对根本安全利益条款进行解释和适用的问题。在对根本安全利益条款进行较为全面的分析后，文章提出了完善我国国际投资协定中的根本安全利益条款的建议。文章除引言和结语外，分为五大部分：第一部分是根本安全利益条款概述，主要介绍了根本安全利益条款的概念、作用、历史发展和新近受到重视的原因背景。第二部分是国际上有关“根本安全利益”条款的缔约实践，在对国际上有关“根本安全利益”条款的缔约实践情况进行分析后指出：虽然大多数国际性或者多边性条约都对国家根本安全利益问题有所规定，各国对国家根本安全利益条款的态度并不一致，对根本安全利益条款的使用存在四种不同的情形。此外，在根本安全利益条款的设立形式和具体内容上也有诸多不同。第三部分是国际投资协定中“根本安全利益”条款的解释。该部分首先对“根本安全利益”的范围进行了讨论，提出在根本安全利益的范围上，应将环境保护、公共健康以及宏观经济方面的利益纳入到国家根本安全利益范畴中；其次对于如何来处理根本安全利益条款可仲裁性问题，指出了仲裁庭对于非自行判断性质和自行判断性质的根本安全利益例外条款都可以审查，但审查权限和范围有所差异。第四部分是国际投资协定中“根本安全利益”条款的适用，指出了根本安全利益条款的适用应具备在法定的范围内采取必要措施，行为的必要性，行为的合理性和程序的合法性4个条件。此外还对根本安全利益条款适用中容易引发的法律适用问题和赔偿问题进行了讨论。第五部分是我国国际投资条约中的根本安全利益条款实践及应对，通过对我国国际投资协定中根本安全利益条款现状的介绍、分析，指出我国国际投资协定中根本安全利益条款缺失的问题，并由此对我国如何利用重大安全例外条款提出了相应的建议。
[Abstract]:Under the influence of the thought of investment liberalization, the international investment law pays more attention to promote the freedom of access, improve the treatment of investment, strengthen the protection of investment and advocate the settlement of investment disputes. Under this background, the consciousness of economic sovereignty has been weakened, the problem of "fundamental security benefit" in international investment and the "fundamental security benefit" clause as "safety valve" and "risk adjuster" have not been paid enough attention to for a long time. It was not until 2001, after Argentina's economic crisis, that the fundamental security interests clause was revisited by Argentina as a defence in an international investment arbitration case against Argentina. These arbitration cases involving the application of exceptions to national fundamental security interests not only demonstrate the important role of fundamental security interest clauses, It also leads to a series of problems such as how to interpret and apply the fundamental security interest clause. This paper puts forward some suggestions on perfecting the fundamental security interest clause in China's international investment agreements. In addition to the introduction and conclusion, the article is divided into five parts: the first part is an overview of the fundamental security interests clause, mainly introduces the concept, role, historical development and recent attention to the reasons for the background. The second part is the international contracting practice of "fundamental security interests". After an analysis of the international practice of concluding articles on "fundamental security interests", it is pointed out that: although most international or multilateral treaties provide for the fundamental security interests of States, There are four different situations about the use of fundamental security interest clauses. In addition, there are many differences in the establishment form and specific content of the fundamental security interest clause. The third part is the interpretation of "fundamental security interests" clause in IIAS. This part first discusses the scope of "fundamental security interests", and puts forward that environmental protection, public health and macroeconomic interests should be brought into the category of national fundamental security interests in the scope of fundamental security interests. Secondly, as to how to deal with the arbitrability of fundamental security interest clause, it is pointed out that the arbitration tribunal can review the exception clause of fundamental security interest which is not self-judge and self-judge, but the scope and scope of the review are different. The fourth part is the application of the "fundamental security interest" clause in the international investment agreement, pointing out that the application of the fundamental security interest clause should have the necessity to take necessary measures and conduct within the legal scope. The rationality of behavior and the legality of procedure are four conditions. In addition, the problems of law application and compensation arising from the application of fundamental security interest clauses are also discussed. The fifth part is the practice and response of the fundamental security interest clause in the international investment treaty of our country, through the introduction of the present situation of the fundamental security interest clause in the international investment agreement of our country, the analysis, This paper points out that the fundamental security interest clause is missing in China's international investment agreements, and puts forward corresponding suggestions on how to make use of the major security exception clause in our country.
【学位授予单位】：广东商学院
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996.4

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