BIT重大安全例外条款探析
发布时间：2018-07-17 19:38
【摘要】：双边投资条约(bilateral investment treaty,亦可简称BIT)是国际投资法的重要的组成部分,在保护外国投资方面发挥着重要作用。重大安全例外条款指东道国采取措施保护本国基本安全利益和维护本国公共秩序的条款,是双边投资条约中不可或缺的条款,依据其作用可以形象的称之为“安全阀”及“风险调配器”。根据联合国贸易和发展会议(英文简称为UNCTAD)的统计,截止2008年底,国际上双边投资条约的数量为2676个,其中200多个包含重大安全例外条款。[’]各种国际司法机构受理的投资者与东道国因投资产生的投资争议案件逐年增多,但是涉及重大安全例外条款的案件并不多见。直到2001年阿根廷经济危机后,解决投资争端国际中心(以下称ICSID)受理了几起美国投资者诉阿根廷的案件,基本相同的案情,同样的抗辩条款,仲裁庭却做出了截然不同的裁决。重大安全例外条款的解释和适用引起广泛的关注,国际组织、国际投资法学者开始对重大安全例外条款做出深入的研究。 本文采用了实证分析、比较分析和文献研究的方法,除引言和结语外,分为四大部分,在对重大安全例外条款的概念、设置模式进行论述,对重大安全例外条款存在问题进行评析后,提出完善我国重大安全例外条款的建议。 第一部分,重大安全例外条款概述。本文首先简要说明了重大安全例外条款的含义和作用,然后介绍了重大安全例外条款的产生、发展历程,特别是重大安全例外情形的发展,并且对晚近的重大安全例外条款做出了四种分类。 第二部分,设置重大安全例外条款的模式。一种为在附录中规定重大安全例外条款,另一种在条约的正文中通过专门的条约或专门的条款规定。 第三部分,重大安全例外条款存在的问题及评析。对双边投资条约中缺乏清晰界定的“公共秩序”、“基本安全利益”的概念加以区并分析二者的不同适用范围；对国际习惯法例外免责条款和重大安全例外条款进行分析比较得出仲裁庭应当主要适用重大安全例外条款,必要的时候将国际习惯法作为补充的结论；分别论证了自行判断重大安全例外条款和非自行判断重大安全例外条款的仲裁性质；在赔偿问题上,认定援引重大安全例外条款即免除了东道国对投资者的物质赔偿责任。 第四部分,完善我国BIT重大安全例外条款的建议。通过研究中国重大安全例外条款,特别是重点分析中国-印度、中国-芬兰的双边投资条约后,提出完善我国重大安全例外条款的五点建议。
[Abstract]:Bits (bit) is an important part of international investment law and plays an important role in the protection of foreign investment. Significant security exceptions, which refer to the measures taken by the host country to protect its basic security interests and maintain its public order, are indispensable provisions in bilateral investment treaties, According to its function can be called "safety valve" and "risk modulator." According to the United Nations Conference on Trade and Development (UNCTAD), at the end of 2008, the number of international bilateral investment treaties stood at 2,676. More than 200 of them contain major security exception clauses. ['] Investment disputes between investors and host countries due to investment have increased year by year, but there are few cases involving major security exceptions. Until 2001, after Argentina's economic crisis, the International Centre for settlement of Investment disputes (ICSID) heard several American investor v. Argentina cases, essentially the same case, the same defense clause, but the arbitral tribunal made a very different decision. The interpretation and application of the major security exception clause has aroused widespread concern. International organizations and international investment law scholars have begun to make in-depth research on the major security exception clause. This paper adopts the methods of empirical analysis, comparative analysis and literature research. Besides the introduction and conclusion, it is divided into four parts. After analyzing the existing problems of the major security exception clause, the paper puts forward some suggestions to perfect the major security exception clause in our country. The first part is an overview of major security exceptions. This paper first briefly explains the meaning and function of the major security exception clause, then introduces the emergence and development of the major security exception clause, especially the development of the major security exception. And the recent major security exceptions to make four categories. The second part, the mode of setting the major safety exception clause. One provides for a major security exception in an appendix, the other for a specific treaty or provision in the body of a treaty. The third part, the major safety exception clause exists the question and the appraisal. The concept of "public order" and "basic security interests", which are not clearly defined in bilateral investment treaties (bits), is defined and their different application scope is analyzed. Through the analysis and comparison of the exception exemption clause of international customary law and the major security exception clause, it is concluded that the arbitration tribunal should mainly apply the major security exception clause, and take international customary law as a supplement if necessary; The paper demonstrates the arbitration nature of the major safety exception clause and the non-self-judgment major safety exception clause respectively. On the issue of compensation, it is concluded that invoking the significant safety exception clause relieves the host country from the material liability to the investor. The fourth part, perfect our country bit major safety exception clause suggestion. Based on the study of China's major security exception clauses, especially the analysis of bilateral investment treaties between China and India, China and Finland, this paper puts forward five suggestions to perfect the major security exception clauses in China.
【学位授予单位】：大连海事大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.4
本文编号：2130721
[Abstract]:Bits (bit) is an important part of international investment law and plays an important role in the protection of foreign investment. Significant security exceptions, which refer to the measures taken by the host country to protect its basic security interests and maintain its public order, are indispensable provisions in bilateral investment treaties, According to its function can be called "safety valve" and "risk modulator." According to the United Nations Conference on Trade and Development (UNCTAD), at the end of 2008, the number of international bilateral investment treaties stood at 2,676. More than 200 of them contain major security exception clauses. ['] Investment disputes between investors and host countries due to investment have increased year by year, but there are few cases involving major security exceptions. Until 2001, after Argentina's economic crisis, the International Centre for settlement of Investment disputes (ICSID) heard several American investor v. Argentina cases, essentially the same case, the same defense clause, but the arbitral tribunal made a very different decision. The interpretation and application of the major security exception clause has aroused widespread concern. International organizations and international investment law scholars have begun to make in-depth research on the major security exception clause. This paper adopts the methods of empirical analysis, comparative analysis and literature research. Besides the introduction and conclusion, it is divided into four parts. After analyzing the existing problems of the major security exception clause, the paper puts forward some suggestions to perfect the major security exception clause in our country. The first part is an overview of major security exceptions. This paper first briefly explains the meaning and function of the major security exception clause, then introduces the emergence and development of the major security exception clause, especially the development of the major security exception. And the recent major security exceptions to make four categories. The second part, the mode of setting the major safety exception clause. One provides for a major security exception in an appendix, the other for a specific treaty or provision in the body of a treaty. The third part, the major safety exception clause exists the question and the appraisal. The concept of "public order" and "basic security interests", which are not clearly defined in bilateral investment treaties (bits), is defined and their different application scope is analyzed. Through the analysis and comparison of the exception exemption clause of international customary law and the major security exception clause, it is concluded that the arbitration tribunal should mainly apply the major security exception clause, and take international customary law as a supplement if necessary; The paper demonstrates the arbitration nature of the major safety exception clause and the non-self-judgment major safety exception clause respectively. On the issue of compensation, it is concluded that invoking the significant safety exception clause relieves the host country from the material liability to the investor. The fourth part, perfect our country bit major safety exception clause suggestion. Based on the study of China's major security exception clauses, especially the analysis of bilateral investment treaties between China and India, China and Finland, this paper puts forward five suggestions to perfect the major security exception clauses in China.
【学位授予单位】：大连海事大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.4
【引证文献】
相关硕士学位论文 前3条
1 陈安妮;中外BITs中的NPM条款研究[D];南京大学;2012年
2 刘先军;国际投资协定中的“根本安全利益”条款研究[D];广东商学院;2012年
3 苗壮;双边投资条约重大安全例外条款研究[D];辽宁大学;2013年
，本文编号：2130721
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