双边投资条约中的间接征收问题研究

发布时间：2018-11-12 18:40

【摘要】：二十世纪90年代，国际条约中征收条款的含义开始被放大，或者更准确地说是被实践中的仲裁机构做了放大性的解释，间接征收的问题日益被突显出来。这其中一部分原因在于通常意义上的直接征收逐渐减少以及伴随双边投资条约的激增，之前颇有争议的补偿标准问题已经逐渐不再是争议的中心，但间接征收之所以成为新焦点的重要原因在于它再度引起了发展中国家和发达国家之间的战火，只不过这一次，即便是发达国家也无法站在发展中国家的相对方向而真正做到独善其身。近年来，，不断增加的间接征收诉讼被认为是对国家管制权的威胁。但仲裁庭处理这些诉讼的不一致的方式对于投资者和国家都意味着间接征收问题认定的不确定性。为了解决这个问题，学术界以及仲裁实践中已经提出了三个主要的理论：单一效果标准、目的标准和效果与目的兼顾标准。有学者认为，单一效果标准应该作为认定间接征收的首选，因为它更符合这一领域现有的法律。也有学者赞成目的标准，认为这一标准更能确保东道国的管制权。为了平衡东道国的公共利益和外国投资者的私人财产权益，越来越多的学者倾向于适用效果与目的兼顾标准中的比例原则来确定东道国的措施是否构成间接征收。比例原则为东道国采取符合公众利益的措施提供了更大的空间，同时也提供了足够的审查以控制公共权力的滥用。本文从双边投资条约中的间接征收的认定为切入点，并结合案例具体说明各个理论标准在实践中的运用。全文分四个部分，首先明确本文所指的“间接征收”的概念，结合相关的国际条约中关于征收条款的规定，总结出本文要讨论的间接征收的定义。其次，研究间接征收的认定问题，结合间接征收与无需赔偿的政府管制措施之间的区别并讨论二者的区分标准。再次，通过总结国际仲裁组织依据双边投资条约等国际条约审理的间接征收案件的判例以及外国的国家实践，得出间接征收争端解决的路径。最后，整理并分析中国目前已经签订的双边投资条约中的间接征收条款所存在的问题，并结合实践中可能遇到的问题进行研究,希望能为中国将来缔结或重新签订的双边投资条约中关于间接征收条款的定义、认定及争端解决机制等提供一些可取的建议。
[Abstract]:In the 1990s, the meaning of the expropriation clause in international treaties began to be amplified, or more accurately, it was interpreted magnified by the arbitration institution in practice, and the issue of indirect expropriation was increasingly highlighted. Part of the reason is that the previously controversial issue of compensation is no longer at the heart of the usual decline in direct expropriation and the proliferation of bits. But an important reason why indirect expropriation has become a new focus is that it has once again sparked a war between developing and developed countries, but this time, Even the developed world cannot stand in the relative direction of the developing world. In recent years, an increasing number of indirect expropriation lawsuits have been seen as a threat to state control. But the inconsistent manner in which the tribunal dealt with these lawsuits means uncertainty about the identification of indirect expropriation for both investors and countries. In order to solve this problem, three main theories have been put forward in academic circles and arbitration practice: single effect standard, objective standard and objective criterion. Some scholars believe that the single effect criterion should be the first choice for the identification of indirect expropriation because it is more in line with the existing law in this field. Some scholars also agree with the goal criterion, which can ensure the host country's right of control. In order to balance the public interests of the host country and the private property rights of foreign investors, more and more scholars tend to apply the principle of proportionality in the criterion of both effect and purpose to determine whether the measures of the host country constitute indirect expropriation. The principle of proportionality provides more space for the host country to take measures in the public interest and provides sufficient scrutiny to control the abuse of public power. This paper starts with the identification of indirect expropriation in bilateral investment treaties and illustrates the application of various theoretical standards in practice. The paper is divided into four parts. Firstly, the concept of "indirect expropriation" is defined in this paper, and the definition of indirect expropriation, which is discussed in this paper, is summarized in combination with the provisions on expropriation clauses in relevant international treaties. Secondly, the paper studies the identification of indirect expropriation, and discusses the difference between indirect expropriation and government regulation measures without compensation. Thirdly, by summing up the cases of indirect expropriation handled by international arbitration organizations based on bits and other international treaties, as well as the practice of foreign countries, the path of indirect expropriation dispute settlement is obtained. Finally, the problems existing in the indirect expropriation clauses in the bilateral investment treaties that China has signed are sorted out and analyzed, and the problems that may be encountered in practice are studied. It is hoped that some suggestions can be provided for the definition, determination and dispute settlement mechanism of indirect expropriation clauses in the bilateral investment treaties concluded or resigned by China in the future.
【学位授予单位】：辽宁大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D996.4

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