论国际投资协定中的“根本安全利益”与“公共目的” 被引量：7

On "Essential Security Interest" and "Public Purpose" in the International Investment Agreement

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摘要国际投资协定中普遍包含"根本安全利益"和"公共目的"条款。作为一种特殊公共利益的"根本安全利益"与可仲裁性及必要性抗辩紧密相关,而"公共目的"与征收问题并存,是合法征收的必备条件,并必须伴随相应补偿。就"根本安全利益"事项的可仲裁性而言,已有的判例和实践不足以给出定论,条款的措施似乎很有必要;就可补偿性而言,在理论上有不同主张,实践上亦有不同做法。在国际投资仲裁中,对"根本安全利益"而不是"公共目的"抗辩具有更重要的意义,从而也越来越受到各国的重视。 Essential security interest and public purpose are two clauses regularly included in the international investment agreement. As a special public interest, essential security interest is bracketed with arbitrability and necessity defense, while the coexistence of public purpose and issues of expropriation is a prerequisite for legal expropriation, and it must be accompanied with compensation. As far as arbitrability of essential security interest is concerned, existing decided cases and practice cannot justify a final conclusion, as such the measures provided in the clause seem very important. In terms of compensability, the case is that there exist different theoretic arguments and conflicting experiences. In international investment arbitration, it is the defense of essential security interest rather than public purpose that is of more significance. Accordingly, more attention has been given to it by the states.

作者韩秀丽

机构地区厦门大学法学院

出处《现代法学》 CSSCI 北大核心 2010年第2期104-116,共13页 Modern Law Science

基金国家社科基金项目"中国海外投资环境规制的对策研究"(09CFX064)

关键词根本安全利益公共目的必要性抗辩可仲裁性可补偿性 essential security interest public purpose necessity defense arbitrability compensability

分类号 D602 [政治法律—中外政治制度]

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参考文献79

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二级参考文献24

1[36]Notice of Intent to Submit a Claim to Arbitration Under Section B of Chanter 11 of the North America Free Trade Agreement,Kenex Ltd.v.the Government of the United States of America ("United States'),date of issue:January 14,2002,para.23(b).
2[37]See PUBLIC RECORD DOCUMENT:NAFTA DECISION:INTERNATIONAL CENTRE FOR SETTLEMENT OF INVEST-MENT DISPUTES WASHINGTON,D.C.,CASE NO.ARB/O1/7 MTD EQUITY SDN.BHD.AND MTD CHILE S.A.(CLAIMANTS) v.REPUBLIC OF CHILE (RESPONDENT):AWARD,Asper Rev.Int'l Bus.＆ Trade L.,2004(4):419,paras.114,203,213.
3[38]同上,paras.419,109.
4[39]Autopista Concesionada De Venezuela,C.A.("Aueoven") Claimant v.Bolivarian Republic of Venezuela ('Venezuela") Respondent,ICSID Case No.ARB/00/5,Award (September 23,2003),para.338.See http://www,worldbank,org/icsid/cases/Award_Total,pdf,2006-10-10.
5[40]CMS Gas Transmission Company ("CMS") Claimant v.The Argentine Republic ("Argentine") Respondent,ICSID Case NO.ARB/01/8,Award(May 12,2005),para.288.See http://www,worldbank,org/icsid/cases/CMS_Award,pdf,2006-10-10.
6[41]ICSID,LG＆E v Argentina Case No.ARB/02/1 Decision on Liability Award (2006),para.195,http://ita.law.uvic.ca/documents/ARB021_LGE-Decision-on-Liability-en.pdf,2007-05-12.
7[42]实际上,在韩美两国于2006年6月30日签署的《韩美自由贸易协定》中,已明确规定了比例原则,其条文为"Except in rare circum-stances,such as,for example,when a measure or series of measures is extremely severe or disproportionate in light of its purpose or effect,non-discriminatory regulatory actions by a Party that are designed and applied to protect legitimate public welfare objectives,such as public health,safety,the environment,and real estate price stabilization (through,for example,measures to improve the housing conditions for low-income households),do not constitute indirect expropriations",See Free Trade Agreement between the Republic of Korea and the United States of America,June 30,2007,Annex 11-B (3)b,http://www.mofat.go.kr/index.html,2007-08-07.
8[43]See Emerging Dilemmas in International Economic Arbitration:The State of Investor-State Arbitration-Some Reflections on Pro-fessor Brower's Plea for Sensible Principles,Am.U.Int'l L.Rev.,2005(20):943-944.
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10[51]Y Dinstein,Deprivation of Property of Foreigners under International LaW,2 Liber Amicorum Judge Shigeru Oda,p.849 et seq.转引自Tecmed v.Mexico注142.