晚近国际投资协定对东道国规制权的保障及中国实践  

Protection of Host Countries’ Right to Regulate in Recent IIAs and China’s Relevant Practice

作　　者：艾素君[1] AI Su-jun(Law School,Shanghai University,Shanghai 200444,China)

机构地区：[1]上海大学法学院,上海200444

出　　处：《河北法学》2023年第2期118-135,共18页Hebei Law Science

基　　金：2020年度教育部哲学社会科学研究重大课题攻关项目“境外投资立法重大问题研究”(20JZD018)的阶段性成果

摘　　要：为了实现投资保护和东道国公共利益的平衡,晚近的投资条约通过多种方式保护或加强东道国的规制权。CETA、CPTPP及RCEP均在序言或正文中明确确认了东道国的规制权,并通过对公平公正待遇、间接征收及非歧视待遇条款等的补充或澄清,以避免投资仲裁庭任意扩大解释,损害东道国的规制权。就中国近十年内所签订的投资协定而言,加强东道国规制权的条款已初步呈现,但是仍存在不少问题,主要体现为:方式单一,实体条款不够具体细致,且未形成一致的条约实践。建议中国在未来缔结或修订投资协定时,在协定序言中明确确认国家规制权;在投资协定正文中引入正式的规制权条款;采取明确列举待遇要素的方式对公平公正条款进行限定;明确间接征收条款下的“极其特殊的情况”的含义;纳入一般例外条款,明确其保护目标和适用条件。In order to strike a balance between foreign investment protection and host countries’regulatory freedom to promote public welfare,recent international investment agreements(IIAs)provide for enhanced regulatory space to host countries through different modes.As the far-reaching IIAs recently concluded,CETA,CPTPP and RCEP confirmed host countries’right to regulate in preamble or text and provide some clarification on the substantive obligations in IIAs including fair and equitable treatment(FET),indirect expropriation and non-discrimination treatment with the aim to constrain the scope of investment arbitrators’interpretative discretion undermining the regulatory authority of host countries.In terms of IIAs concluded by China and other countries in past ten years,some efforts have been taken to protect the host countries’right to regulate.However,current progress has not been satisfactory.Among other things,the substantive provisions need further clarification and China lacks consistent practice on such issues.It is advised that China take different approaches to protect the right to regulate when concluding new treaties or revising the existing ones in the future.In more detail,China could affirm the right to regulate in the preamble,include the-right-to-regulate provision in the text,confine the FET through listing the elements of such treatment,provide the clarification on“under rare circumstances”under indirect expropriation provision,and adopt the general exceptions with clear objectives and preconditions for application.

关 键 词：国际投资协定 CETA CPTPP RCEP 东道国规制权 

分 类 号：D996.4[政治法律—经济法学]