中外双边投资协定中的“保护伞条款”研究——从中国作为资本输入国的角度  

UMBRELLA CLAUSES IN SINO-FOREIGN BITS——FROM THE PERSPECTIVE OF CHINA AS A HOST COUNTRY

作　　者：景一宁 

机构地区：[1]外交学院,北京100037

出　　处：《巢湖学院学报》2017年第4期35-40,共6页Journal of Chaohu University

摘　　要：1998年,中国与巴巴多斯订立的双边投资协定中第一次加入了保护伞条款。从此以后,保护伞条款在中外投资协定中出现的越来越多。保护伞条款给中国带来了潜在的风险和问题,主要是中外投资协定中保护伞条款适用范围措辞的模糊性导致仲裁庭可能应用扩大解释、中国全面接受ICSID管辖后保护伞条款可能导致我国无征兆被诉、条款与最惠国待遇相结合带来连锁多边效应。为了应对这些问题,中国今后在订立保护伞条款时,应当将条款的适用范围限制在国家主权性的条约义务、规定中国法院排他性的管辖条款、设置国家重大安全和最惠国待遇的例外条款,同时,考虑缔约相对方在与我国的双边投资关系中是偏重于资本输入还是输出,采取不同的态度和策略。In 1998, China signed its first BIT with an umbrella clause with Barbados. From then on, an increasing number of umbrella clauses appear in China-foreign BITs. These umbrella clauses brings potential risks and problems to China. The risks include the possible expanding explanation by tribunals caused by unclear wording, the possible involvement of lawsuits without China＇s agreement considering the fully acceptance of ICSID jurisdiction, and the multilateral effects led by the combination of the umbrella clause and MFN clauses. To solve these problems, China should restrict the application of the clause within the issues of treaty obligations with sovereignty characters in future BIT negotiations. Furthermore, China can set exclusive jurisdiction clause, and exceptional clauses on essential national security and MFN. Meanwhile, it is wise to take different attitudes and strategies towards the umbrella clause depending on whether the other party mainly plays a capital importing country or exporting country.

关 键 词：中外双边投资协定 保护伞条款 中国对策 

分 类 号：D996[政治法律—经济法学]