NAFTA国际投资法律问题研究

【作者】 李萍；

【导师】 周忠海；

【作者基本信息】 中国政法大学 ， 国际法学， 2003， 博士

【摘要】 上世纪80年代以来，经济全球化和自由化的进程加快。随着投资成为国际经济交往的主要形式，缺乏国际投资领域的多边规则，成为影响国际投资发展的重要因素。对综合性多边投资协定的探求，成为当前国际投资法领域最重要的课题之一。国际投资规则的制定，一直是由以美国为首的西方发达国家主导。美国在80年代开始推行的双边投资协定，已成为发达国家谈判国际投资协定的范本。80年代末，美国和加拿大谈判和签署了《美加自由贸易协定》，该协定包含了专门的投资章节。90年代初，美、加、墨三国开始谈判《北美自由贸易协定》（North American Free Trade Agreement, NAFTA）。NAFTA是一个综合性协定，包括了货物贸易、服务贸易、投资、知识产权保护、竞争政策、争端解决机制等内容。NAFTA谈判的成功以及北美自由贸易区的建立，极大地促进了三国间的跨境贸易和相互投资。NAFTA的成功还在于他成功地将发展中国家墨西哥纳入到一个具有高水平投资保护标准的协定中，使墨西哥放弃了长期坚持的“卡尔沃学说”。NAFTA的第十一章（Chapter11）是专门的投资章节，该章所确立的投资规则，集中反映了美国在投资保护和投资自由化方面的主张，实现了美国在投资领域的目标。Chapter11成为后来欧洲国家谈判《能源宪章条约》的投资规则和OECD谈判多边投资协定的样本。NAFTA的第十一章在国际投资法领域中占有很重要的地位。本论文共分十一章。首先分析了《北美自由贸易协定》的谈判背景和协定的主要内容，研究了国际投资协定演变的历史。在此基础上，本论文对《北美自由贸易协定》第十一章主要条款的形成、内容特点、实践效果以及对后来国际投资协定的谈判产生的影响等问题进行了研究和探讨。《北美自由贸易协定》的谈判具有特定的政治、经济和历史背景。建立北美自由贸易区，是美国实施西半球区域经济战略计划的重要一步，也是其为保持经济霸主地位和继续在国际经济规则制定过程中占主导地位而采取的重要举措。NAFTA第十一章的宗旨是“增加各缔约国领域内的投资机会”。第十一章分为三节，其中第一节（A节）主要规定了各缔约国政府在投资保护和促进投资方面的实体性义务，是本章的核心内容；第二节（B节）规定了一缔约国和另一缔约国的投资者间的争议解决机制；第三节（C节）是有关本章的定义。第一节所规定的各缔约国政府的实体性义务主要包括：各国应给予缔约国的投资者及其投资以国民待遇和最惠国待遇、符合国际法的待遇包括公正和公平待遇以及充分安全和保护；各国均不得对在其境内的投资规定履行要求，如出口业绩、当地含量、优先购买本地产品或服务、贸易平衡以及技术转让等要求；投资者可将其利润、<WP=5>清算或出售所得、借贷支付或其它与投资有关的资金，按市场汇率兑换成可自由使用的货币，自由汇往国外；任何缔约国均不得对投资采取直接、间接或等同于征收的措施，除非符合协定规定的条件等。第二节建立了一个通过国际仲裁方式解决一缔约国和另一缔约国投资者间投资争议的解决机制，根据该机制，投资者因缔约国违反协定A节的有关规定而致使其投资遭受损失时，可直接提起国际仲裁。在美国看来，这是第十一章最重要的成就之一，是NAFTA最具创新性和合理性特征的部分之一。NAFTA的第十一章发展了美国双边投资协定的主要内容，在体系结构和内容表述上其比双边投资协定严谨，对投资保护的要求也更高。第十一章虽是NAFTA第五部分中的一章，但自成体系。第十一章A节的实体性条款与B节的投资者/国家争端解决机制相结合，加之宽泛的“投资”和“投资者”定义，使第十一章在实践中成为投资者挑战缔约国政府措施的有力工具。受此问题影响最大的是美、加、墨三国政府，由于第十一章有关概念定义的不确定性，三国政府为实现其社会政治、经济、文化等目标而采取的任何一项措施都可能潜在地构成了一个对受第十一章保护的投资产生影响的措施。自NAFTA生效以来，已有29起运用第十一章的争端解决程序解决投资争议的案件。这些案件引出了众多有关如何解释和适用第十一章条款，以及如何保障缔约国政府行使政策权力等问题的争议。案件审理的不公开以及因第十一章片面保护投资者利益而致使政府环保措施无法实施等问题，遭致来自非政府组织和市民社会的强烈抗议。这些案件使NAFTA各缔约国政府在公共政策制定方面遇到了前所未有的困境。案件带来的问题，引起了美、加、墨三国政府和公众社会对第十一章的重新思考以及对其中许多条款的质疑，也引起了国际社会对第十一章的普遍关注。墨西哥作为发展中国家，其经济发展水平与美国和加拿大相比差距悬殊。第十一章考虑到墨西哥政治、经济发展的实际情况，在一些方面给予墨西哥以特殊考虑，允许墨西哥保留一些基础领域，作为不适用第十一章的例外。NAFTA采取灵活的方式成功地将一个发展中国家纳入到以发达国家主导的贸易投资发展框架中，这是第十一章的特点之一。NAFTA对后来的能源宪章条约(ECT)谈判产生了影响。ECT是一个能源领域的国际协定。由于其投资条款反映了发达国家通过长期双边实践在加强投资保护和提高投资待遇方面取得的成就，因此ECT的投资条款在国?更多还原

【Abstract】 Since 1980s, the process of economic globalization and liberalization has been accelerated. As investment becomes the primary form in international economic activities, lack of multilateral rules concerning the international investment turned into the most important factor influencing the development of international investment. Currently, the research for a comprehensive multilateral agreement of investment, therefore, has grown into one of the most significant programs in the area of international investment law.U.S.-led developed countries have guided the institution of international investment rules for long. The bilateral investment treaty implemented by U.S. in 1980s has become a blueprint to developed countries in their negotiation for international investment conventions. At the end of 1980s, U.S. and Canada concluded Free Trade Agreement (FTA), which included a special chapter with regard to international investment. In the earlier 1990s, America, Canada and Mexico initiated the negotiation about North American Free Trade Agreement (NAFTA). As a comprehensive agreement, NAFTA included trade of goods, trade of service, investment, protection of intellectual property, policy about competition, dispute settlement system and other related matters. The success of negotiation on NAFTA and the establishment of North American Free Trade Area have greatly promoted the trade and investment among these three countries. NAFTA also included the developing country Mexico into an investment agreement with high protection standards, and it eventually made Mexico waive the "Calvo Doctrine" that this developing country has long been followed.The investment rules established by NAFTA’s 11th chapter, the section particularly focusing on the investment, mirrored the point of view of America in the investment protection and liberalization and realized its objectives in investment areas. This chapter also has been used as a stylebook by European nations in their negotiation of Energy Charter Treaty and OECD in its negotiation of multilateral investment agreement. As a result, chapter 11 of NAFTA plays a key role in the area of international investment rules.This dissertation is composed of eleven sections. Firstly it analyzes negotiation background of NAFTA, introduces the main contents of NAFTA, and studies the historical evolvement of international investment agreement. Then, the dissertation researches and explores the formation of the primary terms and conditions of chapter 11 of NAFTA, its characteristics, effects and the influence it will produce to future<WP=8>negotiation of international investment agreements.Negotiation of NAFTA has specific political, economic and historical backgrounds. Establishing North American Free Trade Zone is an momentous step for America to carry out its district economic strategies in west hemisphere, and also is a significant measure for America to keep its economic hegemony and leadership in the institution and implementation of international economic rules. The goal of chapter 11 of NAFTA is to actualize the agreement’s aim ---stimulate investment opportunities in every contracting state. Chapter 11 is divided into three sections: the first section (section A) stipulates governmental obligations of every contracting state in protection and promotion of investment, which is the key content of this chapter; the second section (section B) provides dispute settlement system between one contracting state and an investor from another contracting state; and the third section is definitions of this chapter. The substantial obligations of every contracting state government stipulated in the first section mainly include: (1) every state should grant investors of contracting countries and their investments national treatments, the most-favorable national treatment, and these treatments conforming to international law which contains impartial and equitable treatments and adequate protections; (2) every country should not place performance requirements on investments in its territory,更多还原