跨国投资中的环境法律责任研究

【作者】 张辉；

【导师】 张晓君；

【作者基本信息】 西南政法大学 ， 法律， 2004， 硕士

【摘要】 环境问题的相互性、牵连性决定了环境保护不能只仰赖于某一国的控制和努力，造成一国环境问题的产生也不能只归因于该国的过失。实际上，随着经济全球化的进一步发展，环境问题产生都不可避免的带有国际性。国际投资所造成的环境污染和破坏就是非常生动的一例。以往所强调的国际贸易对环境的负面影响，在我看来，其严重性不比国际投资的危害，因为实质上贸易的外部性根源于投资行为的外部性，对国际投资的环境规制是从源头上解决国际环境纠纷和保护环境的有效手段。所以对国际投资有关的环境法律责任的研究就显得非常的重要和迫切。本文共分为五个部分，除引言和结语外，约36，500字左右。 第一部分为跨国投资中的环境法律责任概述。首先着重从国际贸易与国际投资对环境的不同影响比较出发，认为跨国投资是造成环境损害的源发性行为，只有在源头上对跨国投资行为的环境负效应予以规制，才能有效的实现环境的全球保护。鉴于学者在探讨环境法律责任制度的时候，多将环境责任和环境法律责任并用，或者基于现实环境法律责任欠缺相关法律法规，特别是国际环境法律规定的事实，有意避免使用环境法律责任，以做到概念表述的科学性。但本文认为环境责任必然会与环境法律责任，无论在外延上还是在内涵上都有很大的区别，作为法学论述的严谨性，断不可不将环境责任与环境法律责任做出常识性的辨别，提出环境法律责任比环境责任更能显示其法律的强制约束力，体现为法律的规定性。在论证环境法律责任后，提出跨国投资中的环境法律责任的概念，并从责任构成角度强调其与环境法律责任的特殊与一般的关系。探讨了跨国投资中的环境法律责任具有其自身特色的特性，表现为跨国性、综合性、第三法域性、伦理性和技术性以及现实与目标的差异性。 第二部分为跨国投资中的环境法律责任之理论基础。由于跨国投资中的环境法律责任存在着伦理性和技术性、现实与目标的差异性等诸多特性，所以为构建良好的环境法律责任体系，以期代表一种有说服力的法律声音，注重解决环境法律责任的学说原理支撑，探讨探讨了企业的社会责任、公平原则(包括代内公平和代际公平)、可持续发展理论、生态中心论和生态契约等基本理论，认为跨国投资引起的环境问题不仅仅是东道国的义务，而且是跨国投资者乃至投资母国的责任。 第三部分为跨国投资中的环境法律责任之归责原则。针对跨国投资中的环境不当行为和环境不法行为所具有的自身特性，阐述了过错责任原则在解决跨国投资中的环境损害行为所面临的窘境，辩证地理解为众多学者所推崇的无过错责任原则在此领域的适用性，认为上述两种归责原则并不能很好地解决所有的环境问题，不能从根本上制止环境损害行为的发生，创新地提出风险责任原则和利益衡量责任原则。并指出上述四项原则共同构成了一个特有的归责原则体系:过错责任原则是基础，虽然在理论和现实立法中，其重要性逐渐被无过错原则所掩盖，但它仍然不失在确定跨国投资中的环境法律责任中起着重要作用，在多数领域强调责任人的主观过错仍然不失为有效。且无过错责任原则是在过错责任原则的基础上发展建立起来的，在跨国投资的环境法律责任下，只能是取其精华，去其糟粕，但切不可盲目抛弃。无过错责任原则是方向，环境污染往往是社会物质生产部门的物质生产活动的“副产品”或“副作用”，造成污染危害后果的企业或个人并无主观故意或过失，若按过失责任原则，受害者无从得到辛}偿，污染者也无从受到制裁，保护环境也就无异于一句空话。枫险责…任原则是辛院，它会在过错和无过错责任原则所无法解决的案件中发挥作用。利益衡量原则是根本，它不仅是过错责任原则和无过错责任原则适用过程中的指导思想，而且是判断如何适用的必要条件。作为一种跨国投资中的环境法律责任的归责原则，重要意义在于，为追究跨国投资实体，甚至于国家的环境法律责任提供了灵活性的机制，为跨国投资中的环境法律责任体制的形成起着导向胜的作用。 第四部分为跨国投资中的环境法律责任之责任类型。鉴于环境问题存在共同性、相互性、牵连性、损害的隐蔽性和部分资源的不可再生性等特点，所以在追究环境法律责任时，要体现出对环境杠俐受害方的充分有效的救济，实现生态资源的可持续发展目标，在与跨国投资有关的环境侵害和环境侵权中强调责任主体的多元化。指出跨国投资中的环境法律责任与跨国投资者的环境法律责任是包含与被包含的关系，前者除包括后者之外还包括国家责任、国际赔偿责任和国际刑事责任。 第五部分为结语。行为的外部性是导致环境问题产生的深层次的经济学原因，所以环境问题的彻底根治也就依赖于对人类行为负外部性的克服。对跨国投资中的环境法律责任加以研究的主要目的在于突出这一领域在环。日忠梅:《环境法新视野》，中国政法大学出版社，2000年5月第1版，第56页.境法中的重要性，强调环境问题的国际辛}偿，法律责任的国际承担，并做出大胆探索，目的在于充分有效的刹偿环境受害者，维护公民和国家的环境权益，最终促进生态环境保护。更多还原

【Abstract】 The complexity of environmental problems has a decisive effect that environmental protection could not merely rely on a certain country’ s controlling methods, the occurrence of environmental problems could not merely owe to a certain country’ negligence. Actually, along with the further development of economic globalization, environmental problems embody obvious tendency to internationalization. The environmental pollution produced by international investment sets a good example in this respect. The negative influence of international trade on environment, in my opinion, is less serious than international investment, because exteriority of trade stems from exteriority of investment, stipulation on international investment is an effective means to solve international disputes and protect environment. Hence it is important and imperative to do some research on environmental liabilities related to international investment. This paper contains five parts, about 36,500 words except prefix and summary.The fist part of this paper gives a general statement about environmental legal liabilities in transnational investment. Starting from the different effects on environment between international trade and international investment, this paper takes the transnational investment as the original conduct, which puts a detrimental effect on the environment. In view that scholars always use environmental liabilities and environmental legal liabilities simultaneously and in discriminatively when discussing environmental legal liabilities, this paper attempts to present a totally new cognition to the two concepts from a different perspective, points out that environmental legal liabilities is more authoritive and imperative than environmental liabilities, environmental legal liabilities contains the following special characteristics as transnationalization, comprehension, ethics,techno-logicality, and diversity between reality and ideality.The second part depicts doctrinal basis of environmental legal liabilities in transnational investment. Because of the ethics, techno-logicality, and diversity between reality and ideality, construction of the systems of environmental legal liabilities is becoming more important, and is crucial to seek the fundamentally doctrinal theories to explain why environmental legal liabilities in transnational investment is therefore studied. The doctrines addressed herein includes the social liability of enterprises equity principle sustainable development principle and ecological contract, implicate that environmental problems are not the mere obligations on countries accepting investment, but also the liability on transnational investors and countries providing investment.The third part emphasizes the liability-ascertaining principles, on the basis of characteristics of environmental damages resulting from transnational investment, states the dilemma situation confronted with the Fault Liability Principle, dialectic comprehension on the No-fault Liability Principle, Risk Liability Principle and Interest-balancing Principle. The above four principles collectively constitute a unique system of environmental legal liability: the Fault Liability Principle is fundamental and still exerts it special legal effect in many areas; the No-fault Liability Principle represents a developing direction, expanding it implementing scope instead of the Fault Liability at most of time; Risk Liability is complementary, and Interest-balancing Principle is primary, not only taking the leading role in implementing the above three principles, but also becoming the necessary prerequisite for judgment.The fourth part is about four different environmental legal liabilities in transnational investment. In order to present an efficient and sufficient relief on the aggrieved party and to realizea perfect protection on our environment, apart from transnational investors’ liabilities, nation’ s liability > international compensation liability and international criminal liability should be concerned.The fifth part put forw更多还原