發(fā)布時(shí)間：2018-04-28 04:49

  本文選題：國(guó)際投資 + 協(xié)定��； 參考：《武漢大學(xué)》2014年博士論文

【摘要】：國(guó)際投資法和國(guó)際人權(quán)法在其歷史發(fā)展過(guò)程中基本上處于一種彼此獨(dú)立的狀態(tài)。20世紀(jì)80年代以前,國(guó)際投資規(guī)制和勞工之間并沒有建立法律上的聯(lián)系。無(wú)論在單邊、雙邊層面,還是在區(qū)域投資協(xié)定中,少有考慮把勞工和投資聯(lián)系起來(lái)予以法律規(guī)制。80年代以后,隨著全球范圍內(nèi)的國(guó)際投資的迅速增長(zhǎng),它所帶來(lái)的影響沖擊著國(guó)家更多的公共政策能力,當(dāng)然也包括各國(guó)的勞工政策,國(guó)際投資和勞工權(quán)利之間開始建立法律聯(lián)系,國(guó)際投資規(guī)則與勞動(dòng)者權(quán)益保護(hù)之間的關(guān)系也開始引起一些學(xué)者的重視。國(guó)際投資協(xié)定晚近的發(fā)展特點(diǎn)表明,各國(guó)在促進(jìn)國(guó)際投資自由化和全球化發(fā)展的同時(shí),也越來(lái)越注重可持續(xù)發(fā)展問題,保護(hù)勞工權(quán)、強(qiáng)調(diào)有關(guān)企業(yè)的社會(huì)責(zé)任也是聯(lián)合國(guó)貿(mào)發(fā)會(huì)議提出的可持續(xù)發(fā)展投資政策框架中的政策建議。但是,雙邊投資協(xié)定的維護(hù)投資者利益“先天性”特征,使得東道國(guó)在國(guó)內(nèi)勞工權(quán)保護(hù)與投資者權(quán)益之間的沖突與矛盾難以避免,投資協(xié)定條款的不明確也為仲裁庭隨意解釋BIT條款留有較大的空間；另一方面,國(guó)際投資仲裁的“商事化”特征使得其成為“投資者友好型”爭(zhēng)端解決機(jī)構(gòu),國(guó)際投資仲裁實(shí)踐對(duì)投資者確立了較高的保護(hù)標(biāo)準(zhǔn),國(guó)際投資仲裁裁決的不確定性與不一致性也對(duì)勞工權(quán)保護(hù)帶來(lái)了負(fù)面影響。為國(guó)家公共政策監(jiān)管留有一定空間,保護(hù)勞工者權(quán)益,降低投資訴訟的風(fēng)險(xiǎn)、制定可持續(xù)發(fā)展友好型BIT范本成為新一代投資協(xié)定的新議題。因此,需要修改國(guó)際投資協(xié)定的實(shí)體法條款,加強(qiáng)對(duì)勞工權(quán)的保護(hù),同時(shí)改革國(guó)際投資仲裁機(jī)制的程序規(guī)則,在實(shí)踐中逐步推動(dòng)和接納投資人本化的理念與原則,既要注重保護(hù)投資者的利益,又要考慮國(guó)家保護(hù)勞工權(quán)等公共政策主權(quán)的行使,在投資者利益保護(hù)與勞工權(quán)保護(hù)之間保持一定的利益平衡,以促進(jìn)國(guó)際投資的可持續(xù)發(fā)展。 論文共分五章：第一章對(duì)勞工權(quán)保護(hù)的有關(guān)理論問題進(jìn)行了概述。勞工權(quán)又稱勞工權(quán)利或工人權(quán)利,是指勞動(dòng)者在勞動(dòng)關(guān)系中所享有的權(quán)利。所謂核心勞工標(biāo)準(zhǔn),是指被聯(lián)合國(guó)相關(guān)條約以及國(guó)際勞工組織處理勞工標(biāo)準(zhǔn)的相關(guān)公約所認(rèn)可的標(biāo)準(zhǔn),國(guó)際勞工標(biāo)準(zhǔn)的確立對(duì)勞工權(quán)益保護(hù)帶來(lái)了積極作用。關(guān)于勞工權(quán)的國(guó)際立法規(guī)定相互補(bǔ)充,為勞工權(quán)保護(hù)提供了法律保障,但是國(guó)際勞工立法具有一定的局限性。對(duì)勞工權(quán)進(jìn)行保護(hù)的理論基礎(chǔ)有：人權(quán)保護(hù)理論、維護(hù)社會(huì)公正理論、以及勞資博弈理論。因此,在國(guó)際投資法規(guī)則中加強(qiáng)對(duì)勞工權(quán)益的保護(hù),以促進(jìn)國(guó)際投資良性循環(huán)發(fā)展。 第二章論述了在國(guó)際投資協(xié)定中加強(qiáng)勞工權(quán)保護(hù)的必要性。隨著國(guó)際投資自由化的發(fā)展,國(guó)際經(jīng)濟(jì)的迅猛發(fā)展對(duì)勞工權(quán)帶來(lái)了負(fù)面影響：外國(guó)投資者在追求利潤(rùn)最大化的同時(shí),往往以侵犯勞動(dòng)者權(quán)益的方式作為其實(shí)現(xiàn)投資目標(biāo)的手段,國(guó)際投資和勞工權(quán)利之間開始建立法律聯(lián)系。國(guó)際投資協(xié)定近期的發(fā)展特點(diǎn)表明,保護(hù)勞工權(quán)、有關(guān)企業(yè)的社會(huì)責(zé)任在新簽署的國(guó)際投資協(xié)定中表現(xiàn)出來(lái)。國(guó)際法的人本化發(fā)展趨勢(shì)要求國(guó)際投資協(xié)定更應(yīng)關(guān)注對(duì)人權(quán)的尊重,更加注重對(duì)勞工權(quán)益的保護(hù),企業(yè)社會(huì)責(zé)任運(yùn)動(dòng)的興起要求跨國(guó)公司在遵守勞工標(biāo)準(zhǔn)方面負(fù)有一定的社會(huì)責(zé)任,同時(shí),加強(qiáng)對(duì)勞工權(quán)益的保護(hù)也是各國(guó)促進(jìn)國(guó)際投資可持續(xù)發(fā)展的一項(xiàng)內(nèi)容之一。所以,在當(dāng)前的國(guó)際投資發(fā)展的形勢(shì)下,加強(qiáng)對(duì)勞工權(quán)保護(hù)是國(guó)際投資協(xié)定發(fā)展的必然趨勢(shì)。 第三章論述了國(guó)際投資協(xié)定中勞工權(quán)保護(hù)現(xiàn)狀與缺陷。在國(guó)際投資協(xié)定中,無(wú)論是雙邊投資條約還是區(qū)域投資協(xié)定,很少直接涉及勞工權(quán)保護(hù)問題。美國(guó)的2004年和2012年BIT范本對(duì)勞工權(quán)保護(hù)進(jìn)行了全面而詳細(xì)的規(guī)定,它代表著BIT范本的新方向,成為未來(lái)雙邊投資協(xié)定勞工條款的新模板。在區(qū)域協(xié)定中,近幾年也顯示出將可持續(xù)發(fā)展議題納入?yún)f(xié)定的趨勢(shì),其中提及了健康安全保護(hù)、勞工權(quán)利和環(huán)境問題。國(guó)際投資協(xié)定的“先天性”特征決定了它是單一的商業(yè)工具,其主要目的和任務(wù)是維護(hù)投資者的利益,關(guān)于勞工權(quán)保護(hù)等涉及東道國(guó)公共利益管制則考慮較少。而現(xiàn)有的雙邊投資協(xié)定的實(shí)體法條款規(guī)定不明確,也為仲裁庭隨意解釋BIT條款留有較大的空間,對(duì)投資者確立了較高的保護(hù)標(biāo)準(zhǔn),使得東道國(guó)的勞工權(quán)保護(hù)與投資者權(quán)益之間的沖突與矛盾難以避免。晚近國(guó)際投資仲裁的實(shí)踐表明,仲裁庭過(guò)在仲裁過(guò)程中一味維護(hù)投資者利益,沒有適當(dāng)考慮東道國(guó)對(duì)外資實(shí)行管制措施的公共目的的正當(dāng)性,而使仲裁裁決有失公正性與合理性；而由于仲裁員本身素質(zhì)不高,不具有高水平的專業(yè)知識(shí),又沒有設(shè)置有效的監(jiān)督機(jī)制加以限制與約束,實(shí)踐中出現(xiàn)了仲裁裁決的不一致性、不確定性,甚至相互矛盾�，F(xiàn)有國(guó)際投資仲裁的缺陷,也對(duì)東道國(guó)的勞工權(quán)保護(hù)等人權(quán)狀況產(chǎn)生了負(fù)面影響。 第四章論述了國(guó)際投資協(xié)定的完善與勞工權(quán)保護(hù)。為更好地尊重并保護(hù)勞工權(quán),應(yīng)注意考慮投資者利益與東道國(guó)公共利益管制規(guī)則的平衡,修改或明確雙邊投資協(xié)定的實(shí)體法條款,如在條約序言中加入勞工權(quán)保護(hù)的說(shuō)明、澄清間接征用的具體含義與外延、明確待遇標(biāo)準(zhǔn)的適用范圍、刪除“保護(hù)傘”’條款、增加例外條款、規(guī)定投資者的義務(wù)等,以防止仲裁庭隨意解釋BIT條款,以尊重或促進(jìn)勞工權(quán)保護(hù)。國(guó)際投資仲裁的實(shí)踐所暴露出的缺陷使得改革勢(shì)在必行,可以從以下方面著手：限制國(guó)際投資仲裁庭的管轄權(quán)、增強(qiáng)仲裁程序的透明度、擴(kuò)大法庭之友的范圍、構(gòu)建統(tǒng)一的國(guó)際投資仲裁上訴機(jī)制、加強(qiáng)對(duì)仲裁員公正性的監(jiān)督等,以促進(jìn)勞工權(quán)保護(hù)與國(guó)際投資仲裁機(jī)制的良性互動(dòng)。 第五章論述了中國(guó)國(guó)際投資協(xié)定的勞工權(quán)保護(hù)。面臨國(guó)際投資協(xié)定的人本化這一發(fā)展趨勢(shì),我國(guó)對(duì)外簽訂的國(guó)際投資條約近年來(lái)在注重保護(hù)投資者利益的同時(shí),也為國(guó)家的公共監(jiān)管政策留有一定余地,但是總體來(lái)看,還存在很多缺陷：如投資條約條款缺乏勞工權(quán)的直接規(guī)定,投資待遇條款、征收條款有待于進(jìn)一步明確適用范圍,全面接受ICSID管轄的爭(zhēng)端解決方式等都不利于勞工權(quán)保護(hù)。因此,應(yīng)及時(shí)制訂我國(guó)“可持續(xù)發(fā)展友好型”BIT范本,改革投資條約條款,逐步在實(shí)踐中樹立人本化的理念,在投資者利益保護(hù)與東道國(guó)主權(quán)維護(hù)之間尋求一種利益平衡,既注重保護(hù)投資者的利益,進(jìn)一步吸引外資,又要考慮國(guó)家維護(hù)公共政策主權(quán)的行使,以維護(hù)國(guó)內(nèi)勞工、環(huán)境等公共利益,從而促進(jìn)國(guó)際投資的可持續(xù)發(fā)展。
[Abstract]:International Investment Law and international human rights law are basically in a state of independence in the course of their historical development. Before the 80s of.20 century, international investment regulation and labor have not established legal ties. With the legal regulation of the.80 years, with the rapid growth of international investment worldwide, the impact of the international investment on the country's more public policy ability, of course, including the labor policy of various countries, the establishment of legal links between international investment and labor rights, the relationship between international investment rules and the protection of workers' rights and interests The recent development of the international investment agreement shows that, while promoting the liberalization of international investment and the development of globalization, the development of international investment also pays more and more attention to the problem of sustainable development, protects the labor rights, and emphasizes the social responsibility of the related enterprises as well as the sustainable development investment policy proposed by the United Nations Conference on Trade and development. However, it is difficult to avoid the conflict and contradiction between the domestic labor rights protection and the investor's rights and interests between the host country and the investor's rights and interests. The uncertainty of the terms of the investment agreement also gives the arbitral tribunal a larger space for the arbitral interpretation of the BIT clause, on the other hand, the international agreement. The "commercial" characteristics of investment arbitration make it a "investor friendly" dispute settlement agency. International investment arbitration practice has established high protection standards for investors. The uncertainty and inconsistency of international investment arbitral awards also have negative impact on the protection of labor rights. Space, protecting the rights and interests of the laborers, reducing the risk of investment litigation, making the model of sustainable development and friendly BIT become a new issue of the new generation investment agreement. Therefore, it is necessary to modify the substantive law provisions of the international investment agreement, strengthen the protection of the labor rights, and reform the procedural rules of the international investment arbitration mechanism and step by step in practice. The idea and principle of accepting investors' localization should not only pay attention to protecting the interests of investors, but also consider the exercise of the sovereignty of public policy, such as the protection of labor rights of the state, and maintain a certain balance of interests between the protection of investors' interests and the protection of labor rights, so as to promote the sustainable development of international investment.
The thesis is divided into five chapters: the first chapter is an overview of the theoretical issues related to the protection of labor rights. Labour rights, also known as labor rights or workers' rights, refer to the rights of workers in labor relations. The so-called core labour standards are recognized by relevant UN related treaties and relevant conventions dealing with labour standards by the International Labour Organization. The establishment of international labor standards has brought positive effects on the protection of labor rights and interests. The international legislation on labor rights is complementary to each other and provides legal protection for the protection of labor rights. However, the international labor legislation has some limitations. The theoretical basis for protecting labor rights is the theory of human rights protection and the maintenance of society. Fairness theory and labor capital game theory. Therefore, we should strengthen the protection of labor rights and interests in the rules of international investment law, so as to promote the sound circular development of international investment.
The second chapter discusses the necessity of strengthening the protection of labor rights in international investment agreements. With the development of international investment liberalization, the rapid development of international economy has a negative impact on Labor Rights: foreign investors, while pursuing the maximization of profits, often take the way of violating the rights and interests of workers as their hands to achieve the investment goals. The recent development characteristics of international investment agreements indicate that the protection of labour rights and the social responsibility of enterprises are shown in the newly signed international investment agreements. The trend of the development of human rights in international law requires that international investment agreements should pay more attention to respect for human rights. For the protection of labor rights and interests, the rise of the corporate social responsibility movement requires the transnational corporations to have a certain social responsibility in compliance with the labor standards. At the same time, strengthening the protection of the rights and interests of labor is also one of the contents of the sustainable development of international investment. Labor rights protection is an inevitable trend in the development of international investment agreements.
The third chapter discusses the status and defects of labor rights protection in international investment agreements. In international investment agreements, both bilateral investment treaties and regional investment agreements are rarely involved in the protection of labour rights. In 2004 and 2012, the BIT model of the United States made a comprehensive and detailed provision for the protection of labour rights, which represents the BIT model. The new direction is a new template for the labour provisions of the future bilateral investment agreements. In the regional agreements, the trend of integrating sustainable development issues into the agreement has also been shown in recent years, with reference to health and safety protection, labour rights and environmental issues. The "innate" characteristics of the international investment agreement determine that it is a single business tool, its owner. The purpose and task are to safeguard the interests of the investors, and less consideration is given to the control of the public interests involving the host country on the protection of labor rights. The provisions of the existing bilateral investment agreements are not clear, and the arbitral tribunal has a larger space for the arbitrary interpretation of the BIT clause, and has established a higher protection standard for the investors to make the host country a host country. The conflict and contradiction between the protection of labor rights and the rights and interests of investors is difficult to avoid. The practice of late international investment arbitration shows that the arbitration tribunal maintains the interests of the investor in the process of arbitration and does not properly consider the legitimacy of the public purpose of the control measures of the host country, and makes the arbitral award impartiality and reasonableness. And because the arbitrators themselves are not high in quality, they do not have high level of professional knowledge, and they have not set effective supervision mechanism to restrict and restrict them. In practice, the inconsistency, uncertainty and even contradiction of the arbitral award appear in practice. The defects of the existing international investment arbitration also produce the human rights situation of the labor rights protection of the host country. There's a negative impact.
The fourth chapter discusses the perfection of the international investment agreement and the protection of the labor rights. In order to better respect and protect the labor rights, we should take into account the balance between the interests of the investor and the host country's public interest regulation rules, and modify or clarify the substantive law clauses of the bilateral investment agreements, such as the explanation of the protection of labour rights in the preamble of the treaty and the clarification of the indirect expropriation. The specific meaning and extension, the scope of application of the standard of treatment, the deletion of the "umbrella" clause, the addition of the exception clause and the obligation of the investor to prevent the arbitral tribunal from explaining the BIT clause at random to respect or promote the protection of the labor rights. The defects exposed by the practice of international investment arbitration make the reform imperative and can be from the following On the other hand, we should restrict the jurisdiction of the international investment arbitration tribunal, enhance the transparency of the arbitration procedure, expand the scope of the tribunal, construct a unified international investment arbitration appeal mechanism, strengthen the supervision of the fairness of the arbitrators, and so on, so as to promote the benign interaction between the protection of labor rights and the international investment arbitration mechanism.
The fifth chapter discusses the protection of labor rights in the international investment agreement of China. Facing the development trend of humanism in international investment agreements, the international investment treaty signed by China has paid more attention to protecting the interests of investors in recent years, but also has a certain margin for the public supervision policy of the country. However, in general, there are still many defects. If the provisions of the investment treaties lack the direct provisions of the labor rights, the terms of the investment treatment are to be further defined and the comprehensive acceptance of the dispute settlement methods under the jurisdiction of ICSID is not conducive to the protection of the labor rights. Therefore, the "sustainable development and friendly type" BIT model should be formulated in time, and the provisions of the investment treaties should be reform gradually. In practice, the concept of humanism is set up to seek a balance of interests between the protection of the interests of investors and the maintenance of the sovereignty of the host country, not only to protect the interests of the investors, to further attract foreign capital, but also to consider the state's exercise of maintaining the sovereignty of the public policy so as to maintain the public interests of the domestic labor and the environment, thus promoting the sustainable development of international investment. Continue to develop.

【學(xué)位授予單位】：武漢大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2014
【分類號(hào)】：D996.4

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