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| 文章编号：1672-3104(2020)04-0082-18 |
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间接征收语境下公共利益的多重维度及比例原则的解释路径 |
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买木提明·热西提，沈伟 |
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（上海交通大学凯原法学院，上海，200030） |
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| 摘 要： 由于公共利益概念不断变动的特质，国际投资条约只是以简单类型化的方式对其进行列举。公共利益范围的宽泛性和投资条约本身的诸多缺陷导致了投资仲裁庭对东道国公共利益的相对忽视。根据传统的条约解释规则解释旧一代投资条约的公共利益条款，进而界定间接征收导致了不确定性，出现条约的不连贯解释问题。对国际投资协定中公共利益条款的研究以及对间接征收案件中仲裁庭的推理思路的分析，揭示了国际投资法中公共利益的多重维度。将公共利益和东道国监管措施对外国投资者的不利影响置于比例原则的框架内，可以有效解释公共利益相关条款并发挥公共利益作为间接征收认定标准的作用。在今后的条约实践中细化公共利益条款的内容，可以减少国际投资体制中公共利益的模糊性导致的条约条款的不一致解释问题。而在比例原则框架下对公共利益条款作系统的解释，可以提高包括基于旧一代投资协定在内的投资条约条款解释的一致性。晚近的国际投资协定实践已经取得了一些有益的进展。 |
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| 关键词： 投资仲裁；条约解释；公共利益；比例原则 |
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The multi-dimensions of public interest in the context of indirect expropriation and the interpretation path of the principle of proportionality |
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Rexiti·Maimutiming, SHEN Wei |
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（KoGuan School of Law, Shanghai Jiao Tong University, Shanghai 200030, China） |
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| Abstract: Due to the constantly-changing nature of public interest, IIAs simply lists it in simple typologies. The wide scope of the public interest and many shortcomings of the IIAs lead to the relative negligence of the investment tribunals towards the public interest of the host countries. Interpreting the old-generation investment treaties according to the conventional treaty interpretive rules, and defining the indirect expropriation clauses brought about inconsistent treaty interpretations and the legitimacy crisis of the investment dispute settlement mechanism. Studying public interest clauses in international investment treaties and analyzing the reasoning threads of arbitration tribunals in expropriation cases disclose the multi-dimensions of public interest in international investment law. Putting the public interest and the adverse effects of the host country's regulatory measures on foreign investors into the framework of the principle of proportionality can effectively interpret relative causes of the public interest provisions and allow the public interest to play its role as a determining standard of indirect expropriation. Refining the contents of public interest provisions in future treaty practice can reduce the problem of inconsistent interpretation of treaty provisions caused by the ambiguity of public interest in the international investment system. Systematic interpretation of public interest provisions within the framework of the principle of proportionality can improve the consistency of interpretation of investment treaty provisions, including those based on the investment agreements of the old generation. The recent practice of international investment agreements has made some useful progress. |
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Key words: investment arbitration; treaty interpretaion; public interest; principle of proportionality |
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