论IIAs中“国有企业行使政府授权”条款对国家责任范围的限缩

Restricting the Scope of State Responsibility through the “SOEs Exercising Governmental Authorities” Clauses in IIAs

IIAs中的"国有企业行使政府授权"条款缘起于美国早期缔约实践,演化出不同的表述形式并被纳入新一代中外IIAs。投资仲裁庭对该条款的不同解读影响了《国家责任条款草案》(2001年)中归因规则的适用,存在着限缩或影响国家责任范围的可能性。"国有企业行使政府授权"条款具有归因属性且构成优先适用的"特别法",证明其限缩国家责任范围的合法性。中国政府应认识到该条款是一把"双刃剑"。就现存中外IIAs中该条款的适用而言,作为东道国的中国政府应积极援引,而中国海外投资者宜审慎适用。就未来中外IIAs中是否纳入该条款而言,取决于对中外投资关系的综合评估。若纳入,宜采用默认式,并澄清其与《国家责任条款草案》归因规则的适用关系。

The"SOEs Exercising Governmental Authorities"Clauses,which originated from the early US BITs,evolved into diversified forms with the development of treaties and are incorporated into the new generation of IIAs signed by China.The different interpretations of these Clauses by tribunals have affected the application of the attribution rules in the Draft Articles on State Responsibilities( 2001),which may limit or not influence on the scope of state responsibility.The Clauses have attribution character,and constitute "Lex Specialis",proving the validity of the limitation effects.China should recognize the Clause is a "double—edged sword".As for the application of the Clauses in the existing IIAs,Chinese government as host state should invoke the Clauses actively,while Chinese overseas investors should apply them cautiously.Whether the Clauses should be incorporated in the future IIAs signed by China depends on the evaluation of the investment relationships between China and foreign countries.If China decides to adopt the Clauses,it is desirable to choose the inexplicit-style and clarify its applicable relationship with the attribution rules in Draft Articles on State Responsibilities.