国际投资协定中根本安全利益条款的扩张趋势及中国因应

The Expanding Trend of Essential Security Interests Clause in International Investment Agreements and China's Response

近些年来,各国在签署的国际投资协定中纷纷纳入自裁性的根本安全利益条款以及通过泛化“国家安全”概念来扩张条款的适用,根本安全利益条款呈现出明显的扩张趋势。该条款为西方各国以“国家安全”为由进行制度竞争提供了正当性,在某种程度上已经成为争先适用的原则。可以认为,“国家安全”概念从传统安全扩展到非传统安全、仲裁庭实践中缺乏对自裁性认定和条款适用的统一标准导致了条款的扩张。当前,我国已经兼备资本输入国和输出国的双重身份,应在“总体国家安全观”的指导下通过肯定东道国的自裁权,但不否认第三方的审查权;确定“善意”的条款适用原则,但将必要性的判断权交予仲裁庭;在条款中加入通知和说明的程序性义务的方式进一步完善根本安全利益条款。

In recent years,many countries have included the self-judging essential security interests clause in the International Investment Agreements(IIAs)and expanded the application of the clause by generalizing the concept of“national security”,which has shown an obvious expansion trend.This clause provides justification for the institutional competition of Western countries on the grounds of“national security”and has become a principle to be applied first to some extent.It can be argued that the expansion of the concept of"national security"from traditional security to non-traditional security and the lack of unified standards for self-judging and the application of articles in the practice of arbitral tribunals have led to the expansion of the application of clauses.At present,China has dual identity as both capital importing and exporting country.Under the guidance of the"holistic national security concept",the essential security interests clause should be further improved by affirming the host country's self-judging right,but not to deny the third party's right to review;by formulating the principle of applying"good faith"clause,and to transfer the necessary jurisdiction to the arbitral tribunal;by adding the procedural obligation of notice and explanation to the clause.