国际投资法制框架下的跨境数据流动:保护、例外和挑战
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摘要
在投资协定的投资定义普遍比较宽泛以及仲裁庭从整体上对投资进行解读的情况下,跨境数据可以享受协定项下的待遇和保护。而东道国为保护国家安全和个人隐私等所采取的措施可能会被看作是这种保护的限制,从而引发国际投资仲裁。这样的紧张关系揭示出明确跨境数据流动在投资协定项下的保护及限度的重要性。与此同时,现有的国际投资协定多针对实体投资而设立,全球经济的数字化转型也在理念和技术层面对国际投资法制提出了新的挑战。为应对这些挑战,投资协定需要在"内部合法性"和"外部合法性"方面做出调整。除了完善投资协定的实体和程序内容外,也要推动建立一种利益相关者的共识机制。作为世界上最大的发展中国家,中国可以引导有关规则向更加公平的方向发展,并可以积极推动形成一个多边的跨境数据流动协定。
引文
[1]Sacha Wunsch-Vincent,The WTO,the Internet and Trade in Digital Products:EC-US Perspectives,Hart Publishing,2006,p.6.
[2]United States-Measures Affecting the Cross-Border Supply of Gambling and Betting Services,WT/DS285/R,Report of the Panel,10 November 2004,para.6.28.
[3]China-Measures Affecting Trading Rights and Distribution Services for Certain Publications and Audiovisual Entertainment Products,Report of the Appellate Body,WT/DS363/AB/R,21 December 2009,paras.412-3.
[4]Andrew D.Mitchell and Jarrod Hepburn，“Don't Fence Me In:Reforming Trade and Investment Law to Better Facilitate CrossBorder Data Transfer”,19 Yale Journal of Law and Technology 182,214(2017)．
[5]Stephan Schill,“Editorial:The New(African)Regionalism in International Investment Law”,18 Journal of World Investment and Trade 367(2017).
[6]Ronald Regan,Statement on International Investment Policy,9 September 1983,http://www.presidency.ucsb.edu/ws/index.php?pid=41814,last visited on 10 July 2019.
[7]European Commission,Horizontal Provisions on Cross-Border Data Flows and Personal Data Protection,18 May 2018,http://trade.ec.europa.eu/doclib/docs/2018/may/tradoc_156884.pdf,last visited on 10 July 2019.
[8]Jacqueline Lipton，“Information Wants to be Property:Legal Commodification of E-commerce Assets”,16 Computers and Technology 53,53-66(2002)．
[9]Paul M.Schwartz，“Managing Global Data Privacy:Cross-Border Information Flows in a Networked Environment”,2009,p.25,http://theprivacyprojects.org/wp-content/uploads/2009/08/The-Privacy-Projects-Paul-Schwartz-Global-Data-Flows-20093.pdf,last visited on 10 July 2019.
[10]National Border of Trade,No Transfer,No Trade-The Importance of Cross-Border Data Transfers for Companies Based in Sweden,2014,p.37,http://unctad.org/meetings/en/Contribution/dtl_ict4d2016c01_Kommerskollegium_en.pdf,last visited on 10 July2019.
[11]Jacqueline Lipton，“Information Property:Rights and Responsibilities”,56 Florida Law Review 135,190(2004)．
[12]Andrew D.Mitchell and Jarrod Hepburn,supra note[4],p.217.
[13]Norah Gallagher and Wenhua Shan,Chinese Investment Treaties:Policies and Practice,Oxford University Press,2009,p.141.
[14]Salini v.Morocco,ICSID Case No.ARB/00/4,Decision on Jurisdiction,23 July 2001,para.52.
[15]Andrew D.Mitchell and Jarrod Hepburn,supra note[4],p.219.
[16]SGS v.Philippines,ICSID Case No.ARB/02/6,Decision of the Tribunal on Objections to Jurisdiction,29 January 2004,paras.102-103.
[17]CSOB v.Slovak Republic,ICSID Case No.ARB/97/4,Decision of the Tribunal on Objection to Jurisdiction,24 May 1999,para.89.
[18]Dolzer and Schreuer,Principles of International Investment Law,Oxford University Press,2008,p.81.
[19]Axel Berger,Marta Bengoa,Blanca Sanchez-Robles and Yochanan Shachmurove，“Do Trade and Investment Agreements Lead to More FDI?Accounting for Key Provisions Inside the Black Box”,10 International Economics and Economic Policy 247,268(2013)．
[20]参见韩立余:《国际投资经贸规则对履行要求的规制》，《法学家》2017年第6期，第116页。
[21]参见徐崇利:《公平与公正待遇:真义之解读》，《法商研究》2010年第3期，第59-68页。
[22]参见王彦志:《国际投资法上公平与公正待遇条款改革的列举式清单进路》，《当代法学》2015年第6期，第147-157页。
[23]Andrew D.Mitchell and Jarrod Hepburn,supra note[4],p.224.
[24]PSEG v.Turkey,ICSID Case No.ARB/02/5,Award,19 January 2007,paras.252-253.
[25]Andrew D.Mitchell and Jarrod Hepburn,supra note[4],p.224.
[26]王玥:《试论网络数据本地化立法的正当性》，《西安交通大学学报(社会科学版)》2016年第1期，第54-61页。
[27]Andrew D.Mitchell and Jarrod Hepburn,supra note[4],pp.214-216.
[28]Article 58.2(j)of the General Data Protection Regulation,http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32016R0679&from=EN,last visited on 10 July 2019.
[29]OECD,Key Issues on International Investment Agreements,2017,https://www.oecd.org/investment/globalforum/2017-GFII-Background-Note-Freedom-of-Investment.pdf,last visited on 10 July 2019.
[30]Andrew Newcombe and Liuis Paradell,Law and Practice of Investment Treaties:Standards of Treatment,Kluwer,2009,p.481.
[31]参见王彦志:《国际投资仲裁中公共健康保护的条约解释进路——以Philip Morris v.Uruguay案中VCLT第31条第3款c项的适用为视角》，《当代法学》2017年第6期，第149-157页。
[32]Peter Van den Bossche,The Law and Policy of the World Trade Organization,3rd ed.,Cambridge University Press,2013,pp.600-604.
[33]ADC v.Hungary,ICSID Case No.ARB/03/16,Award,2 October 2016,para.432.
[34]Andrew Newcombe and Liuis Paradell,supra note[30],p.493.
[35]Kenneth Vandevelde，“Of Politics and Markets:The Shifting Ideology of the BITs”,11 Berkeley Journal of International Law 159,159-186(1993).
[36]William J.Moon，“Essential Security Interests in International Investment Agreements”,15 Journal of International Economic Law481,499(2012)．
[37]LG&E v.Argentina,ICSID Case No.ARB/02/1,Decision on Liability,3 October 2006,para.238.
[38]UNCTAD,The Protection of National Security in IIAs,United Nations Publication,2009.
[39]Andrew D.Mitchell and Jarrod Hepburn,supra note[4],p.227.
[40]See William W Burke-White and Andreas von Staden，“Investment Protection in Extraordinary Times:The Interpretation and Application of Non-Precluded Measures Provisions in Bilateral Investment Treaties”,48 Virginia Journal of International Law 307,307-410(2008)．
[41]ILC Draft Articles on the Responsibility of States for Internationally Wrongful Acts,with Commentaries,United Nations document A/56/10,art.24,25,http://untreaty.un.org/ilc/texts/instruments/english,last visited on 10 July 2019.
[42]Andrew Mitchell and Caroline Henckels，“Variations on a Theme:Comparing the Concept of‘Necessity’in International Investment Law and WTO Law”,14 Chicago Journal of International Law 93,110(2013)．
[43]CMS v.Argentina,ICSID Case No.ARB/01/8,Award,12 May 2005,paras.320-321.
[44]LG&E v.Argentina,ICSID Case No.ARB/02/1,Award,25 June 2007,paras.239-240.Continental Casualty Company v.Argentina,ICSID Case No.ARB/03/9,Award,5 September 2008,paras.205-219.
[45]Cynthia C.Galvez，“‘Necessity，’Investor Rights,and State Sovereignty for NAFTA Investment Arbitration”,46 Cornell Journal of International Law 143,153(2013)．
[46]Christoph Schreuer,Loretta Malintoppi,August Reinisch and Anthony Sinclair,The ICSID Convention:A Commentary,2nd ed.,Cambridge University Press,2009,pp.114-116.
[47]Grand River v.US,UNCITRAL,Award,12 January 2011,para.84.
[48]Canadian Cattlemen v.US,UNCITRAL,Award on Jurisdiction,28 January 2008,para.233.
[49]Christoph Schreuer,Loretta Malintoppi,August Reinisch and Anthony Sinclair,supra note[46],p.114.
[50]如2013年《中国-坦桑尼亚投资协定》第10条“健康、安全和环境措施”。
[51]Andrew D.Mitchell and Jarrod Hepburn,supra note[4],p.198.
[52]参见陈咏梅、张姣:《跨境数据流动国际规制新发展:困境与前路》，《上海对外经贸大学学报》2017年第6期，第43-44页。
[53]Levent Sabanogullar,i“The Merits and Limitations of General Exception Clauses in Contemporary Investment Treaty Practice”,Investment Treaty News,21 May 2015,https://www.iisd.org/itn/2015/05/21/the-merits-and-limitations-of-general-exception-clausesin-contemporary-investment-treaty-practice/#_edn5,last visited on 10 July 2019.
[54]Council of the European Union,Meeting Document from the European Commission to the Trade Policy Committee Concerning the EUCanada Comprehensive Economic and Trade Agreement-Landing Zones,Brussels,6 November 2012,http://www.lapresse.ca/html/1633/Document_UE_2.pdf,last visited on 10 July 2019.
[55]Anthea Roberts，“Power and Persuasion in Investment Treaty Interpretation:The Dual Role of States”,104 American Journal of International Law 179,207(2010)．
[56]Barton Legum，“Investment Treaty Arbitration's Contribution to International Commercial Arbitration”,60 Dispute Resolution Journal 70,73(2005)．
[57]参见张生:《国际投资仲裁中条约解释方面的问题及其完善对策》，《国际经济法学刊》2014年第1期，第147页。
[58]Andrew Mitchell and Caroline Henckels,supra note[42],pp.93-164
[59]Joshua Paul Meltzer，“The Internet,Cross-Border Data Flows and International Trade”,2 Asia and the Pacific Policy Studies 90,101(2014)．
[60]Karl Sauvant and Federico Ortino,Improving the International Investment Law and Policy Regime:Options for the Future,Ministry for Foreign Affairs of Finland,2013,pp.97-102.
[61]Joshua Paul Meltzer,supra note[59],pp.101-102.
[62]习近平:《把我国从网络大国建设成为网络强国》，http://www.xinhuanet.com/politics/2014-02/27/c_119538788.htm,2019年7月10日访问。
[63]《商务部发布〈中国数字贸易和软件出口报告2017〉》，http://www.xinhuanet.com/2018-06/12/c_1122975945.htm,2019年7月10日访问。
[64]李海英:《积极参与国际电子商务规则制定》，《商务微新闻》，2017年1月9日，http://www.sohu.com/a/124751286_157514,2019年7月10日访问。
[65]参见张莉:《中国引领跨境电商国际规则制定前景》，《今日中国》2016年第10期，第56页。
[66]American Chamber of Commerce in China,Protecting Data Flows in the US-China Bilateral Investment Treaty,April 2015,https://www.amchamchina.org/policy-advocacy/policy-priorities/download/file/policy_spotlight/5/e242ff078dbfcd38cfd5d601318aaf6cfc5821aa.pdf,last visited on 10 July 2019.
[2]United States-Measures Affecting the Cross-Border Supply of Gambling and Betting Services,WT/DS285/R,Report of the Panel,10 November 2004,para.6.28.
[3]China-Measures Affecting Trading Rights and Distribution Services for Certain Publications and Audiovisual Entertainment Products,Report of the Appellate Body,WT/DS363/AB/R,21 December 2009,paras.412-3.
[4]Andrew D.Mitchell and Jarrod Hepburn，“Don't Fence Me In:Reforming Trade and Investment Law to Better Facilitate CrossBorder Data Transfer”,19 Yale Journal of Law and Technology 182,214(2017)．
[5]Stephan Schill,“Editorial:The New(African)Regionalism in International Investment Law”,18 Journal of World Investment and Trade 367(2017).
[6]Ronald Regan,Statement on International Investment Policy,9 September 1983,http://www.presidency.ucsb.edu/ws/index.php?pid=41814,last visited on 10 July 2019.
[7]European Commission,Horizontal Provisions on Cross-Border Data Flows and Personal Data Protection,18 May 2018,http://trade.ec.europa.eu/doclib/docs/2018/may/tradoc_156884.pdf,last visited on 10 July 2019.
[8]Jacqueline Lipton，“Information Wants to be Property:Legal Commodification of E-commerce Assets”,16 Computers and Technology 53,53-66(2002)．
[9]Paul M.Schwartz，“Managing Global Data Privacy:Cross-Border Information Flows in a Networked Environment”,2009,p.25,http://theprivacyprojects.org/wp-content/uploads/2009/08/The-Privacy-Projects-Paul-Schwartz-Global-Data-Flows-20093.pdf,last visited on 10 July 2019.
[10]National Border of Trade,No Transfer,No Trade-The Importance of Cross-Border Data Transfers for Companies Based in Sweden,2014,p.37,http://unctad.org/meetings/en/Contribution/dtl_ict4d2016c01_Kommerskollegium_en.pdf,last visited on 10 July2019.
[11]Jacqueline Lipton，“Information Property:Rights and Responsibilities”,56 Florida Law Review 135,190(2004)．
[12]Andrew D.Mitchell and Jarrod Hepburn,supra note[4],p.217.
[13]Norah Gallagher and Wenhua Shan,Chinese Investment Treaties:Policies and Practice,Oxford University Press,2009,p.141.
[14]Salini v.Morocco,ICSID Case No.ARB/00/4,Decision on Jurisdiction,23 July 2001,para.52.
[15]Andrew D.Mitchell and Jarrod Hepburn,supra note[4],p.219.
[16]SGS v.Philippines,ICSID Case No.ARB/02/6,Decision of the Tribunal on Objections to Jurisdiction,29 January 2004,paras.102-103.
[17]CSOB v.Slovak Republic,ICSID Case No.ARB/97/4,Decision of the Tribunal on Objection to Jurisdiction,24 May 1999,para.89.
[18]Dolzer and Schreuer,Principles of International Investment Law,Oxford University Press,2008,p.81.
[19]Axel Berger,Marta Bengoa,Blanca Sanchez-Robles and Yochanan Shachmurove，“Do Trade and Investment Agreements Lead to More FDI?Accounting for Key Provisions Inside the Black Box”,10 International Economics and Economic Policy 247,268(2013)．
[20]参见韩立余:《国际投资经贸规则对履行要求的规制》，《法学家》2017年第6期，第116页。
[21]参见徐崇利:《公平与公正待遇:真义之解读》，《法商研究》2010年第3期，第59-68页。
[22]参见王彦志:《国际投资法上公平与公正待遇条款改革的列举式清单进路》，《当代法学》2015年第6期，第147-157页。
[23]Andrew D.Mitchell and Jarrod Hepburn,supra note[4],p.224.
[24]PSEG v.Turkey,ICSID Case No.ARB/02/5,Award,19 January 2007,paras.252-253.
[25]Andrew D.Mitchell and Jarrod Hepburn,supra note[4],p.224.
[26]王玥:《试论网络数据本地化立法的正当性》，《西安交通大学学报(社会科学版)》2016年第1期，第54-61页。
[27]Andrew D.Mitchell and Jarrod Hepburn,supra note[4],pp.214-216.
[28]Article 58.2(j)of the General Data Protection Regulation,http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32016R0679&from=EN,last visited on 10 July 2019.
[29]OECD,Key Issues on International Investment Agreements,2017,https://www.oecd.org/investment/globalforum/2017-GFII-Background-Note-Freedom-of-Investment.pdf,last visited on 10 July 2019.
[30]Andrew Newcombe and Liuis Paradell,Law and Practice of Investment Treaties:Standards of Treatment,Kluwer,2009,p.481.
[31]参见王彦志:《国际投资仲裁中公共健康保护的条约解释进路——以Philip Morris v.Uruguay案中VCLT第31条第3款c项的适用为视角》，《当代法学》2017年第6期，第149-157页。
[32]Peter Van den Bossche,The Law and Policy of the World Trade Organization,3rd ed.,Cambridge University Press,2013,pp.600-604.
[33]ADC v.Hungary,ICSID Case No.ARB/03/16,Award,2 October 2016,para.432.
[34]Andrew Newcombe and Liuis Paradell,supra note[30],p.493.
[35]Kenneth Vandevelde，“Of Politics and Markets:The Shifting Ideology of the BITs”,11 Berkeley Journal of International Law 159,159-186(1993).
[36]William J.Moon，“Essential Security Interests in International Investment Agreements”,15 Journal of International Economic Law481,499(2012)．
[37]LG&E v.Argentina,ICSID Case No.ARB/02/1,Decision on Liability,3 October 2006,para.238.
[38]UNCTAD,The Protection of National Security in IIAs,United Nations Publication,2009.
[39]Andrew D.Mitchell and Jarrod Hepburn,supra note[4],p.227.
[40]See William W Burke-White and Andreas von Staden，“Investment Protection in Extraordinary Times:The Interpretation and Application of Non-Precluded Measures Provisions in Bilateral Investment Treaties”,48 Virginia Journal of International Law 307,307-410(2008)．
[41]ILC Draft Articles on the Responsibility of States for Internationally Wrongful Acts,with Commentaries,United Nations document A/56/10,art.24,25,http://untreaty.un.org/ilc/texts/instruments/english,last visited on 10 July 2019.
[42]Andrew Mitchell and Caroline Henckels，“Variations on a Theme:Comparing the Concept of‘Necessity’in International Investment Law and WTO Law”,14 Chicago Journal of International Law 93,110(2013)．
[43]CMS v.Argentina,ICSID Case No.ARB/01/8,Award,12 May 2005,paras.320-321.
[44]LG&E v.Argentina,ICSID Case No.ARB/02/1,Award,25 June 2007,paras.239-240.Continental Casualty Company v.Argentina,ICSID Case No.ARB/03/9,Award,5 September 2008,paras.205-219.
[45]Cynthia C.Galvez，“‘Necessity，’Investor Rights,and State Sovereignty for NAFTA Investment Arbitration”,46 Cornell Journal of International Law 143,153(2013)．
[46]Christoph Schreuer,Loretta Malintoppi,August Reinisch and Anthony Sinclair,The ICSID Convention:A Commentary,2nd ed.,Cambridge University Press,2009,pp.114-116.
[47]Grand River v.US,UNCITRAL,Award,12 January 2011,para.84.
[48]Canadian Cattlemen v.US,UNCITRAL,Award on Jurisdiction,28 January 2008,para.233.
[49]Christoph Schreuer,Loretta Malintoppi,August Reinisch and Anthony Sinclair,supra note[46],p.114.
[50]如2013年《中国-坦桑尼亚投资协定》第10条“健康、安全和环境措施”。
[51]Andrew D.Mitchell and Jarrod Hepburn,supra note[4],p.198.
[52]参见陈咏梅、张姣:《跨境数据流动国际规制新发展:困境与前路》，《上海对外经贸大学学报》2017年第6期，第43-44页。
[53]Levent Sabanogullar,i“The Merits and Limitations of General Exception Clauses in Contemporary Investment Treaty Practice”,Investment Treaty News,21 May 2015,https://www.iisd.org/itn/2015/05/21/the-merits-and-limitations-of-general-exception-clausesin-contemporary-investment-treaty-practice/#_edn5,last visited on 10 July 2019.
[54]Council of the European Union,Meeting Document from the European Commission to the Trade Policy Committee Concerning the EUCanada Comprehensive Economic and Trade Agreement-Landing Zones,Brussels,6 November 2012,http://www.lapresse.ca/html/1633/Document_UE_2.pdf,last visited on 10 July 2019.
[55]Anthea Roberts，“Power and Persuasion in Investment Treaty Interpretation:The Dual Role of States”,104 American Journal of International Law 179,207(2010)．
[56]Barton Legum，“Investment Treaty Arbitration's Contribution to International Commercial Arbitration”,60 Dispute Resolution Journal 70,73(2005)．
[57]参见张生:《国际投资仲裁中条约解释方面的问题及其完善对策》，《国际经济法学刊》2014年第1期，第147页。
[58]Andrew Mitchell and Caroline Henckels,supra note[42],pp.93-164
[59]Joshua Paul Meltzer，“The Internet,Cross-Border Data Flows and International Trade”,2 Asia and the Pacific Policy Studies 90,101(2014)．
[60]Karl Sauvant and Federico Ortino,Improving the International Investment Law and Policy Regime:Options for the Future,Ministry for Foreign Affairs of Finland,2013,pp.97-102.
[61]Joshua Paul Meltzer,supra note[59],pp.101-102.
[62]习近平:《把我国从网络大国建设成为网络强国》，http://www.xinhuanet.com/politics/2014-02/27/c_119538788.htm,2019年7月10日访问。
[63]《商务部发布〈中国数字贸易和软件出口报告2017〉》，http://www.xinhuanet.com/2018-06/12/c_1122975945.htm,2019年7月10日访问。
[64]李海英:《积极参与国际电子商务规则制定》，《商务微新闻》，2017年1月9日，http://www.sohu.com/a/124751286_157514,2019年7月10日访问。
[65]参见张莉:《中国引领跨境电商国际规则制定前景》，《今日中国》2016年第10期，第56页。
[66]American Chamber of Commerce in China,Protecting Data Flows in the US-China Bilateral Investment Treaty,April 2015,https://www.amchamchina.org/policy-advocacy/policy-priorities/download/file/policy_spotlight/5/e242ff078dbfcd38cfd5d601318aaf6cfc5821aa.pdf,last visited on 10 July 2019.
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