EU-Singapore Investment Protection Agreement (resolution)

欧盟-新加坡投资保护协定（决议）

European Parliament non-legislative resolution of 13 February 2019 on the draft Council decision on the conclusion on behalf of the European Union of the Investment Protection Agreement between the European Union and its Member States, of the one part, and the Republic of Singapore, of the other part (07979/2018 –C8-0447/2018 –2018/0095M(NLE))

欧洲议会2019年2月13日关于代表欧盟缔结欧盟及其成员国与新加坡共和国之间的投资保护协定的理事会决定草案的非立法性决议(07979/2018– C8-0447/2018–2018/0095M(NLE))

The European Parliament,

欧洲议会，

– having regard to the draft Council decision (07979/2018),

考虑到理事会决定草案(07979/2018)，

– having regard to the draft Investment Protection Agreement between the European Union and its Member States, of the one part, and the Republic of Singapore, of the other part (07980/2018),

考虑到欧盟及其成员国与新加坡共和国之间的投资保护协定草案(07980/2018)，

– having regard to the request for consent submitted by the Council in accordance with Articles 207(4) and 218(6), second subparagraph, point, of the Treaty on the Functioning of the European Union (TFEU) (C8-0447/2018),

考虑到理事会根据《欧盟运作条约》（TFEU）第207条第 (4) 款和第218条第 (6)款第2项第(a)(v)目提交的同意请求(C8-0447/2018)，

– having regard tothe negotiating directives of 23 April 2007 for a free trade agreement (FTA) with Member States of the Association of Southeast Asian Nations (ASEAN),

考虑到2007年4月23日关于与东南亚国家联盟（ASEAN）成员国缔结自由贸易协定（FTA）的谈判指示，

– having regard tothe Council decision of 22 December 2009 to pursue bilateral FTA negotiationswith individual ASEAN Member States, starting with Singapore,

考虑到2009年12月22日关于从新加坡开始与ASEAN个别成员国进行双边FTA谈判的理事会决定，

– having regard toits resolution of 6 April 2011 on the future European international investment policy [1],

考虑到其2011年4月6日关于未来欧洲国际投资政策的决议，

– having regard tothe modifications of 12 September 2011 of the initial negotiating directives in order to authorise the Commission to negotiate on investment,

考虑到2011年9月12日对初步谈判指示的修改，以授权委员会就投资问题进行谈判，

– having regard to Regulation (EU) No 1219/2012 of the European Parliament and of the Council of 12 December 2012 establishing transitional arrangements for bilateral investment agreements between Member States and third countries1,

考虑到欧洲议会和理事会2012年12月12日关于成员国和第三国之间双边投资协定过渡安排的第1219/2012号条例（EU），

– having regard to its resolution of 5 July 2016 on a new forward-looking and innovative future strategy for trade and investment2,

考虑到其2016年7月5日关于为贸易和投资建立新的具有前瞻性和创新性的未来战略的决议，

– having regard tothe Commission communication of 14 October 2015 entitled ‘Trade for all –Towards a more responsible trade and investment policy’ (COM(2015)0497),

考虑到委员会2015年10月14日题为“全面贸易——制定更负责任的贸易和投资政策”的来文(COM(2015)0497)，

– having regard to the opinion of the Court of Justice of 16 May 2017 in procedure 2/153, requested by the Commission on 10 July 2015, pursuant to Article 218(11) TFEU,

考虑到法院就理事会于2015年7月10日根据TFEU第218条第(11)款提出的请求，于2017年5月16日在程序 2/153 中的意见，

– having regard to its resolution of 4 October 2018 on the EU’s input to a UN Binding Instrumenton transnational corporations and other business enterprises with transnational characteristics with respect to human rights4,

考虑到其2018年10月4日关于欧盟加入一项关于跨国公司和其他在人权方面具有跨国特征的工商企业的联合国约束性文书的决议，

– having regard tothe Rules on Transparency in Treaty-based Investor-State Arbitration of the UN Commission on International Trade Law (UNCITRAL),

考虑到《联合国国际贸易法委员会（UNCITRAL）投资者与国家间基于条约仲裁的透明度规则》，

– having regard to the Treaty on European Union, and in particular Title V thereof on the Union’s external action,

考虑到《欧盟条约》，尤其是关于欧盟对外行动的第5章，

– having regard to TFEU, in particular Part Five, Titles I, II and V thereof, specifically Article207, in conjunction with Article 218(6)(a)(v),

考虑到TFEU，尤其是第5部分及该部分的第1、第2和第5章，尤其是第207条，连同第218条第(6)款(a)项(v)目，

– having regard to its legislative resolution of 13 February 20195 on the draft decision,

考虑到其2019年2月13日关于决定草案的立法决议，

– having regard to Rule 99(2) of its Rules of Procedure,

考虑到《程序规则》第99条第 (2) 款，

–having regard to the report of the Committee on International Trade (A8-0049/2019),

考虑到委员会关于国际贸易的报告(A8-0049/2019)，

A.whereas the EU and Singapore share the same fundamental values, including democracy, the rule of law, respect for human rights, cultural and linguistic diversity and a strong commitment to rules-based trade within the multilateral trading system;

欧盟和新加坡有着相同的基本价值观，包括民主、法治、尊重人权、文化和语言多样性以及对多边贸易体系内基于规则的贸易的坚定承诺；

B.whereas the EU is the leading recipient and source of foreign direct investment worldwide;

欧盟是全世界外国直接投资的主要接受国和来源；

C.whereas Singapore is the eighth largest destination for EU foreign direct investment and the first in the ASEAN region;

新加坡是欧盟对外直接投资的第八大投资地，也是欧盟在ASEAN地区的第一个投资地；

D.whereas Singapore is by far the EU’s largest partner in Southeast Asia, accounting for just under one third of EU-ASEAN trade in goods and services, and roughly two thirds of all investments between the two regions; whereas morethan 10 000 European companies have their regional offices in Singapore and operate as normal, in a context of legal security and certainty;

新加坡是欧盟在东南亚的最大伙伴，占欧盟-东盟商品和服务贸易的近三分之一，约占这两个地区之间所有投资的三分之二；超过1万家欧洲公司在新加坡设有区域办事处，并在安全和确定的法律环境下正常运作；

E.whereas Singapore is the number one location for European investment in Asia, with bilateral investment stocks reaching EUR 256 billion in 2016;

新加坡是欧洲在亚洲的第一投资地，2016年双边投资股票达到 2, 560亿欧元；

F.whereas there are currently more than 3 000 international investment treaties in force and EU Member States are party to some 1 400;

目前生效的国际投资条约超过3 000项，欧盟成员国缔结的约1 400 项；

G. whereas this is the first ‘investment protection only’ agreement concluded between the EU and a third country following discussions among the institutions on the new architecture of EU FTAson the basis of ECJ opinion 2/15 of 16 May 2017;

继各机构根据ECJ 2017年5月16日第2/15号意见就欧盟FTAs的新架构进行讨论之后，这是欧盟与第三国缔结的第一份“只有投资保护”的协定；

H.whereas in the light of the EU’s new approach to investment protection and its enforcement mechanism, the investment court system (ICS), in 2017 Singapore agreed to review the investment protection provisions negotiated in 2014, thereby re-opening a closed agreement;

鉴于欧盟关于投资保护的新方针及其执行机制——设立投资法院体系（ICS），2017年，新加坡同意审查2014年谈判达成的投资保护条款，从而重新开启了一个封闭的协定。

I.whereas the agreement builds on the investment protection provisions included in the EU-Canada Comprehensive Economic and Trade Agreement (CETA), which was ratified by Parliament on 15 February 2017;

该协定以2017年2月15日议会批准的《欧盟-加拿大全面经济和贸易协定》（CETA）中的投资保护条款为基础；

J.whereas on 6 September 2017, Belgium requested an ECJ opinion on the compatibility of CETA’s ICS provisions with the EU treaties;

2017年9月6日，比利时要求ECJ就CETA的ICS条款是否符合欧盟条约发表意见；

K.whereas developed economies with properly functioning judiciaries render the need for investor-state dispute settlement mechanisms less important, although these mechanisms may ensure a quicker resolution of disputes; whereas, nonetheless, the establishment of an independent multilateral investment court would enhance trust in the system and legal certainty;

具有正常运作的司法机构的发达经济体使得投资者与国家之间的争端解决机制变得不那么重要具有适，尽管这些机制可以确保更快地解决争端；然而，设立一个独立的多边投资法院能够加强对制度和法律确定性的信任；

L.whereas the agreement will replace the existing bilateral investment treaties between 13 EU Member States and Singapore, which do not include the EU’s new approach to investment protection and its enforcement mechanism (ICS);

该协定将取代13个欧盟成员国与新加坡之间的现有双边投资条约，其中不包括欧盟投资保护的新方针及其执行机制（ICS）；

M.whereas the Parties committed to pursuing a multilateral investment court, an initiative strongly supported by Parliament;

双方承诺建立一个多边投资法院，这是一项得到议会大力支持的倡议；

N.whereas on 20 March 2018, the Council adopted the negotiating directives authorising the Commission to negotiate, on behalf of the EU, a convention establishing a multilateral investment court; whereas these negotiating directives have been made public;

2018年3月20日，理事会通过了谈判指示，授权委员会代表欧盟就设立多边投资法院的公约展开谈判；这些谈判指令已被公开；

O.whereas the EU has concluded a similar investment protection agreement with Vietnam, which was adopted by the Commission on 17 October 2018;

欧盟与越南缔结了类似的投资保护协定，委员会于2018年10月17日通过了该协定；

1.Welcomes the EU’s new approach to investment protection and its enforcement mechanism (ICS), which replace both thecontroversial investor-to-state dispute settlement (ISDS), addressing some of its flaws in the process, and the individual approaches followed by the EU Member States in existing bilateral investment treaties(BITs);

欢迎欧盟的投资保护新方针及其执行机制（ICS），该机制既取代了备受争议的投资者与国家争端解决（ISDS）机制，解决了其过程中的一些缺陷，也取代了欧盟成员国各自在现有双边投资条约（BITs）中所采用的办法；

2.Considers it essential that the agreement will ensure a high level of investment protection, transparency and accountability, while safeguarding the right to regulate at all governmental levels and pursue legitimate public policy objectives for both Parties, such as public health and environmental protection; stresses that if one Party should  regulate in a manner that negatively affects an investment or interferes with an investor’s profit expectations,it would not amount in itself to a breach of investment protection standards and hence not require any compensation; highlights that the agreement must not in any way restrict the autonomy of social partners and trade union rights;

认为该协定必须确保高水平的投资保护、透明度和问责制，同时保障在各级政府进行监管和追求双方合法公共政策目标的权利，如公共卫生和环境保护；强调如果一方的监管方式对投资产生不利影响或干扰投资者的利润预期，这种监管本身并不等同于违反投资保护标准，因此不需要任何赔偿；强调该协定不得以任何方式限制社会伙伴的自主权和工会权利；

3.Stresses that the agreement guarantees that EU investors in Singapore willnot be discriminated vis-à-vis Singapore an investors andproperly protects them from illegitimate expropriation;

强调该协定保证在新加坡的欧盟投资者不会受到相对于新加坡投资者的歧视，并适当保护他们免遭非法征用；

4. Recallsthat the ICS envisages the establishment of a Permanent Investment Tribunal of First Instance and an Appellate Tribunal, whose members will have to possess comparable qualifications to those held by judges of the International Court of Justice, including expertise in public international law and not just commercial law, and will have to satisfy strict rules of independence, integrity and ethical behaviour through a binding code of conduct designed to prevent conflicts of interests;

回顾ICS设想设立一个常设一审投资法庭和一个上诉法庭，其成员所具备的资格必须与国际法院法官所具备的资格相当，包括具有国际公法（而不仅是商业法）方面的专门知识，必须通过旨在防止利益冲突的具有约束力的行为守则，满足独立、正直和道德行为的严格规则；

5.Welcomes the fact that transparency rules will apply to proceedings before tribunals, case documents will be publicly available and hearings will be heldin public; believes that greater transparency will help to instil public trust in the system; welcomes, moreover, the clarity regarding the groundson which an investor can submit a claim, which ensures additional transparency and fairness of the process;

欢迎将透明度规则适用于法庭程序，案件文件将被公开，听证会将公开举行；相信提高透明度将有助于向公众灌输对该制度的信任；此外，欢迎明确投资者提出索赔请求的理由，这能够提高程序的透明度和公平性；

6.Stresses that third parties, such as labour and environmental organisations, have no legal standing before the tribunals and therefore cannot participate as affected parties to enforce investors’ obligations but can contribute to ICS proceedings through amicus curiae briefs; underlines the fact that the investment court still constitutes a separate system for foreign investors only;

强调劳工和环境组织等第三方在法庭上没有法律地位，因此不能作为受影响方参与履行投资者义务，但可以通过法庭为 ICS 程序做出贡献古宫简介；强调投资法院仍然只对外国投资者构成单独的制度；

7. Emphasises that forum shopping must not be possible and that multiple and parallel proceedings must be avoided;

强调不得选择诉讼，必须避免多重和平行程序；

8. Recallsthat the agreement significantly builds on the investment protection provisions in CETA, as it incorporates provisions on obligations for former judges, a code of conduct to prevent conflicts of interests and a fully functioning Appellate Tribunal at the time of its conclusion;

回顾该协定在很大程度上借鉴了CETA中的投资保护条款，因为该协定在缔结时纳入了关于前法官义务的规定，防止利益冲突的行为守则以及关于设立一个充分运作的上诉法庭的规定；

9.Welcomes Singapore’s commitment to the establishment of the multilateralinvestment court, a public and independent international court which will beempowered to hear disputes on investments between investors and states thathave accepted its jurisdiction over their bilateral investment treaties, andwhose ultimate goal must be to reform and replace the current unbalanced,costly and fragmented investment protection regime; considers the agreement acrucial stepping stone towards that end; encourages the Commission tocontinue its efforts in reachingout to third countries to establish the multilateral investment court as soonas possible;

欢迎新加坡承诺设立多边投资法院，这是一个公共和独立的国际法院，将有权审理投资者与已接受其对双边投资条约管辖权的国家之间的投资争端，其最终目标必须是改革和取代目前不平衡的、昂贵的和分散的投资保护制度；认为缔结该协定是实现这一目标的关键一步；鼓励委员会继续努力，争取第三国的加入，尽快建立多边投资法院；

10.Welcomes the Council’s decision to make public the negotiatingdirective of 20 March 2018 on the multilateral investment court, andcalls on the Council to make public the negotiating directives for all previousand future trade and investment agreements immediately after they areadopted, in order to increase transparency and public scrutiny;

欢迎理事会决定公布2018年3月20日关于多边投资法院的谈判指示，并呼吁理事会公布以往所有的谈判指示，并在未来的所有贸易和投资协定通过后立即公布谈判指示，以提高透明度和公众监督；

11.Highlights the fact that the agreement will replace the existing BITs between 13 EU Member States and Singapore and thus provide greater coherence than the BITs, which are based on outdated investment protection provisions and include ISDS; stresses that the agreement will also create new rights for investors’ claimsin the remaining 15 Member States; emphasises that functional national courtsare the primary option to resolve investor disputes, but considers the agreement an important step towards the reform of global rules on investment protection and dispute settlement;

强调该协定将取代13个欧盟成员国与新加坡之间的现有BITs，从而实现比BITs更大的一致性，因为BITs的基础是过时的投资保护规定并包含ISDS；强调该协定还将为其余15个成员国的投资者索赔创造新的权利；强调有效运作的国内法院是解决投资者争端的主要选择，但认为该协定是全球投资保护和争端解决规则改革的重要一步；

12. Regrets the lack of provisions on investor responsibilities and highlights, in this context, the importance of corporate social responsibility; calls onthe Commission to consider legislation similar to that on conflict minerals and timber,such as for the garment industry; recallsthe importance of the OECD Guidelines for Multinational Enterprises and the UN Guiding Principles on Business and Human Rights;

遗憾的是缺乏关于投资者责任的规定，并在这方面强调公司社会责任的重要性；呼吁委员会考虑类似于冲突矿物和木材的立法，例如对制衣业的立法；回顾《OECD跨国企业准则》和《联合国工商企业与人权指导原则》的重要性；

13.Notes the lack of a global approach to corporations’ compliance with human rights law and of available remedy mechanisms; notes the work initiated in the UN by the open ended intergovernmental working group on transnational corporations and other business enterprises with respect to human rights on the establishment of a binding UN instrument; encourages the Commission and the EU Member States to constructively engage in this initiative;

注意到在公司遵守人权法和现有救济机制方面缺乏全球性办法；注意到由不限数额的政府间工作组在联合国发起的关于跨国公司和其他工商企业在人权方面的责任制定具有约束力的联合国文书的工作；鼓励委员会和欧盟成员国建设性地参与这一倡议；

14.Encourages the Commission to continue its work on making the ICS more accessible, particularly for SMEs and smaller companies;

鼓励委员会继续开展工作，特别是使ICS易于供中小型企业（SMEs）和较小的公司使用；

15.Calls on the Commission and Singapore to agree stronger sanctions in the eventthat a member of the tribunals does not comply with the code of conduct, and to ensure that they are in place as soon as this agreement enters into force;

呼吁委员会和新加坡同意在法庭成员不遵守行为守则的情况下加强制裁，并确保协定生效后立即实施；

16.Considers that the approval of this agreement will give the EU more leverage to negotiate similar agreements with the other ASEAN countries with a view to establishing similar rules on investment protection throughout the region;

认为该协定的批准将使欧盟在与其他ASEAN国家谈判类似协定以期在整个区域制定类似的投资保护规则时更有优势；

17.Instructs its President to forward this resolution to the Council, the Commission, the Vice-President of the Commission / High Representative of the Union for Foreign Affairs and Security Policy, the European External Action Service, the governments and parliaments of the Member States and the government and parliament of the Republic of Singapore.

指示其主席将本决议转交理事会、委员会、委员会副主席/外交和安保联盟高级代表、欧洲对外行动署、成员国各国政府和议会，以及新加坡共和国政府和议会。

                                                                                                               来源：微信公众号 临时仲裁ADA