五、结语
亚投行的制裁机制借鉴了传统多边开发银行制裁机制的做法并在此基础上作了改进，而且更符合亚投行自身的特点，在一定程度上回应了国际社会的关切。亚投行始终坚持不干涉内政的原则，其制裁机制同样也不例外。通过文中的分析可以发现，亚投行制裁机制始终保持在商业范围之内，而且亚投行对其制裁机制作了详尽的规范，涉及可能发生的各种问题，可以看出亚投行在此方面所做的努力，也可以看出亚投行的责任与担当。但亚投行的制裁机制也存在一定的问题，比如为了防止逃避制裁，亚投行可将制裁对象扩大到任何实体，这容易导致国际社会对亚投行权力过大的质疑；再比如，亚投行增加了对“资源滥用”和“盗窃”的制裁，这实际上属于亚投行制裁机制的兜底条款。这样规定体现出亚投行对其制裁机制详尽性的考虑以及对保障亚投行健康运行的努力，但同时也导致了一定的不确定性，从而容易在实践中引起纠纷。另外，亚投行制裁机制的一审程序中不举行听证会，只在上诉程序中可酌情举行，这容易导致双方证据能力的不平等，甚至不公正的裁决，而且还可能导致案件上诉率的增加，等等。任何事物不会在其刚产生的时候就尽善尽美，亚投行作为一个新生事物，在其运行过程中必然会出现各种各样的问题，但亚投行始终以开放的态度接受外来的鞭策和批评。亚投行在完善自身制裁机制的同时积极申请加入《共同执行协定》，以期与其他多边开发银行联合对禁止行为进行制裁，另外还积极与其成员政府合作，从而更好地保障多边开发银行目标的实现。我们可以期待亚投行与其他多边开发银行更广泛的合作和交流，以使亚投行在国际金融秩序中发挥更大的作用。
Research on the Sanctions Mechanism of AIIB
CHEN Yundong SONG Ziwen
Abstract: The AIIB has made special regulations on its sanctions mechanism, which are mainly reflected in the AIIB Policy on Prohibited Practices and the AIIB Directive on Policy on Prohibited Practices.The AIIB Articles of Agreement can be regarded as the legal source of the sanctions mechanism of the AIIB.In addition, the AIIB has other normative documents that respond to and support its sanctions mechanism.Through the analysis of the targets, scope and measures of the sanctions policy of the AIIB, the AIIB sanctions mechanism can be more clearly positioned.The sanctions mechanism of AIIB mainly includes investigations procedure and sanctions procedure, in which the sanctions procedure is two-level sanctions procedure, namely the first instance procedure and the appeal procedure respectively, and the decision of the appeal procedure is final.For an effective sanctions decision or decision, if the investigator or defendant discovers a new fact, he may apply for a retrial.In addition, the AIIB sanctions mechanism also provides procedures for temporary suspension, reconciliation and cross-debarment, which is conducive to the improvement and healthy operation of the AIIB sanctions mechanism.
Keywords: AIIB; Sanctions Mechanism; Legislative Authority; Two-level Sanctions Procedure; Special Procedure
（责任编辑：边永民）
【注释】
[1]See Article 13(9), AIIB Articles of Agreement (June 29, 2015).
[2]See Section 1.1, AIIB Policy on Prohibited Practices (December 8, 2016).
[3]See Appendix 56, AIIB General Conditions for Sovereign-backed Loans (May 1, 2016).
[4]See Section 7.1, AIIB Procurement Policy (January 2016).
[5]根据《AIIB采购政策》生效时的说明，该规定在《AIIB禁止行为政策》获得董事会批准后生效，而《AIIB禁止行为政策》已于2016年12月8日生效，因此该规定现已生效。
[6]合规、高效和诚信部门即合规局为亚投行制裁机制的责任部门，该部门直接向董事会报告工作。
[7]See Section 2.13, AIIB Directive on Corporate Procurement(November 20, 2018).
[8]See Section 15, AIIB Directive on Policy on Prohibited Practices (November 22, 2017).
[9]See Section 18, AIIB Directive on Policy on Prohibited Practices (November 22, 2017).
[10]See Section 21, AIIB Directive on Policy on Prohibited Practices (November 22, 2017).
[11]See Section 7.5, AIIB Policy on Prohibited Practices (December 8, 2016).
[12]Supre note〔9〕.
[13]See Section 2.1(19), AIIB Policy on Prohibited Practices (December 8, 2016).
[14]See Section 11.2, AIIB Policy on Prohibited Practices (December 8, 2016).
[15]See Section 3.2, AIIB Policy on Prohibited Practices (December 8, 2016).
[16]Id.
[17]See Section 7.2, AIIB Policy on Prohibited Practices (December 8, 2016).
[18]See Section 7.6, AIIB Policy on Prohibited Practices (December 8, 2016).
[19]对检举者的具体保护措施可参见《AIIB禁止行为政策》第3.3.3-3.3.5节以及《AIIB禁止行为政策指令》第22-30节。(https://www.daowen.com)
[20]调查官是亚投行职员，其职责包括调查对禁止行为的指控。
[21]See Section 12, AIIB Directive on Policy on Prohibited Practices (November 22, 2017).
[22]See Section 4.3.2, AIIB Policy on Prohibited Practices (December 8, 2016).
[23]See Section 3.5, AIIB Policy on Prohibited Practices (December 8, 2016).
[24]根据《AIIB禁止行为政策》第3.4节的规定，调查官应比照适用第5.5、5.6、5.7和5.9节的规定，因此本部分内容系笔者根据《AIIB禁止行为政策》第5.5、5.6、5.7和5.9节的规定比照适用于调查官的结果，同时参考了第3.4节的内容。
[25]根据《AIIB禁止行为政策》第4.8.2节的规定，如果被告未作答辩则视为被告已承认行政诉讼通知书所载的指控，并放弃对裁决提出上诉的权利。制裁官将因此制作裁决书，记录相关情况并对被告实施制裁。
[26]《AIIB禁止行为政策》第7.2节规定了亚投行制裁机制的制裁措施，包括谴责、除名、附条件不除名、附条件解除的除名和其他制裁。
[27]See Section 4.1, 4.2, 4.3, 4.6, AIIB Policy on Prohibited Practices (December 8, 2016).
[28]《AIIB禁止行为政策》第8.9节规定了关于补充材料的规则，具体内容为：如果在提交书面材料后作出裁决或决定之前发现对调查官或被告有用的新证据，调查官或被告可酌情向制裁官或制裁专家组提交新证据以及新证据重要性的简单说明，制裁官或制裁专家组可酌情加以考虑。制裁官和制裁专家组可以：（1）要求被告或调查官作出说明并提供进一步证据；和（2）酌情授权调查官或被告以制裁官或制裁专家组可合理确定的形式和时间，就另一方根据本节提出的任何意见提出补充意见和证据。此外，在作出裁决或决定之前，制裁官和制裁专家组有权查阅本政策下涉及同一被告的任何有关或其他程序的书面记录内容。
[29]See Section 4.8, AIIB Policy on Prohibited Practices (December 8, 2016).
[30]See Section 6.1, AIIB Policy on Prohibited Practices (December 8, 2016).
[31]See Section 6.3, AIIB Policy on Prohibited Practices (December 8, 2016).
[32]See Section 5.1, 5.8, AIIB Policy on Prohibited Practices (December 8, 2016).
[33]See Section 5.4, AIIB Policy on Prohibited Practices (December 8, 2016).
[34]See Section 5.5, 5.6, 5.7, 5.9, AIIB Policy on Prohibited Practices (December 8, 2016).该部分内容即为上述亚投行要求调查官和制裁官比照适用的内容。
[35]See Section 5.11, AIIB Policy on Prohibited Practices (December 8, 2016).
[36]See Section 2.1(24), AIIB Policy on Prohibited Practices (December 8, 2016).
[37]See Section 16, AIIB Directive on Policy on Prohibited Practices (November 22, 2017).
[38]See Section 7.8, AIIB Policy on Prohibited Practices (December 8, 2016).
[39]See Section 10, AIIB Policy on Prohibited Practices (December 8, 2016).
[40]See Section 11.4, AIIB Policy on Prohibited Practices (December 8, 2016).
[41]这五家多边金融机构为世界银行、亚洲开发银行、欧洲复兴开发银行、美洲开发银行和非洲开发银行。
[42]See Section 12.2, AIIB Policy on Prohibited Practices (December 8, 2016).
[43]See Section 20, AIIB Directive on Policy on Prohibited Practices (November 22, 2017).
[44]See Section 12.3, AIIB Policy on Prohibited Practices (December 8, 2016); Section 32, AIIB Directive on Policy on Prohibited Practices (November 22, 2017).
[45]See Section 12.4, AIIB Policy on Prohibited Practices (December 8, 2016).