国际投资争端解决机制研究

发布时间：2018-04-28 00:29

本文选题：国际投资 + 争端　；参考：《东北财经大学》2013年博士论文

【摘要】：近年来,随着国际投资日益增多,国际投资争端也呈逐年上升的趋势。为了有效化解国际投资中出现的各种争端,国际社会一直在试图确立合理而有效的国际投资秩序,其中,如何规范国际投资的国民待遇,加强国际投资保护,建立健全国际投资争端解决机制,促进国际资本自由流动,一直是世界各国共同面临的重要的国际法律问题。经济合作与发展组织从1990年代起开始研究构建一个多边投资协议框架的可行性,但经过多年来的艰难谈判,一直也未能获得成功。世界银行起草的《解决国家和他国国民投资争端公约》仅适用于以仲裁方式解决东道国政府与外国投资者之间的投资争端,而且,在仲裁监督机制上没有规定仲裁上诉机制,仲裁程序也缺乏透明度,难以实现仲裁裁决的实体性公正。因此,ICSID争端解决机制也难以有效、合理、公正地处理好每一个国际投资所产生的争端。另外,各国间签订的双边协定乃至多边条约的数量虽然迅速增多,但在推动全球普遍适用的国际性争端解决机制的形成方面,未能发挥多大的作用。即便是目前最具有全球影响力的国际经济组织——WTO体制下,也只能解决国家与国家之间的投资争端,并不调整和处理外国私人投资者与国家之间的投资争端。正是基于以上的背景,本文以现有的国际投资争端解决机制为主线,在全面介绍各项现有制度的基础上,对其进行客观的比较和评价,力争为外国私人投资者与东道国间的投资争端找到一套更为完善的解决机制。在研究中,以归纳推理为主,演绎推理为辅,坚持实证分析和比较分析相结合、法理研究和案例研究相结合的研究方法,对国际投资争端解决机制问题展开分析与论述,力争做到理论联系实际,理论服务于实际。本文分为七章,具体包括如下内容：第一章,绪论。首先,说明本文的选题背景和意义,介绍本文写作的由来以及对国际投资争端机制理论研究与实践的意义。其次,说明本文的写作思路和研究方法,介绍全文的章节安排以及各章节的主要内容。最后,说明本文的创新与不足之处。第二章,国际投资争端解决机制评析。第一,简要论述国际投资争端的概念及其分类,并介绍各类争端的解决手段。第二,介绍MAI的投资争端解决机制,论述MAI草案的诞生背景和经过,说明该机制的主要内容,并对该机制做出基本的评价。第三,介绍ICSID的争端解决机制,论述《解决国家和他国国民投资争端公约》的产生、宗旨及其发展过程,着重介绍依据该公约建立的“解决投资争端国际中心”,并结合《解决国家和他国国民投资争端公约》的主要内容,对该机制做出基本的评价。第四,介绍NAFTA的争端解决机制,论述NAFTA成立的背景及其主要内容,列出其争端解决机制的基本步骤,对该机制做出基本的评价。第五,介绍WTO争端解决机制,论述该机制从形成到不断完善的历史沿革以其法律渊源,介绍该机制的主要程序和规则,包括争端解决的政治方法和争端解决的法律方式,在此基础上,评析WTO争端解决机制。通过对上述四种争端解决机制的论述、比较分析与基本评价,指出各机制的优缺点和可资借鉴之处。第三章,国际投资争端解决机制的完善。首先,从WTO争端解决机制入手,分析该机制对国际投资争端解决机制的影响。其次,分析WTO争端解决机制的优缺点,取其精华去其糟粕,在拟建的国际投资争端解决机制中建议创建两大程序。再次,论述构建ICSID仲裁上诉机制的必要性和原因。最后,说明拟建的ICSID仲裁上诉机制应当涵盖的主要内容,包括现实基础、模式、具体内容,分析构建ICSID仲裁上诉机制的意义和影响。第四章,国际投资仲裁透明度问题。首先,论述现有增加透明度的主要尝试,提出解决问题的途径。其次,论述投资仲裁程序公开及其法律价值,对国际投资仲裁的法庭之友问题,也进行专门的论述。最后,论述国际投资仲裁秘密性与透明度的平衡问题,介绍发达国家与发展中国家对增加投资仲裁透明度的态度。第五章,外国投资者与东道国之间的强制性仲裁。首先,在说明强制性仲裁含义、概括强制性仲裁的特点的基础上,从国际政治局势的影响和经济全球化的影响两个方面,分析了强制性仲裁产生的背景。其次,通过强制性仲裁与外交保护、东道国当地救济、外国法院诉讼和传统国际商事仲裁的比较,分析东道国对强制性仲裁转变态度的原因。最后,论述强制性仲裁的运行模式及其作用。第六章,中国解决国际投资争端的实践与对策。首先,总结中国对ICISD一般仲裁管辖权的实践。其次,分析上诉制度可能给中国带来的影响。再次,论述中国提高国际投资仲裁透明度的立场、对策。最后,提出完善我国投资立法的政策建议。本文的主要创新点是：第一,本文围绕国内外热议的仲裁上诉机制,着眼于我国目前及未来在国际投资领域所具有的双重身份,即既是资本输入大国也是资本输出大国的特殊地位,主张我国今后要积极应对和利用仲裁上诉制度,并提出了若干政策建议。第二,在增强仲裁透明度方面,本文采纳中间立场,既反对过度的秘密性,也反对过度的透明性,主张适度地放开秘密性,既保证仲裁当事方的程序性权利,也保证法庭之友享受到知情权、参与程序权。如果是这样,那么秘密性与公开性就找到了平衡点,从而为我国应对透明度问题提供了新的思路和应对策略。第三,在面对强制性仲裁问题上,本文不赞同我国采纳“完全接受”的模式,主张针对不同国家采取灵活掌握的做法,避免做出极端的选择。本文的不足之处是：第一,虽然本文采用理论研究与实证研究相结合的研究方法,但理论研究所占比重还是大于实证研究。这是因为笔者缺乏参与国际投资争端解决程序的亲身经历,只能收集到一些主要国家的相关资料,对其他各国的一些观点和做法了解有限,难以更多地展开实证研究。第二,在所提政策建议中,未能涉及到具体条文的内容。比如,关于构建ICSID仲裁上诉机制的问题,本文虽然在政策建议中较为详细地列出了立法的原因与目的、上诉程序、上诉理由、上诉小组成员组成、上诉程序与期限、上诉对象、上诉结果、上诉费用与担保以及其他问题,但这只不过是一个框架性建议,不是明确的、精细的条文形式。
[Abstract]:In recent years, with the increasing number of international investment, international investment disputes have also been increasing year by year. In order to effectively resolve the various disputes arising from international investment, the international community has been trying to establish a reasonable and effective international investment order, among them, how to standardize the national treatment of international investment, strengthen the protection of international investment, and establish a sound country. The international investment dispute settlement mechanism, which promotes free movement of international capital, has always been an important international legal issue faced by all countries in the world.
The organization for economic cooperation and development has begun to study the feasibility of constructing a multilateral investment agreement framework since 1990s, but has failed to achieve success after years of difficult negotiations. The world bank draft Convention on the settlement of the national and national investment disputes of other countries is only applicable to the settlement of the host government and foreign investment by arbitration. In addition, there is no arbitration appeal mechanism in the arbitration supervision mechanism, the arbitration procedure is also lack of transparency and it is difficult to realize the substantive justice of the arbitral award. Therefore, the ICSID dispute settlement mechanism is also difficult to be effective, reasonable and fair to deal with the disputes arising from every international investment.
In addition, although the number of bilateral and multilateral treaties signed by countries has increased rapidly, it has not played much role in promoting the formation of universal applicable international dispute settlement mechanism. Even the international economic organization, the most influential international economic organization at present - the WTO system, can only solve the state and state. Investment disputes between countries do not adjust and deal with investment disputes between foreign private investors and countries.
Based on the above background, this paper, taking the existing international investment dispute settlement mechanism as the main line, makes an objective comparison and evaluation on the basis of the comprehensive introduction of the existing systems, and strives to find a more perfect solution mechanism for the investment disputes between foreign private investors and the host country. Mainly, deductive reasoning is supplemented, we adhere to the combination of empirical analysis and comparative analysis, the combination of jurisprudential research and case study, and analyze and discuss the problem of international investment dispute settlement mechanism, and strive to make the theory connected to the reality and the theory to serve the reality.
This article is divided into seven chapters, which include the following:
The first chapter is introduction. First, it explains the background and significance of the topic, introduces the origin of this article and the significance of the theoretical research and practice of the international investment dispute mechanism. Secondly, it explains the thinking and research methods of this paper, introduces the chapters and the main contents of the chapters. Finally, it explains the innovation and deficiency of this article. The place.
The second chapter, the analysis of the international investment dispute settlement mechanism. First, it briefly discusses the concept and classification of international investment disputes, and introduces the solutions of various disputes. Second, introducing the investment dispute settlement mechanism of MAI, discussing the birth background and course of the MAI draft, explaining the main contents of the mechanism, and making a basic evaluation of the mechanism. Three, introduce the dispute settlement mechanism of ICSID, discuss the emergence, purpose and development process of the Convention for the settlement of the state and its national investment disputes, focus on the introduction of the International Center for the settlement of investment disputes based on the Convention, and make the basic content of the mechanism combined with the main contents of the Convention on the settlement of the national and national investment disputes of the country and other countries. Fourth, introduce the dispute settlement mechanism of NAFTA, discuss the background and main contents of the establishment of NAFTA, list the basic steps of its dispute settlement mechanism, make a basic evaluation of the mechanism. Fifth, introduce the mechanism of WTO dispute settlement, and discuss the origin of the mechanism from its formation to the continuous improvement of its legal origin, and introduce the owner of the mechanism. On the basis of the procedure and rules, including the political method of dispute settlement and the legal way of dispute settlement, the WTO dispute settlement mechanism is evaluated and analyzed. Through the discussion of the four dispute settlement mechanisms mentioned above, the comparative analysis and the basic evaluation are made, and the advantages and disadvantages of each mechanism are pointed out.
The third chapter, the improvement of the international investment dispute settlement mechanism. First, starting with the WTO dispute settlement mechanism, this paper analyzes the effect of the mechanism on the international investment dispute settlement mechanism. Secondly, it analyzes the advantages and disadvantages of the WTO dispute settlement mechanism, takes its essence to its dross, and recommends the establishment of the two major procedures in the proposed international investment dispute settlement mechanism. Again, on the establishment of the proposed international investment dispute settlement mechanism. The necessity and reasons for the construction of the ICSID arbitration appeal mechanism are described. Finally, the main contents of the proposed ICSID arbitration appeal mechanism, including the realistic foundation, the model and the specific content, are described, and the significance and influence of the construction of the ICSID arbitration appeal mechanism are analyzed.
The fourth chapter, the transparency of international investment arbitration. First, the main attempt to increase transparency is discussed, and the way to solve the problem is put forward. Secondly, the public and legal value of the investment arbitration procedure are discussed, and the friends of the tribunal of international investment arbitration are also discussed. Finally, the secret and transparency of international investment arbitration are discussed. This paper introduces the attitude of developed and developing countries to increase the transparency of investment arbitration.
The fifth chapter, the compulsory arbitration between foreign investors and the host country. First, on the basis of explaining the meaning of compulsory arbitration and summarizing the characteristics of compulsory arbitration, the background of compulsory arbitration is analyzed from the two aspects of the influence of the international political situation and the influence of economic globalization. Secondly, through compulsory arbitration and diplomatic protection, In the host country, the local relief, the foreign court litigation and the traditional international commercial arbitration are compared, and the reasons for the transition of the host country to the compulsory arbitration are analyzed. Finally, the operation mode and the function of the compulsory arbitration are discussed.
The sixth chapter, the practice and Countermeasures of China's settlement of international investment disputes. First, summarize the practice of China's general jurisdiction over ICISD. Secondly, analyze the influence that the appeal system may bring to China. Again, the position of China to improve the transparency of international investment arbitration is discussed, and the policy suggestions are put forward to improve the investment legislation in China.
The main innovation of this article is:
First, this paper, focusing on the appealing mechanism of arbitration at home and abroad, focuses on the dual status of our country and the future in the field of international investment, that is, the special status of the big country of capital input and the big country of capital output, and advocates that our country should actively deal with and utilize the arbitration appeal system in the future, and put forward some policy suggestions.
Second, in strengthening the transparency of arbitration, this article adopts the middle position, not only against excessive clandestine, but also against excessive transparency, advocating a moderate release of the secret, not only ensuring the procedural rights of the arbitration parties, but also ensuring the right of the tribunal to enjoy the right to know and participate in the procedural rights. If so, then the secret and openness will be found. At the equilibrium point, we can provide new ideas and strategies for China to deal with the issue of transparency.
Third, in the face of the issue of compulsory arbitration, this article does not agree with China's adoption of a "fully accepted" model, advocating flexible mastery for different countries and avoiding extreme choices.
The inadequacies of this paper are:
First, although this paper uses a combination of theoretical and empirical research methods, the proportion of the theoretical research is still greater than the empirical study. This is because I lack the personal experience of participating in the international investment dispute settlement procedure, and can only collect relevant information from some major countries, and understand some ideas and practices in other countries. Limited, it is difficult to expand the empirical study more.
Second, in the proposed policy recommendations, the contents of the specific provisions are not involved. For example, on the issue of the establishment of the ICSID arbitration appeal mechanism, this article, although in the policy recommendations, gives a more detailed list of the reasons and purposes of the legislation, the appeal procedure, the reason for the appeal, the composition of the small members of the appeal, the procedure and duration of the appeal, the object of appeal, the result of the appeal, Appeal fees and guarantees and other issues, but this is only a framework proposal, not a clear and precise form of provision.

【学位授予单位】：东北财经大学
【学位级别】：博士
【学位授予年份】：2013
【分类号】：D996.4

【参考文献】