国际投资中的“公平与公正待遇”研究

发布时间：2018-06-25 23:47

本文选题：公平与公正待遇 + 投资者保护　；参考：《复旦大学》2014年博士论文

【摘要】：自从“公平与公正待遇”在国际投资案件中被首次援引,在很短的时间内,它就成为了国际投资领域最为重要的、至上的“帝王性规则”。国际投资仲裁史上,几乎每一个以“公平与公正待遇”作为诉因的案件中,投资仲裁庭都会基于案件的具体情况、从多角度、多层次对“公平与公正待遇”的内涵作出不同的解释,这显示出了“公平与公正待遇”内涵的多样化和多层次性。本文即是对以“公平与公正待遇”为名的“外国投资者待遇制度”进行实质性探究的一篇论文,试图通过对ICSID国际投资仲裁庭已决判例的梳理总结,从实证的角度对“公平与公正待遇”的内涵及实质进行详尽的探讨。本文的总体思路是：首先对传统国际法中与“公平与公正待遇”具有源流关系的几项法律制度进行历史的研究、对“公平与公正待遇”制度的来龙去脉进行梳理和总结；在此基础之上,本文对“公平与公正待遇”的语源、与其它种类的外国投资者待遇之间的关系、以及与相关国际法理论之间的关系进行基础性的探讨；接下来再对“公平与公正待遇”中包含的实体性法理、以及程序性法理进行梳理和总结；最后,本文探讨了“国家责任理论”在“公平与公正待遇”中的具体运用。“导论”部分主要是对“公平与公正待遇产生的背景和原因”进行了探讨。具体而言,该部分将国际投资法律制度的演变历程以三个关键性历史转变作为主要线索、结合“公平与公正待遇”的产生、发展、演变过程,对“公平与公正待遇”与传统国际法制度的源流关系、以及产生的原因、契机进行了探讨。第一章“‘公平与公正待遇’的历史溯源及内涵探究”主要是探讨了三个大问题：其一是对“公平与公正待遇”从出现于早期的国际经贸条约、再到近现代的国际投资条约的蓬勃过程给予了介绍；其二是对构成“公平与公正待遇”的核心词汇——"Fair"和"Equitable"的一般字面语义、在普通法传统中的特定语义、以及在现代国际法中的特定语义进行了考证与分析,从而在对其语源的充分探讨基础之上,对“公平与公正待遇”的内涵进行初步的理解；其三是将“公平与公正待遇”置于投资者待遇制度中,通过对“公平与公正待遇”和其它几种投资者待遇的比较,对其基础涵义进行解释——主要对“公平与公正待遇”和“国民待遇”、“最惠国待遇”之间在国际投资文本中的联系、以及在国际投资仲裁实践中对几者之间的内在联系进行了分析。第二章“‘公平与公正待遇’的国际法标准”主要探讨了三个问题：其一是对“公平与公正待遇”的国际法理论渊源进行了探讨——由于“公平与公正待遇”的“非自足性”,因而其内涵的解释需要从国际法理论中寻求支持,包括“公约的解释方法”、“习惯国际法理论”、“国际最低待遇标准”、“文明国家认同的一般法律原则”、及“公允善良原则”等,这已经在国际投资仲裁实践中得到了充分认同；其二是对“公平与公正待遇”与“习惯国际法理论”之间的关系、以及“公平与公正待遇”与“国际最低待遇标准”之间的关系进行了梳理和总结。本文在对两项理论的基础性法理进行分析的基础上、结合国际投资仲裁庭司法实践对两项理论的应用情况,从较为客观的角度上对该两项理论对“公平与公正待遇”法理形成过程中所起到的作用、及其应用于“公平与公正待遇”解释的局限性进行了较为详尽的分析。第三章“‘公平与公正待遇’中的实体性标准”主要探讨了四个大问题：第一节“‘公平与公正待遇’中的‘非歧视原则’”,在对“非歧视原则”在国际法中的一般含义给予解释的基础之上,对国际投资法领域的“非歧视”的内涵进行了较为深入的探讨、并且通过对国际投资仲裁案件的梳理,对何种“歧视行为”能够构成违反“公平与公正待遇”、从而引发东道国国家责任的问题进行了较为深入的研究；第二节“‘公平与公正待遇’中的‘投资者合法期待保护’”,在对“投资者期待”的国内法渊源介绍的基础之上,对国际投资领域的“投资者合法期待”进行了较为深入的分析,通过国际投资仲裁实践中与“投资者合法期待”相关的案件的研究和探讨,该节对影响到“投资者期待”的合法性的因素、以及“投资者合法期待”的因素在判定“公平与公正待遇”是否遭到违反的权衡过程中的权重等问题进行了较为深入的探讨；第三节“‘间接征收’理论与‘公平与公正待遇’”,首先对“间接征收”概念的产生、其实质内涵、与引起的法律后果等基础理论进行了介绍,接下来,本文通过对投资者提起的以“间接征收”为诉因的国际投资仲裁案件的梳理,在当前的国际投资规则框架下,对东道国的哪些行为构成“间接征收”、“间接征收”与“公平与公正待遇”两者在国际投资仲裁案件中功能上的区别、以及在适用上的互动关系给予了较为深层次的介绍和探讨；第四节“‘投资合同权利保护’与‘公平与公正待遇’的应用”,对投资者基于与东道国政府部门签订的“投资合同”而产生的“合同权利”是否能由国际投资仲裁庭给予管辖、亦即是否能将“合同之诉”上升为“条约之诉”的问题、以及在何种条件下可以进行这类的转化的问题进行了探讨。第四章“‘公平与公正待遇’中的程序性标准”,对国际投资仲裁实践中涉及到的“程序性”争议、以及在仲裁实践中发展确立的理论进行了较为深层次的探讨和研究。第一节“‘正当程序’是‘公平与公正待遇’的本质要求”,对作为现代法治基石的“正当程序”原则进行了渊源上的探究,接下来对国际投资领域的、东道国行为应遵循的“正当程序”理论进行了分类和总结；第二节“‘透明度’原则与‘公平与公正待遇”,对国际法领域的“透明度”原则的一般含义给予分析的基础之上,对国际投资领域的“透明度”原则的内涵、细化为哪些东道国的具体义务、以及具体的投资案件中东道国的行为违反“透明度”要求达到何种程度才构成对“公平与公正待遇”的违反、从而引发国家责任给予了较为详细的探讨；第三节“‘拒绝司法’与‘公平与公正待遇””,首先对“拒绝司法”理论的沿革、在近现代法上的发展、及其在现代法中的含义给予了较为详细的探讨,在此基础之上,该节对“拒绝司法”理论在国际投资领域的应用——“拒绝司法”是否构成国家责任、东道国的哪些行为构成“拒绝司法”、以“拒绝司法”为诉因的“公平与公正待遇”的案件有哪些判定标准等问题给予了详细的探讨；第四节“‘用尽当地救济’与‘公平与公正待遇”,首先对作为习惯国际法规则的“用尽当地救济”的源起、法理基础、以及具体的规则应用给予了介绍,在此基础之上,本节对“用尽当地救济”原则在国际投资法中的地位、及其在“公平与公正待遇”案件中的有限应用给予了较为深入的介绍。第五章“‘公平与公正待遇’与国家责任机制”主要是论述了两个大问题：其一,是对东道国违反“公平与公正待遇”、从而构成国家责任的“违法行为”的类型进行了了分析；其二,对国家责任机制中的“归责理论”、“国家责任主体理论”应用于“公平与公正待遇”案件的情况进行了分析和总结。
[Abstract]:Since " fair and fair treatment " has been first cited in international investment cases , it has become the most important and supreme " imperial rule " in international investment field . In the history of international investment arbitration , almost every investment arbitration tribunal has made different interpretations on the connotation and essence of " fair and fair treatment " in the case of " fair and fair treatment " .
On this basis , the paper discusses the relation between the source of " fair and fair treatment " , the relationship between the treatment of other kinds of foreign investors , and the relationship between the theories of relevant international law ;
Then , the substantive jurisprudence included in the " fair and fair treatment " , as well as procedural jurisprudence , are reviewed and summarized .
In the end , the article discusses the application of " State responsibility theory " in " fair and fair treatment " .
The second is the general literal meaning of " fair and fair treatment " and the general literal meaning of " fair " and " fair " , and the special semantics in common law tradition and the specific semantics in modern international law are examined and analyzed , so as to make a preliminary understanding of the connotation of " fair and fair treatment " on the basis of the full discussion of its etymology ;
The third is to put " fair and fair treatment " in the investor ' s treatment system , explain the basic meaning of " fair and fair treatment " and " national treatment " and " most favored nation treatment " .
The second is the relationship between " fair and fair treatment " and " customary international law theory " , and the relationship between " fair and fair treatment " and " international minimum treatment standard " .
In the second section , " investor ' s legal expectation protection " in " fair and fair treatment " , based on the introduction of the domestic law of " investor expectation " , a deeper analysis of " investor legal expectation " in the field of international investment is carried out , and the factors that affect the legality of " investor expectation " and " investor ' s legal expectation " are discussed in detail in the trade - off process of determining whether " fair and fair treatment " is violated .
In the third section , " indirect expropriation " theory and ' fair and fair treatment ' , the basic theories of " indirect expropriation " concept , its substance connotation and legal consequence are introduced .
In chapter 4 , " The application of protection of investment contract " and " fair and fair treatment " , whether the " contract rights " arising from the investment contract signed with the host government of the host country can be subject to the jurisdiction of the international investment arbitration tribunal , namely whether the " procedural standard " in the practice of international investment arbitration can be raised as the essence of " fair and fair treatment " , and the theory of " due process " as the cornerstone of modern rule of law is explored .
Section II ' Transparency ' principle and ' fair and fair treatment ' , on the basis of the analysis of the general meaning of the principle of " transparency " in the field of international law , the connotation of " transparency " principle in the field of international investment , the specific obligations of the host countries and the extent to which the behavior of the host country in the specific investment cases constitute a violation of " fair and fair treatment " , thus giving more detailed discussion on the State responsibility ;
In the third section , " denial of justice " and ' fair and fair treatment " , first , the evolution of " denial of justice " theory , its development in modern law and its implication in modern law are discussed in detail .
In the fourth section , " exhaustion of local remedies ' and ' fair and fair treatment " , the author gives an introduction to " exhaustion of local remedies " as a rule of customary international law , on the basis of which , this section gives an in - depth introduction to the application of the principle of exhaustion of local remedies in international investment law and its limited application in the case of " fair and fair treatment " .
Second , it analyses and summarizes the case of " fair and fair treatment " applied to the " theory of attribution " and " State responsibility subject theory " in the mechanism of State responsibility .
【学位授予单位】：复旦大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：D996.4

【参考文献】