ICSID框架下投资者诉权泛化问题探析
发布时间：2018-10-25 06:28
【摘要】：近年来,依据《解决国家与他国国民间投资争端公约》("ICSID公约")设立的国际投资争端解决中心("ICSID")在国际投资领域重要性愈发突出,逐渐成为国际投资领域最重要的争端解决机制。中国签署的134份双边投资协定中有51份将ICSID作为其中一种争端解决机制的选择途径,有19份将ICSID作为唯一的争端解决。与此同时,中国已有两起仲裁案在册。因此,探讨ICSID框架下国家包括中国可能面临的仲裁风险越来越重要。而投资者提起仲裁是所有仲裁程序展开的第一步,哪些投资者有权提起仲裁,也即投资者诉权的问题也越发重要。ICSID框架下,投资者诉权的基础是ICSID对于争端的管辖权。确立投资者适格与否,主要围绕各缔约国国际投资条约("IIA")中对于"投资"、"投资者"的定义展开讨论。在实践中,仲裁庭在对IIA约定的"投资"、"投资者"认定过程中一步步扩张了投资者的诉权。投资者诉权的泛化带来最直接的问题为各缔约国带来了高额仲裁成本。同时,投资者诉权泛化还将导致针对相同事件的仲裁结果不一致,进而影响ICSID仲裁庭的合法性。除此以外,投资者诉权泛化还会带来其他的法律冲突,诸如与各缔约国国内公司法的冲突、对公司其他债权人的伤害等等。通过实证研究的总结,导致投资者泛化的原因是多重。投资者泛化源于ⅡA中对于投资、投资者的宽泛界定,而在ⅡA界定宽泛的同时ICSID框架又缺少明确的法律解释框架和判例法制度,这就给了仲裁庭很大的解释空间。而投资者泛化最直接的原因是仲裁庭在对IIA进行解读时倾向于扩大解释。问题在于仲裁庭为何会对"投资"和"投资者"定义进行宽泛解释,仲裁庭解释IIA的路径是怎样的,仲裁庭又为何会采取该路径作为解释IIA的方法。根据国际法委员会对于《维也纳条约法公约》的评注中表示,通常条约解释的方法可以被分为客观解释方法、主观解释方法以及目的论解释方法。ICSID仲裁庭的法律解释也可以被置于三个维度下观察。通过对于ICSID判例的研究,不难发现,ICSID仲裁庭以《维也纳条约法公约》第三十一条、第三十二条的解释方法为据,ICSID仲裁庭往往先从IIA入手寻找IIA是否对特定概念进行了定义;在IIA未明确约定时,偏好采取客观解释的路径,也即通过权威词典来获得某个概念的含义。但是ICSID仲裁庭往往止步于此,导致了很多争议。ICSID仲裁庭在部分裁定中也会考虑到ⅡA各方签订的主观意思,但无论从绝对数量还是比例来看均不占优势,甚至屈指可数。有仲裁庭在文本无明确规定是采取主观解释的方法,也有仲裁庭在有文本规定的情况下进一步以主观解释方法求证。因为在有文本情况下的判例未发现与主观解释方法想冲突,因而难以评价在冲突时,是否主观解释方法仍可以优先。就目的解释而言,仲裁庭考虑ⅡA文本中所约定的目的和宗旨,并以此作为依据进行解释。尤其是在案涉ⅡA对于投资、投资者未做出相应的约定时,仲裁庭往往依据ⅡA中对于目标和宗旨的约定进行扩大解释。尽管ICSID仲裁庭采取的扩大解释路径有待商榷,考虑到对IIA解读本身不会导致仲裁裁决失效,除ICSID本身的法律解释制度改革外,各缔约国包括中国也需及时修订IIA避免投资者诉权泛化带来的困扰。各缔约国可采取的办法包括但不限于增加弃权条款,限制各投资者起诉的路径;增加合并审理条款,避免被迫针对一项政府行为的多起仲裁;增加拒绝利益受惠条款款,避免各投资者以挑选ⅡA为目的设立壳公司。通过上述措施,各缔约国可以在一定程度上避免投资者诉权泛化的困扰,在保护和促进投资的同时,也可适当控制ICSID仲裁带来的风险。
[Abstract]:In recent years, the international investment dispute settlement centre ("ICSID") established under the Convention on the Settlement of Civil Investment Disputes between States and His Countries ("ICSID Convention") has become increasingly important in the field of international investment and is becoming the most important dispute settlement mechanism in the field of international investment. Of the 134 bilateral investment agreements signed by China, the ICSID was selected as one of the options for dispute settlement mechanism, and 19 of them resolved the ICSID as the sole dispute. At the same time, two arbitration cases have been registered in China. Therefore, it is more and more important to probe into the possible arbitration risks in countries including China under the framework of ICSID. It is also more important for investors to initiate arbitration as the first step in all arbitration proceedings and which investors have the right to initiate arbitration. Under the ICSID framework, the basis of the investor's interest is ICSID's jurisdiction over the dispute. To establish the suitability of investors, we mainly focus on the definition of "Investment" and "Investors" in the international investment treaties ("IIA") of the States parties. In practice, in the "Investment" agreed by IIA, the arbitral tribunal step-by-step expanded the interests of investors in the process of identifying the "Investors". The most direct problem brought about by the generalization of the investor's jurisprudence has brought high arbitration costs for each State party. At the same time, the generalization of investors will also lead to inconsistent arbitration results for the same events, thus affecting the legality of ICSID arbitral tribunal. In addition, the generalization of investors will bring about other legal conflicts, such as the conflict with the domestic law of each State party, the harm to other creditors of the company, and so on. Through the summary of empirical research, the reason for the generalization of investors is multiple. The generalization of investor's generalization stems from the broad definition of investment and investor in 鈪, while in the broad definition of IIA, there is a lack of clear legal interpretation framework and case law system, which gives the arbitral tribunal a large interpretation space. The most direct reason for investors' generalization is that the arbitral tribunal tends to expand its interpretation when interpreting IIA. The question was why the arbitral tribunal would interpret the "Investment" and "Investors" definitions broadly, and why the arbitral tribunal interpreted the path of IIA, and why the arbitral tribunal would take that path as a way to explain IIA. In the commentary to the Vienna Convention on the Law of Treaties, the Commission on the Law of Treaties, in accordance with the International Law Commission, states that the methods of interpretation of treaties can be classified into objective interpretation methods, subjective interpretation methods and teleological interpretation methods. The legal interpretation of ICSID arbitral tribunals can also be observed in three dimensions. Through the study of ICSID case, it is not difficult to find that ICSID arbitral tribunal, according to the interpretation method of the Vienna Convention on the Law of Treaties> 31, 32, is that ICSID arbitral tribunal often begins with IIA to find out whether IIA defines a specific concept; when IIA is not expressly agreed, Preference is to take an objective explanation of the path, that is, to obtain the meaning of a certain concept through an authoritative dictionary. But the ICSID tribunal often stops here, leading to a lot of controversy. The ICSID tribunal will also take into account the subjective meaning signed by all parties in Part II in the partial ruling, but there is no advantage in terms of absolute quantity or proportion, even numbered. There are no explicit methods of subjective interpretation in the text of the arbitral tribunal, and there is a further subjective interpretation method in the case where the arbitral tribunal has the provisions of the text. It is difficult to evaluate whether the subjective interpretation method may be preferred in the case of conflict, since it is difficult to assess whether there is a conflict with the subjective interpretation method in the case of text. For purposes of explanation, the arbitral tribunal considered the object and purpose agreed in the text of Part II and explained it as a basis. In particular, when the investor does not make a corresponding agreement on investment and investor, the arbitration tribunal tends to expand the interpretation according to the agreement on the object and purpose in Part II A. Although the expanded interpretation path adopted by ICSID arbitral tribunal needs to be discussed, considering that the IIA interpretation does not lead to the failure of the arbitration award itself, besides the reform of the legal interpretation system of ICSID itself, each State Party includes China also needs to revise IIA in time to avoid the perplexity caused by the generalization of the investor. The measures that may be taken by States parties include, but are not limited to, the addition of abstaining clauses, limiting the path of prosecution by investors, increasing the provisions of the merger, avoiding the forced arbitration of a Government's conduct, and increasing the benefit-benefit clause, Avoid all investors to set up a shell company for the purpose of selecting II A. Through the above-mentioned measures, each Contracting Party may, to a certain extent, avoid the perplexity of the generalization of the investor, and at the same time protect and promote the investment, the risk of ICSID arbitration can be appropriately controlled.
【学位授予单位】：北京外国语大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D996.4
本文编号：2292897
[Abstract]:In recent years, the international investment dispute settlement centre ("ICSID") established under the Convention on the Settlement of Civil Investment Disputes between States and His Countries ("ICSID Convention") has become increasingly important in the field of international investment and is becoming the most important dispute settlement mechanism in the field of international investment. Of the 134 bilateral investment agreements signed by China, the ICSID was selected as one of the options for dispute settlement mechanism, and 19 of them resolved the ICSID as the sole dispute. At the same time, two arbitration cases have been registered in China. Therefore, it is more and more important to probe into the possible arbitration risks in countries including China under the framework of ICSID. It is also more important for investors to initiate arbitration as the first step in all arbitration proceedings and which investors have the right to initiate arbitration. Under the ICSID framework, the basis of the investor's interest is ICSID's jurisdiction over the dispute. To establish the suitability of investors, we mainly focus on the definition of "Investment" and "Investors" in the international investment treaties ("IIA") of the States parties. In practice, in the "Investment" agreed by IIA, the arbitral tribunal step-by-step expanded the interests of investors in the process of identifying the "Investors". The most direct problem brought about by the generalization of the investor's jurisprudence has brought high arbitration costs for each State party. At the same time, the generalization of investors will also lead to inconsistent arbitration results for the same events, thus affecting the legality of ICSID arbitral tribunal. In addition, the generalization of investors will bring about other legal conflicts, such as the conflict with the domestic law of each State party, the harm to other creditors of the company, and so on. Through the summary of empirical research, the reason for the generalization of investors is multiple. The generalization of investor's generalization stems from the broad definition of investment and investor in 鈪, while in the broad definition of IIA, there is a lack of clear legal interpretation framework and case law system, which gives the arbitral tribunal a large interpretation space. The most direct reason for investors' generalization is that the arbitral tribunal tends to expand its interpretation when interpreting IIA. The question was why the arbitral tribunal would interpret the "Investment" and "Investors" definitions broadly, and why the arbitral tribunal interpreted the path of IIA, and why the arbitral tribunal would take that path as a way to explain IIA. In the commentary to the Vienna Convention on the Law of Treaties, the Commission on the Law of Treaties, in accordance with the International Law Commission, states that the methods of interpretation of treaties can be classified into objective interpretation methods, subjective interpretation methods and teleological interpretation methods. The legal interpretation of ICSID arbitral tribunals can also be observed in three dimensions. Through the study of ICSID case, it is not difficult to find that ICSID arbitral tribunal, according to the interpretation method of the Vienna Convention on the Law of Treaties> 31, 32, is that ICSID arbitral tribunal often begins with IIA to find out whether IIA defines a specific concept; when IIA is not expressly agreed, Preference is to take an objective explanation of the path, that is, to obtain the meaning of a certain concept through an authoritative dictionary. But the ICSID tribunal often stops here, leading to a lot of controversy. The ICSID tribunal will also take into account the subjective meaning signed by all parties in Part II in the partial ruling, but there is no advantage in terms of absolute quantity or proportion, even numbered. There are no explicit methods of subjective interpretation in the text of the arbitral tribunal, and there is a further subjective interpretation method in the case where the arbitral tribunal has the provisions of the text. It is difficult to evaluate whether the subjective interpretation method may be preferred in the case of conflict, since it is difficult to assess whether there is a conflict with the subjective interpretation method in the case of text. For purposes of explanation, the arbitral tribunal considered the object and purpose agreed in the text of Part II and explained it as a basis. In particular, when the investor does not make a corresponding agreement on investment and investor, the arbitration tribunal tends to expand the interpretation according to the agreement on the object and purpose in Part II A. Although the expanded interpretation path adopted by ICSID arbitral tribunal needs to be discussed, considering that the IIA interpretation does not lead to the failure of the arbitration award itself, besides the reform of the legal interpretation system of ICSID itself, each State Party includes China also needs to revise IIA in time to avoid the perplexity caused by the generalization of the investor. The measures that may be taken by States parties include, but are not limited to, the addition of abstaining clauses, limiting the path of prosecution by investors, increasing the provisions of the merger, avoiding the forced arbitration of a Government's conduct, and increasing the benefit-benefit clause, Avoid all investors to set up a shell company for the purpose of selecting II A. Through the above-mentioned measures, each Contracting Party may, to a certain extent, avoid the perplexity of the generalization of the investor, and at the same time protect and promote the investment, the risk of ICSID arbitration can be appropriately controlled.
【学位授予单位】：北京外国语大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D996.4
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