硕士学位论文：论国际投资仲裁中公共利益和私人利益的平衡.doc

1、1硕士学位论文（20 届）论国际投资仲裁中公共利益和私人利益的平衡姓 名学 科 、 专 业 国 际 法 学 （ 全 日 制 法 学 硕 士 ）研 究 方 向 国 际 经 济 法指 导 教 师论文提交日期2论国际投资仲裁中公共利益和私人利益的平衡（硕士论文摘要） 随着经济全球化趋势的不断演进，国际投资以及由此引发的争端也日益增多。由于国际投资争端的解决涉及到投资者、投资者母国、东道国等多方利益，加之世界经济发展的不平衡，因此在投资争端解决方式的问题上始终存在着激烈的矛盾和冲突。国际投资仲裁正是顺应趋势，在发展中国家和发达国家相互妥协的基础上产生的一种解决投资者和东道国之间投资争议的方式。不可否认

2、，该制度的出现极大的推动了国际投资争端的解决，它所提供的一系列有效的机制和规则解决了传统的国际投资争端解决机制所存在的问题。因此，国际投资仲裁制度也日益受到国际社会的重用。但是，这一制度也存在许多问题，首当其冲的就是该制度对于东道国公共利益忽视的现状，这也是本文将要讨论的问题。许多“投资者-东道国争议”的核心都是公共政策问题，是由于东道国采取了一些特定措施，比如通过法律或行政手段保护环境、调整产业等，而这些措施引起了投资者对东道国侵犯其条约权利的质疑，进而引发争议。因此，国际投资仲裁的裁决结果对于一个主权国家在其境内规范企业的权力往往会造成重大的影响。然而，目前存在的国际投资公约、区域性投资贸

3、易协定、双边投资保护协定和资本输入国国内外资立法中，往往忽视东道国的公共利益保护而更倾向于给外国投资者更多的保护。这一方面是发达国家追求投资自由化的结果和对本国投资者利益的保护，另一方面则是发展中国家为了吸引外资而对发达国家作出的妥协。在实践中，国际投资仲裁制度中东道国公共利益和投资者私人利益的失衡主要表现在三个方面：缺乏透明度、缺乏有效的监督机制以及“强制性仲裁”问题。这些问题已经引起了东道国政府以及整个国际社会的广泛关注和重视。一些国家已经在弹劾或重新谈判现存的双边投资保护协定。而 ICSID 中心、NAFTA 仲裁庭等也都开始着手修订条约或仲裁规则，将“法庭之友”引入国际投资仲裁制度，以

4、增加其透明度。围绕这一主题，本文进行了较为详细的论述，除了引言和结语，分为三章。第一章介绍了国际投资仲裁机制的产生和发展，优势和缺陷，重点论述了国际3投资仲裁中忽视东道国公共利益的现状，及其最新的发展状况。第二章从国际投资仲裁的保密性、法庭之友制度以及强制性仲裁三个方面分别详细论述了国际投资仲裁制度中东道国公共利益和投资者私人利益失衡的原因，以及几个重要的国际投资仲裁庭的规则和实践。第三章则参考一些国家和组织的做法和前人提出的一些观点，从东道国、投资者和国际组织三方面出发，提出了在国际投资仲裁制度中平衡东道国公共利益和投资者私人利益的一些想法和建议。本文的创新之处主要有两点：一、从透明度、法庭

5、之友和强制性仲裁三个主要方面分别介绍了国际投资仲裁制度中东道国公共利益和投资者私人利益的失衡，相比于一些专门介绍透明度或法庭之友制度的文章来说，更为系统综合；二、从东道国、投资者和国际组织三方面提出了平衡东道国公共利益和投资者私人利益的一些想法和建议，有一定的实践参考价值。关键词 国际投资仲裁 东道国公共利益 投资者私人利益1The Balance of Public Interest and Private Interest in International Investment Arbitration(Abstract)With the development of economic gl

6、obalization, international investments and disputes therewith are ever increasing. Because the settlement of international investment dispute involves the benefits of the investor, the home country and the host country, as well as the imbalance of world economic development, intense contradictions a

7、nd conflicts always exist in the settlement of investment disputes. Thus comes the international investment arbitration, which is the product of the compromise between developed countries and developing countries for the settlement of disputes between investors and host countries.Undeniably the appe

8、arance of the international investment arbitration, which surpasses many of the obstacles from traditional disputes settlement systems, contributes greatly to the successful settlement of international investment disputes. So the international society is paying more and more attention to this disput

9、es settlement methods.However, there are also problems from this method. One of the highlighted problems is its omission of public interests of the host countries, and this is also the topic of this article. Many of investor-state disputes relate to the host countries public polices, especially thos

10、e concerning the protection of environment or the adjustment of industries, which may in the form of a new law, or the exercise of its administrative power. Some of these public polices may affect foreign investors benefits, thus give rise to the disputes between investors and the host countries. So

11、 the result of international investment arbitration may greatly affect a sovereign countrys power to govern enterprises within its territory. However international investment conventions, regional investment treaties, bilateral investment agreements or even countries foreign investment laws are pres

12、ently obviously paying more attention to the protection of the benefit of investors and on the other hand omitting the public interest of host countries. 2The imbalance of interest between investors and host countries is presented in three ways in practice: the lack of transparency, the lack of effe

13、ctive supervision and the question of “compulsory arbitration”. All these problems have been attracting more and more attention from international society. And some countries have already tried to impeach or amend their investment treaties between them and other countries. The ICSID, the NAFTA arbit

14、ration court and other international arbitration court also begin to amend treaties or their arbitration rule to increase the degree of transparency.The article consists of three chapters except for the prologue and the conclusion. The first chapter introduces the coming into being and the developme

15、nt of international investment arbitration, its merits and defects, and then focuses on the present situation of the omission of the interest of public interest. The second chapter first analyzes the reasons that lead to the imbalance of interests from the confidentiality of international investment

16、 arbitration, the system of amicus curiae and compulsory arbitration, and then the rules and practices of some famous international investment arbitration court. The third chapter presents some suggestions for the solving of the problem based on the practice of some countries or organizations or the

17、 opinions of former researchers.The two creative points are as following:First, the article analyzes the imbalance of interests between investors and host countries from the point of transparency, the system of amicus curiae and compulsory arbitration, which is different form some articles introduci

18、ng specially transparency or the system of amicus curiae, and is more comprehensive.Second, the article presents respectively some suggestions from the host country, investor and international organization, which may contributes to improve of the present situation.Key Words International Investment

19、Arbitration Public Interest of Host Country 3Private Interest of Investor1目 录引 言 .1第一章 国际投资仲裁机制中的公共利益和私人利益 .1第一节 国际投资仲裁概述 .1一、国际投资争端概述 .1二、国际投资仲裁的含义和发展 .3三、国际投资仲裁的优势和缺陷 .5第二节 国际投资仲裁中公共利益和私人利益的冲突 .8一、公共利益的概念 .8二、国际投资及国际投资仲裁中对东道国公共利益忽视的现状 .9三、国际投资条约和国际投资争端的新近发展 .11第二章 国际投资仲裁中的具体制度 对公共利益的影响 .13第一节 国际投资

20、仲裁的保密性与公共利益 .13一、国际商事仲裁的保密性 .13二、国际投资仲裁的保密性与东道国公共利益的冲突 .15三、国际投资仲裁中关于透明度的规则及实践状况 .16第二节 国际投资仲裁中的“法庭之友”与公共利益 .20一、 “法庭之友”的定义、渊源及其法律价值 .20二、国际投资仲裁中对“法庭之友”概念的引进 .21三、NAFTA 和 ICSID 对“法庭之友”的规定及其实践 .22第三节 国际投资仲裁中的强制性仲裁 .29一、仲裁协议在国际商事仲裁中的重要性 .29二、国际投资仲裁领域出现的“强制性仲裁”现象 .31三、强制性仲裁对东道国公共利益可能产生的影响 .33第三章 国际投资仲裁中公共利益和私人利益的平衡 .35第一节 通过国内外资立法和 BITs 维护东道国公共利益 .352一、现状 .35二、国家可以做出的努力 .36第二节 通过多边投资公约和国际仲裁规则的修订平衡国际投资仲裁双方的利益 .38一、现状 .38二、相关国际组织可以作出的努力 .39第三节 通过承担社会责任发展外国投资者的长远利益 .41一、现状和分析 .41二、私人投资者应该改变对待国际投资仲裁机制的态度 .42结 语 .43参考文献 .45在读期间发表的学术论文与研究成果 .51后 记 .52