对建立ICSID仲裁上诉机制的思考

发布时间：2018-07-23 15:46

【摘要】：解决投资争端国际中心(ICSID)是发达国家与发展中国家在长期斗争中相互妥协的产物。其旨在为东道国政府与外国投资者提供调解和仲裁的便利,排除投资者母国介入,使投资争端解决非政治化,促进私人资本的自由流动。 ICSID成立之初至上世纪90年代,确实对国际投资争端解决起到了积极的推动作用,但是上世纪90年代后,国际情势发生了变化。随着经济全球化的深入,大量外国投资者向不同国家涌入,投资仲裁案件随之迅猛增加,东道国开始意识到引进外资,片面强调私人利益保护给国家公共利益带来的损害。因而近年来,主要是以保护私人投资者利益为制度设计的ICSID遭受到了其公正性的质疑。与此同时ICSID在担任解决投资争端重任的过程中也逐渐暴露出了其体制上的不少缺陷,引发了“ICSID的合法性危机”。在此基础上,以美国为主的发达国家提出了建立国际投资仲裁上诉机制的意见,并在双边投资条约中开始实践。随后ICSID秘书处也作出了一个关于建立上诉便利制度构想的报告。然而这些举动遭到了很多学者以及国际仲裁员的反对,他们认为这是逆潮流而动的行为,而且建立ICSID上诉机制在实践中也是困难重重,难以实现。在ICSID体制内能否纳入一个上诉机制,建立上诉机制的障碍能否解除是笔者对建立ICSID上诉机制思考的核心所在,围绕这一思考主题,本文进行了详细论述。除了引言和结语,本文一共分为四章,旨在以第一章“ICSID成立背景及发展”、第二章“上诉机制建立的理由及分歧”为基础来探求建立ICSID上诉机制的必然性及出路,并最终通过第三章中的“上诉机制有其存在必要性”、“解除理论分歧中的观念障碍”、“解除实践分歧中的技术障碍”三个方面论述了笔者支持ICSID建立上诉机制的观点,一一反驳了反对建立上诉机制的理由。另外,面对我国对外承担着广泛国际投资条约义务的新情势,笔者在第四章中分析了ICSID仲裁上诉机制建立对我国的现实意义所在并提出了我国应如何应对这一问题的一些对策。确保国际国内两条法律救济途径的公正、有效,针对不同情况不同地区谨慎的引入ICSID上诉制度是中国面临一个极有可能诞生的新机制所应持有的基本政策取向。
[Abstract]:The International Center for the settlement of Investment disputes (ICSID) is the product of mutual compromise between developed and developing countries in their long struggle. Its purpose is to facilitate mediation and arbitration between the host Government and foreign investors, to exclude the involvement of the home country of the investor and to depoliticize the settlement of investment disputes, Promoting the free flow of private capital. From the beginning of ICSID to the 1990s, it did play a positive role in the settlement of international investment disputes, but after the 1990s, the international situation has changed. With the deepening of economic globalization, a large number of foreign investors poured into different countries, and the investment arbitration cases increased rapidly. The host country began to realize the introduction of foreign capital and unilaterally emphasized the damage to the national public interest caused by the protection of private interests. In recent years, ICSID, designed mainly to protect the interests of private investors, has been questioned about its impartiality. At the same time, in the process of resolving investment disputes, ICSID has gradually exposed many defects in its system, which has caused "the legitimacy crisis of ICSID". On this basis, the developed countries mainly in the United States put forward the proposal of establishing an international investment arbitration appeal mechanism, and began to practice in bilateral investment treaties. The ICSID secretariat then gave a report on the idea of establishing an appeal facility system. But the moves have been opposed by many academics and international arbitrators, who see it as an act that goes against the tide, and that the establishment of the ICSID appeals mechanism is difficult to achieve in practice. Whether an appeal mechanism can be included in the ICSID system and whether the obstacles to the establishment of the appeal mechanism can be removed is the core of the author's thinking on the establishment of the ICSID appeal mechanism. In addition to the introduction and conclusion, this paper is divided into four chapters. The purpose of this paper is to explore the inevitability and outlet of the establishment of ICSID appeal mechanism based on the first chapter, "the background and development of ICSID", and the second chapter, "the reasons and differences of the establishment of the appeal mechanism". Finally, through the third chapter of "the appeal mechanism has its necessity", "to lift the theoretical differences in the concept of obstacles", "to remove the technical barriers in the practice of disagreement" three aspects of the author to support the establishment of the appeal mechanism of ICSID viewpoint. The arguments against the establishment of an appeal mechanism were refuted one by one. In the fourth chapter, the author analyzes the practical significance of the establishment of ICSID arbitration appeal mechanism for China and puts forward some countermeasures for China to deal with this problem. To ensure the justice and effectiveness of the two legal remedies at home and abroad, and to introduce the ICSID appeal system prudently according to different situations and regions, is the basic policy orientation that China should hold when facing a new mechanism which is very likely to be born.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.4

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