ICSID改革的困境与突破

论文总字数：26317字

摘 要

20世纪90年代后，国际投资环境发生了巨大变化，国际投资仲裁出现的频率逐渐增高。然而由于投资仲裁继受于商事仲裁，仲裁庭片面地强调保护投资者的私有财产，导致东道国在仲裁中往往处于不利地位，引发了各国及学界有关投资仲裁“正当性危机”的探讨。为了应对日益严重的“正当性危机”，世界各国及一些具有影响力的国际组织开始尝试对ICSID机制进行改革，力求建立一个可以应对大部分争端，进而做出最终裁决的法律制度。其中，UNCITRAL、欧盟和美国分别对ICSID上诉机制的建立提供了理论构架及实践成果，侧面反映出建立一个ICSID上诉机制已经迫在眉睫。在此过程中，一部分学者提出建立ICSID上诉机制会引起效率问题，因为建立新的ICSID上诉机制意味着必须打破现有的一裁终局原则，且上诉机制不能保证裁决一致。另外，对于上诉机制的定位也存在诸多争议。为解决上述困境，ICSID应当将美国模式与欧盟模式相结合，对于上诉机制的适用范围、上诉理由和审查权限、上诉庭的组成与权限、上诉裁决的权威性等方面进行详细规定。

关键词：国际投资仲裁 解决投资争端国际中心（ICSID） 上诉机制

ABSTRACT

Since the 1990s, the international investment environment has undergone great changes, and the frequency of international investment arbitration has gradually increased. However, as investment arbitration is subject to commercial arbitration, the arbitral tribunal one-sidedly emphasizes the protection of investors' private property, which often puts the host country in an unfavorable position in the arbitration, and leads to the discussion on the "legitimacy crisis" of investment arbitration in various countries and academic circles. In response to the growing crisis of legitimacy, countries around the world and some influential international organizations have begun to reform the ICSID mechanism, aiming to establish a legal system that can deal with most disputes and make the final decision. Among them, UNCITRAL, the European Union and the United States have provided the theoretical framework and practical results for the establishment of ICSID appeal mechanism respectively, which reflects the urgency of establishing an ICSID appeal mechanism. In this process, some scholars proposed that the establishment of ICSID appeal mechanism would cause efficiency problems, because the establishment of a new ICSID appeal mechanism means that the existing principle of one final ruling must be broken, and the appeal mechanism cannot guarantee the consistency of the ruling. In addition, there are many disputes about the positioning of the appeal mechanism. In order to solve the above dilemma, ICSID should combine the us model with the eu model, and make detailed provisions on the application scope and object of appeal mechanism, reasons for appeal and review authority, composition and authority of appeal court, authority of appeal ruling, etc.

Key words: international investment arbitration，International centre for the settlement of investment disputes (ICSID)，The appeal mechanism

目 录

摘要 Ⅰ

ABSTRACT Ⅱ

引言 1

一、 ICSID改革议题之核心：设立上诉机制 1

（一） ICSID改革原因：国际投资仲裁之“正当性危机” 1

1. 裁决一致性缺乏 1

2. 裁决公正性缺失 2

3. 裁决纠错机制缺位 2

（二） ICSID改革方案：核心议题之设立上诉机构 2

1. UNCITRAL：多边投资法庭模式 3

2. 欧盟：常设仲裁模式 3

3. 美国提出NAFTA模式 3

二、 ICSID上诉机制的设立困境 4

（一） 表象：解决“正当性危机”之困境 5

1. 上诉机制的效率问题 5

2. 上诉机制不能保证裁决一致 6

（二） 根源：ICSID机制定位之困境 8

1. 欧盟：去商事化 9

2. 美国：保留商事化 9

三、 ICSID上诉机制设立困境之破解 10

（一） 机制定位：将美国模式与欧盟模式相结合 10

（二） 机制构建 12

1. 上诉机制适用范围 12

2. 上诉理由和审查权限 13

3. 上诉庭组成与权限 13

4. 保证上诉裁决的权威性 14

四、 结论 15

参考文献 17

（一）中文 17

（二）英文 17

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