發(fā)布時(shí)間：2018-04-28 00:29

  本文選題：國際投資 + 爭端��； 參考：《東北財(cái)經(jīng)大學(xué)》2013年博士論文

【摘要】：近年來,隨著國際投資日益增多,國際投資爭端也呈逐年上升的趨勢。為了有效化解國際投資中出現(xiàn)的各種爭端,國際社會一直在試圖確立合理而有效的國際投資秩序,其中,如何規(guī)范國際投資的國民待遇,加強(qiáng)國際投資保護(hù),建立健全國際投資爭端解決機(jī)制,促進(jìn)國際資本自由流動,一直是世界各國共同面臨的重要的國際法律問題。 經(jīng)濟(jì)合作與發(fā)展組織從1990年代起開始研究構(gòu)建一個(gè)多邊投資協(xié)議框架的可行性,但經(jīng)過多年來的艱難談判,一直也未能獲得成功。世界銀行起草的《解決國家和他國國民投資爭端公約》僅適用于以仲裁方式解決東道國政府與外國投資者之間的投資爭端,而且,在仲裁監(jiān)督機(jī)制上沒有規(guī)定仲裁上訴機(jī)制,仲裁程序也缺乏透明度,難以實(shí)現(xiàn)仲裁裁決的實(shí)體性公正。因此,ICSID爭端解決機(jī)制也難以有效、合理、公正地處理好每一個(gè)國際投資所產(chǎn)生的爭端。 另外,各國間簽訂的雙邊協(xié)定乃至多邊條約的數(shù)量雖然迅速增多,但在推動全球普遍適用的國際性爭端解決機(jī)制的形成方面,未能發(fā)揮多大的作用。即便是目前最具有全球影響力的國際經(jīng)濟(jì)組織——WTO體制下,也只能解決國家與國家之間的投資爭端,并不調(diào)整和處理外國私人投資者與國家之間的投資爭端。 正是基于以上的背景,本文以現(xiàn)有的國際投資爭端解決機(jī)制為主線,在全面介紹各項(xiàng)現(xiàn)有制度的基礎(chǔ)上,對其進(jìn)行客觀的比較和評價(jià),力爭為外國私人投資者與東道國間的投資爭端找到一套更為完善的解決機(jī)制。在研究中,以歸納推理為主,演繹推理為輔,堅(jiān)持實(shí)證分析和比較分析相結(jié)合、法理研究和案例研究相結(jié)合的研究方法,對國際投資爭端解決機(jī)制問題展開分析與論述,力爭做到理論聯(lián)系實(shí)際,理論服務(wù)于實(shí)際。 本文分為七章,具體包括如下內(nèi)容： 第一章,緒論。首先,說明本文的選題背景和意義,介紹本文寫作的由來以及對國際投資爭端機(jī)制理論研究與實(shí)踐的意義。其次,說明本文的寫作思路和研究方法,介紹全文的章節(jié)安排以及各章節(jié)的主要內(nèi)容。最后,說明本文的創(chuàng)新與不足之處。 第二章,國際投資爭端解決機(jī)制評析。第一,簡要論述國際投資爭端的概念及其分類,并介紹各類爭端的解決手段。第二,介紹MAI的投資爭端解決機(jī)制,論述MAI草案的誕生背景和經(jīng)過,說明該機(jī)制的主要內(nèi)容,并對該機(jī)制做出基本的評價(jià)。第三,介紹ICSID的爭端解決機(jī)制,論述《解決國家和他國國民投資爭端公約》的產(chǎn)生、宗旨及其發(fā)展過程,著重介紹依據(jù)該公約建立的“解決投資爭端國際中心”,并結(jié)合《解決國家和他國國民投資爭端公約》的主要內(nèi)容,對該機(jī)制做出基本的評價(jià)。第四,介紹NAFTA的爭端解決機(jī)制,論述NAFTA成立的背景及其主要內(nèi)容,列出其爭端解決機(jī)制的基本步驟,對該機(jī)制做出基本的評價(jià)。第五,介紹WTO爭端解決機(jī)制,論述該機(jī)制從形成到不斷完善的歷史沿革以其法律淵源,介紹該機(jī)制的主要程序和規(guī)則,包括爭端解決的政治方法和爭端解決的法律方式,在此基礎(chǔ)上,評析WTO爭端解決機(jī)制。通過對上述四種爭端解決機(jī)制的論述、比較分析與基本評價(jià),指出各機(jī)制的優(yōu)缺點(diǎn)和可資借鑒之處。 第三章,國際投資爭端解決機(jī)制的完善。首先,從WTO爭端解決機(jī)制入手,分析該機(jī)制對國際投資爭端解決機(jī)制的影響。其次,分析WTO爭端解決機(jī)制的優(yōu)缺點(diǎn),取其精華去其糟粕,在擬建的國際投資爭端解決機(jī)制中建議創(chuàng)建兩大程序。再次,論述構(gòu)建ICSID仲裁上訴機(jī)制的必要性和原因。最后,說明擬建的ICSID仲裁上訴機(jī)制應(yīng)當(dāng)涵蓋的主要內(nèi)容,包括現(xiàn)實(shí)基礎(chǔ)、模式、具體內(nèi)容,分析構(gòu)建ICSID仲裁上訴機(jī)制的意義和影響。 第四章,國際投資仲裁透明度問題。首先,論述現(xiàn)有增加透明度的主要嘗試,提出解決問題的途徑。其次,論述投資仲裁程序公開及其法律價(jià)值,對國際投資仲裁的法庭之友問題,也進(jìn)行專門的論述。最后,論述國際投資仲裁秘密性與透明度的平衡問題,介紹發(fā)達(dá)國家與發(fā)展中國家對增加投資仲裁透明度的態(tài)度。 第五章,外國投資者與東道國之間的強(qiáng)制性仲裁。首先,在說明強(qiáng)制性仲裁含義、概括強(qiáng)制性仲裁的特點(diǎn)的基礎(chǔ)上,從國際政治局勢的影響和經(jīng)濟(jì)全球化的影響兩個(gè)方面,分析了強(qiáng)制性仲裁產(chǎn)生的背景。其次,通過強(qiáng)制性仲裁與外交保護(hù)、東道國當(dāng)?shù)鼐葷?jì)、外國法院訴訟和傳統(tǒng)國際商事仲裁的比較,分析東道國對強(qiáng)制性仲裁轉(zhuǎn)變態(tài)度的原因。最后,論述強(qiáng)制性仲裁的運(yùn)行模式及其作用。 第六章,中國解決國際投資爭端的實(shí)踐與對策。首先,總結(jié)中國對ICISD一般仲裁管轄權(quán)的實(shí)踐。其次,分析上訴制度可能給中國帶來的影響。再次,論述中國提高國際投資仲裁透明度的立場、對策。最后,提出完善我國投資立法的政策建議。 本文的主要?jiǎng)?chuàng)新點(diǎn)是： 第一,本文圍繞國內(nèi)外熱議的仲裁上訴機(jī)制,著眼于我國目前及未來在國際投資領(lǐng)域所具有的雙重身份,即既是資本輸入大國也是資本輸出大國的特殊地位,主張我國今后要積極應(yīng)對和利用仲裁上訴制度,并提出了若干政策建議。 第二,在增強(qiáng)仲裁透明度方面,本文采納中間立場,既反對過度的秘密性,也反對過度的透明性,主張適度地放開秘密性,既保證仲裁當(dāng)事方的程序性權(quán)利,也保證法庭之友享受到知情權(quán)、參與程序權(quán)。如果是這樣,那么秘密性與公開性就找到了平衡點(diǎn),從而為我國應(yīng)對透明度問題提供了新的思路和應(yīng)對策略。 第三,在面對強(qiáng)制性仲裁問題上,本文不贊同我國采納“完全接受”的模式,主張針對不同國家采取靈活掌握的做法,避免做出極端的選擇。 本文的不足之處是： 第一,雖然本文采用理論研究與實(shí)證研究相結(jié)合的研究方法,但理論研究所占比重還是大于實(shí)證研究。這是因?yàn)楣P者缺乏參與國際投資爭端解決程序的親身經(jīng)歷,只能收集到一些主要國家的相關(guān)資料,對其他各國的一些觀點(diǎn)和做法了解有限,難以更多地展開實(shí)證研究。 第二,在所提政策建議中,未能涉及到具體條文的內(nèi)容。比如,關(guān)于構(gòu)建ICSID仲裁上訴機(jī)制的問題,本文雖然在政策建議中較為詳細(xì)地列出了立法的原因與目的、上訴程序、上訴理由、上訴小組成員組成、上訴程序與期限、上訴對象、上訴結(jié)果、上訴費(fèi)用與擔(dān)保以及其他問題,但這只不過是一個(gè)框架性建議,不是明確的、精細(xì)的條文形式。
[Abstract]:In recent years, with the increasing number of international investment, international investment disputes have also been increasing year by year. In order to effectively resolve the various disputes arising from international investment, the international community has been trying to establish a reasonable and effective international investment order, among them, how to standardize the national treatment of international investment, strengthen the protection of international investment, and establish a sound country. The international investment dispute settlement mechanism, which promotes free movement of international capital, has always been an important international legal issue faced by all countries in the world.
The organization for economic cooperation and development has begun to study the feasibility of constructing a multilateral investment agreement framework since 1990s, but has failed to achieve success after years of difficult negotiations. The world bank draft Convention on the settlement of the national and national investment disputes of other countries is only applicable to the settlement of the host government and foreign investment by arbitration. In addition, there is no arbitration appeal mechanism in the arbitration supervision mechanism, the arbitration procedure is also lack of transparency and it is difficult to realize the substantive justice of the arbitral award. Therefore, the ICSID dispute settlement mechanism is also difficult to be effective, reasonable and fair to deal with the disputes arising from every international investment.
In addition, although the number of bilateral and multilateral treaties signed by countries has increased rapidly, it has not played much role in promoting the formation of universal applicable international dispute settlement mechanism. Even the international economic organization, the most influential international economic organization at present - the WTO system, can only solve the state and state. Investment disputes between countries do not adjust and deal with investment disputes between foreign private investors and countries.
Based on the above background, this paper, taking the existing international investment dispute settlement mechanism as the main line, makes an objective comparison and evaluation on the basis of the comprehensive introduction of the existing systems, and strives to find a more perfect solution mechanism for the investment disputes between foreign private investors and the host country. Mainly, deductive reasoning is supplemented, we adhere to the combination of empirical analysis and comparative analysis, the combination of jurisprudential research and case study, and analyze and discuss the problem of international investment dispute settlement mechanism, and strive to make the theory connected to the reality and the theory to serve the reality.
This article is divided into seven chapters, which include the following:
The first chapter is introduction. First, it explains the background and significance of the topic, introduces the origin of this article and the significance of the theoretical research and practice of the international investment dispute mechanism. Secondly, it explains the thinking and research methods of this paper, introduces the chapters and the main contents of the chapters. Finally, it explains the innovation and deficiency of this article. The place.
The second chapter, the analysis of the international investment dispute settlement mechanism. First, it briefly discusses the concept and classification of international investment disputes, and introduces the solutions of various disputes. Second, introducing the investment dispute settlement mechanism of MAI, discussing the birth background and course of the MAI draft, explaining the main contents of the mechanism, and making a basic evaluation of the mechanism. Three, introduce the dispute settlement mechanism of ICSID, discuss the emergence, purpose and development process of the Convention for the settlement of the state and its national investment disputes, focus on the introduction of the International Center for the settlement of investment disputes based on the Convention, and make the basic content of the mechanism combined with the main contents of the Convention on the settlement of the national and national investment disputes of the country and other countries. Fourth, introduce the dispute settlement mechanism of NAFTA, discuss the background and main contents of the establishment of NAFTA, list the basic steps of its dispute settlement mechanism, make a basic evaluation of the mechanism. Fifth, introduce the mechanism of WTO dispute settlement, and discuss the origin of the mechanism from its formation to the continuous improvement of its legal origin, and introduce the owner of the mechanism. On the basis of the procedure and rules, including the political method of dispute settlement and the legal way of dispute settlement, the WTO dispute settlement mechanism is evaluated and analyzed. Through the discussion of the four dispute settlement mechanisms mentioned above, the comparative analysis and the basic evaluation are made, and the advantages and disadvantages of each mechanism are pointed out.
The third chapter, the improvement of the international investment dispute settlement mechanism. First, starting with the WTO dispute settlement mechanism, this paper analyzes the effect of the mechanism on the international investment dispute settlement mechanism. Secondly, it analyzes the advantages and disadvantages of the WTO dispute settlement mechanism, takes its essence to its dross, and recommends the establishment of the two major procedures in the proposed international investment dispute settlement mechanism. Again, on the establishment of the proposed international investment dispute settlement mechanism. The necessity and reasons for the construction of the ICSID arbitration appeal mechanism are described. Finally, the main contents of the proposed ICSID arbitration appeal mechanism, including the realistic foundation, the model and the specific content, are described, and the significance and influence of the construction of the ICSID arbitration appeal mechanism are analyzed.
The fourth chapter, the transparency of international investment arbitration. First, the main attempt to increase transparency is discussed, and the way to solve the problem is put forward. Secondly, the public and legal value of the investment arbitration procedure are discussed, and the friends of the tribunal of international investment arbitration are also discussed. Finally, the secret and transparency of international investment arbitration are discussed. This paper introduces the attitude of developed and developing countries to increase the transparency of investment arbitration.
The fifth chapter, the compulsory arbitration between foreign investors and the host country. First, on the basis of explaining the meaning of compulsory arbitration and summarizing the characteristics of compulsory arbitration, the background of compulsory arbitration is analyzed from the two aspects of the influence of the international political situation and the influence of economic globalization. Secondly, through compulsory arbitration and diplomatic protection, In the host country, the local relief, the foreign court litigation and the traditional international commercial arbitration are compared, and the reasons for the transition of the host country to the compulsory arbitration are analyzed. Finally, the operation mode and the function of the compulsory arbitration are discussed.
The sixth chapter, the practice and Countermeasures of China's settlement of international investment disputes. First, summarize the practice of China's general jurisdiction over ICISD. Secondly, analyze the influence that the appeal system may bring to China. Again, the position of China to improve the transparency of international investment arbitration is discussed, and the policy suggestions are put forward to improve the investment legislation in China.
The main innovation of this article is:
First, this paper, focusing on the appealing mechanism of arbitration at home and abroad, focuses on the dual status of our country and the future in the field of international investment, that is, the special status of the big country of capital input and the big country of capital output, and advocates that our country should actively deal with and utilize the arbitration appeal system in the future, and put forward some policy suggestions.
Second, in strengthening the transparency of arbitration, this article adopts the middle position, not only against excessive clandestine, but also against excessive transparency, advocating a moderate release of the secret, not only ensuring the procedural rights of the arbitration parties, but also ensuring the right of the tribunal to enjoy the right to know and participate in the procedural rights. If so, then the secret and openness will be found. At the equilibrium point, we can provide new ideas and strategies for China to deal with the issue of transparency.
Third, in the face of the issue of compulsory arbitration, this article does not agree with China's adoption of a "fully accepted" model, advocating flexible mastery for different countries and avoiding extreme choices.
The inadequacies of this paper are:
First, although this paper uses a combination of theoretical and empirical research methods, the proportion of the theoretical research is still greater than the empirical study. This is because I lack the personal experience of participating in the international investment dispute settlement procedure, and can only collect relevant information from some major countries, and understand some ideas and practices in other countries. Limited, it is difficult to expand the empirical study more.
Second, in the proposed policy recommendations, the contents of the specific provisions are not involved. For example, on the issue of the establishment of the ICSID arbitration appeal mechanism, this article, although in the policy recommendations, gives a more detailed list of the reasons and purposes of the legislation, the appeal procedure, the reason for the appeal, the composition of the small members of the appeal, the procedure and duration of the appeal, the object of appeal, the result of the appeal, Appeal fees and guarantees and other issues, but this is only a framework proposal, not a clear and precise form of provision.

【學(xué)位授予單位】：東北財(cái)經(jīng)大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2013
【分類號】：D996.4

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