国际投资仲裁中既判力原则的适用标准——从形式主义走向实质主义  

The Test for Application of the Doctrine of Res Judicata in Investor-State Arbitration: From a Formalistic to a Substantive Approach

作　　者：傅攀峰[1] 

机构地区：[1]中国社会科学院法学研究所

出　　处：《比较法研究》2016年第4期146-161,共16页Journal of Comparative Law

摘　　要：国际投资仲裁因裁决不一致现象频繁而饱受批评,而在特定情形下,适用既判力原则是一条确保前后裁决一致的有效途径。在既判力原则的适用标准上,传统的三重因素一致标准乃为两大法系所公认。然而,倘若投资仲裁庭对这一标准作机械解释,既判力原则将面临无法得到适用的僵局,进而无法避免后诉仲裁庭对前诉仲裁庭已裁断的同一请求或同一争点作重复裁断。通过对当事人、诉因以及请求这三重因素中的每一重因素作实质分析,适当软化三重因素一致性的要求,可避免诸多不合理的实践推论,从而达到平衡正当程序考量与满足既判力原则适用的双重目的。Investor-state arbitration has been suffering from severe criticism for frequent inconsist- encies between arbitral awards. The Doctrine of Res Judicata, however, can serve as an effective means to ensure consistency between a former and latter arbitral award under specific circumstances. With respect to its application, the traditional triple identity test is widely recognized by both the common law and the civil law systems. But if arbitral tribunals interpret this test mechanically, the Doctrine of Res Judicata risks never having the chance to be applied, thus unable to avoid double adjudication on the same issue or claim in closely related arbitrations. Through a substantive analysis of the parties, the cause of action and the claim and through the softening of the requirement for identity of each element, unreasonable inference in the arbitral tribunal＇ s adjudicating process could be avoided and a balance between the consideration for due process and the application of the Doctrine of Res Judicata could be achieved.

关 键 词：投资仲裁 既判力原则 适用标准 三重因素一致 

分 类 号：D997.4[政治法律—国际法学]