《中欧全面投资协定》的国家间争端解决机制  

The State-State Dispute Settlement Mechanism Established by the China-EU Comprehensive Agreement on Investment

作　　者：宋俊荣 SONG Jun-rong(School of International Law,Shanghai University of Political Science and Law,Shanghai 201701,China)

机构地区：[1]上海政法学院国际法学院,上海市201701

出　　处：《中国流通经济》2022年第1期117-128,共12页China Business and Market

基　　金：中国法学会2021年度部级法学研究课题“《中欧全面投资协定》国家间争端解决机制研究”[CLS(2021)ZX154];上海市法学高原学科国际法方向资助项目。

摘　　要：《中欧全面投资协定》国家间争端解决机制的特色体现为四个方面:限缩适用范围;条款更加精细化;强化执行保障;对WTO争端解决机制的继承与改造。该机制可能在三个方面引发争议:适用范围的颠覆性改变;投资委员会就协定条款所作解释对仲裁专家组的约束力;国家间争端解决机制与投资者-国家间争端解决机制的关系。中国应从三个方面进行应对:首先,坚持限缩国家间争端解决机制的适用范围。其次,争取就投资委员会所作解释的约束力与欧盟达成协定,进一步明确投资委员会作出的关于协定所含条款或术语的解释对审理当前或后续争端的仲裁专家组具有约束力;仲裁专家组只能对投资委员会所作解释进行形式审查,不能进行实质审查;针对仲裁专家组报告设立上诉机制,以确保背离投资委员会所作解释的裁决得到纠正。最后,在未来与欧盟就投资者-国家间争端解决机制进行的谈判中妥善处理其与国家间争端解决机制的关系,允许针对东道国的同一措施分别启动两种争端解决机制,以实现两种不同性质的救济;就东道国同一措施与协定的相符性而言,国家间争端解决机制中已有裁决的,应适用间接禁反言原则,禁止投资者-国家间仲裁庭对该争议点再行审理;要求投资者先行书面征求母国是否启动国家间仲裁的意见,在得到母国否定答复或超过一定期限未收到母国答复后,方可提请针对东道国的投资者-国家间仲裁。The features of the state-state dispute settlement mechanism established by the China-EU Comprehensive Investment Agreement are embodied in four aspects:limiting the scope of application;more refined terms;strengthening the enforcement mechanism;inheritance and reform of WTO dispute settlement mechanism.However,the mechanism could invoke controversy in three aspects:a substantial change in its scope of application;binding force of the interpretation of the provisions of the agreement by the Investment Committee upon the Arbitration Panel;the relationship between state-state dispute settlement mechanism and investor-state dispute settlement mechanism.China should respond in the following three aspects.First,the scope of application of the state-state dispute settlement mechanism should be limited.Second,China should seek further agreement with EU on the binding force of the Investment Committee's interpretation.Specifically speaking,the agreement should include three issues:(1)the Investment Committee's interpretation of the terms of the agreement is binding upon the arbitration panel hearing the current or subsequent dispute;(2)the arbitration panel can only review the interpretation made by the Investment Committee in form,not in substance;and(3)an appeal mechanism against panel reports should be established so as to ensure that awards deviating from the interpretation of the Investment Committee could be corrected.Finally,China should properly handle the relationship between the state-state dispute settlement mechanism and investor-state dispute settlement mechanism in future negotiations with EU on the latter.China should seek agreement with EU on the following three issues:(1)the initiation of two different dispute settlement proceedings against the same measure of the host state should be allowed in order to achieve two different types of relief;(2)as far as the consistency of the same measure of the host state with the agreement is concerned,if an award has been made under the state-state dispute settlement

关 键 词：中欧全面投资协定 国家间争端解决机制 投资者-国家间争端解决机制 缔约方联合解释 

分 类 号：F114[经济管理—国际贸易]