国际投资仲裁中的“法庭之友”资格认定——基于法益衡量视角  

The Identification of Amicus Curiae in International Investment Arbitration:The Measure of Legal Interests as a Perspective

作　　者：单菊铭 SHAN Juming

机构地区：[1]厦门大学法学院

出　　处：《武大国际法评论》2022年第5期117-138,共22页Wuhan University International Law Review

基　　金：国家社科基金重点项目“大数据分析方法在国际投资仲裁研究中的运用与中国‘一带一路’投资争议风险预警与防范机制研究”(项目批准号:18AZD018)的阶段性成果。

摘　　要：“法庭之友”资格认定问题是“法庭之友”参与裁判实践最核心的一环。法益衡量理论为国际投资仲裁中的“法庭之友”资格认定提供了根本性的解释框架。在维护公共利益的基本共识下,国际投资法通过立法技术设计为“法庭之友”预设了“公益保护不得侵害合法私益”的评价尺度。通过对ICSID中“法庭之友”资格认定考量因素的类型化分析可以发现,尽管投资仲裁庭在不同案件中参考不同的认定因素,对同一因素的审查认定也存在着几种不同的标准,但并非无章可循,总体而言,投资仲裁庭对“法庭之友”资格认定的态度正从宽松到严格转变。以非投资性问题为代表的根本性问题、以“资格认定考量因素间的潜在冲突”为例的结构性难题以及费用负担这一新问题,潜在且深刻地影响着“法庭之友”资格的认定。在比例原则与裁判结果取向方法的指导下,对非投资性问题的宽进与严出,对独立性的披露与重大利益的明确界定,以及对费用负担问题的认定,是化解其资格认定难题、实现法益保护的可行之策。The identification of Amicus Curiae is the core of participation rules and adjudication practice. The theory of “measure of legal interests” provides a fundamental interpretation framework for Amicus Curiae qualification in international investment arbitration. Under the basic consensus of safeguarding“public interest”, the international investment law presets the evaluation criterion of“public interest protection shall not infringe on legitimate private interests”through legislative technical design. Through the typing analysis of the elements in ICSID, it is found that although the investment tribunal applied different elements in different cases, there are several different standards for the review and identification of the same elements, but it is not without rules to follow. The attitude of investment tribunals is changing from lenient to strict. The fundamental problems represented by non-investment and the structural problems exemplified by“the potential conflicts among the elements”are still potentially and profoundly affecting the determination of Amicus Curiae. In the principle of proportionality and the referee consequences, we could “wide into” and “strict out” of the non-investment problem, to disclosure independence and to explain strictly vital interest, and to prevent and classify for the burden. There are feasible methods to dissolve qualification issues and protect legal interests.

关 键 词：投资仲裁 法庭之友 资格认定 法益衡量 比例原则 

分 类 号：D996.4[政治法律—经济法学]