国际投资仲裁中东道国环境类反请求的困境与出路  

Environmental Counterclaims in International Investment Arbitration:Dilemma and the Way Out

作　　者：丁丁[1] 张耀璇 DING Ding;ZHANG Yaoxuan

机构地区：[1]对外经济贸易大学法学院

出　　处：《经贸法律评论》2023年第1期54-73,共20页Business and Economic Law Review

基　　金：对外经济贸易大学横向课题“国际法与比较法视角下的中国碳交易法制体系建设研究”(项目批准号:H20032)。

摘　　要：在国际投资仲裁中,投资者与国家间利益失衡的问题日益突出,东道国反请求作为平衡双方利益的重要途径备受关注,其中环境类反请求更具保护环境公共利益的价值,理应得到仲裁庭的审慎考虑。但这在实践中却难以实现,目前环境类反请求主要面临的困境在于:程序方面,受制于现有国际投资协定中的争端解决条款,此类反请求存在不被仲裁庭管辖、受理的难题;实体方面,因缺乏投资者环境保护义务的明确依据,仲裁庭难以认定投资者责任。随着国际社会对可持续发展和环境保护议题的日渐关切,参考新近国际投资协定及范本的改革,东道国可在争端解决条款中明确规定反请求制度,化解程序性难题。同时,东道国还应重视事关投资者规制的条款设计,为投资者环境保护义务提供法律依据,从而让东道国能在投资仲裁中以更直接的方式保护其环境公共利益,实现环境类反请求的价值。In international investment arbitration,the imbalance of interests between the investors and the states is becoming increasingly prominent,so that the state counterclaims as a key solution to this issue have attracted much attention.Especially for the value of protecting environmental public interest,the environmental counterclaims should be carefully considered by the arbitral tribunals.However,in practice,host states have rarely prevailed before the arbitral tribunals.The environmental counterclaims’dilemma is mainly from the following two aspects.From the procedural aspect,subject to the dispute settlement clauses in the existing international investment agreements,such counterclaims are hard to get through the jurisdiction and admissibility threshold during the proceeding;from the substantive aspect,the lack of a clear basis for the investors’environmental obligations leads to the hardship for the tribunals to determine the investor’s liability.As the international community becomes increasingly concerned about sustainable development and environmental protection issues,along with recent reforms to international investment agreements and models,host states can resolve the procedural dilemma by explicitly stipulating counterclaims in dispute settlement provisions.Meanwhile,host states should also pay more attention to the provisions regulating investors’conduct,which will provide a legal basis for investors’environmental obligations,thereby enabling host states to protect their environmental public interest in a more direct way in arbitration,and this will realize the value of environmental counterclaims.

关 键 词：环境类反请求 国际投资仲裁 管辖权 可受理性 投资者义务 

分 类 号：D997.4[政治法律—国际法学]