国际投资仲裁中东道国安全抗辩的应对策略研究——以华为诉瑞典案为例  

Research on the Response Strategies to the Host State's Security Defense in International Investment Arbitrations:Taking Huawei v.Sweden as an Example

作　　者：姜慧芹 何海洲 Jiang Huiqin;He Haizhou

机构地区：[1]浙江理工大学法政学院

出　　处：《国际经济法学刊》2024年第1期80-95,共16页Journal of International Economic Law

基　　金：2020年国家社科基金年度项目“《外商投资法》中的国家安全审查有限透明化机制构建研究”(项目编号:20BFX197)的阶段性研究成果。

摘　　要：近年来,国家安全抗辩因其兼具政治性与法律性的双重属性而被西方国家频繁援引以阻挡中国企业的海外投资进程。华为在瑞典遭遇的禁令即为明例。在用尽当地救济无果后,华为已于2022年向国际投资争端解决中心提起国际投资仲裁,案件即将进入实质审查阶段。通过分析东道国安全抗辩的两种法律基础、结合本案案件事实,笔者认为瑞典极有可能基于习惯国际法中的国家“危急情况”提出抗辩。据此,华为在仲裁中应采取如下策略:明确否定瑞典存在习惯国际法中的国家“危急情况”,在举证阶段积极援用不利推定以否定瑞典的安全抗辩,最后,针对瑞典违反投资保护义务的事实提出索赔请求。作为首场就5G禁令提起的国际投资仲裁案件,此案对于中国投资者应对习惯国际法中的国家“危急情况”具有重要价值,也为前瞻性地应对其他安全抗辩,即国际投资条约中的安全例外条款,提供了参考。The national security exception,due to its dual(political and legal)nature,is invoked frequently by Western countries to block the overseas investments of Chinese enterprises in recent years.A vivid example is Sweden's ban on China Huawei's investment in Sweden.Having exhausted local remedies in Sweden to no avail,Huawei filed an international investment arbitration with ICSID in 2022.The case is about to enter the substantive review stage.By analyzing the legal reasons that support the host country's security defense,together with the facts of this case,it is believed that Sweden is most likely to raise its security defense on the ground of"critical situation"under customary international law.Accordingly,Huawei should adopt the following strategies during the arbitration:explicitly deny the existence under customary international law of Sweden's"critical situation",and invoke"adverse presumptions"at the proof stage to disallow Sweden's claim of"national security exception"as a defense,and finally,file a claim against Sweden for breach of investment protection obligations.As the first international investment arbitration case filed on the 5G ban,this case is of great value to Chinese investors in dealing with"critical situations"under customary international law,and also provides a proactive reference for responding to other security defenses(i.e.,the national security exception clause in international investment treaties).

关 键 词：国家安全 安全抗辩 不利推定 习惯国际法 危急情况 安全例外条款 

分 类 号：D996.4[政治法律—经济法学] D997.4[政治法律—国际法学]