外国投资保护与东道国社会利益的冲突纾解:比例原则作为必要工具的理论证成  

Alleviating the Conflict between Foreign Investment Protection and Host State Social Interests:The Theoretical Justification of the Principle of Proportionality as a Necessary Tool

作　　者：钱旭 QIAN Xu

机构地区：[1]浙江大学光华法学院 [2]浙江大学光华法学院交叉法中心

出　　处：《当代法学》2024年第6期144-158,共15页Contemporary Law Review

基　　金：浙江省社科基金一般项目“‘一带一路’下的国际商事争端解决与中国国际商事仲裁发展”(23YJRC0ZD-YB)阶段性研究成果。

摘　　要：外国投资者的投资者权益与东道国社会利益之间的冲突一直是国际投资仲裁的争议核心。如何对其进行纾解也成为了不可规避的话题。一方面,由于投资条约中规制利益冲突的例外条款表述大多较为模糊,无法给仲裁庭提供实质指导;另一方面,非投资利益的具体内涵需要仲裁庭通过参考一般法律原则进行解释。但因为国际法规范的碎片化与无序性,仲裁庭同样无法据其作出明确的认定。在这种情形下,比例原则作为必要的理论工具可以为仲裁庭提供方法支持。比例原则是国际法中的一般法律原则,其适用具有国际法渊源层面的合法性;其价值统合以及优化平衡的功能与解决法律原则冲突的内在逻辑完美契合,证明了其适用的合理性;二者共同证成其作为纾解利益冲突困境理论工具的必要性。适用过程中存在的审查标准等问题,可以通过“司法尊让”理念的引入得以最大程度的缓解。Although the principle of proportionality is widely cited in resolving disputes,the deeper conflicts between the protection of investor rights and the public interests of host states remain unresolved.In many cases,this is not only due to the ambiguities inherent in the rules of BITs,but also due to the piecemeal and inconsistent application of general principles of law.This fragmentation creates further conflict,as arbitral tribunals struggle to find a consistent framework for balancing competing interests.By examining the works of legal scholars such as Ronald Dworkin and Robert Alexy,it becomes clear that even when legal principles conflict in certain situations,they can still coexist.Dworkin's theory of"law as integrity"suggests that law is best understood as a coherent system of principles that must be interpreted in a way that gives the best possible fit to the existing body of law.This view is echoed in Alexy's theory of constitutional rights,which emphasizes the importance of balancing conflicting principles to achieve an optimal outcome.Both scholars recognize that conflicts between legal principles are inevitable,but they argue that such conflicts can be reconciled through careful and thoughtful interpretation that seeks to maximize justice and fairness.In the context of international arbitration,this theoretical framework aligns with the mechanism of the proportionality principle.Proportionality operates through a three-step test:suitability,necessity,and proportionality in the strict sense.The suitability and necessity steps involve comparing the benefits and burdens of a measure in factual terms,determining whether it effectively achieves its purpose and whether a less restrictive alternative could be used.The final step,proportionality in the strict sense,requires a legal and normative balancing of interests,weighing the importance of the measure against the rights it infringes upon.This step is crucial for finding a solution that accommodates multiple interests,including both investor protection an

关 键 词：投资者保护 东道国社会利益 比例原则 法律原则 司法尊让 

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