国际投资法中的社会许可问题与中国因应  

Social License Issues in International Investment Law and China's Response

作　　者：张金矜 Zhang Jinjin

机构地区：[1]首都经济贸易大学法学院

出　　处：《环球法律评论》2024年第6期185-200,共16页Global Law Review

基　　金：2021年度司法部重点课题“习近平法治思想指导下涉外法治体系完善的结构化分析”(21SFB1006)的研究成果。

摘　　要：近年来,海外投资中的社会许可问题作为事实背景和投资者责任进入国际投资仲裁程序,成为影响裁决的重要考量。在审查投资者社会许可责任时,主流实践认为应仅适用东道国国内法并考虑相关政府行为,其结果虽有利于投资者诉请获得支持,但无益于社区关系的良性发展。非主流实践参考其他国际法规范,其结果虽有助于发挥社会许可价值,但是面临规范供给不足且效力有限的困境。新一代国际投资协定纳入的社区关系条款与社会许可问题高度适配,具有潜力弥补既有实践不足。其中,印度缔约实践中的“投资者义务式”条款可为投资仲裁中东道国社会许可抗辩提供法律依据;巴西缔约实践可适用投资争端预防机制实施“投资者义务式”条款,为投资者获得社会许可提供制度路径。随着中国对外投资的深入发展,一方面中国海外投资者应认识到与当地社区建立积极关系的重要性,对社会许可问题采取防范为主,仲裁为辅的策略;另一方面,中外投资协定宜纳入“投资者义务式”的社区关系条款并引入争端预防机制予以实施。Recently,in investor-state disputes arising from social license risks,host States have frequently invoked social license issues as a defense against investor claims.On the one hand,host States take the social license issue as the factual basis to justify the disputed measures and require the arbitral tribunal to dismiss the investor's claim for future profits.On the other hand,host States'social license defense focuses on the investor's misconduct in com-munity relations and attempts to find legal sources from domestic law,international treaties,and international soft law norms,raising jurisdiction,admissibility,and contributory fault defenses.As a result,the social license issue enters into the international investment arbitration proceed-ings as a factual background and investors'responsibilities and becomes an important consider-ation that affects the award.An examination of investors'social license responsibilities shows that the mainstream opinion is to apply the national law and consider the relevant actions of only the host State.While this approach will help the tribunal conclude in favor of the investor,it is not conducive to promoting the positive development of community relations.Emerging minority opinion refers to other international legal norms,which helps to give effect to the value of the social license,but faces the practical dilemma of insufficient norm supply and limited effect.The"community relations"clauses incorporated in the new generation of international invest-ment agreements have a wide scope of application.They are highly compatible with social li-cense issues and have the potential to make up for the deficiencies of existing arbitration prac-tices.Among them,the"investor obligation"clauses in India's treaty-making practice can provide a legal basis for the host State's social license defense in investment arbitration;and Brazil can apply the investment dispute prevention mechanism in its treaty-making practice to implement the"investor obligation"clauses and provide an institutional p

关 键 词：国际投资仲裁 国际投资协定 社会许可 社区关系 争端预防机制 

分 类 号：D996.4[政治法律—经济法学]