国际投资法中的投资者人权尽责义务:现状与进路  

Investors’Human Rights Due Diligence Obligations in International Investment Law:Current Situation and Approach

作　　者：黄世席[1] 尚轩宇 HUANG Shixi;SHANG Xuanyu

机构地区：[1]山东大学法学院

出　　处：《武大国际法评论》2024年第5期104-122,共19页Wuhan University International Law Review

基　　金：国家社科基金后期资助重点项目“国际投资条约中的国家安全条款研究”(20FFXA006);国家留学基金委“国家建设高水平大学公派研究生项目”(202206220133)的阶段性成果之一。

摘　　要：将人权尽责作为一项投资者义务引入国际投资法有助于保障东道国正常行使监管权力,降低人权风险。虽然目前已有多国在其双边投资条约范本中加入或更新有关投资者人权尽责义务的规定,但已缔结国际投资协定中涉及该项义务的条款通常不具备约束力。事实上,通过对既往涉及投资者尽责行事的仲裁裁决进行分析,人权尽责义务至少能够通过影响仲裁庭管辖权、案件可受理性、责任分配以及引起东道国反诉四条路径促使投资者尊重和保护东道国人权。但碍于标准模糊与条款缺失等现实因素,上述功能的实现仍存在较强不确定性。故应基于缔约方国内法及相关国际法构建相对统一的投资者人权尽责义务标准,明确该项义务的法律属性,并结合作用路径在国际投资协定中补充完善具体条款内容。中国作为对外投资和利用外资的大国,有必要将企业社会责任条款纳入未来双边投资条约谈判,推动实现国际投资领域人权与发展的协调统一。Introducing human rights due diligence(HRDD)as the investors’obligation in international investment law can help to safeguard the proper exercise of regulatory powers by host States and mitigate human rights risks.While many states have incorporated or updated related HRDD provisions in their model bilateral investment treaties,the provisions of international investment agreements(IIAs)in force that address this obligation are generally not binding.Indeed,by analyzing past awards in international investment arbitrations involving investor due diligence,HRDD obligation can motivate investors to protect human rights in the host State through at least four paths:by affecting the jurisdiction of the tribunal,the admissibility of the claim,the allocation of liability,and by giving rise to counterclaims by the host State.However,the realization of these functions is highly uncertain due to the practical factors such as ambiguous standards and inadequacy of specific provisions.Therefore,based on domestic laws and relevant international norms,a relatively uniform standard of investors’HRDD should be constructed.And it is also important to clarify the legal attributes of this obligation and to improve the specific provisions in IIAs in accordance with the path of its functioning.For China,as a major two-way country in terms of outward investment and the use of foreign direct investment,it is necessary to include the corporate social responsibility clauses in the negotiations of the bilateral investment treaties so as to promote coherence between human rights and development in international investment.

关 键 词：投资者义务 人权尽责 企业社会责任 国际投资协定 国际投资仲裁 

分 类 号：D92[政治法律—法学]