国际涉腐投资中的东道国责任:基于归责逻辑的反思  

Host State Responsibility in International Investment Involving Corruption:Reflection Based on the Logic of Attribution

作　　者：缪心毫[1,2] MIAO Xinhao(Law School,Wenzhou University,Wenzhou,China 325035;Foreign-Related Rule of Law Research Center,Wenzhou University,Wenzhou,China 325035)

机构地区：[1]温州大学法学院,浙江温州325035 [2]温州大学涉外法治研究中心,浙江温州325035

出　　处：《温州大学学报(社会科学版)》2024年第6期35-45,共11页Journal of Wenzhou University:Social Science Edition

基　　金：国家社会科学基金重点项目(18AFX028)。

摘　　要：国际涉腐投资仲裁中,东道国以投资者参与腐败作为抗辩理由通常获得仲裁庭的支持,因而引发“归责不对称”的担忧。《国家责任条款草案》的表面行为能力归责规则与反腐败作为东道国国际义务的确认,虽然为腐败归责于东道国提供了国际法依据,但因投资者援引《国际责任条款草案》目的的特殊性,腐败行为双边性的特殊性,以及仲裁实践中对额外归责要件的增加,导致适用《国际责任条款草案》对东道国进行归责面临困难。为强化涉腐投资中东道国的责任,应当充分利用同意规则,善用禁止反言原则,对东道国的腐败抗辩主张进行反驳,并基于东道国-投资者双方的腐败中的过错进行对称性归责,实现双方责任的平衡。In international investment arbitration involving corruption,host states often receive support from tribunals when they use the investors’involvement in corruption as defenses,which raises concerns about“attribution asymmetry”.The Draft Articles on Responsibility of States for Internationally Wrongful Acts’s attibution rules based on ostensible capacity and the confirmation of anti-corruption as an international obligation of host states,provide the international law basis for attributing corruption responsibility to host states.However,the application of the Draft Articles to attribute responsibility to host states faces difficulties due to the particularity of the investor’s invocation of the Draft Articles,the bilateral nature of corrupt acts,and the addition of extra attribution requirements in arbitration practices.To strengthen the responsibility of host states in investments involving corruption,the consent rule should be fully utilized,the principle of estoppel should be effectively used to refute host states’corruption defense claims,and symmetrical attribution of responsibility should be based on the degree of fault of both host states and the investors in corruption,achieving a balance of responsibilities between both parties.

关 键 词：国际涉腐投资 《国家责任条款草案》 归责不对称 

分 类 号：D996[政治法律—经济法学]