气候变化背景下ISDS机制适用的困境与革新研究  

Research on the Dilemmas and Innovations in ISDS in the Context of Climate Change

作　　者：曹浩然 

机构地区：[1]上海大学法学院,上海

出　　处：《争议解决》2024年第7期123-134,共12页Dispute Settlement

摘　　要：各国在出台一系列缓解气候变化的措施(如逐步淘汰化石燃料)时,却面临着既有的投资者–东道国争端解决机制(ISDS)下索赔风险日益增加的难题。为此,本文提出在国际投资协定中加入一项“国家气候治理措施豁免(Carve-out)条款”,以涵盖东道国为应对及缓解气候变化而采取的必要措施。出于限制仲裁庭管辖权的考虑,该豁免条款不同于例外条款(Exception)。其次,在具体定义方面,该豁免条款从既有和将来的国际气候协定出发,使得相关气候治理措施受制于气候协定的具体承诺和义务,并且该条款应仅适用于ISDS机制,以适应国际气候协定的更新与变化。最后,该豁免条款建立了一项气候治理措施的必要性审查机制,即由缔约双方国内的主管部门出具共同决定来认定该措施对于气候治理而言是否是必要的;若主管部门不能达成一致,这一争端应提交至由具有气候相关专业知识成员组成的国家–国家仲裁庭进行审议,且相关裁定对ISDS仲裁具有约束力。我国在实现碳达峰、碳中和的过程中,可以借鉴该种做法,在未来签订或更新的投资协定中引入该种机制,以降低自身可能面临的高额索赔风险。As countries adopt a range of measures to mitigate climate change, such as phasing out fossil fuels, they face the growing risk of claims under established investor-state dispute settlement (ISDS) mechanisms. To this end, the article proposes the inclusion of a Carve-out clause in international investment agreements to cover necessary measures adopted by host countries to combat and mitigate climate change. For the purpose of limiting the jurisdiction of the arbitral tribunal, the Carve-out clause is different from an Exception clause. Secondly, in terms of specific definition, the Carve-out clause starts from existing and future international climate agreements, making relevant climate governance measures subject to the specific commitments and obligations of the climate agreement, and the clause should only apply to the ISDS mechanism to adapt to the update and change of the international climate agreement. Finally, the clause establishes a necessity review mechanism for climate governance measures, that is, the competent authorities of the contracting parties to issue a joint decision to determine whether the measure is necessary for climate governance;If the competent authorities cannot agree, the dispute shall be referred to a state-state tribunal composed of members with climate-related expertise for consideration, and the decision shall be binding on the ISDS arbitration. In the process of achieving carbon peak and carbon neutrality, China can learn from this approach and introduce this mechanism into the investment agreement signed or updated in the future to reduce the risk of high claims that it may face.

关 键 词：气候变化 投资者–东道国争端解决 豁免条款 

分 类 号：D99[政治法律—国际法学]