【作者】 王文强；

【导师】 杨丽艳；

【作者基本信息】 广西师范大学 ， 国际法， 2009， 硕士

【摘要】 区域经济一体化是当今世界经济发展的一大显著特色,区域经济一体化推动了区域经济组织的蓬勃发展。而与此同时,国际投资日益成为与国际贸易相提并重的国际经济支柱之一,对国际投资的促进与保护,已成为当今国际社会各国间谈判的主要议题。随着中国—东盟自由贸易区的逐步建立,中国与东盟各国之间的货物贸易、服务贸易以及相互投资逐渐增多。目前,中国与东盟已经在货物贸易、服务贸易方面达成了相关协议,但至今仍未签署投资方面的相关协定。但可以预见,中国与东盟各国今后相互投资的规模必定会越来越大,在此过程中,出现投资方面的争端将是无法避免的。因此,为推动中国与东盟各国之间投资的发展以及保障投资争端得以非政治化的解决,在中国—东盟自由贸易区中构建专门的投资争端解决机制就显得尤为重要。本文以国际投资法相关理论为基础,以《中国—东盟全面经济合作框架协议争端解决机制协议》、《东盟全面投资协定》、中国与东盟各成员国间的双边投资协定对投资争端的相关法律规定为构建依据,通过参考和借鉴目前世界上较为突出的几个投资争端解决机制,重点进行中国—东盟自由贸易区投资争端解决机制的具体制度构建,以期为今后中国与东盟进行投资方面涉及争端解决机制的谈判作一理论上的探索。据此,论文共分为四章,主要内容如下:第一章首先分析了中国、东盟之间的投资现状及有关投资争端解决的法律规定,从中国与东盟之间的投资现状分析中可以看出,双方相互投资的潜力是十分巨大的;其次,介绍了中国、东盟国家之间有关投资争端解决的法律规定。从东盟角度来说,东盟各成员国签署的《东盟投资区框架协议》以及《东盟全面投资协定》规定了投资争端解决的程序及规则。而从中国—东盟自由贸易区角度来说,《中国—东盟全面经济合作框架协议争端解决机制协议》中的争端解决程序及规则同样适用于投资方面的争端;最后,中国与东盟各成员间国签订的双边投资协定也对投资争端解决作出了相关规定。第二章探讨了中国—东盟自由贸易区投资争端解决机制对当今主要投资争端解决机制的利用和借鉴。首先对WTO争端解决机制进行了分析,认为中国—东盟自由贸易区投资争端解决机制应该借鉴WTO的地方就是其显著的司法性质;其次,对ICSID投资争端解决机制进行了分析,认为应在中国—东盟自由贸易区投资争端解决机制中扩大主体适用范围,引入投资者诉东道国机制并借鉴ICSID机制的相关制度设计;最后,通过对NAFTA投资争端解决机制进行分析,认为在引入投资者诉东道国机制并赋予投资者单方启动投资争端仲裁程序权利的同时应作出必要的限定、保留和例外的事项。第三章首先对构建中国—东盟自由贸易区投资争端解决机制的必要性进行了分析,认为构建中国—东盟自由贸易区投资争端解决机制不仅是投资争端的解决非政治化的重要保障,也是推动中国与东盟各国之间相互投资发展的需要,而且因为现有的中国—东盟自由贸易区的争端解决机制存在不足,因此有必要建立专门的投资争端解决机制;其次简要地阐述了中国—东盟自由贸易区投资争端解决机制的构建路径及指导原则,指出随后的具体制度的构建应遵循该构建路径及指导原则;最后,重点从适用范围、磋商、调解、仲裁程序(包括提交仲裁的条件、仲裁的程序规则、仲裁庭的组成、仲裁的裁决和执行)四方面进行中国—东盟自由贸易区投资争端解决机制具体制度的构建。第四章首先分析了中国—东盟自由贸易区框架下多套投资争端解决机制的存在及可能产生的问题。其次,分析了多套投资争端解决机制之间的关系及提出了相应的协调建议。更多还原

【Abstract】 The regional economic integration is one of the notable features of world economic development. Regional economic integration promotes vigorous development for regional economies organizations. Meanwhile, international investment gradually becomes one of the international economic pillars, which is as important as the international trade. The main subject of negotiation among countries nowadays is to promote and protect the international investment. With the gradual setting-up of China-ASEAN Free Trade Area, the trade in goods, trade in service and mutual investment between China and ASEAN members increase gradually. At present, China and ASEAN have already reached relevant agreements in the area of trade in goods and trade in service, but does not sign the relevant protocols of investment yet so far. But it can predict that the scale of mutual investment between China and ASEAN members will certainly be larger and larger in the future and it will be unavoidable that the investment dispute appears in this course. For this reason, in order to promote the development of the investment between China and ASEAN members and ensure the effective settlement of investment dispute, it is particularly important to construct specialized investment dispute settlement mechanism in China-ASEAN Free Trade Area. This dissertation is based on relevant theories of international investment law and takes the relevant legal provisions about the investment dispute on“Agreement on Dispute Settlement Mechanism of The Framework Agreement on Comprehensive Economic Co-operation Between The People’s Republic of China and The Association of Southeast Asian Nations”and“ASEAN Comprehensive Investment Agreement”and bilateral investment protocols among China and ASEAN members as the construction basis and through consulting and drawing lessons from several comparatively outstanding investment dispute settlement mechanism in the world so that it can carry on the construction of investment dispute settlement mechanism of China - ASEAN Free Trade Area.In the view of the above, the dissertation is divided into four chapters , and the main content is as follows:In the first chapter, current investment situation and the legal provisions relevant to investment disputes settlement between China and ASEAN are analyzed firstly, it can find out from the analysis of current investment situation between China and ASEAN that the potentiality of mutual investment of both sides are very enormous; Secondly, introduced the legal provisions relevant to investment disputes settlement between China and ASEAN. From the viewpoint of ASEAN,“The Framework Agreement on the ASEAN Investment Area”and“ASEAN Comprehensive Investment Agreement”has formulated procedures and rules relevant to investment disputes settlement. And from the viewpoint of China - ASEAN Free Trade Area, procedures and rules in the“Agreement on Dispute Settlement Mechanism of The Framework Agreement on Comprehensive Economic Co-operation Between The People’s Republic of China and The Association of Southeast Asian Nations”are also applied to the investment dispute; Finally, the bilateral investment protocol between China and ASEAN members are making the relevant regulations to the investment dispute too.The Second Chapter has probed into the China -ASEAN Free Trade Area investment dispute settlement mechanism that it will be use and reference to the main investment dispute settlement mechanism in the world . Dispute Settlement Mechanism of WTO is analyzed firstly, considering that the prominent judicial properties of the Dispute Settlement Mechanism of WTO is the place where the investment dispute settlement mechanism of China-ASEAN Free Trade Area should draw lessons from; Secondly, after analyzing the ICSID mechanism, considering that China-ASEAN Free Trade Area investment dispute settlement mechanism should expand applicable scope of subject and introduce Investor-State Dispute Mechanism and draw lessons from the relevant system of ICSID mechanism; Finally, through analyzing the NAFTA investment dispute settlement mechanism, considering that the introduce of Investor-State Dispute Mechanism and entrust to investor the right to start investment dispute arbitrate procedure should make the essential limitation ,reservation and exceptional item at the same time.The Third Chapter analyzed the necessity of constructing the China-ASEAN Free Trade Area investment dispute settlement mechanism at first, considering that the construction of China- ASEAN Free Trade Area investment dispute settlement mechanism which it is not merely the important guarantee the depoliticized settlement of an investment dispute and it will be the need of promoting mutual investment between China and ASEAN members, and because the existing China-ASEAN Free Trade Area investment dispute settlement mechanism exists insufficiently, so it is necessary to set up specialized investment dispute settlement mechanism; Secondly, briefly explained construction route and guideline of China-ASEAN Free Trade Area investment dispute settlement mechanism; Finally, carrying on the construction of concrete system of China-ASEAN Free Trade Area investment dispute settlement mechanism from the four respects of applicable scope, consultation, mediation, arbitrate procedure (including the condition of submitting an arbitration, arbitrate procedure rules, the composition of arbitration tribunal, the arbitral award and execution of the arbitration court).In the fourth chapter, the author has analyzed the existence of several sets of investment dispute settlement mechanism under the frame of China-ASEAN Free Trade Area firstly; Secondly, I analyzing the relations between several sets of investment dispute settlement mechanism and bring up corresponding coordination suggestions.更多还原