【作者】 刘京莲；

【导师】 陈安；

【作者基本信息】 厦门大学 ， 国际法学， 2008， 博士

【副题名】兼论对中国的启示

【摘要】 20世纪初,阿根廷吸收了大量的外资,经济发展迅速,国民收入颇丰。2001年底至2002年初阿根廷却经历了历史上最为严重的经济危机。为了缓解危机的冲击,阿根廷政府宣布全国进入“紧急状态”,国会颁布《公共紧急状态法》。阿根廷实施上述措施一方面促使了阿根廷经济的复苏,另一方面使参与阿根廷私有化进程的外国投资者遭受了巨额损失。为了挽回损失,众多外国投资者向国际投资仲裁庭提起了以阿根廷为被申请人的国际投资仲裁申请。截止到2008年8月,仅在ICSID体制内阿根廷便涉案47起,且这些案件多半与阿根廷经济危机有关。在已经做出终局裁决的案件中,阿根廷多以失败而告终。阿根廷现象在ICSID体制内前所未有,即使在整个国际投资仲裁历史上也属罕见。因此,本文以阿根廷国际投资仲裁危机作为研究对象,探讨阿根廷国际投资仲裁危机的背景、原因以及阿根廷在国际层面和国内层面的应对措施。通过考察,本文指出阿根廷经济危机是阿根廷国际投资仲裁危机的直接原因,阿根廷国际投资法律自由化改革是阿根廷国际投资仲裁危机的根本原因。20世纪90年代末期,阿根廷签订的双边投资条约背弃了卡尔沃主义,完全接受了国际投资仲裁机构的管辖权,并给予外国投资者高标准的保护。正是阿根廷双边投资条约过于自由化的规定导致阿根廷在国际层面的抗辩多以失败告终。阿根廷试图通过国内司法审查的方式否定仲裁裁决在阿根廷国内的执行又蕴含着极大的危险,这种救济方式将导致阿根廷违背《ICSID公约》的规定,损害阿根廷在国际商业社会的声誉。中国与阿根廷同属于发展中国家,都面临着大力发展本国经济的重任。为了改善中国的投资环境,中国双边投资条约也出现了自由化的趋势。虽然目前在ICSID体制内尚未出现以中国为被申请人的案件,但是这种可能性并非不存在。中国应当未雨绸缪,吸取阿根廷国际投资仲裁危机的教训,修改中国双边投资条约的规定,平衡投资者的财产利益与东道国主权权利,防止中国重蹈阿根廷的覆辙。除前言与结论外,本论文共分为六章。第一章首先对阿根廷国际投资仲裁危机作出概要介绍。本章主要涉及三个问题,即国际投资仲裁的基本理论问题、阿根廷国际投资仲裁涉案情况和阿根廷国际投资仲裁危机的社会经济背景分析。第二章对阿根廷国际投资仲裁危机作出了法理分析。本章主要涉及阿根廷国内投资法律体制的自由化改革。在本章中,笔者将首先对卡尔沃主义进行历史回顾,并对阿根廷传统国际投资法对卡尔沃主义的坚持作出介绍。然后笔者将对阿根廷国际投资法制自由化改革作出介绍与评价,指出阿根廷国际投资法制对卡尔沃主义的背弃构成了阿根廷国际投资仲裁危机深层次的国内法原因。第三章对阿根廷国际投资仲裁危机作出了进一步的法理分析。文章首先对阿根廷双边投资条约的程序条款做出分析,指出阿根廷双边投资条约完全接受了ICSID的仲裁管辖权,背弃了卡尔沃主义。其次对阿根廷双边投资条约的实体条款做出分析,指出阿根廷双边投资条约赋予投资者高标准的保护。正是阿根廷双边投资条约过于自由化的规定导致阿根廷在国际投资仲裁危机面前捉襟见肘,应对无门。第四章对阿根廷国际投资仲裁危机在国际层面的应对措施作出了实证考察。文章在分析了阿根廷的主要抗辩理由后指出阿根廷在国际仲裁庭抗辩的失败归结于阿根廷双边投资条约的规定。文章同时指出国际投资仲裁规则的缺陷对阿根廷仲裁案件也产生了不利影响。第五章对阿根廷国际投资仲裁危机国内层面的应对措施作出了实证考察。阿根廷官员和学者对ICSID体制提出严厉的批评,并试图采取措施阻止仲裁裁决在阿根廷国内的执行。阿根廷最高法院也通过判例表明,任何不合宪、不合法、不合理的仲裁裁决均须受到阿根廷国内法院的审查。在对上述措施进行考察以后,本文指出阿根廷国内应对措施面临巨大的风险。第六章在分析阿根廷国际仲裁危机的基础上对中国双边投资条约缔约实践作出分析与评价,并提出修改中国双边投资条约的意见,寻求投资者财产利益保护与东道国主权权利行使的平衡。更多还原

【Abstract】 Argentina was one of the richest countries in the world in the early 20’s century. Argentina experienced a very serious economic crisis from the late 2001 to the early 2002. In order to alleviate the effect of the crisis, the government announced that Argentina was in a state of emergency, the parliament promulgated the law of emergency. The actions taken prevented the breakdown of the economy, meanwhile the foreign investors suffered tremendous economic loses. So many foreign investors filed the request for arbitration against the Argentina Republic with the International Centre for Settlement of Investment Disputes (ICSID). Up to the 20 August 2008, there are 47 cases against Argentina in the ICSID, most of which related to the economic crisis. In most of the cases concluded, Argentina was defeated. Thus Argentina experiences another serious crisis in the field of international investment arbitration. The phenomenon of Argentina is unprecedented in the history of ICSID and in the history of international investment arbitration.The subject of the dissertation is the crisis experienced by Argentina in the field of international investment arbitration. The dissertation will introduce the background of the crisis, trying to find out the reasons, discussing the measures Argentina taken in the international arbitral tribunals, the means will be taken in the courts of Argentina. The dissertation points out that the economic crisis directly caused the international investment arbitration crisis and the investment law reformation constitutes the basic reason. In the late 1990, Argentina signed lots of Bilateral Investment Treaties (BITs), which abandoned the Calvo Doctrine, accepted the jurisdiction of ICSID, and accorded the foreign investors high level protection. It is the BITs that caused the failure of Argentina in most of the cases. Trying to review the awards and denying them in the courts of Argentina is very unadvisable, which will lead Argentina to breach its international treaty obligation and will do harm to Argentina’s reputation in the international business society.Just like Argentina, China is a developing country. The primary task of China is to stimulate the development of the economy. In order to improve the investment environment, China has changed its attitude to the BIT, giving the foreign investor high level protection. Despite now there are no cases against China in ICSID, China should make ready for it. China should amend the regulations of the BITs; balance the protection to the investors and the host state, thus avoiding the crisis.Besides preamble and conclusion, the dissertation comprises six chapters.Chapter 1 introduces the Argentina’s international investment crisis briefly, which composed of three parts. Part 1 introduces the fundamental theory of international investment arbitration. Part 2 gives out the cases now Argentina facing. Part 3 discusses the background of the crisis.Chapter 2 analyzes the jurisprudential reason of the crisis. Firstly, the dissertation explicates the history and the meaning of Calvo Doctrine, finds out that Calvo Doctrine is the most powerful weapon that the developing countries could use to oppose the jurisdiction of international arbitration tribunal. Then the dissertation points out that Argentina abandoned the Calvo Doctrine when it signed the BITs, which caused the crisis.Chapter 3 analyzes another jurisprudential reason of the crisis. According to the BITs, Argentina accepted the jurisdiction of the international arbitration tribunals; meanwhile Argentina granted the foreign investors high level protection. It is the regulations of the BITs caused the crisis.Chapter 4 reviews the objections of Argentina to the cases in ICSID. The dissertation explicates and appraises the objections to the jurisdiction and to the merits, pointing out that the regulations of the Argentina’s BITs caused the failure. The defects of international arbitration process aggravated the situation.Chapter 5 reviews the measures Argentina will take in its own country. Because the awards released contradicted each other, Argentine officials and scholars sternly criticized the ICSID system. The supreme court of Argentina also said that any awards that are unconstitutional, illegal or unreasonable must be reviewed by the Argentine courts. After analyzing the measures above, the dissertation indicates that it is unadvisable for Argentina to take such measures.Chapter 6 compares the Bilateral Investment Treaties signed by China with that of Argentina, putting forward the suggestions to perfect the BIT of China to prevent China from experiencing such crisis.更多还原