国际投资仲裁中证明责任的概念辨析及倒置的创设

On Burden of Proof in International Investment Arbitration:Concept Discrimination and Creation of Inversion

国际投资仲裁在证明问题上融合了不同法系的证据规则,证明责任概念从笼统到逐渐区分为法定证明责任和举证证明责任。一般情况下,当事人承担其请求或抗辩所依据事实的法定证明责任,且不得转移;举证证明责任则以初步证据事实的确立为转移条件。特殊情况下,当事人在客观上难以卸下证明负担时可能请求仲裁庭决定证明责任转移,但这种情况下更可取的做法是由适用法规定证明责任倒置:第一,明确证明责任分配的一般原则和证明责任倒置的特殊情形;第二,特殊情形下较难证明的待证事实要件的证明责任倒置;第三,赋予仲裁庭对待证事实要件证明难易度的裁量决定权。

International investment arbitration applies evidential rules of different legal systems on the issue of proof. The concept of burden of proof thereunder is evolving from a general concept to the distinguishing of the legal burden of proof and the evidential one. As a general rule, the party who submitted a claim or a defense bears the legal burden of proof which never shift while the evidential burden can shift when a prima facie case is established. Under special circumstances, when it is objectively difficult for a party to discharge its evidential burden, the party may request the tribunal to shift the burden to the other party. However, it is a better option to provide the inversion of the burden in the applicable laws by means of:(1) establishing the general rule of the allocation of burden of proof and specifying the special circumstances under which the inversion of burden of proof applies;(2) inverting the burden of proving the elements of the facts to be proved which are difficult to prove;(3) granting tribunals the discretion to determine the difficulty.