论国际投资仲裁“程序滥用”及其规制

The “Abuse of Process” in International Investment Arbitration and Its Regulations

“程序滥用”是“权利滥用”的程序表现。相较于其他国际司法或准司法机制,国际投资仲裁下的“程序滥用”具有特殊性。投资仲裁程序的滥用大都牵涉到具体投资申请方出于滥用性获取自身具体投资仲裁权利的目的而行使了投资协议下的一般性投资仲裁权利。故而,此种权利运用方式直接否定了投资仲裁庭管辖权的存在,而不仅仅是阻碍投资者权利的行使。国际投资争端方所使用的、可冠以“程序滥用”标签的仲裁策略大致可归纳为不正当创设条件企图成就国际投资条约仲裁管辖权、同时启动多个仲裁程序以使胜诉机会最大化、并非出于纠纷解决的真正目的而启动仲裁程序三种类型。国际投资仲裁实践中,应利用好现行国际投资仲裁法律框架对投资参与方“程序滥用”行为的行之有效的规制。无论是中国投资条约还是《国际投资争端仲裁规则》对投资仲裁“程序滥用”的规制均有进一步完善的空间。

The“abuse of process”is the crystallization of the“abuse of right”in the procedural aspect.Compared with other international judicial and quasi-judicial mechanisms,the“abuse of process”under international investment arbitration contains prominent differences.The abuse of investment arbitration process mostly concerns a claimant investor’s use of the general right to investment arbitration under an investment agreement in an abusive attempt to acquire its own right to investment arbitration,and therefore the application of the right directly negates the existence of jurisdiction of an investment arbitral tribunal rather than prevents the exercise thereof.Parties to international investment arbitration have developed an array of different litigation tactics that can each be labeled as an“abuse of process”.These tactics can be grouped into three general categories.In international investment arbitration practice,it is therefore essential to impose effective regulations on investment participants’“abuse of process”actions by successfully employing the existing legal framework over the international investment arbitration.The regulations of the“abuse of process”whether within China’s investment treaties or under the Arbitration Rules of International Investment Disputes are supposed to be perfected.