国际投资仲裁中的平行程序与既判力原则

Parallel Proceedings and Res Judicata in International Investment Arbitration

针对国际投资仲裁领域日益凸显的平行程序及多个仲裁裁决并存冲突等问题,目前有两种常见解决途径:其一为在仲裁裁决作出前进行管辖权协调,其二为在裁决做出后对裁决适用既判力原则。在协调管辖权的尝试屡遭挫败的背景下,正确适用既判力理论显得尤为重要。一方面,对既判力的概念虽有共识,但对于实践中如何界定其适用范围和适用对象却存在诸多争议。另一方面,尽管仲裁界广泛接受将三重因素一致作为既判力适用标准,但如何解释和适用三重因素仍存在巨大分歧。为避免三重因素一致标准被僵硬套用而衍生出两种主流适用方法:经济/现实衡量法以及实质/交易衡量法。前者为根据经济现实突破当事人法律拟制身份的做法提供了理论支撑,后者则强调深挖各要素的本质或实质。基于对这两种方法的批判性分析,本文建构并论证了辅助三重因素一致标准适用的新型方法:法律利益衡量法,其强调需抓住关联案件的核心,基于个案情况,衡量公私法层面各个主体所涉及的法律利益。该方法虽仍有其局限性,但可助益在多元化的国际投资仲裁案件中适用既判力原则,实现灵活性与确定性的相对平衡。

In response to the increasing risks of parallel proceedings and conflicting awards in the field of international investment arbitration, two options are widely employed: either to reconcile jurisdiction prior to the release of final awards or apply res judicata doctrine on the merits afterwards. It is contended that jurisdiction reconciliation frequently fails to function satisfactorily and the conventional doctrine of res judicata may prevail. However, on the one hand, the seemingly clear-cut definition of res judicata does not prevent controversies over the scope and object of the preclusive effect in practice. On the other hand, despite of the universal acceptance of the triple identity test as a prerequisite of applying res judicata, there are fierce debates regarding the interpretation and application of its three prongs.To avoid a rigid and formalistic application of the triple identity test, two main proposals have been formulated, namely the economic/realistic approach and the substantial/transactional test. The former provides justification for disregarding separate legal personality of different parties on account of economic reality.The latter suggests that substantive identity and transactional configuration of the proceedings shall suffice.Based on a critical analysis on the aforementioned proposals,this paper constructs and examines a non-formalistic instrument of applying triple identity test:the legal interests test.It highlights the importance of"seizing the heart of two actions"and encourages special attention to the underlying legal interests of private and public stakeholders to decide the scope and object of res judicata on a case-by-case basis.Although the legal interests test has its own limits,it is expected to achieve a better balance between flexibility and certainty so that it can be more easily accepted by participants with diverse backgrounds and widely applied in international investment arbitration cases of considerable varieties.