论国际投资仲裁中法庭之友的参与

The Participation of Amicus Curiae in Investment Arbitration

投资仲裁透明度是近年来被持续讨论的重要议题,其要求的“公众参与”经由法庭之友制度得以实现。投资仲裁保留了商事仲裁对程序私密性的要求,但其裁决结果的影响远超私人利益,易引发国际社会对投资仲裁的质疑。法庭之友的参与打破了绝对的仲裁私密性,缓解了“私法程序解决公法问题”的制度矛盾,在一定程度上明确了投资仲裁的理论基础。辅助功能的作用程度、与案件的利害关系、案件是否关涉公共利益等是法庭之友能否参与仲裁程序的判断标准。允许参与到仲裁案件中的法庭之友,其权利通常仅包括提交一轮书面意见,无法进行口头辩论。法庭之友参与投资仲裁的理论意义大于实践意义,但其潜力和发挥的隐性作用不容忽视。从我国立场来说,在投资仲裁案件中法庭之友既可以是“对手”也可以是“朋友”,应当积极了解和利用投资仲裁中的法庭之友制度。

Transparency in investment arbitration has been an important issue that has been discussed continuously in recent years,and the“public participation”required by it has been achieved through the participation of amicus curiae.Investment arbitration retains the requirement of the privacy of commercial arbitration,but the effect of its award is far greater than that of private interests,which arouses the international community’s doubts about investment arbitration.The participation of amicus curiae broke the absolute privacy of arbitration,alleviated the institutional contradiction of“private law procedures to solve public law problems”,and to a certain extent straightened out the theoretical basis of investment arbitration.The standard determining the application of amici curiae mainly includes the assistance to the arbitral tribunal,whether the amici brief discussed issues within the scope of the dispute,whether the amicus curiae have significant interest in the dispute,whether the subject matter of the arbitration case involves public interest.Those who are allowed to participate into the procedure as amici curiae are entitled to submit written submissions but not to plead orally.The theoretical significance of amicus curiae’s participation in investment arbitration is greater than the practical significance,but its potential cannot be ignored.Amicus curiae in an investment arbitration can be neither an“opponent”nor a“friend”for China and Chinese investors,we should understand and utilize the amicus curiae system in investment arbitration.