双边投资条约中“岔路口条款”适用研究

A Study of the Application of“Fork-in-the-Road Clause”in Bilateral Investment Treaties

“岔路口条款”作为防止双重诉讼程序的条款,在发生国际投资争端时如何抉择国内诉讼与国际仲裁方式上,发挥着重要作用。条款规定,当投资争端出现时,投资者或诉诸东道国法院,或向国际仲裁庭申请。只能选择一次,并且在选定之后不能更改,该条款规定于双边投资条约中投资争端解决部分。其目的不仅是为了更好地保障投资者寻求救济的权利,更是为了防止投资者通过双重程序而不当获益,以保护东道国的利益。当投资者就同一争端诉诸东道国法院后又申请国际仲裁,“岔路口条款”理应启动。但是,对这一过程中的主体、标的、诉因三种要素是否完全一致的判定标准,要依靠仲裁庭根据个案进行解释。仲裁庭常常采取严格解释,认定投资者的行为不构成启动“岔路口条款”的条件,仲裁庭将继续受理争端。这种情形,使得“岔路口条款”形同虚设。结合具体案例,通过对“岔路口条款”适用进行具体分析,总结适用中存在的问题,并针对问题,立足我国实情,对我国双边投资条约中的“岔路口条款”提出改进建议。

The“fork-in-the-road clause”is of vital importance in the application of international investment dispute settlement procedure.When an investment dispute arises,the investor either resorts to the court of the host country or applies to the international arbitration tribunal,and finally chooses one to the end.Its purpose is not only to better protect the right of investors who seek relief,but also to prevent investors from gaining undue benefits through dual procedures,so as to protect the interests of the host country.The“fork-in-the-road clause”should be invoked when an investor applies for international arbitration after taking a dispute over consent to a court in the host country.However,there is no clear and uniform standard for the application of this clause in practice,and it is still up to the arbitral tribunal to interpret it on a case-by-case basis.Arbitral tribunals often adopt strict interpretations,deciding that investors’actions do not constitute a condition for invoking the“fork-in-the-road clause”and that the tribunal will continue to hear disputes,rendering the clause meaningless.Based on specific cases,this paper analyzes the application of the“fork-in-the-road clause”,summarizes the existing problems in the application,and puts forward suggestions for improvement in China’s bilateral investment treaty based on the reality in our country.