论投资争端预防的巴西范式及其借鉴

Brazilian Paradigm of Investment Dispute Prevention and Its Reference

相比于ISDS和ADR,争端预防具有事前防御优势,更利于维护投资者与国家的长久关系。巴西通过签订《合作与便利化投资协定》为投资争端预防提供了双边层面的独特方案———围绕监察员和联合委员会对争端进行二级预防,同时不再规定投资者与国家间争端解决,只设置国家间仲裁以解决国家间的争端。该范式有利于优化投资环境,维护国家规制权,但存在弱化私人投资者的独立地位、争端应对模式单一且实际效果未知等局限。我国与巴西在争端预防上存在需求共性,可借鉴巴西争端预防范式,在明确保留ISDS的基础上将争端预防作为前置程序,参考监察员设计完善国内外商投诉工作机制,尝试在双边或多边层面纳入联合委员会的争端预防等功能。

Compared with ISDS and ADR,dispute prevention has the advantage of pre-defense,which is more conducive to maintaining the long-term relationship between investors and the state.Brazil pro-vides a unique bilateral program for the prevention of investment disputes through the signings of the Cooperation and Facilitation Investment Agreements,namely,the two-stage prevention of disputes a-round the ombudsman and the joint committee.At the same time,it no longer provides Investor-State Dispute Settlement(ISDS),but only offers State-State Arbitration to resolve disputes between states.While this paradigm is conducive to optimizing the investment environment and maintaining the regu-latory power of a host country,it has some limitations,such as weakening the independent status of private investors,lacking the assistance of ISDS and its actual effect is still unknown.In view of the commonality between China and Brazil on the dispute prevention needs,it is advisable for China to draw lessons from the Brazilian dispute prevention paradigm as follows:Firstly,to take dispute pre-vention as the pre-procedure on the basis of explicitly retaining ISDS;Secondly,to improve the domes-tic Foreign Investment Complaint Mechanism with reference to the ombudsman;Finally,to include the dispute prevention functions of the Joint Commission at the bilateral or multilateral level.