國際投資條約的投資者義務條款研究

On the Investor's Obligation Clause under Investment Treaty

在投資條約中增加有關外國投資者義務的條款，是平衡東道國與外國投資者雙方關係的一種新探索。一些國際組織、國家和非政府組織提出了在投資條約中納入投資者義務條款的若干方案。在實體方面，投資條約可以直接規定投資者應承擔的具體義務，或者籠統地規定投資者應承擔企業的社會責任，或者以強化東道國的管制權的方式間接涉及投資者義務。當投資條約規定了投資者義務時，東道國針對投資者違反該義務可以提出反請求。投資者違反投資條約義務規定的後果，根據其具體情形包括喪失條約保護的利益，或者相應抵消投資者對東道國提出的賠償請求，或者是在投資仲裁庭進行條約解釋時，將投資者違反條約義務的情形加以適當考慮，做出有利於東道國的解釋。在投資條約中納入投資者義務的條款，是國際投資法改革的未來方向之一，同時也涉及私人在國際法上地位的理論與實踐問題，需要通過投資條約和投資爭端解決實踐來不斷完善。 Introducing investor's obligation clause into investment treaties is a new exploration for the balance between host state and foreign investors. Some international organization, states and non-governmental organizations have provided some solutions on this issue. From the substantive rules' perspective, investment treaties could contain the clauses that set on directly the investor's obligations or they may generally provide for the corporative social responsibility of foreign investors, or they could strengthen host states' regulatory power that relates indirectly to investor's obligations. When investment treaties provide for investor's obligations, host states may invoke counterclaim against investors who have breached their obligations under the treaty. The legal consequences of the breach of investors' obligations may vary in different situations: foreign investor may lose the benefit of protection by investment treaty; investor's claim of compensation against host state may be set-off due to the breach of its obligations; the investment tribunal may duly take into account the breach of obligations by foreign investors and consequently make treaty interpretation in favour of host state. In all, introducing investor's obligations into investment treaties is one of the trends of reforming current international investment law, and also relates to the theoretical and practical problems of the private person's status on international law, the continuous improvement of which depends on the practices of investment treaties and investment disputes settlement.