再論公平公正待遇條款——基於善意原則的分析

Revisiting the Fair and Equitable Treatment Clause：Based on the Good Faith Principle

公平公正待遇條款內涵寬泛、語義抽象，在實踐中缺乏統一的適用標準，是東道國面臨投資者濫訴和“規制寒蟬”的重要原因。學界曾提出用習慣國際法來限制仲裁庭對該條款的自由裁量，也提出過該條款的法律原則部分不可訴的主張。歐盟在國際協定中對該條款採取了規則化的改進措施。這些措施對彌補公平公正待遇條款的缺陷起到了積極作用，但該條款的法律解釋仍然有進一步完善的空間。將善意原則適用於公平公正待遇條款的分析是仲裁庭常用的做法。但是，善意原則本身就具有含義不清、法律地位不明等問題，將該原則適用於同樣具有一定模糊性的公平公正待遇條款，需要建立在二者清晰的法律關係和功能定位上，以防止使公平公正待遇條款的適用陷入更大的不確定性。公平公正待遇條款的法律適用可以結合善意原則的主觀性與客觀性，從程度的善意和通知義務的善意兩個方面進行完善，以克服該條款法律適用的困境與風險。

The fair and equitable treatment clause has broad connotation, abstract semantics, and lack of uniform application standard in practice, which is an important reason for the host state to face excessive litigation and“regulatory chill”. Scholars have previously put forward the use of customary international law to limit the arbitral tribunal’s discretion on this article, and also uphold the claim that the legal principle of this article is not actionable. The European Union has adopted regularized measures to improve this article in international agreements. These measures have played a positive role in resolving the defects of the fair and equitable treatment clause, but there is still room for further improvement in the legal interpretation of the clause. The application of the principle of good faith to the analysis of fair and equitable treatment clauses is a common practice of arbitral tribunals. However, the principle of good faith itself has problems such as unclear meaning and unclear legal status. The application of this principle to the fair and equitable treatment clause should be based on their clear legal relationship and functional orientation, so as to prevent the application of the fair and equitable treatment clause from falling into greater uncertainty. The legal application of the fair and equitable treatment clause can be improved by combining the subjectivity and objectivity of the principle of good faith, from the two aspects of degree good faith and good faith of notification obligation, so as to overcome the dilemma and risk of the legal application of this clause.