THE CORE STANDARD OF INTERNATIONAL INVESTMENT PROTECTION FAIR AND EQUITABLE TREATMENTPDF电子书下载
- 电子书积分:18 积分如何计算积分?
- 作 者:ALEXANDRA DIEHL
- 出 版 社:WOLTERS KLUWER
- 出版年份:2012
- ISBN:9041138692
- 页数:630 页
Introduction 1
Part Ⅰ The Framework of Protection 15
Chapter 1 Sources of the FET Standard 17
1.1. The Notion of Standard: In Search of a Definition 17
1.1.1. Standards in the Technical, Business and ‘Everyday’ World 18
1.1.2. Standards in the Legal World 22
i. Historic Roots 23
ii. Comparison with the Rule 26
iii. Normative and Descriptive Elements of the Standard 29
iv. Modern Definitions 30
v. Own Definition 33
vi. Summary 33
1.2. Bilateral Investment Treaties: The ‘Treatification’ of Foreign Investment Law 34
1.2.1. Historical Development of BITs: European Practice as a Role Model 37
1.2.2. Reasons for the ‘Baby Boom of BITs’ 49
i. The Common Structure of Investment Treaties 49
a. Preamble 50
b. Definitions of Key Terms and Bars to Jurisdiction 51
c. Admission 64
d. Standards of Treatment 67
e. The MFN Standard 71
f. Expropriation 79
g. Dispute Settlement 81
h. Local Remedies 82
i. Duration 89
j. Conclusion and Outlook 90
k. Summary 92
ii. Shortcomings in Customary International Law 93
a. The Pre-BIT Era 93
b. Conclusion 97
1.3. The ECT: Fruit of the Evolution of the BIT Regime 98
1.3.1. The Charter Process: Three Years of Negotiations and One Farewell 101
1.3.2. The Structure of the ECT: A Comparison with BITs 107
i. General Composition and Definitions 108
ii. Substantive Treatment: An Analysis of the ECT’s Article 10 110
iii. Expropriation: The Comeback of Hull 114
iv. Dispute Settlement: The Filling of Gaps to AvoidDuplicate Proceedings 115
1.3.3. Conclusion and Summary 123
1.4. Investment Treaties as Part of the Body of General International Law 125
1.4.1. Customary Framework of FET 125
i. FET and Customary International Law 126
a. State Practice 131
b. Opinio Iuris 137
c. FET and the IMS 145
1.4.2. The FET Standard - A General Principle of Law? 153
i. The Birth of the ‘General Principle’:Principles and Standards as ‘Twins’? 153
ii. The Use of General Principles by the ICJ and Arbitral Tribunals 158
a. ICJ and PCIJ Cases 158
b. Arbitral Cases in the Pre-ICSID Period 161
c. Arbitral Cases in the Post-ICSID Period 163
iii. The Relationship between FET and General Principles of Law 169
1.4.3. Conclusion and Summary 175
Chapter 2 Forums for Solving Investment Disputes Dealing with FET 181
2.1. ICSID as a Permanent Mixed Arbitration Tribunal 181
2.1.1. The Coming About of ICSID: A Self-Contained System of Arbitration 183
2.1.2. ICSID Arbitration Procedure 186
i. General Structure of the Centre 186
ii. The Exclusivity of ICSID Proceedings 187
iii. Starting ICSID Arbitration 189
iv. Conduct of Proceedings 195
2.1.3. Finality of ICSID Awards: An Exception to the Exclusivity Rule 199
i. Recognition, Enforcement and Execution:Three Terms, but Two Meanings? 200
ii. The ICSID Review Regime 203
2.1.4. Additional Facility 209
2.2. Other Arbitral Regimes 210
2.2.1. Ad Hoc Arbitration: UNCITRAL as an Alternative to ICSID 210
2.2.2. Other Arbitral Institutions 215
i. International Chamber of Commerce 215
ii. London Court of International Arbitration 218
iii. Arbitration Institute of the SCC 219
2.3. Conciliation or Mediation as an Alternative: An Old Tool Rediscovered? 222
2.3.1. Conciliation and Mediation Described and Defined 224
i. Alternatives to Arbitration and Litigation Enumerated in BITS 224
ii. The Importance of Negotiations in Investment Relationships 226
iii. Mediation and Conciliation: Differences and Commonalities 228
iv. Advantages of the Use of Conciliation in Investment Disputes 230
v. Disadvantages of Investment Conciliation and Possible Solutions 233
vi. Conciliation Regimes 235
a. UNCITRAL Conciliation Rules 235
b. ICSID Conciliation Rules 237
c. The ICC ADR Rules 238
2.4. Conclusion and Summary 240
Chapter 3 Concluding Analysis: The Investment Regime as a Regime of Networks 243
Part Ⅱ The Content and Scope of the FET Standard 251
Chapter 4 Determining the Applicable Law 253
4.1. The Outset: Prevalence of Domestic Law for Certain (Procedural) Questions 254
4.2. Step 1: Looking for Explicit Party Agreements 257
4.2.1. Direct Agreement between Host State and Investor 258
i. Law of the Host State Chosen by the Parties 258
ii. Domestic Law Subject to a Stabilization Clause 258
iii. Law of a Third State Chosen by the Parties 262
iv. International Law as the Applicable Law 262
v. The Law of the Contract as the Applicable Law 263
vi. Host State’s Law and International Law as the Applicable Law 264
4.2.2. Choice-of-Law Clauses in Treaties 265
i. Choice-of-Law Clauses Contained in BITs 265
ii. Choice-of-Law Clauses Contained in Multilateral Treaties 268
4.2.3. Choice-of-Law Clauses in Domestic Legislation 269
4.3. Step 2: Identifying Implicit Agreements 270
4.3.1. Choice of International Arbitration as Implicit Agreement? 270
4.3.2. Analysing the Contract and the Circumstances of the Case 272
4.4. Step 3: Identifying Limitations on the Parties’ Freedom of Choice 276
4.4.1. Mandatory Provisions of the Host State’s Law 277
4.4.2. The Vague Notion of Public Policy 279
4.5. Step 4: Dealing with an Absence of Agreed Choice of Law 284
4.5.1. Application of Article 42(l) of the ICSID Convention 284
4.5.2. Residual Rules in other Arbitration Systems 290
4.6. Summary 293
Chapter 5 Direct or Derivative Rights? 295
5.1. The Individual as a Subject of International Law 295
5.2. The Investment Treaty Regime as a Source of Rights for the Individual 301
5.3. Investment Standards and Waivers 308
5.4. Summary 310
Chapter 6 The Content of the FET Standard 311
6.1. Starting Points in the Analysis of FET Claims 312
6.1.1. The Process of Interpretation: Defining ‘Fair’ and ‘Equitable’ 313
6.1.2. The Four Elements of a Successful FET Claim 324
6.1.3. Summary 327
6.2. FET as a Collection of Fact Patterns or as an Embodiment of the Rule of Law? 328
6.2.1. Solutions Proposed by Tribunals and Scholars 328
6.2.2. The FET Standard and the Four Pillars of the Rule of Law 330
6.2.3. Summary 337
6.3. Review of Administrative Decisions 338
6.3. 1. The Protection of Legitimate Expectations in International Investment Law 338
i. The Legal Foundation of the Protection of Legitimate Expectations 339
a. Anglo-European Theories: Estoppel and Certainty 340
b. Good Faith and Its Corollaries 348
c. Administrative Efficacy 359
d. Conclusion and Summary 360
ii. Protection of Legitimate Expectations in WTO Law 361
iii. Investment Arbitration Cases Recognizing Legitimate Expectations 366
a. Synopsis of Relevant Case Law 367
b. Summary 386
iv. Governmental Conduct that Can Give Rise to Legitimate Expectations 387
a. Formal Requirements 391
b. Beneficial Effect 396
c. Individualized Character 398
d. Lawfulness 402
e. Summary 410
v. Legitimate and ‘Illegitimate’ Expectations: Relevance of Investors’ Conduct 412
a. Reasonableness 413
b. Compelling Reasons for Not Providing Protection 424
vi. Conclusion and Summary 429
6.3.2. Due Process in Administrative Decision-Making 431
i. The Notion of Due Process 432
ii. Case Law Concerning Due Process 437
a. Right to Be Heard and Right to a Fair Hearing (Procedural Fairness) 437
b. Inconsistency and Instability 441
c. Transparency 443
d. Coercion and Harassment 447
e. Discrimination, Arbitrariness and Unreasonableness 448
f. Summary 454
6.4. Denial of Justice 455
6.4.1. The Historical Evolution of Denial of Justice 456
i. Reprisals and Gunboat Diplomacy: The Roots of Denial of Justice 457
ii. Modern Approaches to Denial of Justice 461
a. State Responsibility for the Conduct of the Judiciary 461
b. No Responsibility for Misapplication of National and International Law 462
c. Attempts at Codification 464
6.4.2. Investment Arbitration Cases Dealing with Denial of Justice 467
i. The Saipem Case: Denial of Justice as a Form of Expropriation? 467
a. The Facts of the Saipem Case 468
b. The Tribunal’s Reasoning 470
ii. The Loewen Case: Canadian Firm Meets US Tort Monster? 476
a. The Facts of the Loewen Case 477
b. Extensive Obiter Dictum and Jurisdictional Issues 480
c. The Tribunal’s Reasoning on the Merits 483
iii. The Mondev Case: An Arbitral Tribunal Functioning as a Court of Appeal? 492
a. The Facts of the Mondev Case 493
b. The Tribunal’s Reasoning 494
6.4.3. The Local Remedies Rule Revisited 498
6.4.4. Conclusion and Summary 502
6.5. The FET Standard and Human Rights: Interaction or Contradiction? 504
6.5.1. Investors’ Human Rights 507
6.5.2. Human Rights as a Defence for the Host State 511
i. Three Different Defence Strategies 511
ii. Privatization of Public Services: A Danger for Human Rights? 515
a. The Right to Water 516
b. Two Major Challenges for Investment Tribunals 520
6.5.3. Concluding Analysis and Summary 524
6.6. Concluding Considerations: The FET Standard and Other Standards 528
6.6.1. FET and Expropriation 528
6.6.2. FET and Non-Impairment 529
6.6.3. FET and Full Protection and Security 529
6.6.4. FET and MFN/NT 534
Concluding Remarks 539
Bibliography 561
Table of Cases 589
Table of Treaties and Conventions 603
Index 623
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