作为英美法系的一项重要制度，先例制度历来在英美法系的国内法层面加以讨论，而很少涉及国际法层面的先例制度问题。 晚近，随着ICSID投资仲裁案件的不断增多，国际投资仲裁裁决之间缺乏一致性的问题日益凸显，投资仲裁甚至被一些人认为出现严重的“正当性危机”，因此投资仲裁中先例的运用就显得愈发重要。建立ICSID投资仲裁的先例制度不仅有利于消除条约解释和适用的不一致性，缓解国际投资仲裁的正当性危机，还有利于为国际投资提供一个稳定、可预期的国际投资法律环境。本文在对ICSID投资仲裁中先例制度在法理和实践中的发展加以分析的基础上，对ICSID投资仲裁先例制度存在的问题进行分析，并提出初步的完善建议。 ...The precedent system is an important system which originated from Anglo-American legal system. As the main source of law in Anglo-American legal system, the case law developed and was improved in the judicial practice. The precedent system was always discussed in the national law, particularly in Anglo-American legal system, whereas less attention was paid to precedent system in international law....学位：法学硕士院系专业：法学院法律系_国际法学(含国际公法、国际私法、国际经济法)学号：1362008115076

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  学校编码：10384                             分类号_______密级 ______ 学号：13620081150760                                     UDC _______    硕 士 学 位 论 文  ICSID 投资仲裁先例制度研究 The Research on the Precedent system in ICSID Arbitration 夏  璐 指导教师姓名： 蔡 从 燕 教 授  专 业 名 称： 国 际 法  论文提交日期： 2 0 1 1 年 4 月  论文答辩时间： 2 0 1 1 年 3 月  学位授予日期： 2 0 1 1 年    月  答辩委员会主席：           评    阅    人：            2011 年 4 月厦门大学博硕士论文摘要库厦门大学博硕士论文摘要库   厦门大学学位论文原创性声明  本人呈交的学位论文是本人在导师指导下,独立完成的研究成果。本人在论文写作中参考其他个人或集体已经发表的研究成果，均在文中以适当方式明确标明，并符合法律规范和《厦门大学研究生学术活动规范（试行）》。 另外，该学位论文为（                            ）课题（组）的研究成果，获得（               ）课题（组）经费或实验室的资助，在（               ）实验室完成。（请在以上括号内填写课题或课题组负责人或实验室名称，未有此项声明内容的，可以不作特别声明。）  声明人（签名）：           年   月   日厦门大学博硕士论文摘要库厦门大学博硕士论文摘要库  厦门大学学位论文著作权使用声明  本人同意厦门大学根据《中华人民共和国学位条例暂行实施办法》等规定保留和使用此学位论文，并向主管部门或其指定机构送交学位论文（包括纸质版和电子版），允许学位论文进入厦门大学图书馆及其数据库被查阅、借阅。本人同意厦门大学将学位论文加入全国博士、硕士学位论文共建单位数据库进行检索，将学位论文的标题和摘要汇编出版，采用影印、缩印或者其它方式合理复制学位论文。 本学位论文属于： （     ）1.经厦门大学保密委员会审查核定的保密学位论文，于   年  月  日解密，解密后适用上述授权。 （     ）2.不保密，适用上述授权。 （请在以上相应括号内打“√”或填上相应内容。保密学位论文应是已经厦门大学保密委员会审定过的学位论文，未经厦门大学保密委员会审定的学位论文均为公开学位论文。此声明栏不填写的，默认为公开学位论文，均适用上述授权。）                                声明人（签名）： 年   月   日厦门大学博硕士论文摘要库厦门大学博硕士论文摘要库  内容摘要 作为英美法系的一项重要制度，先例制度历来在英美法系的国内法层面加以讨论，而很少涉及国际法层面的先例制度问题。 晚近，随着 ICSID 投资仲裁案件的不断增多，国际投资仲裁裁决之间缺乏一致性的问题日益凸显，投资仲裁甚至被一些人认为出现严重的“正当性危机”，因此投资仲裁中先例的运用就显得愈发重要。建立 ICSID 投资仲裁的先例制度不仅有利于消除条约解释和适用的不一致性，缓解国际投资仲裁的正当性危机，还有利于为国际投资提供一个稳定、可预期的国际投资法律环境。本文在对 ICSID 投资仲裁中先例制度在法理和实践中的发展加以分析的基础上，对 ICSID 投资仲裁先例制度存在的问题进行分析，并提出初步的完善建议。 除引言和结语外，本文共分为三章。 第一章为先例制度概述，共分三节，第一节主要对国内法上先例的适用加以简要介绍，第二节为国际法上的先例制度，主要结合国际法院和世界贸易组织争端解决机制的先例实践对国际法上的先例制度展开理论探析和实践分析。第三节为 ICSID 投资仲裁先例概述，简要讨论了 ICSID 投资仲裁中先例问题产生的背景和目前先例的地位，为以后的详细论述作铺垫。 第二章为 ICSID 投资仲裁先例的实证和理论分析，第一节通过对支持先例和反对先例的若干典型案例进行个案考察，并结合其他案例归纳出ICSID 投资仲裁庭对先例态度的发展趋势。第二节就投资仲裁先例的形成原因以及影响等理论问题加以深入剖析，以厘清 ICSID 投资仲裁先例制度的产生的内在原因和外在因素，并阐明对以后仲裁案件的影响。 后，第三章分析了 ICSID 投资仲裁先例制度存在的问题，并对投资仲裁先例制度的完善提出针对性的建议。 关键词：ICSID 仲裁先例；正当性危机；完善建议 厦门大学博硕士论文摘要库  ABSTRACT The precedent system is an important system which originated from Anglo-American legal system. As the main source of law in Anglo-American legal system, the case law developed and was improved in the judicial practice. The precedent system was always discussed in the national law, particularly in Anglo-American legal system, whereas less attention was paid to precedent system in international law. Recently, as cases submitted to ICSID investment arbitration increased continuously, the lack of consistency between the international investment arbitration awards emerges. Thus, the investment arbitration gets into severe “Legitimacy Crisis”. Therefore, the precedent system in ICSID arbitration appears increasingly important. Establishing the precedent system in ICSID arbitration is not only advantageous to eliminate inconsistencies of interpretation and application of international treaties, to overcome the “Legitimacy Crisis” of the international investment arbitration, but also helpful to provide the stable and predictable environment for the international investment. This dissertation analyzes the practice and the jurisprudence of precedent system in ICSID arbitration, and then makes several recommendations for improvements of the precedent system in ICSID arbitration.  This dissertation consists of three chapters in addition to Preface and Conclusion. Chapter 1 consists of three subchapters. The first subchapter gives an overview of precedent system in domestic law, and then examines the precedent system in practice of ICJ and WTO. The third subchapter introduces the precedent system in ICSID arbitration briefly, and discusses the background and status thereof. Chapter 2 is empirical and jurisprudence examination of the precedent 厦门大学博硕士论文摘要库 3 system in ICSID investment arbitration. The first subchapter analyzes cases adopted and not adopted precedent system in ICSID arbitration and then summarizes the trend of development of attitude of ICSID tribunals to precedent system in ICSID arbitration. On basis of the first subchapter, the second subchapter examines the internal and external causes of formation and the influence of precedent system in ICSID arbitration and probes into the influence of the precedent in later cases with regard to investment treaties, international arbitration and disputing parties as well as the third parties. Finally, Chapter 3 analyzes the problems in the present precedent system in ICSID investment arbitration, and put forwards specific recommendations for improvements of the precedent system in ICSID arbitration.    Key words：Precedent System in ICSID Arbitration；Legitimacy Crisis；Recommendations for Improvements 厦门大学博硕士论文摘要库厦门大学博硕士论文摘要库  案例表(Table of Cases)  Short Title Full Case Title and Citation AES case AES Corp. v. Argentine Republic, ICSID Case No. ARB/02/17, April 26, 2005.   Amco case Amco v Indonesia, Decision on Jurisdiction, ICSID Case No. ARB/81/1, 1 ICSID Reports 395, September 25, 1983. Decision on Annulment, 1 ICSID Reports 521, May 16, 1986.  CMS Case CMS Gas Transmission Company v. The Argentine Republic (ICSID Case No. ARB/01/8), Award of May 12, 2005. Enron case Enron v. Argentina, Decision on Jurisdiction, ICSID CASE No. ARB/01/3, 2 August 2004. Gas Natural SDG case Gas Natural SDG, S. A. v. Argentina Republic, Award, Case No. ARB/03/10, June 17, 2005. Holiday Inn case Holiday Inn S. A. and Others v. Morocco, ICISD ARB/72/1, April 14, 1977. Japan -Alcoholic Beverages Case Japan -Alcoholic Beverages, WT/DS8/10/11/AB/R, November 1, 1996. LETCO case LETCO v Liberia, Award, 2 ICSID Reports 352, March 31, 1986.  SGS case SGS Société Générale de Surveillance S.A. v. Republic of the Philippines, Case No. ARB/02/6, Decision of the Tribunal on Objections to Jurisdiction, January 29, 2004. 厦门大学博硕士论文摘要库厦门大学博硕士论文摘要库 1 目  录 引  言.........................................................................................................1 第一章 先例制度概述 ..............................................................................2 第一节 国内法上的先例制度 .....................................................................................2 第二节 国际法上的先例制度——以国际法院和世界贸易组织争端解决机制为例 ...................................................................................................................................4 一、国际法院的先例制度....................................................................................4 二、世界贸易组织争端解决报告的先例效力....................................................6 第三节 ICSID 投资仲裁先例制度概述 ......................................................................9 一、ICSID 投资仲裁先例问题提出的背景 ........................................................9 二、ICSID 投资仲裁先例制度的地位 ..............................................................10 本章小结 ..................................................................................................11 第二章 ICSID 投资仲裁先例制度的实证与法理分析........................12 第一节 ICSID 投资仲裁的实证分析——仲裁庭对先例的态度 ............................12 一、支持适用 ICSID 先例的典型案例 .............................................................12 二、反对适用 ICSID 先例的典型案例：“SGS 诉菲律宾案”.....................16 三、ICSID 仲裁庭对先例态度的发展趋势 ......................................................19 第二节 ICISD 投资仲裁先例制度的法理分析 .......................................................21 一、ICSID 先例制度的成因 ..............................................................................21 二、ICISD 先例制度的影响 ..............................................................................24 本章小结 ..................................................................................................29 第三章  ICSID 投资仲裁先例制度存在的问题及其完善..................31 厦门大学博硕士论文摘要库  第一节  ICSID 先例制度存在的问题 .....................................................................31 第二节  ICSID 先例制度的完善建议 .....................................................................35 本章小结 ..................................................................................................40 结 语.........................................................................................................42 参考文献 ..................................................................................................43    厦门大学博硕士论文摘要库  CONTENTS Preface........................................................................................................1 Chapter 1  A Summary of Precedent System.......................................2 Subchapter 1  Precedent system in domestic law....................................................2 Subchapter 2  Precedent system in international law ............................................4 Section 1  Precedent system in ICJ ......................................................................4 Section 2  Precedent system in WTO Disputes Settlement System.....................6 Subchapter 3  Precedent system in ICSID arbitration...........................................9 Section 1  Background of precedent system in ICSID arbitration.......................9 Section 2  Status of precedent system in ICSID arbitration...............................10 Summary..................................................................................................11 Chapter 2  Empirical and Jurisprudence Examination on the Precedent System in ICSID Arbitration...............................................12 Subchapter 1  Empirical Examination on the precedent system in ICSID arbitration...................................................................................................................12 Section 1  Cases adopted the precedent system in ICSID arbitration................12 Section 2  Cases not adopted the precedent system in ICSID arbitration: “SGS v. the Philippines”................................................................................16 Section 3  Trend of development of attitude of ICSID tribunals to the  precedent system in ICSID arbitration.............................................19 Subchapter 2  Jurisprudence Examination of precedent system in ICSID arbitration...................................................................................................................21 Section 1  Cause of formation of precedent system in ICSID arbitration .........21 Section 2  Influence of precedent system in ICSID arbitration .........................24 厦门大学博硕士论文摘要库  Summary..................................................................................................29 Chapter 3  Recommendations for improvements of the precedent system in ICSID arbitration ..................................................................31 Subchapter 1  Problems of the precedent system in ICSID arbitration .............31 Subchapter 2  Recommendations for improvements of the precedent system in ICSID arbitration.......................................................................................................35 Summary..................................................................................................40 Conclusion ...............................................................................................42 Bibliography ............................................................................................43 厦门大学博硕士论文摘要库Degree papers are in the “Xiamen University Electronic Theses and Dissertations Database”. 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The Research on the Precedent System in ICSID Arbitration

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The Research on the Precedent System in ICSID Arbitration

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