履行就地保护义务的投资仲裁风险及应对

doi:10.17520/biods.2024333

摘要/Abstract

摘要：

全球生物多样性丧失和生态系统退化正威胁着人类的生存与发展。《保护野生动物迁徙物种公约》(Convention on the Conservation of Migratory Species of Wild Animals, CMS)和《生物多样性公约》(Convention on Biological Diversity, CBD)等国际公约都强调缔约国应履行就地保护义务。为此, 一些国家实施了撤销/拒绝颁发采矿许可证、颁布/修改生物多样性政策等自然保护地治理措施, 而这些措施对部分外国投资者的财产权益造成损害, 违反了其对外缔结的国际投资协定(international investment agreements, IIAs)所承诺的投资保护义务, 引发诸多投资争端。本文从国际投资仲裁争端的角度出发, 梳理了自然保护地治理引发投资仲裁案件的争议焦点, 如管辖权、公平公正待遇条款、间接征收条款等, 总结出国际投资法视野下同时履行就地保护义务与投资保护义务所面临的困难: (1)合理期待解释分歧较大; (2)公共利益审查标准不一; (3)一般例外条款适用难度大。基于此, 本文提出明确就地保护规则与投资保护规则的效力等级、引入善意原则完善投资待遇条款、强化投资者义务条款和建立应对生物多样性的全球基金等建议, 实现自然保护地治理与国际投资的协同发展。

关键词: 就地保护, 自然保护地, 生物多样性, 投资仲裁, 善意原则, 投资者义务

Abstract

Background & Aims: Global biodiversity loss and ecosystem degradation are threatening human survival and development. International conventions, such as the Convention on the Conservation of Migratory Species of Wild Animals and the Convention on biological diversity, emphasize contracting states should fulfill their obligations of in-situ conservation. Some states implemented conservation measures such as revoking/refusing mining permits and enacting/modifying biodiversity policies for this purpose. However, these measures cause damage to property rights protection and interests of some foreign investors. This violation of investment protection obligations promised by international agreements with foreign countries has caused many disputes.

Review Results: The study reviews the disputes in jurisdiction, fair and equitable treatment clause, indirect expropriation clause, and other aspects of investment arbitration cases involving the governance of protected natural areas from the perspective of international investment. We found the difficulties in fulfilling the obligation of in-situ conservation and investment protection simultaneously as follows: divergence of the interpretation of reasonable expectations; differences of public interest review standards; difficulty in application of the general exception clause.

Recommendations: Our findings suggest a need for clarifying the effectiveness levels of in-situ conservation rules and investment protection rules. Further, we recommend introducing the principle of good faith to improve investment treatment clauses, strengthening investor obligation provisions, and creating a global fund to combat biodiversity.

Key words: in-situ conservation, protected natural area, biodiversity, investment arbitration, principle of good faith, investor obligation

钱嘉宁 (2025) 履行就地保护义务的投资仲裁风险及应对. 生物多样性, 33, 24333. DOI: 10.17520/biods.2024333.

Jianing Qian (2025) Investment arbitration risks and countermeasures for the fulfillment of in-situ conservation obligation. Biodiversity Science, 33, 24333. DOI: 10.17520/biods.2024333.

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链接本文: https://www.biodiversity-science.net/CN/10.17520/biods.2024333

https://www.biodiversity-science.net/CN/Y2025/V33/I7/24333

图/表 3

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名称 Legislation name	主要原则或制度 Primary principle/systems	中国加入情况 China’s accession
《关于特别是作为水禽栖息地的国际重要湿地公约》(1971) Convention on Wetlands of International Importance Especially as Waterfowl Habitat (1971)	设置湿地自然保护区, 无论该湿地是否已列入《国际重要湿地名录》, 以促进湿地和水禽的养护并应对其进行充分的监护 To establish wetland nature reserves, whether or not the wetland has been included in the List of Wetlands of International Importance, to promote the conservation and adequate monitoring of wetlands and waterfowl	是 Yes
《保护世界文化和自然遗产公约》(1972) Convention concerning the Protection of the World Cultural and Natural Heritage (1972)	为保护、保存和展出本国领土内的文化遗产和自然遗产采取积极有效的措施 To take active and effective measures for the protection, preservation and display of the cultural and natural heritage within its territory	是 Yes
《保护欧洲野生动物与自然栖息地公约》(1979) The Conservation of European Wildlife and Natural Habitats (1979)	采取适当和必要的立法和行政措施确保保护野生动植物物种的生境 To take appropriate and necessary legislative and administrative measures to ensure the conservation of the habitats of the wild flora and fauna species	否 No
《保护野生动物迁徙物种公约》(1979) Convention on the Conservation of Migratory Species of Wild Animals (1979)	单独或合作采取适当和必要的步骤来保护迁徙物种及其栖息地 To take individually or in co-operation appropriate and necessary steps to conserve migratory species and their habitat	否 No
《关于环境保护的南极条约议定书》(1991) Protocol on Environmental Protection to the Antarctic Treaty (1991)	保护南极环境及依附于它的和与其相关的生态系统, 特兹将南极指定为自然保护区, 仅用于和平与科学 To protect the Antarctic environment and dependent and associated ecosystems and hereby designate Antarctica as a natural reserve, devoted to peace and science	是 Yes
《生物多样性公约》(1992) Convention on Biological Diversity (1992)	建立保护区系统或需要采取特殊措施以保护生物多样性的地区 To establish a system of protected areas or areas where special measures need to be taken to conserve biological diversity	是 Yes
《联合国防治荒漠化公约》(1994) United Nations Convention to Combat Desertification (1994)	建立或加强早期预警系统, 加强抗旱准备和管理 To establish and/or strengthen early warning systems, strengthen drought preparedness and management	是 Yes
《国际植物保护公约》(1997) International Plant Protection Convention (1997)	保护受威胁地区, 划定、保持和监视非疫区和有害生物低度流行区 To protect threatened areas, delineation, maintenance and surveillance of areas free of epidemics and areas of low pest prevalence	是 Yes

名称 Legislation name	主要原则或制度 Primary principle/systems	中国加入情况 China’s accession
《关于特别是作为水禽栖息地的国际重要湿地公约》(1971) Convention on Wetlands of International Importance Especially as Waterfowl Habitat (1971)	设置湿地自然保护区, 无论该湿地是否已列入《国际重要湿地名录》, 以促进湿地和水禽的养护并应对其进行充分的监护 To establish wetland nature reserves, whether or not the wetland has been included in the List of Wetlands of International Importance, to promote the conservation and adequate monitoring of wetlands and waterfowl	是 Yes
《保护世界文化和自然遗产公约》(1972) Convention concerning the Protection of the World Cultural and Natural Heritage (1972)	为保护、保存和展出本国领土内的文化遗产和自然遗产采取积极有效的措施 To take active and effective measures for the protection, preservation and display of the cultural and natural heritage within its territory	是 Yes
《保护欧洲野生动物与自然栖息地公约》(1979) The Conservation of European Wildlife and Natural Habitats (1979)	采取适当和必要的立法和行政措施确保保护野生动植物物种的生境 To take appropriate and necessary legislative and administrative measures to ensure the conservation of the habitats of the wild flora and fauna species	否 No
《保护野生动物迁徙物种公约》(1979) Convention on the Conservation of Migratory Species of Wild Animals (1979)	单独或合作采取适当和必要的步骤来保护迁徙物种及其栖息地 To take individually or in co-operation appropriate and necessary steps to conserve migratory species and their habitat	否 No
《关于环境保护的南极条约议定书》(1991) Protocol on Environmental Protection to the Antarctic Treaty (1991)	保护南极环境及依附于它的和与其相关的生态系统, 特兹将南极指定为自然保护区, 仅用于和平与科学 To protect the Antarctic environment and dependent and associated ecosystems and hereby designate Antarctica as a natural reserve, devoted to peace and science	是 Yes
《生物多样性公约》(1992) Convention on Biological Diversity (1992)	建立保护区系统或需要采取特殊措施以保护生物多样性的地区 To establish a system of protected areas or areas where special measures need to be taken to conserve biological diversity	是 Yes
《联合国防治荒漠化公约》(1994) United Nations Convention to Combat Desertification (1994)	建立或加强早期预警系统, 加强抗旱准备和管理 To establish and/or strengthen early warning systems, strengthen drought preparedness and management	是 Yes
《国际植物保护公约》(1997) International Plant Protection Convention (1997)	保护受威胁地区, 划定、保持和监视非疫区和有害生物低度流行区 To protect threatened areas, delineation, maintenance and surveillance of areas free of epidemics and areas of low pest prevalence	是 Yes

案件名称 Case name	行业 Industry	争议事实 Facts in issue	阶段/结果 Stages/results
Metalclad Corporation v. The United Mexican States (1997)	废弃物管理 Waste management	为保护稀有的仙人掌品种, 禁止保护区内包括经营垃圾填埋场在内的所有活动 To protect the rare species of cactus, all activities in the protected area, including the operation of landfill sites, are prohibited	支持投资者 Decided in favour of investor
Compañia del Desarrollo de Santa Elena S.A. v. Republic of Costa Rica (2000)	旅游业 Tourism	为美洲狮和美洲虎等大型物种提供必要的栖息地而征收临近国家公园的财产 To expropriate property adjacent to national parks to provide essential habitat for large species like cougars and jaguars	支持投资者 Decided in favour of investor
Clayton and Bilcon of Delaware Inc. v. Government of Canada (2008)	采矿业 Mining	保护海豚、鲸鱼、棱皮龟等濒危物种的重要繁殖地和觅食地的水域, 拒绝投资者经营采石场和海运码头的项目 To protect waters that are important breeding and feeding grounds for endangered species like dolphins, whales and leatherback turtles, and reject projects where investors operate quarries and marine terminals	支持投资者 Decided in favour of investor
Marion Unglaube v. Republic of Costa Rica (2009)	房地产 Real estate	以建立海洋保护区为由停止颁发许可证 To stop issuing permits on the grounds of establishing marine protected areas	支持投资者 Decided in favour of investor
Peter A. Allard v. The Government of Barbados (2010)	房地产 Real estate	征收位于野生动物保护区的投资者财产 To expropriate investor property located in wildlife reserves	支持东道国 Decided in favour of state
Crystallex International Corporation v. Bolivarian Republic of Venezuela (2011)	采矿业 Mining	以保护热带雨林保护区为由拒绝颁发矿产开发等许可证 To refuse to issue permits for mineral development, etc., on the grounds of protecting the rainforest reserve	支持投资者 Decided in favour of investor
Aaron C. Berkowitz, Brett E. Berkowitz, Trevor B. Berkowitz v. Republic of Costa Rica (2013)	房地产 Real estate	以建立生态公园为由征收财产 To expropriate property on the grounds of establishing ecological parks	支持东道国 Decided in favour of state
Infinito Gold Ltd. v. Republic of Costa Rica (2014)	采矿业 Mining	颁布法案禁止投资者在国家公园、森林保护区等地区露天采矿 To prohibit from open-pit mining in national parks, forest reserves and other areas by legislation	支持投资者 Decided in favour of investor
David R. Aven, Samuel D. Aven, Giacomo A. Buscemi and others v. Republic of Costa Rica (2014)	房地产 Real estate	以投资项目所在地涉及湿地和受保护森林为由撤销环境许可证 To revoke the environmental permit on the grounds that the site of the investment project involves wetlands and protected forests	支持东道国 Decided in favour of state
Eco Oro Minerals Corp. v. Republic of Colombia (2016)	采矿业 Mining	以采矿区域属于生态区为由撤销50.73%采矿权 To revoke 50.73% of the mining rights on the grounds that the mining area is an ecological area	支持投资者 Decided in favour of investor
AsiaPhos Limited and Norwest Chemicals Pte Ltd v. People’s Republic of China (2020)	采矿业 Mining	以禁止在大熊猫国家公园周边采矿为由强制关停3座矿山 To force the closure of three mines on the grounds of banning mining in the vicinity of the National Convention on Giant Pandas	支持东道国 Decided in favour of state

案件名称 Case name	行业 Industry	争议事实 Facts in issue	阶段/结果 Stages/results
Metalclad Corporation v. The United Mexican States (1997)	废弃物管理 Waste management	为保护稀有的仙人掌品种, 禁止保护区内包括经营垃圾填埋场在内的所有活动 To protect the rare species of cactus, all activities in the protected area, including the operation of landfill sites, are prohibited	支持投资者 Decided in favour of investor
Compañia del Desarrollo de Santa Elena S.A. v. Republic of Costa Rica (2000)	旅游业 Tourism	为美洲狮和美洲虎等大型物种提供必要的栖息地而征收临近国家公园的财产 To expropriate property adjacent to national parks to provide essential habitat for large species like cougars and jaguars	支持投资者 Decided in favour of investor
Clayton and Bilcon of Delaware Inc. v. Government of Canada (2008)	采矿业 Mining	保护海豚、鲸鱼、棱皮龟等濒危物种的重要繁殖地和觅食地的水域, 拒绝投资者经营采石场和海运码头的项目 To protect waters that are important breeding and feeding grounds for endangered species like dolphins, whales and leatherback turtles, and reject projects where investors operate quarries and marine terminals	支持投资者 Decided in favour of investor
Marion Unglaube v. Republic of Costa Rica (2009)	房地产 Real estate	以建立海洋保护区为由停止颁发许可证 To stop issuing permits on the grounds of establishing marine protected areas	支持投资者 Decided in favour of investor
Peter A. Allard v. The Government of Barbados (2010)	房地产 Real estate	征收位于野生动物保护区的投资者财产 To expropriate investor property located in wildlife reserves	支持东道国 Decided in favour of state
Crystallex International Corporation v. Bolivarian Republic of Venezuela (2011)	采矿业 Mining	以保护热带雨林保护区为由拒绝颁发矿产开发等许可证 To refuse to issue permits for mineral development, etc., on the grounds of protecting the rainforest reserve	支持投资者 Decided in favour of investor
Aaron C. Berkowitz, Brett E. Berkowitz, Trevor B. Berkowitz v. Republic of Costa Rica (2013)	房地产 Real estate	以建立生态公园为由征收财产 To expropriate property on the grounds of establishing ecological parks	支持东道国 Decided in favour of state
Infinito Gold Ltd. v. Republic of Costa Rica (2014)	采矿业 Mining	颁布法案禁止投资者在国家公园、森林保护区等地区露天采矿 To prohibit from open-pit mining in national parks, forest reserves and other areas by legislation	支持投资者 Decided in favour of investor
David R. Aven, Samuel D. Aven, Giacomo A. Buscemi and others v. Republic of Costa Rica (2014)	房地产 Real estate	以投资项目所在地涉及湿地和受保护森林为由撤销环境许可证 To revoke the environmental permit on the grounds that the site of the investment project involves wetlands and protected forests	支持东道国 Decided in favour of state
Eco Oro Minerals Corp. v. Republic of Colombia (2016)	采矿业 Mining	以采矿区域属于生态区为由撤销50.73%采矿权 To revoke 50.73% of the mining rights on the grounds that the mining area is an ecological area	支持投资者 Decided in favour of investor
AsiaPhos Limited and Norwest Chemicals Pte Ltd v. People’s Republic of China (2020)	采矿业 Mining	以禁止在大熊猫国家公园周边采矿为由强制关停3座矿山 To force the closure of three mines on the grounds of banning mining in the vicinity of the National Convention on Giant Pandas	支持东道国 Decided in favour of state

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