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T R E AT Y S H O P P I N G I N I N T E R N AT I O N A L
I N V E S T M E N T L AW
ii
I N T E R N AT I O N A L E C O N O M I C L AW S E R I E S
International Economic Law series, established by the late Professor John
H Jackson, addresses a range of issues in international economic law, which
includes international trade law, international investment law, and the global
financial order. The series aims to encourage interest in the broad contours of
international economic law, heightening awareness of its significance across
the globe as well as its continuous interactions with other areas. The series edi-
tors encourage quality submissions from a wide range of perspectives, includ-
ing doctrinal, theoretical, empirical, and interdisciplinary viewpoints. Novel
and cutting edge research is particularly welcome, as are contributions from
both emerging and established scholars from around the world.
Series Editors
A N D R E W D . M I TC H E L L
Professor at Melbourne Law School,
The University of Melbourne
TA N I A VO O N
Professor at Melbourne Law School,
The University of Melbourne
recen t t it les i n t h e se r i e s
Good Faith and International Economic Law
Edited by Andrew D. Mitchel, M Sornarajah, and Tania Voon
Treaty Shopping
in International
Investment Law
J O RU N B AU M G A RT N E R
1
iv
1
Great Clarendon Street, Oxford, OX2 6DP,
United Kingdom
Oxford University Press is a department of the University of Oxford.
It furthers the University’s objective of excellence in research, scholarship,
and education by publishing worldwide. Oxford is a registered trade mark of
Oxford University Press in the UK and in certain other countries
© Jorun Baumgartner 2016
The moral rights of the author have been asserted
First Edition published in 2016
Impression: 1
All rights reserved. No part of this publication may be reproduced, stored in
a retrieval system, or transmitted, in any form or by any means, without the
prior permission in writing of Oxford University Press, or as expressly permitted
by law, by licence or under terms agreed with the appropriate reprographics
rights organization. Enquiries concerning reproduction outside the scope of the
above should be sent to the Rights Department, Oxford University Press, at the
address above
You must not circulate this work in any other form
and you must impose this same condition on any acquirer
Crown copyright material is reproduced under Class Licence
Number C01P0000148 with the permission of OPSI
and the Queen’s Printer for Scotland
Published in the United States of America by Oxford University Press
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Library of Congress Control Number: 2016950214
ISBN 978–0–19–878711–2
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Links to third party websites are provided by Oxford in good faith and
for information only. Oxford disclaims any responsibility for the materials
contained in any third party website referenced in this work.
v
This is the first book to be published in the Oxford University Press Series on
International Economic Law since the passing of its first editor, the great Professor
John H Jackson. Professor Jackson was a warm and generous friend and mentor
with a keen intellect and unending energy, who is recognized as the founder of the
field of international economic law. We pay our respects to his family and friends
and wish to acknowledge the enormous contribution he made to this field over
his lifetime. As we continue our role as editors of the series, we cannot but feel his
absence and only hope to be able to honour his legacy in small ways.
As relative newcomers to this role, our ambitions are modest. We hope to
encourage interest in the broad contours of international economic law, heighten-
ing awareness of its significance across the globe as well as its continuous inter-
actions with other areas, such as public policy concerning public health and the
environment, international dispute settlement and other aspects of public inter-
national law, sustainable development, and other disciplines, including economics
and political science. We encourage submissions to the series from senior scholars as
well as newer voices, academics as well as practitioners, from doctrinal, theoretical
and empirical perspectives, and from countries around the world.
While several of the debates today concerning international economic law perpet-
uate those of many decades, we believe that the current moment offers particularly
exciting opportunities for thoughtful and rigorous scholarly contributions to have
a meaningful impact on national and international law and policy. Developments
in the World Trade Organization, new approaches to regional and plurilateral nego-
tiations, and reform proposals in relation to investment treaty arbitration all offer
room for a diversity of views that will benefit from engagement and collaboration.
The current volume gets to the heart of a key legitimacy concern with international
investment arbitration (and particularly investor–State dispute settlement): ‘treaty
shopping’, which Baumgartner defines:
to include all legal operations aimed at invoking or creating a qualifying nationality and/or
a qualifying investment, eg by structuring or restructuring an investment or by otherwise
conferring an entitlement or property right to an investment, with a view to benefitting
from a particular international investment agreement granting an investor direct standing[.]
Treaty shopping in international investment law is surprisingly under-researched,
with Baumgartner’s work providing the first comprehensive English language study
of the area. In particular, she delves into the complex problem of distinguishing
between legitimate and illegitimate forms of treaty shopping, carefully analysing
the principle of ‘good faith’ as a possible touchstone, as well as articulating various
approaches to treaty drafting that may help minimize abusive practices.
Baumgartner’s examination concerns a perennial problem in international
investment law, while being all the more relevant today given increasing public
viii
Acknowledgements
This book is a slightly revised and updated version of the doctoral thesis I defended
at the University of Lausanne (Switzerland) in June 2015 under the same title. To
see it published at Oxford University Press is an immense reward both to me as well
as the persons who have contributed to making this a successful project.
I am indebted and sincerely grateful to many persons I have met along the way of
this endeavour and who have contributed in one way or another, not least Professor
Andreas Ziegler, my thesis supervisor, for the support and flexibilities granted dur-
ing the period of writing, as well as Professor Marc Bungenberg, member of the
PhD defence committee, for having always stood by with precious comments and
advice. My gratitude extends to the other members of the PhD defence commit-
tee, Professor Christina Binder, Professor Andrea Bonomi and Professor Tarcisio
Gazzini, for their valuable comments and for making my thesis defence a pleasur-
able and memorable experience.
I am also very thankful to my friends and colleagues who, over the years, have
provided emotional support, reviewed drafts or given comments on the manuscript,
in particular Tristan Gianora, Dr. Jörn Griebel, Caterina Arias Hernandez, Felix
Imhof, Dr. Wolfgang Alschner, Ömer Keskin, Azadi Öztürk and Elisabeth Türk.
Many thanks are also due to the editorial team at Oxford University Press for
their guidance, support and efficiency in bringing the book to press, to the Series
Editors Professors Tania Voon and Andrew Mitchell for their kind support of the
manuscript, as well as to the anonymous peer reviewers for their valuable comments.
This book has been revised to include investment arbitral jurisprudence until
May 2016 (redacted Philip Morris Asia v Australia award). The opinions expressed
in this book were written in my capacity as research fellow and are not necessarily
those of my current, or any future, employer.
Finally, words are not enough to thank my family—my partner Pancho, our son
Luca, my parents Viktor and Sylvia and my brother Peter—for the love, support
and patience shown over these past years, without which this endeavour would not
have been possible.
Geneva, October 2016
x
xi
Table of Contents
Introduction 1
PA RT I . P L A C I N G T R E AT Y S H O P P I N G I N C O N T E X T
1. Understanding the Practice of Treaty Shopping 7
1.1 Defining Treaty Shopping in International Investment Law 7
1.1.1 Perceptions and definitions of treaty shopping used in academic
literature and arbitral jurisprudence 7
1.1.2 Possible scenarios of treaty shopping 12
1.1.2.1 Treaty shopping by natural persons 12
1.1.2.2 Treaty shopping by corporate structuring or restructuring 13
1.1.2.3 Treaty shopping by transfer of claims 14
1.1.3 The distinction between treaty and forum shopping 15
1.2 Reasons for the Occurrence of Treaty Shopping 19
1.2.1 Proliferation of investment treaties 20
1.2.2 Change from diplomatic protection to direct standing paradigm 27
1.2.3 Ease of incorporation of legal entities and high fungibility of
shareholding 32
1.2.4 Absence of a doctrine of precedent? 32
1.3 Preliminary Conclusions 33
Table of Contents xv
PA RT I I I . P O S S I B L E S O LU T I O N S TO T H E I N C O N S I S T E N T
A P P ROA C H E S TOWA R D S T R E AT Y S H O P P I N G
8. What States Can Do to Curb Treaty Shopping 239
8.1 ‘Political’ Approaches to Treaty Shopping 239
8.1.1 Negotiation of a multilateral investment framework 239
8.1.2 Prescription of mailbox companies 240
8.1.3 Investment treaties without ISDS clauses 241
8.2 ‘Treaty Drafting’ Approaches to Treaty Shopping 242
8.2.1 Joint interpretations 243
8.2.2 The role of the preamble 244
8.2.3 Notion of investor 246
8.2.3.1 Natural persons 246
8.2.3.1.1 Inclusion of the effective nationality principle 246
8.2.3.1.2 Exclusion of claims by host State nationals 248
8.2.3.1.3 Permanent residents as protected investors 248
8.2.3.2 Legal persons 249
8.2.3.2.1 ‘Anti-treaty shopping’ nationality criteria found
in IIAs 250
8.2.3.2.2 Denial of benefits clauses 251
8.2.3.2.3 Discussion 256
8.2.3.3 Notion of control 256
8.2.3.4 Foreign control as in Article 25(2)(b) ICSID Convention 260
8.2.4 Notion of investment 261
8.2.4.1 Protection of indirect investments 262
8.2.4.2 Specific criteria pertaining to the notion of investment 264
8.2.4.2.1 Specifications of the contribution requirement 264
8.2.4.2.2 Good faith requirement 264
8.2.4.2.3 ‘Active contribution’ requirement 265
8.2.4.2.4 Origin of capital requirement 268
8.2.5 Temporal jurisdiction 269
8.2.5.1 Principle of non-retroactivity 269
8.2.5.2 Exclusion of disputes that have arisen prior to the entry
into force of the IIA 270
8.2.5.3 Exclusion of acts or facts giving rise to a later dispute 271
8.2.5.4 Dispute settlement clause: notion of dispute 272
8.2.6 Inclusion of conditions under which a corporate restructuring is
accepted 272
8.2.7 Inclusion of the abuse of process doctrine 274
8.2.8 Inclusion of the ‘pre-existing/foreseeable dispute’ jurisprudence 274
8.3 Preliminary Conclusions 276
Annex 317
Bibliography 331
Index 351
xvii
Table of Cases
INVESTMENT ARBITRAL JURISPRUDENCE
(Unless otherwise indicated, all quoted decisions can be found on UNCTAD’s Investment Dispute
Settlement Navigator, <http://investmentpolicyhub.unctad.org/ISDS/FilterByCaseName>, or on
www.italaw.com)
xx Table of Cases
Jan de Nul NV and Dredging International NV v Arab Republic of Egypt, ICSID Case No ARB/
04/13, Decision on Jurisdiction (16 June 2006) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148, 197, 200
Joy Mining Machinery Limited v Arab Republic of Egypt, ICSID Case No ARB/03/11, Award on
Jurisdiction (6 August 2004). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148
Kaiser Bauxite Company v Jamaica, ICSID Case No ARB/74/3, Decision on Jurisdiction
(6 July 1975). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
Khan Resources Inc, Khan Resources BV, CAUC Holding Company Ltd v Government of Mongolia,
MonAtom LLC, PCA Case No 2011-09, Decision on Jurisdiction (25 July 2012). . . . . . . . . . . 117
KT Asia Investment Group BV v Republic of Kazakhstan, ICSID Case No ARB/09/8,
Award (17 October 2013) . . . . . . . . . . . . . . . . . . . . . . . . . . 106, 111, 149, 151–52, 160, 278, 285,
293, 297, 306
Lanco International Inc v Argentine Republic, ICSID Case No ARB/97/6, Decision on
Jurisdiction (8 December 1998) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
Lao Holdings NV v Lao People’s Democratic Republic, ICSID Case No ARB(AF)/12/6,
Decision on Jurisdiction (21 February 2014). . . . . . . . . . . . . . . . . . 13, 15, 177–78, 188, 190–91,
193, 215, 219–21, 224, 286
Ronald S Lauder v Czech Republic, UNCITRAL, Final Award (3 September 2001). . . . . . . . 18–19, 53
LESI SpA and ASTALDI SpA v République Algérienne Démocratique et Populaire, ICSID
Case No ARB/05/3, Decision (French) (12 July 2006) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149
Libananco Holdings Co Limited v Republic of Turkey, ICSID Case No ARB(AF)/06/8, Award
(2 September 2011) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18, 298–99
Liberian Eastern Timber Corporation v Republic of Liberia, ICSID Case No ARB/83/2, Decision
on Jurisdiction (24 October 1984) printed in (1994) 2 ICSID Rep 349 . . . . . . . . . . . . . . . . . . 123
Liman Caspian Oil BV and NCL Dutch Investment BV v Republic of Kazakhstan, ICSID Case No
ARB/07/14, Award (22 June 2010) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117, 286
Loewen Group Inc and Raymond Loewen v United States of Americas, ICSID Case No ARB(AF)/
98/3, Award (26 June 2003) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14, 27, 90, 168–72, 174, 201
Empresas Lucchetti SA and Lucchetti Peru SA v Republic of Peru, ICSID Case No ARB/03/4,
Award (7 February 2005). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188, 196–200, 223
Emilio Agustín Maffezini v Kingdom of Spain, ICSID Case No ARB/97/7, Decision on
Objections to Jurisdiction (25 January 2000) . . . . . . . . . . . . . . . . . . . . . . . 8, 19–20, 188–89, 271
Malaysian Historical Salvors, SDN, BHD v Government of Malaysia, ICSID Case No ARB/05/
10, Award (28 May 2007) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148
Malaysian Historical Salvors, SDN, BHD v Government of Malaysia, ICSID Case No ARB/05/
10, Decision on the Application for Annulment of the Award (16 April 2009). . . . . . . . . . . . . 149
MCI Power Group LC and New Turbine Inc v Republic of Ecuador, ICSID Case No ARB/03/6,
Award (31 July 2007). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149, 178
Ioan Micula, Viorel Micula, SC European Food SA, SC Starmill SRL and SC Multipack SRL
v Romania, ICSID Case No ARB/05/20, Decision on Jurisdiction and Admissibility
(24 September 2008) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93–94, 98–99, 177
Mihaly International Corporation v Democratic Socialist Republic of Sri Lanka, ICSID
Case No ARB/00/2, Award (15 March 2002) printed in (2002) 17 ICSID
Review-FILJ 142. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14, 206, 214, 229, 231, 232
Millicom International Operations BV and Sentel GSM SA v Republic of Senegal, ICSID
Case No ARB/08/20, Decision on Jurisdiction of the Arbitral Tribunal
(16 July 2010). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 228, 297
Patrick Mitchell v Democratic Republic of Congo, ICSID Case No ARB/99/7, Decision on the
Application for Annulment of the Award (1 November 2006) . . . . . . . . . . . . . . . . . . . . . . . . . . 148
Mobil Corporation, Venezuela Holdings BV, Mobil Cerro Negro Holding, Ltd, Mobil Venezolana
de Petróleos Holdings, Inc, Mobil Cerro Negro, Ltd, and Mobil Venezolana de Petróleos, Inc
v Bolivarian Republic of Venezuela, ICSID Case No ARB/07/27, Decision on Jurisdiction
(10 June 2010) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14, 134, 142, 152–53, 204,
208–09, 212–13, 215, 219, 221, 231, 258, 280, 288, 300–01
xxi
NATIONAL DECISIONS
The Atlantic Star v Bona Spes, House of Lords, 10 April 1973, AC (1974) 436 (1973,
United Kingdom). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
╇ xxvii
Table of Treaties
BIL ATERAL AND REGIONAL INTERNATIONAL INVESTMENT
AGREEMENTS (INCLUDING PREFERENTIAL TRADE
AGREEMENTS WITH INVESTMENT CHAPTERS)
1987 ASEAN Investment Agreement (Agreement among the Government of Brunei
Darussalam, the Republic of Indonesia, Malaysia, the Republic of the Philippines, the
Republic of Singapore, and the Kingdom of Thailand for the Promotion and Protection of
Investments). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
1998 Framework Agreement on the ASEAN Investment Area. . . . . . . . . . . . . . . . . . . . . . . . . . 106, 268
2009 ASEAN–╉Australia–╉New Zealand FTA (Agreement Establishing the ASEAN–╉Australia–╉
New Zealand Free Trade Area) (Investment Chapter). . . . . . . . . . . . . . . . . 184, 247–╉48, 253, 270
2009 ASEAN–╉China Investment Agreement (Agreement on Investment of the Framework
Agreement on Comprehensive Economic Cooperation between the People’s Republic
of China and the Association of Southeast Asian Nations). . . . . . . . . . . . 184, 248, 251, 253, 262,
266, 269, 271
2009 ASEAN Comprehensive Investment Agreement . . . . . . 247, 253, 257, 262, 263, 266, 268, 271
2009 ASEAN–╉South Korea Investment Agreement (Agreement on Investment under
the Framework Agreement on Comprehensive Economic Cooperation among the
Governments of the Member Countries of the Association of Southeast Asian Nations and
the Republic of Korea)
1997 Austria–╉Chile BIT (Agreement between the Republic of Chile and the Republic of
Austria for the Promotion and Reciprocal Protection of Investment). . . . . . . . . . . . . 250–╉51, 270
1998 Austria–╉Mexico BIT (Agreement between the United Mexican States and the Republic of
Austria on the Promotion and Protection of Investments). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245
2001 Austria–╉Armenia BIT (Agreement between the Government of the Republic of Austria
and the Government of the Republic of Armenia for the Promotion and Protection of
Investments). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252
2001 Austria–╉Jordan BIT (Agreement between the Hashemite Kingdom of Jordan and the
Republic of Austria for the Promotion and Protection of Investments) . . . . . . . . . . . . . . . . . . . 252
2001 Austria–╉Lebanon BIT (Agreement between the Lebanese Republic and the Republic of
Austria on the Reciprocal Promotion and Protection of Investments). . . . . . . . . . . . . . . . . . . . . 252
2002 Austria–╉Libya BIT (Agreement between the Republic of Austria and the Great Socialist
People’s Libyan Arab Jamahiriya for the Promotion and Protection of Investments). . . . . . . . . 252
1988 Australia–╉China BIT (Agreement between the Government of Australia and the
Government of the People’s Republic of China on the Reciprocal Encouragement and
Protection of Investments). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245, 248–╉49, 264
1992 Australia–╉Indonesia BIT (Agreement between the Government of Australia and the
Government of the Republic of Indonesia concerning the Promotion and Protection of
Investments). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248–╉49, 254, 259–╉60, 264, 266, 272
1993 Australia–╉Hong Kong BIT (Agreement between the Government of Hong Kong and the
Government of Australia for the Promotion and Protection of Investments). . . . . . . 42, 259, 272
1995 Australia–╉Argentina BIT (Agreement between the Government of Australia and the
Government of the Argentine Republic on the Promotion and Protection of Investments,
and Protocol). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259, 261–╉62, 264, 266, 270–╉71, 289
1995 Australia–╉Peru BIT (Agreement between Australia and the Government of the Republic
of Peru on the Promotion and Protection of Investments). . . . . . . . . . . . . . . . . . 248–╉49, 254, 260
xxviii
Kuudes kirja
Venäläinen munkki
1.
— Mitä sinä nyt, älä vielä itke, — hymyili vanhus pannen oikean
kätensä hänen päänsä päälle, — näethän, että vielä istun ja
keskustelen, kenties elän vielä kaksikymmentä vuotta, niinkuin
minulle eilen toivoi tuo hyvä, herttainen nainen Vysegorjesta, jolla oli
tyttönen Lizaveta sylissä. Muista, Herra, sekä äitiä että Lizaveta-
tyttöstä (hän teki ristinmerkin). Porfiri, oletko vienyt hänen lahjansa
sinne, mihin minä sanoin?
Aljošasta oli omituista, että vanhus kysyi niin lujasti sekä ilmeisesti
tarkoittaen vain yhtä veljeä, — mutta kumpaa: siis juuri tuon veljen
takia hän kenties olikin sekä eilen että tänään lähettänyt hänet pois
luotaan.
— Älä utele. Minä huomasin eilen jotakin kauheata… oli kuin koko
hänen kohtalonsa olisi eilen näkynyt hänen katseestaan. Eräs hänen
silmäyksensä oli sellainen… niin että minä sillä hetkellä
sydämessäni kauhistuin sitä, mitä tämä mies valmistaa itselleen.
Kerran tai kahdesti elämässäni olen nähnyt joillakuilla samanlaisen
kasvojen ilmeen… joka ikäänkuin ilmaisi näitten ihmisten koko
kohtalon, ja voi! se kohtalo tuli heidän osakseen. Minä lähetin sinut,
Aleksei, hänen luokseen, sillä ajattelin, että veljellinen muotosi on
avuksi hänelle. Mutta kaikki on Jumalan kädessä ja samoin kaikki
meidän kohtalomme. »Ellei maahan pudonnut nisun jyvä kuole, niin
se jää yksinänsä; mutta jos se kuolee, niin se tuo paljon hedelmätä.»
Pane tämä mieleesi. Mutta sinua, Aleksei, minä olen ajatuksissani
monesti elämäni aikana siunannut kasvojesi tähden, tiedä se, —
lausui vanhus hiljaa hymyillen. — Ajattelen sinusta näin: sinä menet
pois näiden seinien sisältä, mutta maailmassa sinä tulet olemaan
niinkuin munkki. Sinulla tulee olemaan paljon vastustajia, mutta
vihollisesikin sinua rakastavat. Paljon onnettomuuksia tuopi sinulle
elämä, mutta ne juuri tekevät sinut onnelliseksikin, ja sinä siunaat
elämää ja saatat toisetkin siunaamaan, — mikä on tärkeintä
kaikesta. Niin, sellainen sinä olet. Isät ja opettajani, — kääntyi hän
lempeästi hymyillen vieraittensa puoleen, — en koskaan tähän
päivään saakka ole sanonut edes hänellekään, minkätähden tämän
nuorukaisen muoto on ollut minun sielulleni niin armas. Nyt vasta
sen sanon: hänen kasvonsa ovat olleet minulle kuin muistutus ja
profeetallinen ennustus. Elämäni aamunkoitossa, kun olin vielä pieni
lapsi, minulla oli vanhempi veli, joka kuoli nuorukaisena, vain
seitsemäntoista vuoden ikäisenä, minun nähteni. Myöhemmin
elämäni varrella tulin vähitellen vakuutetuksi siitä, että tämä veljeni
oli kohtalossani ikäänkuin ylhäältä annettuna tien viittaajana ja
ennakolta määrääjänä, sillä jos hän ei olisi esiintynyt elämässäni ja
jos häntä ei ollenkaan olisi ollut olemassa, niin minä kenties en
milloinkaan, niin ajattelen, olisi astunut munkin säätyyn enkä tälle
kallisarvoiselle tielle. Tuo ensimmäinen ilmestys oli jo lapsuudessani,
ja nyt, kun matkani on kallistumassa loppuun, se on ikäänkuin
toistunut silmieni edessä. Ihmeellistä on, isät ja opettajat, että vaikka
Aleksei ei ole kasvoiltaan kovin paljon hänen näköisensä, vaan
ainoastaan jonkin verran, niin hän on näyttänyt minusta siinä määrin
tuon toisen kaltaiselta henkisesti, että usein olen pitänyt häntä
ikäänkuin samana nuorukaisena, veljenäni, joka on tullut
salaperäisen matkani lopulla jonkinmoisena muistona elämän
syventämiseksi, niin että suorastaan olen ihmetellyt itseäni ja
tämmöistä omituista haaveiluani. Kuuletko tämän, Porfiri, — kääntyi
hän palvelijamunkkinsa puoleen. — Usein olen nähnyt kasvoillasi
jonkinmoista katkeruutta siitä, että rakastan Alekseita enemmän kuin
sinua. Nyt tiedät, miksi näin on ollut, mutta minä rakastan sinuakin,
tiedä se, ja monta kertaa olen surrut sitä, että sinä olet pahastunut.
Mutta teille, rakkaat vieraani, tahdon kertoa tuosta nuorukaisesta,
veljestäni, sillä ei ole ollut minun elämässäni mitään kalliimpaa ja
liikuttavampaa. Sydämeni on liikutettu, ja minä katson tällä hetkellä
koko elämääni aivan kuin eläisin sen kaiken taas uudestaan…
*****
2.
Elämäkerrallisia tietoja
Ja hän oli vielä paljon muutakin, mitä ei jaksa muistaa eikä kuvata.
Muistan, miten kerran menin hänen luokseen yksin, kun hänen
luonaan ei ollut ketään. Oli kirkas iltahetki, aurinko oli menossa
mailleen ja valaisi koko huoneen vinosti lankeavalla säteellä. Minut
nähtyään hän kutsui minua luokseen, minä astuin hänen luoksensa,
hän tarttui molemmin käsin olkapäihini, katseli kasvojani lempeästi ja
rakkaasti; ei sanonut minulle mitään, katseli vain tuolla tavoin noin
minuutin verran. »No», sanoo, »mene nyt, leiki, elä minun
puolestani!» Läksin silloin ulos ja menin leikkimään. Mutta elämäni
aikana olen sitten monesti muistellut kyynelsilmin, kuinka hän käski
minun elää hänen asemestaan. Hän puhui vielä paljon tuollaisia
ihmeellisiä ja ihania, vaikka meille silloin käsittämättömiä sanoja.
Hän kuoli kolmannella viikolla pääsiäisen jälkeen täydessä
tajussaan, ja vaikka hän jo oli lakannut puhumasta, niin hän pysyi
samanlaisena viimeiseen hetkeensä asti: katselee riemuissaan,
iloisin silmin, etsii meitä katseillaan, hymyilee meille, kutsuu meitä.
Kaupungillakin puhuttiin paljon hänen kuolemastaan. Tämä kaikki
järkytti minua silloin, mutta ei kuitenkaan kovin suuresti, vaikka minä
itkinkin paljon, kun hänet haudattiin. Olin nuori, lapsi vain, mutta
sydämeen jäi kaikki lähtemättömästi, tunne jäi piilossa elämään.
Aikanaan oli kaiken määrä herätä ja antaa vastakaiku. Niin kävikin.