国际能源投资争端法律问题研究

发布时间：2018-03-17 21:43

本文选题：国际能源投资争端　切入点：法律基础　出处：《华东政法大学》2013年博士论文　论文类型：学位论文

【摘要】：国际能源投资对于一国的战略发展、国家利益甚至全球稳定都发挥着较为重要的作用，是国际投资法甚至国际公法发展的新领域之一。从国际争端的角度看，近年来，以能源投资为背景的国际投资争端数量日益增加。研究国际能源投资争端的法律问题不仅是国家战略和发展的现实需要，同时也是国际实践与学科发展的迫切要求。本论文由导言和正文部分构成，正文部分共六章内容。第一章作为论文的开篇，主要对国际能源投资争端的相关概念进行了分析、比较，为论文的展开奠定基础。国际能源投资争端概念的明晰源于对国际能源投资的界定。近年来，随着国际能源投资的迅猛发展，对能源投资的关注日益升温。本章开篇介绍了国际能源投资的发展以及国际投资仲裁庭对“投资”概念法律含义的探索。国际能源投资争端作为国际能源争端的一部分，主要在投资者和东道国之间展开，其涉及的主要争端内容和当事方都具有特定性。不同于其他投资争端，国际能源投资争端具有较为特殊的背景特征，即涉及利益的敏感性、涉及内容的复杂化、投资风险的多样化。而这些背景特征的之后，蕴藏着国际能源投资争端的多重法律关系，即东道国与投资者之间的行政管理关系、东道国机构与投资者之间有关特许协议的合同关系、国家之间有关投资的双边或多边条约关系。最后，本章比较了国际能源投资争端和国际能源贸易争端的差别，集中体现在争端解决方式、程序设计以及实体法内容。国际能源投资争端在发展的过程中已经明显区别于国际能源贸易争端，显现出自身独特的发展趋势。第二章作为国际能源投资法律问题的基础，对国际能源投资的法律基础进行分析，主要对国际能源投资的法律框架展开了如下的剖析：首先，在国际层面上，能源投资宪章作为全球唯一直接规范能源投资的国际文件对能源投资产生了理论与实践中的影响。此外，全球性国际经济组织如世界贸易组织、联合国国际贸易和发展会议、经济合作组织也有相关规定对能源投资有所涉及。在专门的组织中，国际能源署、国际原子能机构以及石油输出国组织也强调了能源投资特别是能源安全和能源效益的重要性。其次，在区域层面上，欧盟和北美自由贸易区作为最具有影响力的区域性组织，均对能源投资进行了政策和法律方面的规定。其中，欧盟以其政策与法律的多元化、区域合作的丰富性而著名，对能源投资的关注着重于战略层面的考虑；《北美自由贸易协定》专章列举了能源制度，其争端解决机制也适用于成员方之间的能源争端。其他典型的区域性国际组织如东南亚国家联盟、亚太经济合作组织以及南方共同市场等也对能源投资的政策与法律有所涉及。最后，在国家层面上，美国作为北美地区最大的能源消费国，其能源法律制度纷繁复杂，涉及内容较为广泛；欧盟成员国内德国的能源投资法律制度也较为发达。作为能源供应大国、俄罗斯和加拿大的能源投资法律制度同样值得关注。第三章主要探讨了国际能源投资争端的相关程序问题。以争端解决机制为核心，分别探讨了国际能源投资争端的解决方法、仲裁解决方式的不同选择及其比较、争端解决的若干具体程序问题。国际能源投资领域争端解决已经开始逐步寻求替代性争端解决方法，除了传统的诉讼方式外，协商、和解、调解、专家裁定和仲裁已经逐步为投资者所考虑，这些方法各自具有独特的特征，根据投资争端的具体情况可以选择适用。其中，仲裁已经成为国际能源投资争端较为重要的争端解决。在仲裁争端解决方法中，对国际能源投资的处理主要集中在三大国际仲裁中心：世界银行下属的国际投资争端解决中心(ICSID)、斯德哥尔摩国际商会仲裁院(SCC)、联合国贸易委员会仲裁(UNCITRAL)。在对三大争端解决规则进行介绍后，本章从国际能源投资者的角度对三者进行了比较。随着能源投资争端数量的增长，在处理能源投资争端的过程中，也将出现一系列程序问题，如管辖权、岔路口条款、对ECT条约的临时适用和否定适用问题。本章结合仲裁庭在实践中的处理，对上述问题进行了分析。第四章结合能源投资争端的实践，围绕公平公正待遇、间接征收以及国家责任问题展开论述，这既是能源投资法律争端实体问题的核心，又是能源投资争端今后的重要发展方向。对以上三个问题的梳理和把握，成为掌握能源投资争端实体争议及其发展的重要环节。近年来，国际投资争端中的公平公正待遇标准在投资仲裁庭的实践中有了一定的发展。本章首先按时间顺序分阶段梳理该仲裁庭对公平公正待遇标准的界定，随后结合最新的裁决实践，评价公平公正待遇标准要素的发展现状。在此基础上，试图寻找仲裁庭对公平公正待遇标准要素的发展特征。在把握公平公正待遇标准内涵发展趋势的前提下，我们应积极思考并研究我国及投资者的相应对策。间接征收相关法律问题在国际能源投资争端中的地位日益上升，特别是有关间接征收标准的判断，是国际投资仲裁发展中的重要方向。由于对间接征收的判断长期以来具有争议，国际能源投资争端背景下的间接征收的界定仍然面临着一定困境。近年来，国际投资仲裁判例对间接征收的标准进行了探索和阐释，对国家实践及国际投资法的发展带来了启示。国际投资仲裁实践中，不乏对国家责任进行判断的情形。2001年《国家及其不法行为责任草案》为国家责任的确立奠定了理论基础，该草案自身确定了国家责任归因的基本原则及判断标准。在国际投资仲裁实践中，大量仲裁案件基本遵循了草案的判定标准，实现了判定国家责任标准由结构主义向功能主义的转变，主要采用功能测试的方法进行判断。尽管判定国家责任的过程中，仍会出现联邦国家等特殊问题，国家责任的判断标准仍然在实践中不断明晰。第五章主要探讨了国际能源投资合同中最具特色的两类条款稳定条款和重新协商条款及其在争端解决中的作用。作为能源投资合同中的重要条款，稳定条款和重新协商条款分别从不同的方面展示出国家和投资者在能源投资争端领域中的博弈。近年来，稳定条款在国际能源投资争端中的地位逐渐上升，仲裁庭在实践中对稳定条款效力的认定发生了变化。仲裁庭通过与投资待遇相联系进行分析，体现出对东道国和投资者之间利益的平衡。稳定条款的效力问题也引发了对国内法、国际法基本理论问题的探讨。在国际能源投资的理论和实践中，稳定条款的发展趋势和效力认定应当引起海外投资者和东道国的充分关注。重新协商条款作为现代能源投资合同中的一项重要条款，已经在一定程度上对合同的修订、争端的预防以及当事人的沟通提供了良好的平台，并逐渐在能源投资合同实践中得到应用。通过介绍并分析该类条款对国家及投资者的影响，可以增强对该类条款作用的把握以及加深对合同领域能源投资争端的理解。第六章作为结尾章节回应了中国对于国际能源投资争端的基本应对策略。中国在国际能源投资中的地位取决于自身在国际投资舞台的角色。中国在国际能源投资中同样出现了作为吸引外资的东道国和对外投资的投资母国之间的身份混同现象。就我国国际能源投资现状而言，外商投资在2011版《外商投资产业指导目录》的指引下有序进行，能源投资的范围有所扩张，并且在形式上呈现出多样化的趋势。近年来，随着我国海外能源投资迅速发展，形成了大量具有国际影响力的投资案例，也体现出中国海外能源投资发展以并购为核心的新动态。在此基础上，，我国的能源法制体系也在初步形成的过程中。从东道国的视角出发，我国在应对国际能源投资争端时应当着重考察对能源投资准入领域的控制、对投资及其基本待遇的完善以及能源投资特许协议的相关法律问题。从投资母国的视角出发，我国应当正视海外能源投资争端背景下的法律风险，通过海外投资保险制度和法律制度的构建和完善保障海外能源投资的有序进行。
[Abstract]:International energy investment strategy for the development of a country's national interests, even global stability plays an important role, is one of the new field of international investment law and the international law development. From the perspective of international disputes, in recent years, with the energy investment for the number of international investment disputes is increasing. The background of the research on the legal problems of international energy investment disputes is not only the need of national strategy and development of the reality, but also the requirement of international practice and the development of the discipline.
This paper is composed of the introduction and the main body, and the body part is composed of six chapters.
The first chapter is the introduction, mainly related to the concept of international energy investment disputes are analyzed and compared, and lay the foundation for the thesis. The international energy investment dispute concept from the international energy investment is defined. In recent years, with the rapid development of international energy investment, energy investment concern rising. This chapter introduces the exploration of "legal implications of investment" concept of international energy investment and the development of the international investment arbitration tribunal. The international energy investment disputes as part of an international energy disputes, mainly between investors and host countries, the main content of the dispute and the parties are different from other investment specific. The dispute, international disputes in energy investment has a special background characteristics, namely the sensitivity of interests involved, complicated contents, diversified investment and the risk. After some background characteristics, multiple legal relationship is the international energy investment disputes, namely the administrative relationship between host countries and investors, the contractual relationship between the host institutions and investors about the franchise agreement, bilateral or multilateral treaties on investment relations between countries. Finally, this chapter compares the international energy investment and international energy trade disputes the dispute solution difference, embodied in the dispute, program design and substantive content. The international energy investment disputes in the process of development have been significantly different from the international energy trade dispute, reveals its unique development trend.
The second chapter is the basic legal issues of international energy investment, analyzes the legal basis of international energy investment, carry out the following analysis on the international energy investment legal framework: first, at the international level, energy investment Charter as the world's only international energy investment norms directly affect the file in the theory and practice of energy investment. In addition, the global international economic organizations such as the world trade organization, the United Nations Conference on Trade and development, the economic cooperation organization also has the relevant provisions refer to energy investment. In a special organization, the International Energy Agency, the International Atomic Energy Agency and the organization of the Petroleum Exporting Countries also emphasized particularly on energy security and energy investment the importance of energy efficiency. Secondly, at the regional level, the European Union and the North American Free Trade Area as the most influential regional organizations, to Energy investment to carry out the provisions of the policy and legal aspects. Among them, the EU to diversify its policies and laws, rich regional cooperation is famous, the energy investment interest focuses on the strategic level; "the North American Free Trade Agreement > chapter lists the energy system, the dispute settlement mechanism is also applicable to members the energy dispute. Other typical regional organizations such as ASEAN, APEC and the Southern Common Market for energy investment laws and policies involved. Finally, at the national level, the United States as North America's largest consumer of energy, the energy legal system is complex and wide-ranging members of the European Union; Germany's energy investment legal system is developed. As a major energy supply, Russia and Canada energy investment legal system of the same It's worth paying attention to.
The third chapter mainly discusses the related procedures of international energy investment disputes. In the dispute settlement mechanism as the core, discussed the methods to solve the international energy investment disputes, arbitration and selection of different ways, some specific procedures of dispute resolution. The international energy investment dispute settlement began to seek alternative dispute resolution methods in addition, the traditional litigation, negotiation, conciliation, mediation, arbitration and adjudication experts have gradually as investors consider, these methods all have unique characteristics, according to the specific circumstances of investment disputes may choose to apply. Among them, the international energy investment dispute arbitration has become more important in solving disputes arbitration dispute settlement method. On the international energy investment, mainly concentrated in three major international arbitration center: International Investment Disputes in the world bank's Solution Center (ICSID), the court of arbitration of International Chamber of Commerce of Stockholm (SCC), the United Nations Trade Arbitration Committee (UNCITRAL). In the introduction to the three dispute settlement rules, this chapter from the perspective of investors on the three international energy are compared. As the number of disputes in energy investment growth, in the process of energy investment disputes in, will also appear a series of procedures, such as jurisdiction, fork clause, temporary application of ECT treaty and deny the application. This chapter combined treatment in the practice of the arbitration tribunal, the above problems are analyzed.
The fourth chapter combines the practice of energy investment disputes, around the fair and equitable treatment, discusses the indirect expropriation and national responsibility, which is the core of energy investment disputes substantive issues, is also an important direction for the future development of energy investment disputes. Analysis and grasp of the above three problems, has become an important part of master energy investment disputes controversial entity and its development. In recent years, the fair and equitable treatment in international investment disputes has made some progress in the practice of investment arbitration tribunal. This chapter first chronological stages of the arbitration tribunal on fair and equitable treatment is defined, then combined with the latest ruling practice, current situation of the development of fair and equitable treatment elements. On this basis, trying to find the characteristics of the development of the arbitration tribunal for the fair and equitable treatment factors. In the grasp of the fair and equitable treatment in technician The development trend of the premise, we should actively think and countermeasure research of our country and investors. The relevant legal issues of indirect expropriation in international investment disputes in energy rising status, especially the indirect expropriation criteria, is the important direction to the development of international investment arbitration. Due to the indirect expropriation judgment for a long time the controversial definition of indirect expropriation in international investment disputes under the background of energy is still faced with some difficulties. In recent years, the standard of international investment arbitration cases of indirect expropriation are explored and explained to the national development and the practice of international investment law to bring enlightenment. In the international investment arbitration practice, lay a theoretical foundation for the establishment of many the state responsibility for judge.2001 "state and its responsibility of unlawful acts" as the state responsibility draft, the draft itself determines the state responsibility attribution base The principle and criteria of judgement. In the practice of international investment arbitration, a large number of arbitration cases follows the basic criteria of the draft, to achieve the transformation of state responsibility judgment standard from structuralism to functionalism, mainly uses the method of functional testing to judge. Despite the determination process of state responsibility, there will still be a special federal state and the judgment standard of state responsibility is still in practice constantly clear.
The fifth chapter mainly discusses two types of terms of stable international energy investment in the contract terms the most characteristic and renegotiate the terms and its role in the dispute. As an important investment in terms of energy contract, stable terms and renegotiate the terms are shown in the game in the field of national energy investment disputes and investors from different aspects. In recent years, the status of stability in terms of international energy investment disputes rising gradually, changed the terms of the arbitration tribunal is stable in practice to determine the validity of the arbitration tribunal. Through contact with the investment phase analysis, reflect the interests of investors. The balance between the host country and the validity of stable terms have led to domestic law, on the basic theory of international law. In the theory and practice of international energy investment, stable development trend in terms of validity and should be caused by the sea The full attention of foreign investors and the host country. Reopener is regarded as one of the important terms of modern energy investment contract, has to a certain extent to the revision of the contract, provided a good platform for dispute prevention and the parties of communication, and gradually get used with practice in energy investment. Through the introduction and analysis of this kind of in terms of impact on the state and investors, can enhance the effect of the terms of grasp and deepen the understanding of the field of contract disputes in energy investment.
The sixth chapter is the end of the chapter to Chinese for international energy investment disputes. China basic coping strategies in the international energy investment in the status depends on its role in the international stage. Chinese investment in the international energy investment also appeared as the identity confusion between the host country to attract foreign investment and foreign investment investment. I situation of international energy investment, orderly foreign investment in the 2011 edition of "Industrial Catalog for foreign investment" under the guidance of the scope of energy investment expansion, and showing a trend of diversification in form. In recent years, with the rapid development of China's overseas energy investment, the formation of a large number of internationally influential investment case China also reflects the new trends in the development of overseas energy investment in mergers and acquisitions as the core. On this basis, China's energy legal system in initial shape The process. Starting from the perspective of host country, China should focuses on the control of energy investment access in the field of energy to deal with international investment disputes, the relevant legal issues on investment and basic treatment as well as energy investment concession agreement. Starting from the investment point of view, the law should face the risk of overseas energy investment disputes under the background of our country, construct and consummate the protection of overseas investment in energy, the orderly conduct of the overseas investment insurance system and legal system.

【学位授予单位】：华东政法大学
【学位级别】：博士
【学位授予年份】：2013
【分类号】：D996

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