ECT投资争端解决理论与实践研究

发布时间：2018-06-23 08:14

本文选题：能源宪章条约 + ECT争端解决机制　；参考：《南京师范大学》2017年硕士论文

【摘要】：能源问题关乎国家经济命脉,因此各国对能源的法律管制比起投资的其他领域更为严苛、政策变动也更为频繁,因此,外国投资者与东道国之间的争端数量一直居高不下。能源宪章条约(ECT)是国际能源投资领域第一个具有法律约束力的多边投资保护协定,其中的最为重要的一项机制即是投资者与缔约国之间的争端解决机制。该机制与以往的外交保护途径相比,不受“用尽当地救济”及“国籍”等因素的限制,使得投资者可以直接诉诸法律框架解决争议。而且,ECT并未限制争端解决的机构,而是赋予投资者一定的选择权,可以诉诸ICSID仲裁机制、SCC仲裁机制、及UNCITRAL仲裁机制等解决争议。自从2001年AES Summit Generation Ltd.依据ECT提起第一起能源投资仲裁,至今已经有101起依据ECT提起仲裁的案件,持续增长的案件数量表示该机制得到了各成员国的普遍认可。本文在对ECT的历史背景、产生原因及发展过程进行梳理的基础上,对近年根据ECT提起仲裁的典型案件进行了深入分析,并将这些案件分为实体性争议、程序性争议两大类型,对这些案例的案情及裁决给予了详细的总结和分析。在此基础之上,本文也对中国能源投资的现状给予了介绍,并对我国加入ECT的前景给予了预测和分析。具体而言,论文分为四个部分:第一部分对ECT产生的历史背景、发展及现状进行了介绍分析,重点介绍了ECT争端解决解机制的特点;第二部分分析了ECT争端解决机制的程序性问题,包括对“投资”、“投资者”等重要概念的认定、ECT的对人及对事管辖范围、以及ECT的临时适用条款的内涵;第三部分分析了ECT争端解决机制的实体性问题,分析了ECT给予投资者的各类相关待遇,重点剖析了公平与公正待遇、间接征收等问题;第四部分在对中国能源投资现状进行探讨的基础之上,对中国加入ECT的前景及所面临的问题进行了深度分析、并提出了相应对策。
[Abstract]:Energy is the lifeblood of a country's economy, so laws on energy are tougher and policy changes are more frequent than in other areas of investment, and the number of disputes between foreign investors and host countries has been high. The Energy Charter Treaty (ECT) is the first legally binding multilateral investment protection agreement in the field of international energy investment. One of the most important mechanisms is the dispute settlement mechanism between investors and contracting states. Compared with the previous channels of diplomatic protection, this mechanism is not restricted by such factors as "exhaustion of local remedies" and "nationality", which allows investors to directly resort to the legal framework to resolve disputes. Moreover, ECT does not limit the dispute settlement mechanism, but gives investors the right to choose, and can resort to ICSID arbitration mechanism, SCC arbitration mechanism and UNCITRAL arbitration mechanism to settle disputes. Since 2001 AES Summit Generation Ltd. The first energy investment arbitration has been initiated under ECT, and there have been 101 cases filed under ECT so far, with a growing number of cases indicating that the mechanism is widely accepted by member States. Based on the historical background, causes and development of ECT, this paper makes a thorough analysis of the typical cases initiated by ECT in recent years, and classifies these cases into substantive disputes and procedural disputes. The merits and decisions of these cases are summarized and analyzed in detail. On this basis, the present situation of China's energy investment is also introduced, and the prospect of China's joining ECT is forecasted and analyzed. In particular, the thesis is divided into four parts: the first part introduces the historical background, development and current situation of ECT, with emphasis on the characteristics of ECT dispute settlement mechanism; The second part analyzes the procedural problems of ECT dispute settlement mechanism, including the determination of important concepts such as "investment", "investor" and so on. The third part analyzes the substantive issues of ECT dispute settlement mechanism, analyzes the various types of treatment given by ECT to investors, focusing on fair and just treatment, indirect expropriation and so on. In the fourth part, on the basis of discussing the present situation of China's energy investment, the prospect and problems of China's joining ECT are analyzed in depth, and the corresponding countermeasures are put forward.
【学位授予单位】：南京师范大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D996.4

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