论《能源宪章条约》投资仲裁机制的适用
发布时间：2019-04-09 12:27
【摘要】：《能源宪章条约》（以下简称ECT）是第一个专门解决能源投资争议的多边条约，对维持国际能源市场的稳定，保障能源安全，保护投资者的利益发挥着日益显著的作用。ECT投资仲裁机制更是ECT的亮点之一。在国际能源投资争端的解决方面，ECT投资仲裁机制功不可没，出现了许多有影响力的案件。通过对ECT相关案例进行考察，可以了解相关案例的当事人、争议事项、仲裁机构及仲裁结果等相关情况，还可总结这十年ECT投资仲裁机制适用的规律和特点，发现投资者与东道国之间常见的争端事由。 ECT投资仲裁机制的适用可分为两个部分，一是投资者选择适用ECT投资仲裁机制之前需要考虑的一些因素；二是仲裁申请提交后，也就是具体适用过程中仲裁机构要处理的一些问题。适用前考量的对象主要在ECT投资仲裁机制的程序方面，它主张尽可能和平解决争端，并且不需穷尽当地救济，投资者可以选择争端解决程序，而且缔约国需无条件同意仲裁。但是这种“无条件同意”有一定的例外情况，因此投资者在选择仲裁机制以及仲裁机构时不仅要考虑一些主客观因素，还需注意无条件同意的例外情况。进入第二阶段，仲裁机构受理仲裁申请后就需考虑案件是否符合管辖权的五个条件，是否符合ECT第17条对管辖权的特殊规定；若享有管辖权，适用ECT投资仲裁机制解决具体争议时可以适用的法律也是有限的；而对于选择暂时适用ECT的国家，，ECT在该国提出停止暂时适用前是完全生效的。 ECT投资仲裁机制具体适用的经验告诉我们ECT倾向于保护投资者，限制国家的管辖权，除非双方特别规定当地救济优先、重大安全例外或其他排他管辖规定，否则仲裁庭对投资者提交的仲裁申请享有全面管辖权。中国投资领域目前是以吸收外资为主，对外投资虽不断地发展但仍有不足，国内经济政策不太稳定，且国内的投资争端解决制度欠完善，而对国际层面的投资争端解决机制的制定和适用方面都参与不足，所以现阶段应以保护本国国家主权为主，守住四大“安全阀”，不宜马上加入ECT。我国应尽力完善中国能源投资争端解决机制，增强对国际投资争端解决机制的影响力，培养国际仲裁方面的人才。
[Abstract]:The Energy Charter Treaty (hereinafter referred to as ECT) is the first multilateral treaty devoted to the resolution of disputes over energy investment. It is the first multilateral treaty to maintain the stability of the international energy market and safeguard energy security. The investment arbitration mechanism is one of the highlights of ECT. In the settlement of international energy investment disputes, ECT investment arbitration mechanism plays an important role, there are a lot of influential cases. Through investigating the relevant cases of ECT, we can understand the parties, disputes, arbitration institutions and arbitration results of the relevant cases, and sum up the applicable rules and characteristics of the ECT investment arbitration mechanism in the past ten years. Identify common causes of disputes between investors and host countries. The application of ECT investment arbitration mechanism can be divided into two parts: one is some factors investors need to consider before they choose to apply ECT investment arbitration mechanism; Second, after the submission of the arbitration application, that is, some issues to be dealt with by the arbitration institution in the process of specific application. The main subject of pre-application consideration is the procedure of the ECT Investment Arbitration Mechanism, which advocates the peaceful settlement of disputes as far as possible and does not require the exhaustion of local remedies, investors can choose dispute settlement procedures, and the parties need to agree to arbitration unconditionally. However, there are some exceptions to this kind of "unconditional consent", so investors should not only consider some subjective and objective factors when choosing arbitration mechanism and arbitration institution, but also pay attention to the exception of unconditional consent. In the second stage, when the arbitration institution accepts the arbitration application, it needs to consider whether the case meets the five conditions of jurisdiction and whether it meets the special provisions of article 17 of ECT on jurisdiction. In the case of jurisdiction, the applicable law of ECT investment arbitration mechanism is also limited, and for countries that choose to apply ECT provisionally, ECT is fully in force before it proposes to suspend provisional application in that country. The experience of the specific application of the ECT investment arbitration mechanism tells us that ECT prefers to protect investors and limit the jurisdiction of the State, unless the parties specifically specify local relief priorities, significant security exceptions or other exclusionary provisions. Otherwise, the arbitral tribunal shall have full jurisdiction over the arbitration application submitted by the investor. At present, China's investment field is dominated by the absorption of foreign capital, although foreign investment continues to develop but there are still shortcomings, domestic economic policies are not very stable, and the domestic investment dispute settlement system is not perfect. However, the establishment and application of the investment dispute settlement mechanism at the international level are insufficient, so at this stage we should focus on the protection of the sovereignty of our country and keep the four "safety valves", and it is not appropriate to join the ECT. immediately. China should try its best to perfect China's energy investment dispute settlement mechanism, strengthen its influence on international investment dispute settlement mechanism, and train talents in international arbitration.
【学位授予单位】：湘潭大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D997.4
本文编号：2455184
[Abstract]:The Energy Charter Treaty (hereinafter referred to as ECT) is the first multilateral treaty devoted to the resolution of disputes over energy investment. It is the first multilateral treaty to maintain the stability of the international energy market and safeguard energy security. The investment arbitration mechanism is one of the highlights of ECT. In the settlement of international energy investment disputes, ECT investment arbitration mechanism plays an important role, there are a lot of influential cases. Through investigating the relevant cases of ECT, we can understand the parties, disputes, arbitration institutions and arbitration results of the relevant cases, and sum up the applicable rules and characteristics of the ECT investment arbitration mechanism in the past ten years. Identify common causes of disputes between investors and host countries. The application of ECT investment arbitration mechanism can be divided into two parts: one is some factors investors need to consider before they choose to apply ECT investment arbitration mechanism; Second, after the submission of the arbitration application, that is, some issues to be dealt with by the arbitration institution in the process of specific application. The main subject of pre-application consideration is the procedure of the ECT Investment Arbitration Mechanism, which advocates the peaceful settlement of disputes as far as possible and does not require the exhaustion of local remedies, investors can choose dispute settlement procedures, and the parties need to agree to arbitration unconditionally. However, there are some exceptions to this kind of "unconditional consent", so investors should not only consider some subjective and objective factors when choosing arbitration mechanism and arbitration institution, but also pay attention to the exception of unconditional consent. In the second stage, when the arbitration institution accepts the arbitration application, it needs to consider whether the case meets the five conditions of jurisdiction and whether it meets the special provisions of article 17 of ECT on jurisdiction. In the case of jurisdiction, the applicable law of ECT investment arbitration mechanism is also limited, and for countries that choose to apply ECT provisionally, ECT is fully in force before it proposes to suspend provisional application in that country. The experience of the specific application of the ECT investment arbitration mechanism tells us that ECT prefers to protect investors and limit the jurisdiction of the State, unless the parties specifically specify local relief priorities, significant security exceptions or other exclusionary provisions. Otherwise, the arbitral tribunal shall have full jurisdiction over the arbitration application submitted by the investor. At present, China's investment field is dominated by the absorption of foreign capital, although foreign investment continues to develop but there are still shortcomings, domestic economic policies are not very stable, and the domestic investment dispute settlement system is not perfect. However, the establishment and application of the investment dispute settlement mechanism at the international level are insufficient, so at this stage we should focus on the protection of the sovereignty of our country and keep the four "safety valves", and it is not appropriate to join the ECT. immediately. China should try its best to perfect China's energy investment dispute settlement mechanism, strengthen its influence on international investment dispute settlement mechanism, and train talents in international arbitration.
【学位授予单位】：湘潭大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D997.4
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