本文關鍵詞： 能源投資 規(guī)制權 非排除措施條款 BIT 投資條約　出處：《南京大學》2014年博士論文　論文類型：學位論文

【摘要】：中國面臨著嚴重的能源危機,政府采取了國內、國外兩方面的應對之策。一方面實施“走出去”的能源戰(zhàn)略,開展海外能源投資與合作；另一方面開放能源行業(yè),開發(fā)新能源,提高能源利用效率,開發(fā)深海能源。這些努力都卓有成效,但也面臨著嚴重的風險。海外能源投資的成功引起東道國的不安和嫉妒,招致其種種盤剝,也引來當地民族主義者的仇視和破壞,投資安全成為迫在眉睫的棘手難題；國內吸引外資和技術以及國際能源合作中,缺少相關法規(guī),使得國家能源主權裸露在國際石油巨頭面前,保護能源主權成為不可回避的課題。 “非排除措施”(NPM)條款對解決以上課題具有重要價值。它具有明顯的東道國價值取向,其擬定的初衷在于維護東道國主權利益,將東道國合理規(guī)制成本轉嫁給外國投資者,在東道國和外國投資者利益之間求得再平衡。隨著NPM條款的進一步完善和細化,其防范東道國濫用規(guī)制權,限制東道國在投資條約外尋找抗辯籍口,規(guī)制仲裁庭在NPM條款解釋、審查中的自由裁量權的功能逐漸彰顯出來,這就對國際能源投資者提供了一種有力的保護。 包括中國在內的許多國家,在國際能源投資領域都具有雙重身份。充分發(fā)揮NPM條款保障能源主權和保護投資安全兩方面的功能,并求得這兩種功能的協調是這些國家關注的焦點。平衡點就在于公平、合理和正當。NPM條款維護東道國的能源主權,符合價值位階理念；若東道國濫用NPM條款,以能源主權為幌子侵害投資者的利益,就會受到NPM條款的防范和限制。中國依靠NPM條款保護自身正當的能源主權,同時運用條款反對東道國濫用能源規(guī)制權,保護本國能源投資者的合法權益。 NPM條款功能的發(fā)揮離不開條款解釋和適用審查。其解釋要遵守《維也納條約法公約》第31、32條構建的解釋框架,條約的解釋依據首先來自條約本身,其次是條約籌備、談判和擬定的相關資料,還有締約方的慣常做法,最后才是國際慣例。對NPM條款的適用審查要區(qū)分條款的屬性采用不同的審查標準。對于NPM條款適用的法律后果學界頗有爭議,筆者支持免除條約實體義務的觀點。東道國依NPM條款成功抗辯后便不承擔賠償責任,投資者也不能尋求其它救濟途徑；若東道國援引NPM條款抗辯失敗,又以主權豁免原則對抗ICSID裁定的執(zhí)行,則投資者可申請其投資母國啟動外交保護或向國際法院提起訴訟。 由于深受德式BIT的影響,并強調吸引外資,中國簽署的130多個BITs中僅有8個含有NPM條款,而且不具連貫性。在NPM條款缺位的情形下,中國的能源主權就淪為一種裸露的權力。中國的海外能源投資者遭受東道國的主權侵害時,只能依賴于投資條約中的穩(wěn)定條款和損害賠償條款主張賠償。由于二者固有的缺陷,投資者的合理訴求很難得到回應。作為世界第二大利用外資和第三大對外投資體,為維護中國能源主權,保護海外能源投資安全,中國修改完善NPM條款勢在必行。 依據中國能源投資的現實,中國的NPM條款應堅持單一范本原則,采用“以總為主,總分結合”的格局,不明確條款的自我判斷屬性,內容要充實、細化。在實踐中采取限縮解釋的立場。
[Abstract]:China is facing a serious energy crisis , and the government has adopted the policy of domestic and foreign policy . On the other hand , the energy strategy of " going out " is put into operation , the overseas energy investment and cooperation are carried out ; on the other hand , the energy industry is open , new energy is developed , energy utilization efficiency is improved , and deep - sea energy is developed . It has significant value in solving the above subject . It has obvious host country value orientation . The original intention is to safeguard the sovereign interests of the host country , transfer the reasonable regulation cost of the host country to foreign investors , and seek the rebalancing between the host country and the foreign investor . With the further refinement and refinement of the clause , the function of preventing the host country from abusing the regulation right and regulating the discretion of the host country outside the investment treaty is gradually revealed , which provides a powerful protection for international energy investors . Many countries , including China , have double identities in the field of international energy investment . The full play of the functions of both aspects of energy sovereignty and protection of investment security is the focus of these countries . The balance point is to protect the interests of the host country under the guise of fair , reasonable and justifiable . The balance point is to protect the interests of the investors under the guise of fair , reasonable and just . China relies on the clause to protect the legitimate energy sovereignty of the host country , and to use the provisions against the host country to abuse the power of energy regulation and protect the legitimate rights and interests of the domestic energy investors . The interpretation of the clause should be subject to the interpretation of articles 31 and 32 of the Vienna Convention on the Law of Treaties . The interpretation of the treaty is based on the treaty itself , followed by the treaty preparation , negotiation and elaboration of relevant information , as well as the customary practice of the Parties . The author supports the exemption from the obligation of the treaty entity . In the event of the failure of the host country to defend the legal consequences of the provisions of the treaty and the enforcement of the ICSID decision by the principle of sovereign immunity , the investor may apply for its investment home country to initiate diplomatic protection or bring a lawsuit to the International Court of Justice . China ' s energy sovereignty is reduced to an exposed power due to the influence of the German BIT , and China ' s energy sovereignty is reduced to an exposed power . In the absence of the clause , China ' s energy sovereignty is reduced to an exposed power . As a result of the inherent deficiencies , the legitimate demands of investors are difficult to respond . As the world ' s second largest foreign investment and third - largest foreign investment body , it is imperative to safeguard China ' s energy sovereignty and protect the safety of overseas energy investment . According to the reality of China ' s energy investment , there should be a single - model principle in China , which should be based on the pattern of " total principal and total division combination " , and the self - judgment attribute of the clauses should be enriched and refined . In practice , the position of restraint and explanation should be adopted .

【學位授予單位】：南京大學
【學位級別】：博士
【學位授予年份】：2014
【分類號】：D996.4

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