本文選題：國際能源投資爭端　切入點(diǎn)：法律基礎(chǔ)　出處：《華東政法大學(xué)》2013年博士論文　論文類型：學(xué)位論文

【摘要】：國際能源投資對于一國的戰(zhàn)略發(fā)展、國家利益甚至全球穩(wěn)定都發(fā)揮著較為重要的作用，是國際投資法甚至國際公法發(fā)展的新領(lǐng)域之一。從國際爭端的角度看，近年來，以能源投資為背景的國際投資爭端數(shù)量日益增加。研究國際能源投資爭端的法律問題不僅是國家戰(zhàn)略和發(fā)展的現(xiàn)實(shí)需要，同時也是國際實(shí)踐與學(xué)科發(fā)展的迫切要求。 本論文由導(dǎo)言和正文部分構(gòu)成，正文部分共六章內(nèi)容。 第一章作為論文的開篇，主要對國際能源投資爭端的相關(guān)概念進(jìn)行了分析、比較，為論文的展開奠定基礎(chǔ)。國際能源投資爭端概念的明晰源于對國際能源投資的界定。近年來，隨著國際能源投資的迅猛發(fā)展，對能源投資的關(guān)注日益升溫。本章開篇介紹了國際能源投資的發(fā)展以及國際投資仲裁庭對“投資”概念法律含義的探索。國際能源投資爭端作為國際能源爭端的一部分，主要在投資者和東道國之間展開，其涉及的主要爭端內(nèi)容和當(dāng)事方都具有特定性。不同于其他投資爭端，國際能源投資爭端具有較為特殊的背景特征，即涉及利益的敏感性、涉及內(nèi)容的復(fù)雜化、投資風(fēng)險的多樣化。而這些背景特征的之后，蘊(yùn)藏著國際能源投資爭端的多重法律關(guān)系，即東道國與投資者之間的行政管理關(guān)系、東道國機(jī)構(gòu)與投資者之間有關(guān)特許協(xié)議的合同關(guān)系、國家之間有關(guān)投資的雙邊或多邊條約關(guān)系。最后，本章比較了國際能源投資爭端和國際能源貿(mào)易爭端的差別，集中體現(xiàn)在爭端解決方式、程序設(shè)計(jì)以及實(shí)體法內(nèi)容。國際能源投資爭端在發(fā)展的過程中已經(jīng)明顯區(qū)別于國際能源貿(mào)易爭端，顯現(xiàn)出自身獨(dú)特的發(fā)展趨勢。 第二章作為國際能源投資法律問題的基礎(chǔ)，對國際能源投資的法律基礎(chǔ)進(jìn)行分析，主要對國際能源投資的法律框架展開了如下的剖析：首先，在國際層面上，能源投資憲章作為全球唯一直接規(guī)范能源投資的國際文件對能源投資產(chǎn)生了理論與實(shí)踐中的影響。此外，全球性國際經(jīng)濟(jì)組織如世界貿(mào)易組織、聯(lián)合國國際貿(mào)易和發(fā)展會議、經(jīng)濟(jì)合作組織也有相關(guān)規(guī)定對能源投資有所涉及。在專門的組織中，國際能源署、國際原子能機(jī)構(gòu)以及石油輸出國組織也強(qiáng)調(diào)了能源投資特別是能源安全和能源效益的重要性。其次，在區(qū)域?qū)用嫔希瑲W盟和北美自由貿(mào)易區(qū)作為最具有影響力的區(qū)域性組織，均對能源投資進(jìn)行了政策和法律方面的規(guī)定。其中，歐盟以其政策與法律的多元化、區(qū)域合作的豐富性而著名，對能源投資的關(guān)注著重于戰(zhàn)略層面的考慮；《北美自由貿(mào)易協(xié)定》專章列舉了能源制度，其爭端解決機(jī)制也適用于成員方之間的能源爭端。其他典型的區(qū)域性國際組織如東南亞國家聯(lián)盟、亞太經(jīng)濟(jì)合作組織以及南方共同市場等也對能源投資的政策與法律有所涉及。最后，在國家層面上，美國作為北美地區(qū)最大的能源消費(fèi)國，其能源法律制度紛繁復(fù)雜，涉及內(nèi)容較為廣泛；歐盟成員國內(nèi)德國的能源投資法律制度也較為發(fā)達(dá)。作為能源供應(yīng)大國、俄羅斯和加拿大的能源投資法律制度同樣值得關(guān)注。 第三章主要探討了國際能源投資爭端的相關(guān)程序問題。以爭端解決機(jī)制為核心，分別探討了國際能源投資爭端的解決方法、仲裁解決方式的不同選擇及其比較、爭端解決的若干具體程序問題。國際能源投資領(lǐng)域爭端解決已經(jīng)開始逐步尋求替代性爭端解決方法，除了傳統(tǒng)的訴訟方式外，協(xié)商、和解、調(diào)解、專家裁定和仲裁已經(jīng)逐步為投資者所考慮，這些方法各自具有獨(dú)特的特征，根據(jù)投資爭端的具體情況可以選擇適用。其中，仲裁已經(jīng)成為國際能源投資爭端較為重要的爭端解決。在仲裁爭端解決方法中，對國際能源投資的處理主要集中在三大國際仲裁中心：世界銀行下屬的國際投資爭端解決中心(ICSID)、斯德哥爾摩國際商會仲裁院(SCC)、聯(lián)合國貿(mào)易委員會仲裁(UNCITRAL)。在對三大爭端解決規(guī)則進(jìn)行介紹后，本章從國際能源投資者的角度對三者進(jìn)行了比較。隨著能源投資爭端數(shù)量的增長，在處理能源投資爭端的過程中，也將出現(xiàn)一系列程序問題，如管轄權(quán)、岔路口條款、對ECT條約的臨時適用和否定適用問題。本章結(jié)合仲裁庭在實(shí)踐中的處理，對上述問題進(jìn)行了分析。 第四章結(jié)合能源投資爭端的實(shí)踐，圍繞公平公正待遇、間接征收以及國家責(zé)任問題展開論述，這既是能源投資法律爭端實(shí)體問題的核心，又是能源投資爭端今后的重要發(fā)展方向。對以上三個問題的梳理和把握，成為掌握能源投資爭端實(shí)體爭議及其發(fā)展的重要環(huán)節(jié)。近年來，國際投資爭端中的公平公正待遇標(biāo)準(zhǔn)在投資仲裁庭的實(shí)踐中有了一定的發(fā)展。本章首先按時間順序分階段梳理該仲裁庭對公平公正待遇標(biāo)準(zhǔn)的界定，隨后結(jié)合最新的裁決實(shí)踐，評價公平公正待遇標(biāo)準(zhǔn)要素的發(fā)展現(xiàn)狀。在此基礎(chǔ)上，試圖尋找仲裁庭對公平公正待遇標(biāo)準(zhǔn)要素的發(fā)展特征。在把握公平公正待遇標(biāo)準(zhǔn)內(nèi)涵發(fā)展趨勢的前提下，我們應(yīng)積極思考并研究我國及投資者的相應(yīng)對策。間接征收相關(guān)法律問題在國際能源投資爭端中的地位日益上升，特別是有關(guān)間接征收標(biāo)準(zhǔn)的判斷，是國際投資仲裁發(fā)展中的重要方向。由于對間接征收的判斷長期以來具有爭議，國際能源投資爭端背景下的間接征收的界定仍然面臨著一定困境。近年來，國際投資仲裁判例對間接征收的標(biāo)準(zhǔn)進(jìn)行了探索和闡釋，對國家實(shí)踐及國際投資法的發(fā)展帶來了啟示。國際投資仲裁實(shí)踐中，不乏對國家責(zé)任進(jìn)行判斷的情形。2001年《國家及其不法行為責(zé)任草案》為國家責(zé)任的確立奠定了理論基礎(chǔ)，該草案自身確定了國家責(zé)任歸因的基本原則及判斷標(biāo)準(zhǔn)。在國際投資仲裁實(shí)踐中，大量仲裁案件基本遵循了草案的判定標(biāo)準(zhǔn)，實(shí)現(xiàn)了判定國家責(zé)任標(biāo)準(zhǔn)由結(jié)構(gòu)主義向功能主義的轉(zhuǎn)變，主要采用功能測試的方法進(jìn)行判斷。盡管判定國家責(zé)任的過程中，仍會出現(xiàn)聯(lián)邦國家等特殊問題，國家責(zé)任的判斷標(biāo)準(zhǔn)仍然在實(shí)踐中不斷明晰。 第五章主要探討了國際能源投資合同中最具特色的兩類條款穩(wěn)定條款和重新協(xié)商條款及其在爭端解決中的作用。作為能源投資合同中的重要條款，穩(wěn)定條款和重新協(xié)商條款分別從不同的方面展示出國家和投資者在能源投資爭端領(lǐng)域中的博弈。近年來，穩(wěn)定條款在國際能源投資爭端中的地位逐漸上升，仲裁庭在實(shí)踐中對穩(wěn)定條款效力的認(rèn)定發(fā)生了變化。仲裁庭通過與投資待遇相聯(lián)系進(jìn)行分析，體現(xiàn)出對東道國和投資者之間利益的平衡。穩(wěn)定條款的效力問題也引發(fā)了對國內(nèi)法、國際法基本理論問題的探討。在國際能源投資的理論和實(shí)踐中，穩(wěn)定條款的發(fā)展趨勢和效力認(rèn)定應(yīng)當(dāng)引起海外投資者和東道國的充分關(guān)注。重新協(xié)商條款作為現(xiàn)代能源投資合同中的一項(xiàng)重要條款，已經(jīng)在一定程度上對合同的修訂、爭端的預(yù)防以及當(dāng)事人的溝通提供了良好的平臺，并逐漸在能源投資合同實(shí)踐中得到應(yīng)用。通過介紹并分析該類條款對國家及投資者的影響，可以增強(qiáng)對該類條款作用的把握以及加深對合同領(lǐng)域能源投資爭端的理解。 第六章作為結(jié)尾章節(jié)回應(yīng)了中國對于國際能源投資爭端的基本應(yīng)對策略。中國在國際能源投資中的地位取決于自身在國際投資舞臺的角色。中國在國際能源投資中同樣出現(xiàn)了作為吸引外資的東道國和對外投資的投資母國之間的身份混同現(xiàn)象。就我國國際能源投資現(xiàn)狀而言，外商投資在2011版《外商投資產(chǎn)業(yè)指導(dǎo)目錄》的指引下有序進(jìn)行，能源投資的范圍有所擴(kuò)張，并且在形式上呈現(xiàn)出多樣化的趨勢。近年來，隨著我國海外能源投資迅速發(fā)展，形成了大量具有國際影響力的投資案例，也體現(xiàn)出中國海外能源投資發(fā)展以并購為核心的新動態(tài)。在此基礎(chǔ)上，，我國的能源法制體系也在初步形成的過程中。從東道國的視角出發(fā)，我國在應(yīng)對國際能源投資爭端時應(yīng)當(dāng)著重考察對能源投資準(zhǔn)入領(lǐng)域的控制、對投資及其基本待遇的完善以及能源投資特許協(xié)議的相關(guān)法律問題。從投資母國的視角出發(fā)，我國應(yīng)當(dāng)正視海外能源投資爭端背景下的法律風(fēng)險，通過海外投資保險制度和法律制度的構(gòu)建和完善保障海外能源投資的有序進(jìn)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.

【學(xué)位授予單位】：華東政法大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2013
【分類號】：D996

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相關(guān)期刊論文 前2條

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