本文選題：能源憲章條約 + ECT爭端解決機(jī)制��； 參考：《南京師范大學(xué)》2017年碩士論文

【摘要】：能源問題關(guān)乎國家經(jīng)濟(jì)命脈,因此各國對(duì)能源的法律管制比起投資的其他領(lǐng)域更為嚴(yán)苛、政策變動(dòng)也更為頻繁,因此,外國投資者與東道國之間的爭端數(shù)量一直居高不下。能源憲章條約(ECT)是國際能源投資領(lǐng)域第一個(gè)具有法律約束力的多邊投資保護(hù)協(xié)定,其中的最為重要的一項(xiàng)機(jī)制即是投資者與締約國之間的爭端解決機(jī)制。該機(jī)制與以往的外交保護(hù)途徑相比,不受“用盡當(dāng)?shù)鼐葷?jì)”及“國籍”等因素的限制,使得投資者可以直接訴諸法律框架解決爭議。而且,ECT并未限制爭端解決的機(jī)構(gòu),而是賦予投資者一定的選擇權(quán),可以訴諸ICSID仲裁機(jī)制、SCC仲裁機(jī)制、及UNCITRAL仲裁機(jī)制等解決爭議。自從2001年AES Summit Generation Ltd.依據(jù)ECT提起第一起能源投資仲裁,至今已經(jīng)有101起依據(jù)ECT提起仲裁的案件,持續(xù)增長的案件數(shù)量表示該機(jī)制得到了各成員國的普遍認(rèn)可。本文在對(duì)ECT的歷史背景、產(chǎn)生原因及發(fā)展過程進(jìn)行梳理的基礎(chǔ)上,對(duì)近年根據(jù)ECT提起仲裁的典型案件進(jìn)行了深入分析,并將這些案件分為實(shí)體性爭議、程序性爭議兩大類型,對(duì)這些案例的案情及裁決給予了詳細(xì)的總結(jié)和分析。在此基礎(chǔ)之上,本文也對(duì)中國能源投資的現(xiàn)狀給予了介紹,并對(duì)我國加入ECT的前景給予了預(yù)測(cè)和分析。具體而言,論文分為四個(gè)部分:第一部分對(duì)ECT產(chǎn)生的歷史背景、發(fā)展及現(xiàn)狀進(jìn)行了介紹分析,重點(diǎn)介紹了ECT爭端解決解機(jī)制的特點(diǎn);第二部分分析了ECT爭端解決機(jī)制的程序性問題,包括對(duì)“投資”、“投資者”等重要概念的認(rèn)定、ECT的對(duì)人及對(duì)事管轄范圍、以及ECT的臨時(shí)適用條款的內(nèi)涵;第三部分分析了ECT爭端解決機(jī)制的實(shí)體性問題,分析了ECT給予投資者的各類相關(guān)待遇,重點(diǎn)剖析了公平與公正待遇、間接征收等問題;第四部分在對(duì)中國能源投資現(xiàn)狀進(jìn)行探討的基礎(chǔ)之上,對(duì)中國加入ECT的前景及所面臨的問題進(jìn)行了深度分析、并提出了相應(yīng)對(duì)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.
【學(xué)位授予單位】：南京師范大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類號(hào)】：D996.4

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