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

【摘要】：中國(guó)面臨著嚴(yán)重的能源危機(jī),政府采取了國(guó)內(nèi)、國(guó)外兩方面的應(yīng)對(duì)之策。一方面實(shí)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(yán)重的風(fēng)險(xiǎn)。海外能源投資的成功引起東道國(guó)的不安和嫉妒,招致其種種盤剝,也引來當(dāng)?shù)孛褡逯髁x者的仇視和破壞,投資安全成為迫在眉睫的棘手難題；國(guó)內(nèi)吸引外資和技術(shù)以及國(guó)際能源合作中,缺少相關(guān)法規(guī),使得國(guó)家能源主權(quán)裸露在國(guó)際石油巨頭面前,保護(hù)能源主權(quán)成為不可回避的課題。 “非排除措施”(NPM)條款對(duì)解決以上課題具有重要價(jià)值。它具有明顯的東道國(guó)價(jià)值取向,其擬定的初衷在于維護(hù)東道國(guó)主權(quán)利益,將東道國(guó)合理規(guī)制成本轉(zhuǎn)嫁給外國(guó)投資者,在東道國(guó)和外國(guó)投資者利益之間求得再平衡。隨著NPM條款的進(jìn)一步完善和細(xì)化,其防范東道國(guó)濫用規(guī)制權(quán),限制東道國(guó)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(quán)的功能逐漸彰顯出來,這就對(duì)國(guó)際能源投資者提供了一種有力的保護(hù)。 包括中國(guó)在內(nèi)的許多國(guó)家,在國(guó)際能源投資領(lǐng)域都具有雙重身份。充分發(fā)揮NPM條款保障能源主權(quán)和保護(hù)投資安全兩方面的功能,并求得這兩種功能的協(xié)調(diào)是這些國(guó)家關(guān)注的焦點(diǎn)。平衡點(diǎn)就在于公平、合理和正當(dāng)。NPM條款維護(hù)東道國(guó)的能源主權(quán),符合價(jià)值位階理念；若東道國(guó)濫用NPM條款,以能源主權(quán)為幌子侵害投資者的利益,就會(huì)受到NPM條款的防范和限制。中國(guó)依靠NPM條款保護(hù)自身正當(dāng)?shù)哪茉粗鳈?quán),同時(shí)運(yùn)用條款反對(duì)東道國(guó)濫用能源規(guī)制權(quán),保護(hù)本國(guó)能源投資者的合法權(quán)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(gòu)建的解釋框架,條約的解釋依據(jù)首先來自條約本身,其次是條約籌備、談判和擬定的相關(guān)資料,還有締約方的慣常做法,最后才是國(guó)際慣例。對(duì)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(biāo)準(zhǔn)。對(duì)于NPM條款適用的法律后果學(xué)界頗有爭(zhēng)議,筆者支持免除條約實(shí)體義務(wù)的觀點(diǎn)。東道國(guó)依NPM條款成功抗辯后便不承擔(dān)賠償責(zé)任,投資者也不能尋求其它救濟(jì)途徑；若東道國(guó)援引NPM條款抗辯失敗,又以主權(quán)豁免原則對(duì)抗ICSID裁定的執(zhí)行,則投資者可申請(qǐng)其投資母國(guó)啟動(dòng)外交保護(hù)或向國(guó)際法院提起訴訟。 由于深受德式BIT的影響,并強(qiáng)調(diào)吸引外資,中國(guó)簽署的130多個(gè)BITs中僅有8個(gè)含有NPM條款,而且不具連貫性。在NPM條款缺位的情形下,中國(guó)的能源主權(quán)就淪為一種裸露的權(quán)力。中國(guó)的海外能源投資者遭受東道國(guó)的主權(quán)侵害時(shí),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(yīng)。作為世界第二大利用外資和第三大對(duì)外投資體,為維護(hù)中國(guó)能源主權(quán),保護(hù)海外能源投資安全,中國(guó)修改完善NPM條款勢(shì)在必行。 依據(jù)中國(guó)能源投資的現(xiàn)實(shí),中國(guó)的NPM條款應(yīng)堅(jiān)持單一范本原則,采用“以總為主,總分結(jié)合”的格局,不明確條款的自我判斷屬性,內(nèi)容要充實(shí)、細(xì)化。在實(shí)踐中采取限縮解釋的立場(chǎng)。
[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(xué)位授予單位】：南京大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2014
【分類號(hào)】：D996.4

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