State Entities in International Investment Law

Dr. Luca Schicho

doi:10.5771/9783845236261

Summary

Internationale Schiedsgerichte sind immer öfter mit Fällen konfrontiert, in denen ausländische Investoren durch die Handlungen staatsnaher Entitäten mit eigenständiger Rechtspersönlichkeit geschädigt wurden. Das Werk diskutiert die Zurechnung der Handlungen solcher Entitäten im internationalen Investitionsschutzrecht. Ihre Handlungen sind, im Gegensatz zu den Handlungen von Staatsorganen dem Staat, nicht automatisch zurechenbar, sondern nur sofern sich dies aus bestimmten Zurechnungsregeln ergibt.

Der Autor analysiert diese Zurechnungsregeln nach allgemeinem Völkerrecht anhand der Articles on State Responsibility der International Law Commission (ILC). Die Entscheidungspraxis wird im Hinblick auf die Anwendung der in den ILC Articles enthaltenen Bestimmungen untersucht. Bislang ist die diesbezügliche Praxis der Schiedsgerichte nicht einheitlich, insbesondere wird häufig nicht ausreichend zwischen verschiedenen Zurechnungsbestimmungen differenziert. Abschließend plädiert der Autor für eine strikte Differenzierung zwischen den verschiedenen Bestimmungen in Anlehnung an die ILC Articles.

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Bibliographic data

Copyright year: 2012
ISBN-Print: 978-3-8329-6516-7
ISBN-Online: 978-3-8452-3626-1
Publisher: Nomos, Baden-Baden
Series: Studien zum Internationalen Investitionsrecht
Volume: 4
Language: English
Pages: 249
Product type: Book Titles

Titelei/Inhaltsverzeichnis No access Pages 2 - 8 Luca Schicho
Table of Contents No access Pages 9 - 12 Luca Schicho
Table of Abbreviations No access Pages 13 - 14 Luca Schicho
Introduction No access Pages 15 - 16 Luca Schicho
1. The importance of the rules of attribution No access Pages 17 - 18 Luca Schicho
2. The distinction from violations of the duty to protect No access Pages 18 - 21 Luca Schicho
3. The application of the rules of attribution to State entities No access Pages 21 - 22 Luca Schicho
4. The ILC ASR as a structural framework No access Pages 22 - 25 Luca Schicho
5. The ILC ASR and their preparatory works No access Pages 25 - 26 Luca Schicho
6. Recourse to the ILC ASR in investment arbitration case-law No access Pages 26 - 28 Luca Schicho
7. Determining attribution under the ILC ASR No access Pages 28 - 31 Luca Schicho
8. 1. Mainly merits: the prima facie test No access Pages 31 - 36 Luca Schicho
  2. Mainly jurisdiction: the “State entity test” No access Pages 36 - 38 Luca Schicho
  3. Conclusions No access Pages 38 - 38 Luca Schicho
9. Conclusion No access Pages 38 - 38 Luca Schicho
1. The importance of State entities No access Pages 39 - 42 Luca Schicho
2. 1. State entities in the ILC Articles on State Responsibility (2001) No access Pages 42 - 44 Luca Schicho
  2. State entities in the ICSID Convention No access Pages 44 - 44 Luca Schicho
  3. State entities in the United Nations Convention on Jurisdictional Immunities of States and Their Property (2004) No access Pages 44 - 46 Luca Schicho
  4. State entities in other treaties No access Pages 46 - 48 Luca Schicho
  5. Luca Schicho
    1. State entities No access Luca Schicho
    2. Government, governmental or public entities No access Luca Schicho
    3. State entities in French arbitral decisions No access Luca Schicho
    4. Conclusions No access Luca Schicho
  6. State entities in scholarly writings No access Pages 56 - 58 Luca Schicho
3. 1. Separate legal personality No access Pages 58 - 59 Luca Schicho
  2. Outside the official structure of the State No access Pages 59 - 60 Luca Schicho
  3. Special relationship with the State No access Pages 60 - 60 Luca Schicho
  4. Distinguishing from other entities No access Pages 60 - 62 Luca Schicho
4. 1. Luca Schicho
    1. Non-commercial considerations in everyday business No access Luca Schicho
    2. Volatility and change of government No access Luca Schicho
    3. The exercise of political influence No access Luca Schicho
  2. Lack of transparency in internal decision making process No access Pages 68 - 68 Luca Schicho
  3. Reluctance to commit to clear objectives No access Pages 68 - 69 Luca Schicho
  4. Aims and objectives: the drive to expand No access Pages 69 - 70 Luca Schicho
5. 1. State enterprises No access Pages 70 - 72 Luca Schicho
  2. Regulatory and supervisory agencies No access Pages 72 - 73 Luca Schicho
  3. Infrastructure and development agencies No access Pages 73 - 75 Luca Schicho
  4. Privatization agencies No access Pages 75 - 75 Luca Schicho
  5. Public Private Partnerships No access Pages 75 - 78 Luca Schicho
  6. Sovereign Wealth Funds No access Pages 78 - 81 Luca Schicho
6. Conclusion No access Pages 81 - 82 Luca Schicho
1. 1. Background No access Pages 83 - 84 Luca Schicho
  2. Drafting history of Art. 4 No access Pages 84 - 86 Luca Schicho
2. 1. Luca Schicho
    1. The concept of overall assessment No access Luca Schicho
    2. De facto organs: a distraction from the real problems? No access Luca Schicho
  2. Luca Schicho
    1. Attribution ultra vires No access Luca Schicho
    2. Commercial conduct No access Luca Schicho
3. 1. Luca Schicho
    1. Characterization under domestic law No access Luca Schicho
    2. The relevance of separate legal personality No access Luca Schicho
  2. Application of the concept of overall assessment No access Pages 108 - 116 Luca Schicho
4. 1. Art. 4 in the process of establishing attribution No access Pages 116 - 117 Luca Schicho
  2. The impact of the assessment of Art. 4 on the overall decision on attribution No access Pages 117 - 118 Luca Schicho
  3. The use Art. 4 for interpreting other attribution provisions No access Pages 118 - 119 Luca Schicho
1. 1. Drafting history of Art. 5 No access Pages 120 - 122 Luca Schicho
  2. Governmental authority in treaties No access Pages 122 - 123 Luca Schicho
2. 1. Empowerment by law No access Pages 123 - 127 Luca Schicho
  2. Luca Schicho
    1. Coercive power No access Luca Schicho
    2. Vivendi II: coercive and soft power? No access Luca Schicho
    3. Governmental functions or tasks No access Luca Schicho
    4. The privatization test: typically commercial vs. typically governmental activities No access Luca Schicho
    5. The framework test: activities in a governmental framework No access Luca Schicho
    6. Two sides of the same coin: if there is a market, it is not governmental No access Luca Schicho
  3. Acting in that capacity – exercising that authority No access Pages 143 - 145 Luca Schicho
3. Attribution ultra vires No access Pages 145 - 146 Luca Schicho
4. Conclusions No access Pages 146 - 147 Luca Schicho
1. 1. Drafting history of Art. 8 No access Pages 148 - 152 Luca Schicho
  2. Luca Schicho
    1. Instructions No access Luca Schicho
    2. Terminology: Direction and/or control No access Luca Schicho
    3. The means of control No access Luca Schicho
    4. Distinguishing instructions and control No access Luca Schicho
  3. Terminology problems in distinguishing the sub-categories No access Pages 155 - 157 Luca Schicho
2. 1. Instructions No access Pages 157 - 159 Luca Schicho
  2. Luca Schicho
    1. Effective control in the Nicaragua Case No access Luca Schicho
    2. Overall control in Tadic No access Luca Schicho
    3. The position of the ILC in its final draft articles No access Luca Schicho
    4. Subsequent ICJ jurisprudence No access Luca Schicho
    5. Criticism of the effective control test No access Luca Schicho
    6. The relationship between the tests No access Luca Schicho
    7. The “own agenda” criterion No access Luca Schicho
    8. ICJ jurisprudence revisited No access Luca Schicho
  3. No attribution ultra vires No access Pages 189 - 190 Luca Schicho
  4. Multiple control No access Pages 190 - 191 Luca Schicho
3. 1. Overall control No access Pages 191 - 193 Luca Schicho
  2. A lex specialis of lower thresholds No access Pages 193 - 196 Luca Schicho
  3. Reversed burden of proof No access Pages 196 - 197 Luca Schicho
4. 1. Influence based on public law No access Pages 197 - 205 Luca Schicho
  2. Influence based on State ownership No access Pages 205 - 209 Luca Schicho
  3. State ownership in Maffezini v. Spain No access Pages 209 - 211 Luca Schicho
  4. Expected intervention: FW Oil v. Trinidad & Tobago No access Pages 211 - 212 Luca Schicho
  5. Intervention with de iure binding instructions: EDF v. Romania No access Pages 212 - 214 Luca Schicho
  6. Intervention with de facto binding instructions: Lemire v. Ukraine No access Pages 214 - 217 Luca Schicho
5. 1. Overall control No access Pages 217 - 218 Luca Schicho
  2. Lower threshold as lex specialis No access Pages 218 - 219 Luca Schicho
  3. Reversed burden of proof No access Pages 219 - 220 Luca Schicho
1. Introduction No access Pages 221 - 221 Luca Schicho
2. Art. 9 – Conduct carried out in absence or default of official authorities No access Pages 221 - 223 Luca Schicho
3. Art. 11 – Conduct acknowledged and adopted No access Pages 223 - 226 Luca Schicho
4. Conclusions No access Pages 226 - 226 Luca Schicho
1. The law: the role of the ILC ASR No access Pages 227 - 228 Luca Schicho
2. The structure: distinguishing between attribution rules No access Pages 228 - 230 Luca Schicho
3. Conclusion No access Pages 230 - 230 Luca Schicho
List of Sources No access Pages 231 - 249 Luca Schicho