State Entities in International Investment Law

State Entities in International Investment Law

by luca Schicho

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Product Details

ISBN-13: 9783832965167
Publisher: Nomos Verlagsgesellschaft
Publication date: 01/31/2012
Series: Studien zum Internationalen Investitionsrecht Series , #4
Pages: 249
Product dimensions: 5.90(w) x 8.90(h) x 0.70(d)

Table of Contents

Table of Contents 9

Table of Abbreviations 13

Chapter I Introduction 15

Chapter II State Responsibility and Attribution 17

1 The importance of the rules of attribution 17

2 The distinction from violations of the duty to protect 18

3 The application of the rules of attribution to State entities 21

4 The ILC ASR as a structural framework 22

5 The ELC ASR and their preparatory works 25

6 Recourse to the ILC ASR in investment arbitration case-law 26

7 Determining attribution under the ELC ASR 28

8 A question of jurisdiction or merits? 31

A Mainly merits: the prima facie test 32

B Mainly jurisdiction: the "State entity test" 36

C Conclusions 38

9 Conclusion 38

Chapter III Typology and Definition of State Entities 39

1 The importance of State entities 39

2 Use of the term "State entities" 42

A State entities in the ELC Articles on State Responsibility (2001) 43

B State entities in the ICSED Convention 44

C State entities in the United Nations Convention on Jurisdictional Immunities of States and Their Property (2004) 44

D State entities in other treaties 46

E State entities in arbitral decisions 48

1) State entities 49

2) Government, governmental or public entities 51

3) State entities in French arbitral decisions 54

4) Conclusions 55

F State entities in scholarly writings 56

3 The definition of State entities 58

A Separate legal personality 59

B Outside the official structure of the State 59

C Special relationship with the State 60

D Distinguishing from other entities 60

4 Common characteristics of State entities 62

A Political influence 62

1) Non-commercial considerations in everyday business 63

2) Volatility and change of government 64

3) The exercise of political influence 67

B Lack of transparency in internal decision making process 68

C Reluctance to commit to clear objectives 68

D Aims and objectives: the drive to expand 69

5 Categories of State entities 70

A State enterprises 70

B Regulatory and supervisory agencies 72

C Infrastructure and development agencies 73

D Privatization agencies 75

E Public Private Partnerships 75

F Sovereign Wealth Funds 78

6 Conclusion 81

Chapter IV Art. 4 - State organs 83

1 Introduction 83

A Background 84

B Drafting history of Art. 4 84

2 Requirements of Art. 4 86

A Organ status 86

1) The concept of overall assessment 87

2) De facto organs: a distraction from the real problems? 89

B Acting in official capacity 94

1) Attribution ultra vires 97

2) Commercial conduct 100

3 Jurisprudence in investment arbitration 102

A Objections raised by respondent States 102

1) Characterization under domestic law 103

2) The relevance of separate legal personality 106

B Application of the concept of overall assessment 108

4 Conclusions 116

A Art. 4 in the process of establishing attribution 116

B The impact of the assessment of Art. 4 on the overall decision on attribution 117

C The use Art. 4 for interpreting other attribution provisions 118

Chapter V Art. 5 - Exercise of Governmental Authority 120

1 Introduction 120

A Drafting history of Art. 5 121

B Governmental authority in treaties 122

2 The requirements of Art. 5 123

A Empowerment by law 125

B Exercising elements of governmental authority 127

1) Coercive power 128

2) Vivendi II: coercive and soft power? 131

3) Governmental functions or tasks 133

4) The privatization test: typically commercial vs. typically governmental activities 136

5) The framework test: activities in a governmental framework 138

6) Two sides of the same coin: if there is a market, it is not governmental 142

C Acting in that capacity - exercising that authority 143

3 Attribution ultra vires 145

4 Conclusions 146

Chapter VI Art. 8 -Control 148

1 Introduction 148

A Drafting history of Art. 8 149

B The sub-categories under Art. 8 152

1) Instructions 152

2) Terminology: Direction and/or control 153

3) The means of control 153

4) Distinguishing instructions and control 154

C Terminology problems in distinguishing the sub-categories 155

2 Requirements for applying Art.8 157

A Instructions 158

B Control 159

1) Effective control in the Nicaragua Case 160

2) Overall control in Tadic 163

3) The position of the ILC in its final draft articles 171

4) Subsequent ICJ jurisprudence 172

5) Criticism of the effective control test 178

6) The relationship between the tests 180

7) The "own agenda" criterion 183

8) ICJ jurisprudence revisited 185

C No attribution ultra vires 189

D Multiple control 190

3 Possible lower control thresholds in investment arbitration 191

A Overall control 192

B A lex specialis of lower thresholds 193

C Reversed burden of proof 196

4 Investment arbitration jurisprudence 197

A Influence based on public law 197

B Influence based on State ownership 205

C State ownership in Maffezini v. Spain 209

D Expected intervention: FW Oil v. Trinidad & Tobago 211

E Intervention with de iure binding instructions: EDF v. Romania 212

F Intervention with de facto binding instructions: Lemire v. Ukraine 214

5 Conclusions 217

A Overall control 217

B Lower threshold as lex specialis 218

C Reversed burden of proof 219

Chapter VII Other Attribution Provisions 221

1 Introduction 221

2 Art. 9 - Conduct carried out in absence or default of official authorities 221

3 Art. 11 - Conduct acknowledged and adopted 223

4 Conclusions 226

Chapter VII Conclusions and Outlook 227

1 The law: the role of the ELC ASR 227

2 The structure: distinguishing between attribution rules 228

3 Conclusion 230

List of Sources 231

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