（国际法学专业论文）俄中能源合作的法律基础研究.pdf

study on law basis of the russian chinese energy cooperation a thesis submitted to chongqing university in partial fulfillment of the requirement for the degree of master of law by dariya ustyugova supervised by prof. zeng wenge major: international law college of law of chongqing university, chongqing, china may, 2011 重庆大学硕士学位论文 中文摘要 i 摘摘 要要 当今世界，能源已不再是一个单纯的经济问题，它已成为一个关系到安全、 国家利益、外交策略的战略性问题。因此，世界各国已将在该领域的合作看成了 外交政策 的重要部分，特别是对世界大国而言，俄中也不例外。据权威专家的观 点，在未来几十年里，中国的石油消费量将呈增长趋势，且随着煤炭消量的降低， 中国将更加 依赖石油能源。这样一来，中国将需要通过增加石油的购买量以满足 其需要。因此，供应来源的多样化及寻找新的合作伙伴对中国来说至关重要。而 俄罗斯被认为是 最佳人选。 这篇论文的主要目的是提出俄中能源合作的法律基础。 本文作者从不同的方面分析了中俄两国能源合作的现行法律基础，从俄中的 合作项目及这些合作的主要特点的角度可以看出俄中在此领域内的对话是互利双 赢的。第二章揭示了俄中在能源领域各个部门的合作关系的背景。它显示了目前 促进国家间能源合作的主动力为何。在第三章中，作者通过对各个条款的分析阐 述了在总的能源领域内和各个具体的能源部门内的政府间协议。第四章侧重分析 俄中在能源领域签订的协议与其他条约在法律上的内在关系，这些条约不仅包括 两国在其他诸如投资和环境保护、和平利用核能等领域合作的条约，也包括国际 条约，诸如核不扩散条约，能源宪章公约及保护和利用跨水域和国际水域公约等。 第五章分析了俄中能源合作过程中出现的主要问题。最后在第六章中为两国在能 源合作过程中出现的障碍提供可行的解决方案。 关键词关键词：能源合作，法律依据，能源资源 重庆大学硕士学位论文 abstract ii abstract in todays world, energy is no longer a pure economic issue ; it rather becomes a strategic issue, relating to such aspects as safety, national interests and diplomatic strategy. therefore, cooperation in this sector is around the world considered as a significant part of foreign policy, especially for big countries; russia and china are no exception. according to leading experts, chinas consumption of oil will continue to grow in the next decades and the decline in coal resources will make china much more reliant on oil in the nearest future. thus, china will need to increase its purchase of this energy source from other states to maintain its consumption rates ; so, it is crucial for the country to diversify its sources of supply and find new partners. russia is considered to be the best choice for such a role. the main goal of this thesis is to designate the law basis of the russian-chinese energy cooperation. the author examines the current law basis of energy cooperation between the two countries in different sectors, from the perspective of joint projects and main features of this cooperation, showing that russian-chinese dialogue in this field is mutually beneficial. the second chapter reveals the background of the russian-chinese partnership in all sectors of energy field. it shows the main impetuses that stimulated the development of countries cooperation in the present times. in the third chapter the author reveals the general and specific energy field intergovernmental agreements, in terms of their provisions analysis. the fourth chapter focuses on the legal relationship between the russian-chinese energy agreements and other treaties, including not only the two states agreements on cooperation in other fields (such as investment and environmental protection, peaceful use of nuclear energy), but also the international treaties (like nuclear non-proliferation treaty, energy charter treaty and convention on protection and exploitation of trans-border waters and international lakes). the fifth chapter reveals the main problems that arose in the process of the russian-chinese energy cooperation. the last, the sixth, chapter provides suggestions for the possible solutions of the current obstacles in the two states energy cooperation. key words: energy cooperation, law basis, energy resources 重庆大学硕士学位论文 table of contents iii table of contents 中文中文摘要摘要 . i abstract . ii table of contents . iii 1 introduction . 1 1.1 research evaluation . 1 1.2 literature and documents review . 1 1.2.1 intergovernmental agreements . 1 1.2.2 scholars points of view . 2 1.3 encountered difficulties . 4 2 general analysis of the russian-chinese cooperation in energy field . 5 2.1 impetuses for the cooperation . 5 2.1.1 chinese energy resources consumption rate . 5 2.1.2 russian energy resources reserves . 7 2.2 unique advantages and features of the cooperation . 8 2.3 main cooperation projects . 9 3 analysis of the entry and conformation of the intergovernmental agreements . 11 3.1 introduction of the general framework agreements on the development and extension of the energy cooperation . 11 3.2 main agreements on the specific energy sector cooperation 14 3.2.1 oil sector . 14 3.2.2 nuclear power sector . 15 3.2.3 energy efficiency and renewable energy sources sector . 16 3.2.4 gas sector . 17 3.3 the relationship between the general and the specific-industry energy cooperation agreements . 18 4 legal interaction between the russian-chinese agreements on energy cooperation and other treaties . 20 重庆大学硕士学位论文 table of contents iv 4.1 relationship with other russian-chinese cooperation agreements . 20 4.1.1 investment protection . 20 4.1.2 peaceful use of nuclear energy . 22 4.1.3 environment protection . 23 4.2 connection with international treaties . 26 4.2.1 energy charter treaty . 26 4.2.2 nuclear non-proliferation treaty . 27 4.2.3 convention on protection and exploitation of trans-border waters and international lakes . 27 5 problems arising . 29 5.1 lack of the overarching dispute resolution mechanism. 29 5.2 price-formation obstacles . 31 5.3 investments issues . 32 5.4 orientation on the traditional energy sources . 33 5.5 lack of the constant joint strategic-planning mechanism . 34 6 suggestions for the solutions . 35 6.1 establishment of the overarching dispute resolution mechanism . 35 6.2 ways of price-dispute regulations . 38 6.3 investment issues solutions . 39 6.4 orientation on the renewable energy sources . 41 6.5 establishment of the constant joint strategic-planning mechanism . 42 7 conclusion . 44 acknowledgements . 46 reference . 47 重庆大学硕士学位论文 1 introduction 1 1 introduction 1.1 research evaluation in todays world the cooperation in energy sector s considered as a significant part of foreign policy, and especially for such big exporting and importing states as the russian federation and the peoples republic of china. therefore, the topic of the present thesis study on law basis of the russian-chinese energy cooperation is considered to be as a relevant one. the main objective of the present thesis is to designate the law basis of the energy cooperation between the two states. the author examines this partnership adverting to the general bilateral agreements and agreements on specific energy field of cooperation. moreover, the author analyzes the legal interaction between these agreements and the other treaties: not only the bilateral russian-chinese agreements, but also multilateral international ones. in order to give a broader designation of the partnership, the author reveals and examines the obstacles, that the two states have encountered during their energy cooperation, and provides the relevant suggestions for the solutions to overcome the existing problems. therefore, taking into account all the accomplished work, the thesis is considered to have a practical value and can be used in the course of the russian or chinese energy law classes. 1.2 literature and documents review 1.2.1 intergovernmental agreements in the process of working on the current thesis, the author has analyzed and made conclusions based on the following russian-chinese intergovernmental agreements: (1) - agreement on joint development of energy cooperation; (2) - agreement on extension of energy cooperation; (3) - agreement on cooperation in oil field; (4) - agreement on cooperation in constructing nuclear power plant in china and providing the state credit by russia to china; (5) - agreement on cooperation in peaceful use of nuclear energy; (6) - agreement on encouragement and reciprocal protection of investments; (7) - agreement on harmonious exploitation and protection of the trans-border waters; (8) - memorandum of understanding on the main principles of preparation technical-economic justification of the project of constructing the gas pipeline for gas 重庆大学硕士学位论文 1 introduction 2 transportation from russian east siberian region to prc, and to probable third state consumers, and exploitation of the koviktinskoe reservoir in the russian federation; (9) - memorandum of understanding on cooperation in energy efficiency and usage of the renewable energy sources. moreover, the author also examined such international treaties as nuclear non-proliferation treaty, energy charter treaty, convention on protection and exploitation of trans-border waters and international lakes and etc. 1.2.2 scholars points of view the author in her work examined not only russian resources, but also foreign language materials. most scholars agree that russian-chinese energy cooperation in energy field is beneficial to both states. from chinas perspective, the advantage factor is that it can shift its dependency on energy imports from the middle east to russia, which is much closer geographically. the aggressive energy demand in china could be satisfied by russias huge energy reserves, and this will increase their economic and trade growth. the subscription would enable both the countries to expand and maintain a long-term cooperative relationship. this relationship is expected to strengthen the existing ties between the worlds second largest consumer and the worlds second biggest supplier of energy. more over, experts believe that the russia china oil and gas cooperation is indeed a kind of “extraction parachute” of the following multilateral energy cooperation in northeast asia, as it will be able to provide invaluable experience of creating hydrocarbon infrastructure in the region, the order and the principles of pricing for oil and gas, the mechanism of cross-border transactions and etc. in addition, eastern gas program creates all the preconditions for an active investment, technical, technological, innovative involvement of the countries of northeast asia and asia-pacific region. this involvement will allow corporations of the region enter into long-term projects in areas of the joint venture with russian enterprises for the production of machinery and equipment for oil and gas upstream, oil refinery and gas processing, gas chemistry, to yield new products based on gtl and dme technologies, as well as to obtain a possibility to cooperate with russian companies on order to joint distribution of natural gas, and its products as well as helium in the markets of northeast asia and asia-pacific region. still, some experts, as stephen kotkin, professor of history and international affairs at princeton university, have a different point of view. in kotkins reading, this 重庆大学硕士学位论文 1 introduction 3 cooperation has severe practical limitations. cooperation in the energy sector appears to be disadvantageous to moscow in the long run. factoring in the interest payments russian companies will owe on their loans to the china development bank, the recent oil deals are estimated to result in prices of under $20 a barrel for china - less than half the global price at the time of the deal and less than one-third the market price for future deliveries in 2017. considering the plausibility of more advantageous energy deals that have been on the table with the us and european multinationals, kotkin writes in the september/october issue of foreign affairs that rosneft and transefts deal with china looks like a giveaway. according to another scholar, nicholas norling assistant editor of the china and euroasia forum quarterly “china could promote a diversification of its imports from russia and purchase other items besides raw materials, while russia could give increased entry to chinese energy-investors”1. the scholar believes that there will be a definite persistent tendency towards the chinese acquisition of majority share in russian energy assets. at the same time the russian government will be enforcing the policy of retaining access to energy resources; thus, even if the russian-chinese joint ventures should be seen as steps forward the sino-russian energy relations “one should not, at least in the short term, look at it as a breakthrough in sino-russian energy relations”2. according to chinese scholars, present day china has shifted its foreign policy from the “responsive diplomacy” towards the “proactive” one. this means that now the country will play a much more active role in the region with the goal of securing its own energy security. this will not necessarily mean the start of confrontation with the energy suppliers (such as russia); however the country will be more firm in the negotiations processes, what will bring certain difficulties to the process of reaching an agreement. other scholars, such as kyrre elvenes brkhus and indra overland, believe that the two states have complementary economies, location and political outlook, especially this concerns russian natural resources and chinese market. therefore, the closer relationship between russian federation and the peoples republic of china would be of mutual advantage; but at the same time it is far from certain that an alliance will develop. 重庆大学硕士学位论文 1 introduction 4 1.3 encountered difficulties most difficulties encountered by the author concern the complications with finding the access to the actual texts of the intergovernmental agreements, especially those ones that were signed only recently. even the official web-site of the russian energy ministry lacks the required for the thesis documents. therefore, due to the lack of certain agreements texts, the author could only rely on the parties to the agreements official statements made to the media. 重庆大学硕士学位论文 2 general analysis of the russian-chinese cooperation in energy field 5 2 general analysis of the russian-chinese cooperation in energy field 2.1 impetuses for the cooperation in recent years the relationship between russia and china has attracted much attention, especially the bilateral trade between the two countries that is considered to be the main structural element of the russian-chinese economic cooperation. within this cooperation, energy is a high priority sector. the fact that russia has abundant oil and natural gas reserves in siberia and the far eastern region, and that china has a growing demand for oil and gas forms a realistic basis for russian-chinese cooperation in this area. russian abundant resources had been irrelevant to china for a long time. the cooperation between the two countries in the energy sector became possible only after changes