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  • 學位論文

論比例原則於國際投資仲裁若干議題之適用

The Application of the Principle of Proportionality in Certain Issues of International Investment Arbitration

指導教授 : 羅昌發

摘要


國際投資仲裁是國際法近期快速發展的領域,隨著雙邊投資協定的簽訂,許多投資條約不僅包括紛爭解決條款,也包括投資者得直接透過雙邊投資協定主張地主國違反義務而損害其權益的程序,投資者與國家間仲裁案例的增加也使目前糾紛所涉議題越來越多樣。 惟國際投資仲裁體制不斷發展的同時,亦出現極具爭議性的案例,經常涉及地主國的管制權行使,而已經超越了傳統爭議,漸漸有為了保護私人財產權,而無形中漸漸蠶食了地主國管制裁量權之仲裁判斷,形成投資者保護與地主國管制權間之緊張關係,有學者以國際投資仲裁制度中的「正當性危機」稱呼之。阿根廷因為其在2001年至2002年間對其國內嚴重經濟危機的因應措施而被許多投資者訴諸國際仲裁,也正是該緊張關係的體現。 面對系爭體制挑戰,實務上仲裁庭漸漸發展出使用比例原則來處理國家與投資者間仲裁爭端。在該體制緊張關係中,比例原則因此而成為可得調和系爭緊張關係的論述工具,在利益平衡的追求上,可望扮演關鍵角色。 比例性概念在許多國家內國法中已被確認為重要法律原則,惟在國際法中,比例原則的方法論、實體權利等議題仍較為模糊。因此,本文嘗試建立比例原則於國際投資仲裁之適用基礎,檢視其於投資法若干議題中是否得發揮何種功能;探討重點著重於「間接徵收」認定、「不排除措施」條款、「公平與公正待遇」以及救濟階段之償金認定;其次,若得肯定比例原則於國際投資仲裁之適用,則進一步檢視比例原則在仲裁庭實務適用上產生何種影響,並探討其中的影響因素主要係出於何者;就此,本文主張比例原則於國際投資仲裁適用上的關鍵因素,在於操作比例原則時所適用之審查密度,若得選擇適當的審查密度,仍可望得在平衡投資者保護與地主國管制權之際,保留給地主國適當的政策管制空間。

並列摘要


International investment arbitration is a burgeoning field of International law, with more than three thousand Bilateral Investment Treaties signed, the provisions of which include not only dispute settlement clauses, but also allowing foreign investors to claim against host countries without exhausting domestic remedies, which makes the issues related to investor-state dispute settlements more and more variant and complex. However, at the same time, there are several significantly controversial cases, more than the traditional issues of international investment law such as expropriation, which aimed at the protection of investors, while criticized for inappropriately intrusive for the general exercising of host countries’ regulatory rights. As to the tension between foreign invstors and host countries, some called “legitimacy crisis.” The Argentina cases relating to the emergency measures it took in reaction to the 2001/2002 economic crises exemplified the tension between the two actors in international investments law. Faced with the challenges as above, the investment tribunals tried to mediate the tension between the protection of investors and the discretionary powers of host countries, and one of instruments employed by tribunals was proportionality analysis. It could play a key role in the balance of competing interests of investors and host countries. As to the principle of proportionality, it has been considered a constitutional principle in many countries, yet the methodology and substantive content of it is still somewhat ambiguous. Consequently, this article tries to argue that the principle of proportionality is an “emerging” general principle of law at least. On this basis, as to the application of principle of proportionality, this article tries to focus on four key issues of international investment law, including indirect expropriation, non-precluded measures clauses, fair and equitable treatment and the amount of indemnity, discussing the practical application and the pros and cons as well. Furthermore, base on the discoveries discussed, to preserve adequate regulatory space for host countries, this articles tries to argue that the key element in applying principle of proportionality in international investment law is to choose the appropriate standard of review.

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