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    题名: 國際投資法架構下智慧財產權爭端解決 ─ 以投資人─地主國爭端仲裁為核心
    The Settlement of Intellectual Property Under the Framework of International Investment Law ─ISDS as a Focus
    作者: 蔡詠潔
    Tsai, Yung-Chieh
    贡献者: 沈宗倫
    Shen, Chung-Lun
    蔡詠潔
    Tsai, Yung-Chieh
    关键词: 智慧財產權
    國際投資法
    投資人─地主國爭端仲裁解決機制
    TRIPS協定
    WTO爭端解決
    Intellectual Property rights (IPRs)
    International investment law
    ISDS mechanism
    TRIPS agreement
    Philip Morris v. Australia
    Philip Morris v. Uruguay
    Eli Lilly v. Canada
    CPTPP
    TPP
    TTIP
    WTO dispute settlement system
    日期: 2018
    上传时间: 2018-07-03 17:31:59 (UTC+8)
    摘要: 智慧財產權之規範體制由原先各國依內國法決定轉向於國際貿易協定中建立統一之保障,如TRIPS協定即建立國際智慧財產權之最低保護標準。然隨著已開發國家對於國際智慧財產權之保護需求不斷提高,國際間逐漸開始將智慧財產權納入國際投資協定之架構中,國際貿易協定結合國際投資章節也開始成為新風潮如「跨太平洋夥伴全面進展協定」(Comprehensive Progressive Agreement for Trans─Pacific Partnership; CPTPP)之前身「跨太平洋夥伴協定」(The Trans-Pacific Partnership; TPP)及目前尚未簽署之「跨大西洋貿易及投資夥伴協定」(US─EU Transatlantic Trade and Investment Partnership; TTIP)都同時對智慧財產權以及投資人─地主國爭端仲裁解決機制(Investor-state dispute settlement; ISDS)設有規範,國際投資法架構下國際智慧財產權應如何適用成為爭議。且由於國際投資法對於國際智慧財產權是相對較新的領域,許多規範體制發展並未如國際智慧財產權於國際貿易法領域中有完整規範,智慧財產權無體財產之性質也增添適用上之難度,如智慧財產權是否為投資,以及徵收條款、國民待遇條款、最惠國待遇條款及公平與公正待遇條款又該如何適用到智財投資。
    本文除對於智慧財產權如何適用國際投資法作出探討,更希望透過投資人─地主國爭端仲裁解決機制了解目前智慧財產權之規範體制向國際投資法發展會遇到之爭議,如對於「與貿易有關之智慧財產權協定」(Agreement on Trade─Related Aspects of Intellectual Property Rights,TRIPS協定)之彈性為國家主權留下之監管空間可能會受到挑戰,如Philip Morris公司案(Philip Morris v. Australia; Philip Morris v. Uruguay) 對澳洲及烏拉圭之菸品素面包裝法案提起投資人─地主國爭端仲裁,而Eli Lilly公司案(Eli Lilly v. Canada)亦對於加拿大之專利實用性承諾主義與其被撤銷之藥品專利提起投資人─地主國爭端仲裁,兩者皆為引起國際關注之智慧財產權投資人─地主國爭端仲裁案件。由於國際投資法之發展背景使其較傾向保護外國投資人及爭端仲裁案件之機密性質,使得對於投資人─地主國爭端仲裁解決機制之批評不斷加上智財投資爭端案件日益增加,CPTPP之前身TPP與TTIP開始重新反思投資人─地主國爭端仲裁解決機制之規範,如將仲裁文書資料公開透明化、對於仲裁人之選擇更加嚴謹、並新增第三方參加仲裁程序之制度及法庭之友制度等,更提出國際投資法院之構想欲創立多邊投資法院。
    投資人─地主國爭端仲裁機制援引世界貿易組織(World Trade Orgazation; WTO) 爭端解決之法理,使得WTO下各項協定可能成為特定領域投資爭端之準據法。雖然對於智慧財產權是否應適用投資人─地主國爭端仲裁解決機制仍有許多爭議,但可預見的是WTO爭端解決機制已非智財爭端解決之唯一場域。從Eli Lilly公司案以及Philip Morris公司案的仲裁結果中,仲裁庭並未大幅提高智財的保護標準,而是維持TRIPS協定最低保護標準之規範未增設TRIPS協定所無之權利。投資人─地主國爭端仲裁程序雖不同於以往智慧財產權人尋求爭端解決之途徑,惟本質上智慧財產權於TRIPS協定中之核心原則並未被改變。
    Shifting from the domestic law to the international trade law, the intellectual property (IP) regime established the minimum standards for the protection of IP in the The Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPS Agreement)TRIPS agreement. While With the demands for higher IP protection by from the developed countries increase, the regime shifts towards the international investment law and IP has also been gradually encompassed intellectual property as “investment” in the International Investment Agreements (IIAs). The application of international intellectual property rights (IPRs) under the framework of international investment law becomes an issue following by the incorporation of investment chapters in the international trade agreements. For instance, the Comprehensive Progressive Agreement for Trans─Pacific Partnership (CPTPP), the revised Trans-Pacific Partership (TPP) Agreement as well as the negotiating US─EU Transatlantic Trade and Investment Partnership (TTIP) both Agreement include IP chapters and investor-state dispute settlement (ISDS) mechanisms. International investment law is a relatively new and underestimated growing field for IP norms comparinge with the trade regime. The intangibility of IP further complicates the convergence of IP norms and the investment regime. The issues involve lie in whether IPRs are covered investments and how IPRs are appliedto apply IPRs under the standards of investment protection, such as expropriation, national treatment (NT), most- favored- nation (MFN) and fair and equitable treatment (FET).
    In addition to issues involving the application of IPRs under international investment law, this paper also focuses on the controversies stemming from the intersection of ISDS and IPRs. The shift of the IP regime to ISDS challenges the TRIPS flexibilities and the regulatory space of the host statenational sovereignty. The classic typical examples are the Philip Morris cases and the Eli Lilly case. The former case concerneding Australia’s and Uruguay’s Tobacco Plain Packaging Acts, while the latter case concerneding Canada’s patent utility promise doctrine and invalidated pharmaceutical patents. These Both of the IP-related ISDS cases attract worldwide attentions. Since traditionally the origins of the international investment law, it tends to protect investors and mantain the confidentiality and party-autonomy of ISDS mechanisms, the IP-related investment disputes ISDS cases increase and accompany with a flood of criticism on about the ISDS mechanisms follows. It therefore can be seen that modern IIAs, including Consequently, CPTPP, (TPP) and TTIP sought begin to improve the ISDS mechanisms by making the arbitral documents publicly accessible to ensure the transparency of arbitral proceedings ; establishing moral and conduct standards for selecting ISDS arbitrators ofto ensure their integrity; coverallowing third-party and non-disputing party (amicus curiae) participation and accepting amicus curiae briefs. Also, the concept of Multiple Investment Court promoted by European Union is one of the promosing improvements. The Multiple Investment Court would be a permanent body with an appeal tribunal and have tenured, highly qualified judges instead of parties-selected arbitrators.
    This paper argues that In fact, it is not the higher levels of IP protection that investors seek, but predictable answers to key legal questions. Although unsolved controversies regarding to the IP regime and the ISDS mechanisms still exist, what can be confirmed is there’s one thing to be sure that the WTO dispute settlement system is will no longer be the sole forum for the settlement of IP disputes. As demonstrated Iin the Philip Morris cases and the Eli Lilly case, arbitral tribunals did not significantly raise the level of IP protection level nor create new IPRs. The international minimum standard established in from the TRIPS agreement was well-repected. Aand ISDS still preserves the core value of IP.
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    Watal, Jayashree, Pharmaceutical Patents, Prices and Welfare Losses: Policy Options for India under the WTO TRIPS Agreement, 23 THE WORLD ECONOMY 733(2000).
    Weaver, Mark, The Proposed Transatlantic Trade and Investment Partnership (TTIP): ISDS Provisions, Reconciliation, and Future Trade Implications, 29 EMORY INT`L L. REV. (2014).
    Yu, Peter K, Crossfertilizing ISDS with TRIPS, TEX. A&M L. REV. (2017).
    Yu, Peter K, Currents and Crosscurrents in the International Intellectual Property Regime, 38 LOY. LAL REV. (2004).
    Yu, Peter K, From Pirates to Partners: Protecting Intellectual Property in China in the Twenty─First Century, 50 AM. UL REV. (2001).
    Yu, Peter K, The Investment─Related Aspects of Intellectual Property Rights, 66 AM. UL REV. (2017).
    Yu, Peter K, Thinking About the Trans─Pacific Partnership (and a Mega─Regional Agreement on Life Support), TEX. A&M L. REV. (2017).


    三、 案件資料

    Apotex Holdings Inc. and Apotex Inc. v. United States of America, ICSID Case No. ARB(AF)/12/1 (Aug 25, 2014).
    AstraZeneca Canada Inc. v. Apotex Inc., 36 SCC, Supreme Court of Canada (2018).
    Australia — Certain Measures Concerning Trademarks, Geographical Indications and Other Plain Packaging Requirements Applicable to Tobacco Products and Packaging, DS467 (WTO).
    Australia — Certain Measures Concerning Trademarks, Geographical Indications and Other Plain Packaging Requirements Applicable to Tobacco Products and Packaging, Communication From The Chairperson Of The Panel, WT/DS467/22 (WTO).
    Australia ──Tobacco Plain Packaging (WTO).
    Barcelona Traction, Light and Power Co, Ltd (Belgium v Spain), I.C.J. 1970 I.C.J. 3. (1970)
    Biwater Gauff (Tanzania) Ltd. v. United Republic of Tanzania, ICSID Case No. ARB/05/22, para 352 (Jul. 24, 2008).
    British American Tobacco Australasia Limited and Ors v. Commonwealth of Australia and J T International SA v. Commonwealth of Australia, (High Court of Australia).
    Ceskoslovenska Obchodni Banka, A.S. v. The Slovak Republic, ICSID Case No. ARB/97/4 (2004)
    Eli Lilly and Company v. Government of Canada, Government of Canada Statement of Defence, ICSID Case No. UNCT/14/2, UNCITRAL (Jun. 30, 2014 ).
    Eli Lilly and Company v. Government of Canada, Notice Of Arbitration, UNCITRAL (Sep.12, 2013)
    Eli Lilly and Company v. Gvernment of Canada, Final Award, ICSID Case No. UNCT/14/2, UNCITRAL (Mar. 16, 2017).
    Eli Lilly and Company v. Gvernment of Canada, Submission of Amicus Curiae Brief On The Merits Of The Dispute, Burcu Kilic, Brook K. Baker, HU Yuanqiong, Cynthia Ho, Luke McDonagh, Pratyush Upreti, Yaniv Heled, ICSID Case No. UNCT/14/2, UNCITRAL (Feb. 12, 2016).
    Eli Lilly and Company v. Gvernment of Canada, Submission Of Mexico Pursuant To NAFTA Article 1128, ICSID Case No. UNCT/14/2, UNCITRAL (Mar. 18, 2016).
    Eli Lilly and Company v. Gvernment of Canada, Submission Of The United States Of America, ICSID Case No. UNCT/14/2, UNCITRAL (Mar. 18, 2016).
    Fedax N.V. v. The Republic of Venezuela, Award, ICSID Case No. ARB/96/3 (Mar 9, 1998).
    La Republique d`Italie v. La Republique de Cuba, UNCITRAL (Aug. 23, 1995).
    Malaysian Historical Salvors, SDN, BHD v. The Government of Malaysia, Award on Jurisdiction, ICSID Case No. ARB/05/10, (May 17, 2007)
    Methanex Corporation v. United States of America, Final Award, UNCITRAL (Aug. 3, 2005).
    Philip Morris Aisa Limited v. The Commonwealth of Australia, Award on Jurisdiction and Admissibility, UNCITRAL Case No. 2012-12, PCA ( Dec. 17, 2015).
    Philip Morris Aisa Limited v. The Commonwealth of Australia, Notice of Arbitration, PCA (Nov. 21, 2011).
    Philip Morris Aisa Limited v. The Commonwealth of Australia, Procedural Order No. 4 Regarding the Procedure until a Decision on Bifurcation, UNCITRAL Case No. 2012-12, PCA, (Oct. 26, 2012).
    Philip Morris Brands Sarl, et al. v. Oriental Republic of Uruguay, Award, ICSID Case No. ARB/10/7, PCA (Jul. 8, 2016 ).
    Philip Morris Brands Sarl, et al. v. Oriental Republic of Uruguay, Request for Arbitration, ICSID Case No. ARB/10/7, PCA (Feb. 19, 2010).
    Salini Costruttori S.p.A. and Italstrade S.p.A. v. Morocco, 42 ILM 609, 622 (2003).
    SGS Société Générale de Surveillance S.A. v. Islamic Republic of Pakistan, Procedural order No. 2, ICSID Case No. ARB/01/13 (2004).
    Suez, Sociedad General de Aguas de Barcelona, S.A.and Vivendi Universal, S.A. v. Argentine Republic, Decision on Jurisdiction, ICSID Case No. ARB/03/19 (16 May 2006).
    Vattenfall AB and others v. Federal Republic of Germany, Notice of arbitration, ICSID Case No. ARB/12/12, (May 31, 2012).


    四、 新聞資料

    Boffey, Daniel, Hopes of EU─US trade agreement put on ice, say Brussels sources, THE GUARDIAN, June 5, 2017.
    Bravo, Richard and Julia Chatterley, Trump Is Willing to Reopen TTIP Amid EU─U.S. Trade Dispute, Ross Says, BLOOMBERG, 29 March 2018.
    Colombia Cuts Price of Novartis Cancer Drug by 44 Percent, REUTERS, December 21, 2016.
    Compulsory Licensing in Colombia: Leaked Documents Show Aggressive Lobbying by NOVARTIS, PUBLIC EYE, April 12, 2017.
    Geller, Martinne & Tom Miles, Australia Wins Landmark WTO Tobacco Packaging Case - Bloomberg, REUTERS, May 4, 2017.
    Keating, Dave, EU Tells Trump: No Paris Climate Deal, No Free Trade, FORBES, 8 FEB 2018.
    Kovensky, Josh, Company Sues Ukraine in Bid to Corner Hepatitis C Drug Market, KYIV POST (UKRAINE`S GLOBAL VOICE), June 16 2017.
    Nightingale, Alexandra, The Significance Of Uruguay’s Win Over Philip Morris International, INTELLECTUAL PROPERTY WATCH, July 21, 2016.
    PhRMA Statement on NAFTA Tribunal Decision in the Eli Lilly Case, PHARMACEUTICAL RESEARCH AND MANUFACTURERS OF AMERICA (PHRMA), March 21, 2017.
    Swanson, Ana, Trump’s administration has a new target on trade — and it’s not China or Mexico, THE WASHINGTON POST, January 31, 2017.
    U.S. Chamber Statement on Eli Lilly v. Canada Patent Ruling, U.S. CHAMBER OF COMMERCE, March 21, 2017.
    USTR Releases NAFTA Negotiating Objectives, UNITED STATES TRADE REPRESENTATIVE ROBERT, July 2017.


    五、 網路資料

    Corporate Europe Observertoroy, Civil Society Groups Say No To Investor─State Dispute Settlement in EU─US Trade Deal(17th Dec 2013), available at http://trade.ec.europa.eu/doclib/press/index.cfm?id=1008.
    Gilead Pharma Corp Withdraws Investment Arbitration after Ukraine Agrees to Settlement of Dispute over Monopoly Rights to Market Anti─Viral Drug(16 March 2017).
    http://www.climatechangenews.com/2018/02/02/france─us─no─paris─agreement─no─trade─agreement─1/.
    Mathiesen, Karl, France to Trump: ‘No Paris Agreement, no EU trade agreement’(2 Feb 2018), available at
    Patent on Hep C Drug Rejected in Ukraine: Price of Sofosbuvir Will Significantly Reduce (March 14, 2018).
    描述: 碩士
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