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    Title: 國際解決投資爭端中心管轄權問題及其改革之研究－兼論WTO納入投資人與地主國爭端解決機制之展望
    A Study of Jurisdiction and Reform of the International Center for Settlement of Investment Disputes, with a Discussion of the Prospects for Inclusion of investor-State Dispute Settlement Mechanism in the WTO
    Authors: 徐耀浤
    Hsu, Yao Hung
    Contributors: 楊光華
    Yang, Connie Guang-Hwa
    徐耀浤
    Hsu, Yao Hung
    Keywords: 投資爭端
    管轄權
    投資人與地主國爭端解決
    國際解決投資爭端中心
    仲裁
    世界貿易組織
    investment dispute
    jurisdiction
    investor-State dispute settlement
    ICSID
    arbitration
    WTO
    Date: 2003
    Issue Date: 2009-09-11 17:03:14 (UTC+8)
    Abstract: 伴隨著全球化潮流的來臨，國際直接投資金額大幅成長，相對的，投資爭端案件亦持續增加，國際投資人於是迫切期待一個有效而公平之國際投資爭端解決機制。台灣經過多年經濟發展，已成為全球重要對外投資國家，惟根據調查，台灣廠商發生投資爭端，並不擅於利用國際仲裁維護其本身權益。據此，本論文乃針對國際投資協定有關投資人與地主國爭端解決法制加以研析，並希望能對我政府對外談判及廠商對外投資提供具體實用之對策，惟國際間對於投資人與地主國爭端解決機制研究面向相當廣泛，本文研究主軸則以世界銀行於1965年成立之國際解決投資爭端中心(ICSID)之管轄權為中心。
    本論文先自投資人與地主國爭端解決機制之發展背景介紹起，並論述1966年生效的ICSID公約主要條款與其他國際投資協定的關係，其後則進一步從ICSID管轄權角度切入，對ICSID對人(ratione personae)及對物(ratione materiae)管轄權相關法律問題逐一說明，並輔以個案加以研析之。
    經過上述分析後，本文繼而對現行投資人與地主國投資爭端解決機制提出評論，在制度面方面，本文對ICSID未來運作提出放寬對物管轄範圍、檢討投資未予定義之作法、雙重國籍認定及外國控制的程度與形式等四項改革建議。此外，本文亦針對ICSID管轄權與BITs最惠國待遇條款問題、BITs不同的爭端解決機制所引發程序衝突問題，以及仲裁判斷衝突(conflicting award)問題，說明ICSID公約與BIT所產生之一些法律問題。在未來展望方面，則分析在多邊投資架構是否為解決現階段投資人與地主國爭端解決機制之新契機，以及WTO納入投資人與地主國爭端解決條款之可能性分析，本文末並對我國政府與廠商現階段利用ICSID機制提出建議。
    While the inexorable trend towards globalization has caused international direct investment to grow dramatically, it has also led to a steady increase in the number of investment disputes. International investors therefore eagerly look forward to the institution of an effective and impartial international investment dispute resolution mechanism. Although Taiwan, through its many years of economic development, has become a major source of foreign investment, surveys show that Taiwan firms are not good at using international arbitration to protect their rights and interests in investment disputes. This study accordingly analyzes the investor-State dispute settlement provisions in international investment agreements(IIAs) in an effort to provide concrete, practical strategies for the government of Taiwan in international negotiations and for Taiwanese firms in their foreign investment. Since there is already extensive research literature addressing investor-State dispute settlement mechanisms, this study focuses on the jurisdiction of the International Center for Settlement of Investment Dispute(ICSID) under the aegis of the World Bank in 1965.
    This study first introduces investor-State dispute settlement mechanisms and their development. Next, the study discusses the main provisions of the Convention on the Settlement of Investment Disputes between States and Nationals of Other States (ICSID Convention) came into force on 1966 and its relationship to other IIAs. The study then explains the various legal issues connected with ICSID’s jurisdiction ratione personae and ratione materiae, and finally, analyzes specific cases.
    The results of the aforementioned analysis are employed to critique existing investor-State investment dispute settlement mechanisms. This study makes four system-related recommendations, namely that the ICSID convention should: 1) liberalize the scope of ICSID’s subject-matter jurisdiction; 2) review undefined investment methods; 3) recognize dual nationalities; and 4) reform the degree and circumstances of foreign control. This study further discusses legal problems related to the ICSID Convention and bilateral investment treaties (BITs), including conflicting awards, procedural conflicts stemming from different dispute settlement forum in BITs, and problems involving ICSID`s jurisdiction and most-favored nation(MFN) provisions in BITs. As for future prospects, the study analyzes whether the current multilateral investment framework can resolve the problems of the current investor-State dispute settlement mechanism, and examines the possibility of incorporating investor-State dispute settlement mechanism in the WTO. This study concludes with recommendations concerning how the government and companies of Taiwan can use the ICSID mechanism at the current stage.
    Reference: 一、中文部分
    （一）中文書目
    1.中華經濟研究院，『WTO投資議題未來發展趨勢與我國之因應措施(上冊)』，台北，經濟部投資業務處委託研究計畫(民國92年)。
    2.丘宏達，『現代國際法』，台北，三民書局（民國84年11月）。
    3.世界貿易組織秘書處編，索必成、胡盈之譯，『烏拉圭回合協議導讀』，中國北京，法律出版社 (2001年12月3刷)。
    4.余勁松主編，『國際投資法』，中國北京，法律出版社(1999年7月)。
    5.李貴英，『國際投資法專論－國際投資爭端之解決』，台北，元照出版公司(2004年)。
    6.李孟玢，『中共雙邊投資保障協定之研究』，台北，行政院大陸委員會委託研究（民國86年）。
    7.金彭年主編，『國際經濟爭端法導讀』，中國杭州，浙江大學出版社(2000年10月)。
    8.范劍虹主編，『國際投資法導讀』，中國杭州，浙江大學出版社(2000年10月)。
    9.姜勵男，『國際投資法概要』，台北，五南圖書出版公司（民國83年8月）。
    10.黃輝主編，『WTO與國際投資法律實務』，中國長春，吉林人民出版社(2001年1月)。
    11.徐崇利、林忠合著，『中國外資法』，香港，三聯書店（香港）有限公司(2001年5月)。
    12.陳治世，『條約法公約析論』，台北，台灣學生書局（民國81年8月）。
    13.姚梅鎮，『國際投資法』，中國湖北，武漢大學出版社(1985年)。
    14.羅昌發，『國際貿易法』，台北，月旦出版公司 (民國85年)。
    15.羅伯特．吉爾平著，楊宇光譯，『國際關係的政治經濟分析』，台北，桂冠圖書公司（1994年8月初版）。
    16.新時代經貿法律事務所，『WTO新回合談判與我國關於投資議題應有之政策與立場』，台北，經濟部投資業務處委託研究計畫(民國91年)。
    （二）中文期刊
    1.甘龍強，「國家與他國國民間投資爭端之解決（1）」，法律評論，第49卷8期，台北（民國72年8月）。
    2.甘龍強，「國家與他國國民間投資爭端之解決（2）」，法律評論，第49卷9期，台北（民國72年9月）。
    3.李貴英，「國際投資爭端解決中心(ICSID)金字塔台地仲裁判斷之評析」，商務仲裁季刊，第47期，台北（民國86年9月）。
    4.李貴英，「國際投資仲裁相關問題之探討－以國際投資糾紛解決中心（ICSID）American Manufacturing & Trading, INC. v. Republic of Zaire一案為例」，商務仲裁季刊，第52期，頁68-77，台北(民國88年2月)。
    5.李貴英，「國際投資糾紛解決中心（ICSID）管轄權問題之研究－以Fedax NV v. Republic of Venezuela一案為例」，仲裁季刊(原商務仲裁季刊)，第55期，台北 (民國88年11月)。
    6.李貴英，「國際投資糾紛解決中心之國際仲裁制度」，行政院國科會研究案(NSC87-2414-H-033-003)，台北 (民國88年7月)。
    7.李貴英，「北美自由貿易協定第十一章投資爭端解決之研究」，政大法學評論，第72期，台北 (民國91年12月)。
    8.李貴英，「能源憲章條約與國際投資爭端解決之研究」，東吳法律學報，第14卷第2期，台北 (民國92年12月)。
    （三）中文學位論文
    1.朱婉琪，從國際法論對外直接投資保護，東吳大學法律研究所碩士論文，（民國79年6月）。
    2.吳必然，從國際經濟法之觀點論對跨國企業之規範－我國相關法令之檢討，東吳大學法律研究所碩士論文，（民國78年6月）。
    3.姜亮伃，國際投資法一般法律原則之研究，東吳大學法律研究所碩士論文，（民國91年7月）。
    4.陳香嚴，外人投資爭端解決有關法律問題之研究，東吳大學法律研究所碩士論文（民國74年7月）。
    5.陳振峰，國際投資爭端解決法制之研究，東海大學法律研究所碩士論文，（民國78年6月）。
    二、外文部分
    （一）外文書目
    1.5 ICSID REPORT (Edward Helgeson ed. 2002).
    2.AUST, ANTHONY, MODERN TREATY LAW AND PRACTICE (Cambridge University Press 3rd 2000).
    3.BROCHES, ARON, SELECTED ESSAYS: WORLD BANK, ICSID, AND OTHER SUBJECTS OF PUBLIC AND PRIVATE INTERNATIONAL LAW (Martinus Nijhoff 1995).
    4.CHEN, HUIPING, OECD’S MULITILATERAL AGREEMENT ON INVESTMENT: A CHINESE PERSPECTIVE, (Kluwer Law International 2002).
    5.SCHREUER, CHRISTOPH H., THE ICSID CONVENTION: A COMMENTARY (Cambridge University Press 3rd 2001).
    6.BRADLOW, DANIEL D. & ALFRED ESCHER, LEGAL ASPECTS OF FOREIGN DIRECT INVESTMENT (Kluwer Law International 1999).
    7.WALLACE, DON, & JR. ROBERT B. SHANKS, MODEL FOREIGN INVESTMENT LAW (INTERNATIONAL LAW INSTITUTE 1996).
    8.COLLIER, JOHN & VAUGHAN LOWE, THE SETTLEMENT OF DISPUTES IN INTERNATIONAL LAW (Oxford University Press 1999).
    9.MERRILLS, J. D., INTERNATIONAL DISPUTE SETTLEMENT (Cambridge University Press 3rd 1998).
    10.SHIHATA, IBRAHIM F.I., LEAGAL TREATMENT OF FOREIGN INVESTMENT:”THE WORLD BANK GUIDELINES” (Martinus Nijhoff 1993).
    11.SHIHATA, IBRAHIM F.I., THE WORLD BANK IN A CHANGING WORLD: SELECTED ESSAYS AND LECTURES (Martinus Nijhoff 2000).
    12.SORNARAJAH, M., THE INTERNATIONAL LAW ON FOREIGN INVESTMENT (Cambridge University Press 3rd ed. 1996).
    13.SORNARAJAH, M., THE SETTLEMENT OF FOREIGN INVESTMENT DISPUTES (Ckluwer Law International 2000).
    14.DIXON, MARTIN, TEXTBOOK ON INTERNATIONAL LAW (Blackstone Press 4th ed. 2000).
    15.TREBILCOCK, MICHAEL J. & ROBERT HOWSE, THE REGULATION OF INTERNATIONAL TRADE (1995).
    16.OECD, TOWARDS MULTILATERAL INVESTMENT RULES (1996).
    17.OECD, FOREIGN DIRECT INVESTMENT FOR DEVELOPMENT: MAXIMISING BENEFITS, MINIMISING COSTS (2002).
    18.SAUVE, PIERRE & DANIEL SCHWANEN ed., INVESTMENT RULES FOR THE GLOBAL ECONOMY (C.D. Howe Institute, Toronto 1996).
    19.DOLZER, RUDOLF & MARGRETE STEVENS, BILATERAL INVESTMENT TREATIES (Kluwer Law International 1995).
    20.AUGUST, RAY, INTERNATIONAL BUSINESS LAW (Prentice Hall 3rd Ed. 2000).
    21.MORAN, THEODORE H., FOREIGN DIRECT INVESTMENT AND DEVELOPMENT: THE NEW POLICY AGENDA FOR DEVELOPING COUNTRIES AND ECONOMIES IN TRANSITION (Institute for International Economics 1999).
    22.BREWER, THOMAS L. & STEPHEN YOUNG, THE MULTILATERAL INVESTMENT SYETEM AND MULTINATIONAL ENTERPRISES (Oxford University Press1998).
    23.DON, R. Y. (唐豫民), PORTECTION OF FOREIGN INVESTMENT UNDER INTERNATIONAL LAW (1979).
    24.UNITED NATIONS CONFERENCE ON TRADE AND DEVELOPMENT (UNCTAD), DISPUTE SETTLEMENT: INVESTOR-STATE (2002).
    25.UNITED NATIONS CONFERENCE ON TRADE AND DEVELOPMENT (UNCTAD), COURSE ON DISPUTE SETTLEMENT: INTERNATIONAL CENTRE FOR SETTLEMENT OF INVESTMENT DISPUTES (2003).
    26.UNITED NATIONS CONFERENCE ON TRADE AND DEVELOPMENT (UNCTAD), WORLD INVESTMENT REPORT 2002: (2002).
    27.UNITED NATIONS CONFERENCE ON TRADE AND DEVELOPMENT (UNCTAD), BILATERAL INVESTMENT TREATIES IN THE MID-1990S (1998).
    28.UNITED NATIONS CONFERENCE ON TRADE AND DEVELOPMENT (UNCTAD), INTERNATIONAL INVESTMENT INSTRUMENTS: A COMPENDIUM
    29.PETER, WOLFGANG, ARBITRATION AND RENEGOTIATION OF INTRENATIONAL INVESTMENT AGREEMENTS (Kluwer Law International 1995).
    （二）外文期刊
    1.Amerasinghe, C. F., “Juridiction Ratione Personae under the Convention on the Settlement of Investment Disputes between States and Nationals of Other States”, 47 BRITISH YEAR BOOK OF INTERNATIONAL LAW 227-267 (1974/75).
    2.Bernini, Giorgio, “Foreign Investments and Arbitration in the Frame of Globalization of World Ecomomy”, 4 CROAT. ARBIT. YEARB. 83-96 (1997).
    3.Brower II, Charles H., “Investor-State Disputes under NAFTA: The empire Strikes Back”, 40 COLUM. J. TRANSNAT’L L. 43-88 (2001).
    4.Camponovo, Christopher N., “Dispute Settlement and the OECD Multilateral Agreement on Investment”, 1 UCLA J. INT’L L. & FOREIGN AFF. 181-219 (1996).
    5.Chatterjee, C., “When Pre-Investment or Development Cost May or May Not Be Regarded as Part of “Investment” under Article 25(1) of the ICSID Convention”, 4 THE JOURNAL OF WORLD INVESTMENT 900-924 (Oct. 2003).
    6.Chow, Michael Ewing, “Investor Protection in Free Trade Agreement: Lessons from North America”, 5 SING. J. INT’L & COMP. L. 748-772 (2001).
    7.Dumberry, Patrick, “The NAFTA Investment Dispute Settlement Mechanism－A Review of the latest Case-Law”, 2 THE JOURNAL OF WORLD INVESTMENT 151-195 (Mar. 2001).
    8.Freyer, Dana H. et al, “Bilateral Investment Treaties and Arbitration”, 53-MAY DISP. RESOL. J. 74-78 (1998).
    9.Gagne, Gilbert, “The Investor-State Provisions in the Aborted MAI and in NAFTA－Issues and Prospects”, 2 THE JOURNAL OF WORLD INVESTMENT 481-505 (Sep. 2001).
    10.Garcia-Bolivar, Omar E., “Foreign Investment Disputes under ICSID－A Review of its Decisions on Jurisdiction”, 5 THE JOURNAL OF WORLD INVESTMENT & TRADE 188-214 (Feb. 2004).
    11.Jacob, Kenneth S., “Reinvigorating ICSID with a New Mission and with Renewed Respect for Party Autonomy”, 33 VA. J. INT’L L. 123-159 (1992).
    12.Lalive, P., “The First ‘World Bank’ Arbitration (Holiday Inns v. Morocco)－Some Legal Problems”, 51 BRITISH YEAR BOOK OF INTERNATIONAL LAW 123-161 (1980).
    13.Lamm, C.B., “Jurisdiction of the International Centre for Settlement of Investment Disputes”, 6 ICSID REVIEW－FOREIGN INVESTMENT LAW JOURNAL 462-483 (1991).
    14.Naon, Haracio A. Grigera, “The Settlement of Investment Disputes Between States and Private Parties－An Overview from the Perspectvie of the ICC”, 1 THE JOURNAL OF WORLD INVESTMENT 59-103 (July 2000).
    15.Obadia, Elobe, “ICSID, Investment Treaties and Arbitration: Current and Emerging Issues”, 18 ICSID NEWS (Fall 2001).
    16.Parra, Antonio R., “Porvisions on the Settlement of Investment Disputes in Modern Investment Law, Bilateral Investment Treaties and Multilateral Instruments on Investment”, 12 ICSID REVIEW－FOREIGN INVESTMENT LAW JOURNAL 287-364 (1997).
    17.Parra, Antonio R., “ICSID and Bilateral Investment Treaties”, 17 ICSID NEWS (Spring 2000).
    18.Pilch, Gennady, “The Development and Expansion of Bilateral Investment Treaties”, 86 AM. SOC’Y INT’L PROC.532-557 (1992).
    19.Reisman, W. Michael, “The Breakdown of the Control Mechanism in ICSID Arbitration”, 1989 Duke L.J. 739-807 (1989).
    20.Schneider, Andrea Kupfer, “Getting Along: The Evolution of Dispute Resolution Regimes in International Trade organizations”, 20 MICH. J. INT’L L. 697-773 (1999).
    21.Siqueiros, Jose Luis, “An Overview of Arbitration Mechanisms between States and Investors－The Mexican Experience”, 2 THE JOURNAL OF WORLD INVESTMENT 250-257 (June 2001).
    22.Staff, Marcia. J. & Christine W. Lewis, “Arbitration under NAFTA Chapter 11: Past, Present, and Future”, 25 HOUS. J. INT’L L.301-332 (2003).
    23.Vandevelde, Kenneth J., “U.S. Bilateral Investment Treaties: The Second Wave”, 14 MICH. J. INT’L L. 621-704 (1993).
    參考網站
    WTO : http://www.wto.org/
    ICSID: http://www.worldbank.org/icsid/
    World Bank Group: http://rru.worldbank.org/
    UNCTAD: http://www.unctad.org/Templates/StartPage.asp?intItemID=2068
    OECD: http://www.oecd.org/home/
    Description: 碩士
    國立政治大學
    國際經營與貿易研究所
    89351026
    92
    Source URI: http://thesis.lib.nccu.edu.tw/record/#G0089351026
    Data Type: thesis
    Appears in Collections:[Department of International Business] Theses

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