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研究生: 王雅君
Wang, Ya-Chun.
論文名稱: 從澳洲菸盒素面包裝法案爭議反思國際投資法下國家管制空間
Regulatory Space under Investment Treaty: Reflections on Australia’s Tobacco Plain Packaging Act
指導教授: 劉漢威
Liu, Han-Wei
口試委員: 吳必然
Wu, Pi-Jan
林勤富
Lin, Ching-Fu
學位類別: 碩士
Master
系所名稱: 科技管理學院 - 科技法律研究所
Institute of Law for Science and Technology
論文出版年: 2017
畢業學年度: 105
語文別: 中文
論文頁數: 117
中文關鍵詞: 國際投資法正當管制權限公平公正待遇原則間接徵收投資仲裁菸草控制框架公約
外文關鍵詞: International Investment Law, Fair and Equitable Treatment, Indirect Expropriation, Investor-State Dispute Settlement, Right to Regulate, Framework Convention on Tobacco Control
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  • 隨著全球化的發展,國際投資協定已成為國際經貿合作不可或缺之經貿合作管道。投資協定蓬勃發展之主要原因之一在於,多數投資協定透過「投資人地主國爭端解決機制」(Investor-State Dispute Settlement,下稱「ISDS」),允許外國投資人直接依據投資協定規範,向地主國提出控訴。然而,由於投資仲裁庭之裁決結果經常涉及公共層面,投資仲裁程序之不透明性、仲裁人之選任與專業能力,受到大眾質疑。尤其近年國家基於環境、衛生保障等公共議題之管制措施經常引發投資控訴,仲裁裁決之不確定性與不一致性,更造成國家公共目的管制之隱憂。
    澳洲與菸草公司Philips Morris間之投資爭議即為一具體案例。2013年澳洲在《菸草控制框架公約》(Framework Convention on Tobacco Control,下稱「FCTC」)之鼓舞下,實施菸盒素面包裝法案(Tobacco Plain Packaging Act 2011,下稱「TPPA」)。對此,Philips Morris依據香港-澳洲投資保障協定,向澳洲提出投資控訴。儘管該案在程序即遭駁回,但鑒於ISDS機制對國家管制之潛在影響,國際間對於此種創新之菸品管制措施仍存有疑慮。
    基此,本文首先於第二章介紹FCTC之規範內容與性質,說明FCTC義務與投資保障協定間之潛在衝突。第三章整理與公共議題相關之投資爭議,釐清投資仲裁庭對「間接徵收」與「公平公正待遇原則」等投資保障條款,在相關爭議案件中之判斷標準。第四章透過前章仲裁庭對投資條款之判斷標準,分析澳洲菸盒素面包裝違反投資保障之態樣與可能,並說明在菸品管制之投資爭議中,FCTC所能提供之條約解釋功能。最後,鑒於ISDS機制對投資地主國管制權限之潛在影響,國際間開始有重新評估ISDS,改變其規範模式之倡議。本文也一併於文末整理目前ISDS在國際之規範與發展。


    In recent years, bilateral investment treaties have become one of the most important tools to stipulate economic cooperation and Integration. Most of Investment treaties allow foreign investors bring claims against host States through Investor-State Dispute Settlement (hereinafter “ISDS”). However, the determinacy, consistency, and predictability of arbitral decision-making might cause regulatory chill in host States.
    The investment dispute between Philip Morris, one of the world biggest tobacco company, and Australia illustrated the issue of indirect expropriation and its relationship to State’s right to regulate under a bilateral treaty. After the WHO Framework Convention on Tobacco Control (hereinafter “FCTC”) came into effect, Australia adopted Plain Packaging Act (hereinafter “TPPA”), recomended by FCTC guidelines, as the latest tobacco control measures. In response, Philip Morris initiated arbitration but the tribunal objected its claim in 2016.
    This article aims to analyze the extent of the regulatory space afforded to State in International Investment regime. The article first introduces legal status of FCTC and the background of Australia’s TPPA. Taking previous decisions in Investment arbitration awards as references, the article analyzes whether the adoption of TPPA violates Australia’s investment treaty obligations such as indirect expropriation as well as Fair and Equitable Treatment (hereinafter “FET”). In conclusion, the article reviews the recent development in ISDS and gives advices for State to avoid conflicts between investment protection and tobacco regulation.

    詳目 第一章 緒論 1 第一節 研究動機 1 第一項 國際投資與ISDS機制 1 第二項 ISDS對國家管制權限之影響 3 第三項 菸品危害擴散與管制之必要性 4 第四項 國際菸品管制與投資爭議 6 第二節 研究目的與問題意識 8 第三節 研究方法與範圍 12 第四節 本文架構 13 第二章 澳洲TPPA與法律爭議 15 第一節 WHO《菸草控制框架公約》 15 第一項 公約之作用與重要性 15 第二項 框架性規範與締約方義務 17 第三項 締約方會議與指導準則 19 第四項 菸盒包裝、標籤與廣告之相關規範 21 第二節 澳洲TPPA之規範與影響 25 第一項 澳洲菸品管制與TPPA 25 第二項 菸盒管制之具體規範 27 第三項 菸盒素面包裝之效果與作用 28 第三節 菸草公司對菸盒管制措施之回應 31 第一項 菸草公司之質疑與主張 32 第二項 法律救濟與結果 34 第四節 懸而未決之投資爭議 37 第一項 投資仲裁對菸品管制之衝擊 37 第二項 菸品管制與投資保障之潛在義務衝突 38 第三項 菸商訴訟策略與國家管制隱憂 40 第三章 國際投資法下地主國之管制權限 42 第一節 國際投資保障概論 42 第一項 徵收與補償 43 第二項 公平公正待遇原則 46 第三項 其他投資保障規範 47 第四項 國家合理管制權限 49 第二節 公共議題管制措施與投資保障 51 第一項 地主國之管制措施與徵收認定 51 第二項 單一效果理論與比例原則 54 第三項 投資人之合理期待與法律穩定性 56 第四項 綜合討論:投資仲裁之判斷標準與發展 58 第三節 近期投資仲裁案例 59 第一項TECMED v. Mexico 60 第二項LG&E v. Argentina 61 第三項Methanex v United States 62 第四項Philip Morris v.Uruguay 63 第五項 投資仲裁之啟示 64 第四章 澳洲TPPA之投資法律分析 66 第一節 香港-澳洲之投資協定 66 第一項 徵收補償之規範與解釋 66 第二項 投資保障之標準 67 第二節 是否構成間接徵收 67 第一項 限制商標之使用 68 第二項 PM整體事業之影響 70 第三節 是否違反公平公正待遇原則 71 第一款 不歧視性 72 第二款 透明性與正當法律程序 73 第三款 恣意、專斷與不合理性 76 第四款 一致性與合理期待 81 第四節 合理管制措施 83 第一項 其他原則之適用 84 第二項 地主國之管制權限 84 第三項 FCTC、WHO、法庭之友 86 第五節 本文見解 88 第一項 投資仲裁對國家菸品態度與判斷 88 第二項 商標作為投資之解釋與保障 89 第三項 FCTC在國際爭端之調和作用 91 第五章 建議與結論 93 第一節 國際菸盒管制趨勢與ISDS之規範發展 93 第一項 菸盒管制對投資保障規範之影響 93 第二項 國際對ISDS之洽簽與規範模式 96 第二節 從菸品管制談我國洽簽BIT之建議 100 第三節 結論 103 參考文獻 106

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    條約
    亞東關係協會與財團法人交流協會有關投資自由化、促進與保護協議
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    菸害防制法
    《行政程序法》
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    Marlles, Justin R., Public Purpose, Private Loses: Regulatory Expropriation and Environmental Regulation in International Investment Law, 16 J. TRANSNAT'L L. & POL'Y 275 (2006).
    Marley, Julianne J., The Environmental Endangerment Finding in International Investment Disputes, 46 N.Y.U.J .INT'L L. & POL. 1003 (2013).
    Moloo, Rahim & Jacinto, Justin M., Environmental and Health Regulation: Assessing Liabilities Under Investment Treaties, 29 BERKELEY J. INT’L L. 1 (2011).
    Newcombe, Andrew, The Boundaries of Regulatory Expropriation in International, 20:1 ICSID REV.1 (2005).
    Puig, Sergio, The Merging of International Trade and Investment Law, 33 BERKELEY J. INT’L L.1 (2015).
    Puig, Sergio, Tobacco Litigation in International Courts, 57 HARV. INT’L L.J. 383 (2016)
    Puig, Sergio, A Breakthrough with the TPP: The Tobacco Carve out, YALE J. HEALTH POL'Y L. & ETHICS (2016).
    Pechey, Rachel et al., The Impact of the Plain Packaging on Somking in Adults and Children, 13 BMC PUB. HEALTH 18(2013).
    Radi, Yannick, Realizing Human Rights in Investment Treaty Arbitration: A Perspective from within the International Investment Law Toolbox, 37 N.C.J. INT'L L. & COM. REG. 1107 (2011).
    Ritwik, Ankita, Tobacco Packaging Aritration and the State ability to Legislation, 54 Harv. Int’l L.J.523 (2013).
    Simmons, Beth, Bargaing over BITs:The Regime for Protection and Promotion of the International Investment, 66 WORLD POL. 12, (2014).
    Thrasher, James et al., Estimating the Impact of Pictorial Health Warnings and “Plain” Cigarette Packaging: Evidence fromExperimental Auctions Among Adult Smokers in the United States, 102 HEALTH POL’Y 41 (2011).
    Vandevelde, Kenneth J., A brief history of international investment agreements, 12 U.C. DAVIS JOURNAL OF INT’L L. & POL157 (2005).
    Vandevelde, Kenneth J., A Unified Theory of Fair and Equitable Treatment, 43 N. Y. U. J. INT;L L.& POL. 43 (2010).
    Voon, Tania & Mitchell, Andrew, Time to quit? Assessing International Investment Claims against Plain Tobacco Packaging in Australia, 14.3 JOURNAL OF INTERNATIONAL ECONOMIC LAW 515 (2011).
    Voon, Tiana & Mitchell, Andrew D., Philip Morris vs. Tobacco Control: Two Wins for Public Health but Uncertainty Remains, 182 COLUMBIA FDI PERSPECTIVES (2016), available at https://papers.ssrn.com/sol3/papers.cfm?abstract_id=2847902 (last visited: Jun. 9, 2017)
    Vadi, Valentina, Beyond Known Worlds: Climate Change Governance by Abitratial Tribunals?, 48 VAND. J. TRANSNAT’L L.1285 (2015).
    Vadi, Valentina S., Global Health Governance at a Crossroads: Trademark Protection v. Tobacco Control in International Investment Law, 48 STAN. J. INT'L L. 93 (2012).
    Wagner, J. Martin, International Investment, Expropriation and Environmental Protection, 29 GOLDEN GATE UL REV. 465 (1999).
    Wagner, Markus, Regulatory Space in International Trade Law and International Investment Law 36 U. PA. J. INT'L L. 1 (2014).
    Waibel, Michael, Opening Pandora's Box: Sovereign Bonds in International Arbitration, 101 AM. J. INT’L L. 711 (2007).
    Cases
    Azurix Corp. v. The Argentine Republic, ICSID Case No. ARB/01/12, Award, (Jul. 14, 2006)
    Philip Morris Asia Limited v. The Commonwealth of Australia, UNCITRAL, PCA Case No. 2012-12, Notice of Claim (Jun. 22, 2011).
    Philip Morris Asia Limited v. The Commonwealth of Australia, UNCITRAL, PCA Case No. 2012-12, Notice of Arbitration (Nov. 21, 2011).
    Philip Morris Asia Limited v. The Commonwealth of Australia, UNCITRAL, PCA Case No. 2012-12, Australia's Response to the Notice of Arbitration (Dec. 21, 2011).
    Philip Morris Asia Limited v. The Commonwealth of Australia, UNCITRAL, PCA Case No. 2012-12, Award on Jurisdiction and Admissibility (Dec. 17, 2015).
    Philip Morris Brands Sàrl, Philip Morris Products S.A. and Abal Hermanos S.A. v. Oriental Republic of Uruguay, ICSID Case No. ARB/10/7, Award (Jul. 8, 2016).
    Feldman v. United Mexican States, ICSID Case No. ARB(AF)/99/1,Award (Dec.16, 2002).
    Grand River Enterprises Six Nations, Ltd. v. United States of America, UNCITRAL, Final Award (Jan. 12, 2011).
    Sempra v. Argentine Republic, ICSID Case No. ARB/02/16, Award (Sep.28, 2007).
    Tecmed v. United Mexican States, ICSID Case No ARB(AF)/00/2, Award (May 29, 2003).
    LG&E. v. Argentine Republic, ICSID Case No. ARB/02/1, Decision on Liability (Oct.3, 2006).
    Metalclad Corp. v. United Mexican States, ICSID Case No. ARB(AF)/ 97/1, Award, (Aug. 30, 2000).
    Methanex Corporation v. United States of America, UNCITRAL, Final Award of the Tribunal on Jurisdiction and Merits (Aug 3, 2005).
    Pope & Talbot Inc. v. The Government of Canada, NAFTA Tribunal, Interim Award (Jun. 26, 2000). [hereinafter Pope & Talbot v. Canada]
    S.D. Myers, Inc. v. Government of Canada, UNCITRAL, Final Award (Dec. 30, 2002).
    Continental Casualty Company v. The Argentine Republic, ICSID Case No. ARB/03/9, Award (Sept. 5, 2008).
    Frontier Petroleum Services Ltd. v. The Czech Republic, Final Award (Nov. 12, 2010).
    Electrabel S.A. v. Republic of Hungary, ICSID Case No. ARB/07/19, Decision on Jurisdiction, Applicable Law and Liability (Nov. 30, 2012).
    Saluka Investments B.V. v. The Czech Republic, UNCITRAL, Partial Award (Mar. 17, 2006).
    El Paso Energ International company v. The Argentina Republic, ICSID Case No.ARB/03/15, Award, (Oct. 31, 2011).
    Wena Hotels Ltd. v. Arab Republic of Egypt, ICSID Case No. ARB/98/4, Award (Dec. 8, 2000).
    Australia — Certain Measures Concerning Trademarks and Other Plain Packaging Requirements Applicable to Tobacco Products and Packaging, WTO Doc. WT/DS434, WT/DS435, WT/DS441, WT/DS458, WT/DS467
    Treaties/Norms
    Agreement between the Government of Hong Kong the Government of Australia and for the Promotion and Protection of Investments, Hong Kong-Australia, September 15,1993,1748 U.N.T.S. 385.
    Agreement Between the United States of America and the Socialist Republic of Vietnam on Trade Relations, U.S.- Viet., July 13, 2000.
    Agreement on Trade-Related Aspects of Intellectual Property Rights, April 15, 1994, Marrakesh Agreement Establishing the World Trade Organization, Annex 1C, 1869 U.N.T.S. 299,33 I.L.M.1197 (1994).
    Energy Charter Treaty,Dember 17,1994,2080 U.N.T.S. 95.
    General Agreement on Tarriffs and Trade 1994, April 15, 1994, Marrakesh Agreement Establishing the World Trade Organization, annex 1A, The legal Texts: The Results of the Uruguay Round of Multilateral Trade Negotiation 17 (1999), 1867 U.N.T.S. 187,33 I.L.M. 1153 (1994).
    Guildelines for Implementation of Article 5.3 of the WHO Framework Convention on Tobacco Control, FCTC/COP3(7) (February 12, 2009).
    Guildelines for Implementation of Article 11 of the WHO Framework Convention on Tobacco Control, FCTC/COP3(10) (February 12, 2009).
    Guildelines for Implementation of Article 12 of the WHO Framework Convention on Tobacco Control, FCTC/COP4(7) (December 6,2010).
    Guildelines for Implementation of Article 13 of the WHO Framework Convention on Tobacco Control, FCTC/COP3(12) (February 16,2009).
    Guildelines for Implementation of Article 14 of the WHO Framework Convention on Tobacco Control, FCTC/COP4(8) (December 6, 2010).
    Convention on the Settlement of Investment Disputes between States and Nationals of Other States, Mar. 18,1965, 575 U.N.T.S. 159.
    North American Free Trade Agreement, United States-Canadas-Mexico,December 17, 1992,32 I.L.M.289 (1993).
    Partial guildelines for Implementation of Articles 9 and 10 of the WHO Framework Convention on Tobacco Control, FCTC/COP4(10) (November 12, 2012).
    U.S.-Australia Free Trade Agreement, United State-Australia,May 18, 2004, 43 I.L.M. 1248.
    Vienna Covention of Law of Treaty, May 23,1969, 1155 U.N.T.S.331.
    WHO Fremework Convention on Tobacco Control, May 21, 2003, 2003 U.N.T.S. 2302.
    International Documents
    Punta del Este Declaration on the Implementation of the WHO Framework Convention on Tobacco Control, Fourth session, Punta del Este, Uraguay, FCTC/COP/4/DIV/6 (December 6, 2010).
    WHO Framework Convention on Tobacco Control, Revised Chairperson’s Text on a Protocol on Illicit Trade in Tobacco Products, and General Debate, FCTC/COP/INB-IT/3?INF.DOC./6 (May 18, 2009).
    World Trade Organization, Ministerial Declaration of 14 November, 2001, WT/MIN(01)/DEC/1, 41 I.L.M. 746 (2002).
    Statutes
    AUTRALIA CONSTITUTION.
    Tobacco Plain Packaging Act 2011(Cth) (Australia).
    Trade Marks Amendment (Tobacco Plain Packaging) Bill 2011 (Australia).
    Internet Sources
    Australian Government, Department of Health, http://www.health.gov.au/
    Australian Government, Department of Foreign Affairs and Trade, http://dfat.gov.au/pages/default.aspx
    Australian Government, Attorney-General’s Department, https://www.ag.gov.au/Pages/default.aspx
    HIGH COURT OF AUSTRALIA, http://www.hcourt.gov.au/
    International Investment Agreements Navigator, UNCTAD, http://investmentpolicyhub.unctad.org/IIA
    McCabe Centre for Law and Cancer, The Award on the merits in Phillip Morris v Uruguay: implications for WHO FCTC implementation, availabla at http://www.mccabecentre.org/downloads/Knowledge_Hub/McCabe_Centre_paper_on_Uruguay_award.pdf (2016)
    Tania Voon & Andrew D. Mitchell, Philip Morris vs. tobacco control: two wins for
    public health, but uncertainty remains (Columbia FDI Perspectives No. 182,
    2016), available at https://papers.ssrn.com/sol3/papers.cfm?abstract_id=2847902 (last visited Jul. 5, 2017).
    Tobacco Labelling Resource Center, available at http://www.tobaccolabels.ca/

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