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題名:投資條約仲裁下的規範衝突與正當性危機—以公平與公正待遇為中心
作者:王自雄
作者(外文):Wang, Tzu-Hsiung
校院名稱:東吳大學
系所名稱:法律學系
指導教授:鄧衍森
學位類別:博士
出版日期:2013
主題關鍵詞:國際人權法國際投資法投資條約仲裁規範衝突正當性危機公平與公正待遇比較公法international human rights lawinternational investment lawinvestment treaty arbitrationconflict of normslegitimacy crisisfair and equitable treatmentcomparative public law
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近年來,人權與投資間的規範衝突在投資條約仲裁中浮現,其蓋因地主國的管制措施被外國投資人認為違反國際投資法下的待遇標準,同時地主國則在仲裁中主張系爭措施是為了履行國際人權法下的保護義務所致。這個情況並被全球公民社會視為一種正當性危機:仲裁庭左右了主權國家經民主程序所制訂與實施的人權立法與措施的命運,甚至讓地主國必須以鉅額的賠償作為保障人權的代價。
仲裁庭由於欠缺課責性而被抨擊為是「沒有臉的官僚」,復加以投資條約仲裁欠缺諸如上訴機制等制度管道來宣洩這股社會訴求與力量,規範衝突與正當性危機遂纏繞糾結成一組難解的雙螺旋。針對這組雙螺旋,本文以國際法的當代典範為方法論的基礎,主張對既有規範——國際投資法中的公平與公正待遇——進行一種以雙向互動為目的的重構,俾使投資保護與人權保障得並行不悖。
在架構上,第二章以國際法的典範轉移與當代典範的內涵來確立方法論,並以全球行政法作為反例以強調依附典範的必要性。以第二章所確立的方法論為基礎,第三章指出人權與投資間的規範衝突在當代國際法的典範下何以無法被確定地加以解決,其亦因此取決於投資仲裁庭的司法決策態度。但第四章以實踐歸納證明,不論是投資仲裁庭所採取的司法最小主義,或撤銷裁定與先例等制度條件,人權保障這種非投資條約義務在投資條約仲裁下都不可能優先於投資條約義務而被適用。
因此,地主國若是基於規範上的確信而實施人權保護措施,而不是將人權當成違反投資待遇標準後飾詞諉過的擋箭牌,基於國際人權法下最大實現原則的要求,即應於承擔投資相關義務後將公平與公正待遇作為履行人權義務的先決條件與相關措施的合理性依據。更進一步,以公平與公正待遇的規範內容為基礎,以合乎國際法典範的比較公法為方法,本文嘗試將公平與公正待遇重構為一組以法治原則為核心的公法原則。由此,原本單向的、權利本位制度設計下的規範衝突解決,方能成為雙向的互動及參與,並在地主國與投資人間形成一個合理的義務結構。本文在第五章與第六章處理這些問題,第七章則是結論。
In recent years, one of the most prominent and urgent problems in investment treaty arbitration is how the different branches and norms of international law interact, especially between human rights and foreign investment protection. What is contested, and the so-called “legitimacy crisis” and democratic deficit, is how much confidence and reliance should be placed on these arbitrators, officials and entities, particularly when exercising international public authority. Many human rights advocates, environmentalists, and anti-globalization activists decry the “faceless bureaucrats” at the investment tribunals, whom they see as undermining host states’ sovereignty, democracy, and regulatory autonomy to protect their citizens’ human rights.
Unfortunately, this opposition of economic and noneconomic values suggests that conflict of norms represents a zero-sum game between human rights and investment protection. This oversimplifies the choices presented by any host state’s decision permitted under international law. It erroneously suggests that we must sacrifice one set of goals entirely to the other because the two sets are fundamentally incompatible. I maintain that we might find ways to reconceptualize and develop investment treatment standards that allow us to have some of each.
Furthermore, those who claim or characterize human rights issues in investment arbitrations as some kind of conflict of norms are embarking upon their works in the belief that by proceeding at first case by case they would gradually gain an insight which would enable them to develop general standards of judicial decision-making. In practice, this hope has been almost completely disappointed; this is notably so in the arbitration awards in which human rights obligations were invoked by the Argentine Republic to justify the violations of investment treatment standards. The reason for this failure lies in the nature of the tasks assigned to these tribunals; they are trying to do through adjudicative forms something that does not lend itself to accomplishment through those forms.
In contrast to grand theories such as Global Constitutionalism or Global Administrative Law which may in many respects be not compatible with the paradigm of international law, I set out my argument more modestly that, while investment tribunals take a stand on judicial minimalism and the decision-making role assigned to them is narrow, host states must reconceptualize the fair and equitable treatment as a set of general principles of public law. This argument gets its bases both from the empirical, drawn from a close review of the arbitration awards and other international/domestic judicial practices, and a normative logic, derived from “the maximum realization principle” inherent in international human rights law. As to the normative one, human rights are to be a verb: it’s not what host states could choose to claim in investment arbitrations, but what host states must to do before investment disputes arise. As a result, a one-way street to the protection of investment could be broadened out into a two-way thoroughfare connecting human rights to the protection of foreign investment.
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