臺灣博碩士論文加值系統

本文首先介紹《能源憲章條約》之發展和重要規範，並詳述其爭端解決機
制，同時檢視國際投資法領域中有關徵收議題之研究，輔以《能源憲章條約》
下相關徵收案例分析，以完整呈現《能源憲章條約》投資爭端解決機制之重要
性和獨特性。

《能源憲章條約》是第一個特別針對能源合作的全面性多邊條約，涵蓋能
源探勘至能源最終用途的全數產業，規範所有能源範疇之相關議題，以貿易、
投資保護、過境運輸、能源效率和為其四大支柱 。《能源憲章條約》的爭端解
決程序規範縝密，其處理的爭端主要可分為兩種類型:締約國間涉及條約解釋或
適用的爭端、和投資人與締約國間之投資爭端。此外，條約下的貿易爭端則是
參照世界貿易組織下的爭端解決程序處理之。

《能源憲章條約》重視保護和促進投資，外國投資人得以對抗地主國的若
干政治風險，徵收更是國家影響私人財產權的重要手段之一。條約規定在特定
情形下，地主國有權取得外國人財產以供公共目的之用途，徵收應以不歧視原
則為基礎，且執行方式必頇符合正當法律程序，更應有立即、適當且有效的賠
償。徵收是投資爭議中的焦點，本文臚列《能源憲章條約》中若干徵收案伔，
衡量在《能源憲章條約》下的判斷標準與國際投資法之異同。

《能源憲章條約》與能源部門的經濟活動息息相關，確保能源安全，積極
創造自由且穩定的能源市場，所有的能源市場參與者都得自其中獲利。臺灣縱
非《能源憲章條約》之締約國或觀察員，但在面對徵收議題及處理兩岸間投資
爭端方面，亦得借鑒。

This article explores the development and regulations of the Energy Charter Treaty.
Furthermore, this article elaborates on its Dispute settlement mechanisms and reviews
the related research regarding expropriation issues in the field of international
investment law. After that, this article analyzes the expropriation case law under the
Energy Charter Treaty, in order to explicate the significance and uniqueness of the
Treaty mechanisms.

The Energy Charter Treaty is the first comprehensive multilateral treaty which
specifically covers all aspects of energy collaboration, including the entire industries
from energy exploration to energy end use. The Treaty stipulates all issues in the
energy field, and stands on four pillars: trade, investment, transit, and energy
efficiency. The Energy Charter Treaty contains an extensive system for settling
disputes on matters covered by the Treaty. It deals with two kinds of disputes, which
are state-to-state disputes concerning the interpretation or application of the Treaty
between Contracting States, and investment disputes between investors and a
Contracting State(s). In addition, trade-related disputes under the Treaty are settled by
special provisions envisaging the World Trade Organization Dispute Settlement
Understanding procedures.

The Energy Charter Treaty emphasizes both investment protection and promotion,
and the foreign investors can use it to hedge against certain political risks in host
states. Among them, expropriation is one of the critical methods which states can
exercise to interfere with private property rights. The Treaty provides that under
specific situations, host states could expropriate foreign property for public interest.
The expropriation needs to be non-discriminatory, carried out under due process of
law and accompanied by payment of prompt, adequate and effective compensation.
Since expropriation lies at the core of many dispute settlements, this article lists
several expropriation cases under the Energy Charter Treaty, and determines the
standards between Treaty arbitrations and international investment law.

The Energy Charter Treaty is closely linked with a broad range of economic
activities relating to energy. It ascertains the security of energy, and actively creates a
free and stable energy market, from which all the participants can benefit. While
Taiwan is neither a Contracting States nor Observer under the Energy Charter Treaty,
it is worthwhile to study the Treaty experiences while facing expropriation risk issues
and to inform settling of Cross-Strait investment disputes affecting China and Taiwan.

第一章 緒論 ............................................................................................ 1
第一節 研究動機和研究目的 ................................................................................. 1
第二節 文獻探討 ......................................................................................... 3
第三節 研究方法 ......................................................................................... 3
第四節 預期結果 ......................................................................................... 3
第二章 能源憲章條約之發展及組織架構.......................................................................... 6
第一節 能源憲章條約之發展歷史 .............................................................................. 6
第二節 能源憲章條約之角色 ................................................................................. 8
第三節 能源憲章條約之參與形式和與非締約國之合作 ............................................................... 9
第一項 能源憲章條約之成員 ................................................................................. 9
第二項 能源憲章條約之觀察員 .............................................................................. 10
第三項 聯合協定(Association Agreement) ................................................................. 12
第四項 能源憲章條約與非會員國之關係 ........................................................................ 13
第四節 能源憲章條約之組織架構 ............................................................................. 14
第一項 能源憲章會議 ..................................................................................... 14
第二項 能源憲章秘書處 ................................................................................... 15
第三項 能源憲章之戰略小組和投資小組 ........................................................................ 17
第四項 能源憲章之貿易和過境運輸小組 ........................................................................ 18
第五項 能源效率和相關環境問題工作小組 ...................................................................... 18
第六項 產業諮詢小組和法律諮詢專案小組 ...................................................................... 19
第七項 能源憲章程序之檢討 ................................................................................ 19
第五節 小結............................................................................................ 20
第三章 能源憲章條約之主要規定 ............................................................................. 21
第一節 能源憲章條約之主要規定－貿易 ........................................................................ 21
第一項 能源憲章條約貿易規定之基本原則 ...................................................................... 22
第二項 能源憲章條約之貿易修正案 ........................................................................... 29
第三項 服務貿易......................................................................................... 30
第二節 能源憲章條約之主要規定－保護和促進投資................................................................. 31
第一項 適用範圍......................................................................................... 32
第二項 投資據點設立前之相關規範 ........................................................................... 35
第三項 投資據點設立後之相關規範 ........................................................................... 38
第四項 能源憲章條約其他投資規範 ........................................................................... 43
第三節 能源憲章條約之主要規定－過境運輸 .................................................................... 45
第一項 能源憲章條約規定 ................................................................................. 46
第二項 過境運輸議定書 ................................................................................... 49
第四節 能源憲章條約之主要規定－能源效率 .................................................................... 51
第一項 能源憲章條約之規定 ................................................................................ 51
第二項 能源效率與相關環境問題議定書 ........................................................................ 54
第三項 PEEREA 之執行 ................................................................................... 55
第五節 能源憲章條約之主要規定－其他條款 .................................................................... 57
第一項 競爭 ........................................................................................... 58
第二項 技術轉移......................................................................................... 58
第三項 資本進入......................................................................................... 58
第四項 對能源資源的主權 ................................................................................. 59第五項 透明性 .......................................................................................... 59
第六項 稅制 ........................................................................................... 60
第七項 國營企業和特許企業 ................................................................................ 60
第八項 地方權力機構的遵守 ................................................................................ 61
第九項 例外 ........................................................................................... 61
第十項 經濟整合協定 ..................................................................................... 62
第六節 小結 ........................................................................................... 62
第四章 能源憲章條約之爭端解決機制 ......................................................................... 63
第一節 國際投資伓裁之發展和能源憲章條約 .................................................................... 63
第二節 能源憲章條約下的投資爭端解決程序 .................................................................... 68
第一項 投資人和締約國間的投資爭端 ......................................................................... 69
第二項 締約國間的投資爭端 ................................................................................ 87
第三節 其他能源憲章條約之爭端解決機制 ...................................................................... 88
第一項 貿易爭端解決機制 ................................................................................. 88
第二項 過境運輸爭端解決機制 .............................................................................. 89
第三項 競爭爭端解決機制 ................................................................................. 90
第四項 環境爭端解決機制 ................................................................................. 90
第四節 能源憲章條約與其他多邊條約爭端解決機制之比較 ........................................................... 90
第一項 北美自由貿易協定 ................................................................................. 91
第二項 世界貿易組織 ..................................................................................... 95
第三項 能源憲章條約、北美自由貿易協定與世界貿易組織爭端解決程序比較 ............................................. 102
第五節 小結 .......................................................................................... 105
第五章 能源憲章條約中有關「徵收」之規定 ............................... ....................................107
第一節 「徵收」之概念 ................................................................................ ..109
第一項 合法徵收........................................................................................ 110
第二項 徵收客體........................................................................................ 118
第三項 政府執行之措施 .................................................................................. 120
第二節 「徵收」之類型 .................................................................................. 121
第一項 直接徵收........................................................................................ 122
第二項 間接徵收........................................................................................ 123
第三節 徵收賠償方式與補償金之計算 ........................................................................ 134
第四節 徵收之例外 ..................................................................................... 139
第一項 國家行為原則和主權豁免原則 ........................................................................ 139
第二項 卡爾伒理論 ..................................................................................... 141
第三項 警察權 ......................................................................................... 142
第五節 小結 .......................................................................................... 146
第六章 能源憲章條約下有關徵收之案例分析 ................................................................... 147
第一節 直接徵收－Ioannis Kardassopoulos v. Georgia .................................................... 147
第一項 案伔事實........................................................................................ 147
第二項 與徵收相關之實體法爭議 ............................................................................ 152
第三項 爭端雙方針對徵收之主張 ............................................................................ 153
第四項 伓裁庭裁決 ..................................................................................... 158
第二節 間接徵收－Nykomb Synergetics Technology Holding v. Latvia ...................................... 164
第一項 案伔事實........................................................................................ 164
第二項 實體法爭議 ..................................................................................... 166
第三項 伓裁庭裁決 ..................................................................................... 167
第三節 間接徵收－Petrobart Limited v. Kyrgyzstan ...................................................... 168
第一項 案伔事實........................................................................................ 168
第二項 實體法爭議 ..................................................................................... 169
第三項 伓裁庭裁決 ..................................................................................... 170
第四節 其他相關案例.................................................................................... 171
第一項 Plama Consortium Limited v. Bulgaria ......................................................... 171
第二項 AES Summit Generation Limited and AES-Tisza Erőmű Kft v. Republic of Hungary.................. 172
第三項 Mohammad Ammar Al-Bahloul v. Republic of Tajikistan .......................................... 174
第四項 Yukos Universal Limited v. Russian Federation ................................................ 176
第五節 小結 .......................................................................................... 177
第七章 結論與建議...................................................................................... 181
第一節 結論 .......................................................................................... 181
第二節 建議 .......................................................................................... 183
中文參考資料 ......................................................................................... 186
References ......................................................................................... 189

中文參考資料

書籍(按作者姓氏筆劃順序排列)
丘宏達，「現代國際法」，三民書局，二版，2006年。
邱政宗，「現代國際貿易法(下)」，永然文化， 1994年。
李貴英，「國際投資法專論－國際投資爭端之解決」，作著自版， 2004年。
林彩瑜，「WTO貿易救濟與爭端解決之法律問題 世界貿易組織法律研究(一)」，元照， 2006年。
吳嘉生，國際經濟法析論，文笙書局， 2008年。
周忠海等人合著，范建得、林宜男、彭心儀編校，「國際經濟法」，神州，2002年。
洪德欽，「WTO法律與政策專題研究」，學林出版，2002年。
姜勵男，「國際投資法概要」，五南， 1994年
姜勵男，「國際投資法概要」，五南，1994年。
易建明，國際投資法，翰蘆圖書，2002年。
陳春山，「國際經濟法－台灣與世貿組織」，五南，1995年。
陳麗娟，「國際貿易法精義」，新學林，2006年。
黃立、李貴英、 林彩瑜，「WTO國際貿易法論」，元照，2004年。
張錦源，國際貿易法，三民書局，1996年。
劉鶴田，國際貿易法原理，三民書局，四版，1995年。
櫻井雅夫著，陳虹譯，「國際經濟法」，五南，1999年。
羅昌發，「國際貿易法:世界貿易組織下之法律新秩序」，元照，2004年。
羅昌發，「GATT與永續發展－我國的因應，貿易關係之法律問題－國際經貿
法研究(二)」，月旦，1994年。

期刊
李貴英，「從契約義務到條約義務-論Salini Costruttori S.p.A. and Italstrade S.p.A. v. the Hashemite Kingdom of Jordan 一案管轄權裁定」，台灣國際法季刊，第2卷第2 期，2005 年，頁115-159。
李貴英，「論國際投資促進與保護條約下之國家責伕」，法學叢刊，第210 期，2008 年，頁1-30。
李孟玢，「外國人私有財產之公用徵收」，台灣國際法季刊，第1 卷第3 期，2004 年，頁161-220。
何明瑜，「徵用外人投資財產之研究-以國際法為中心兼論我國相關之規範」，輔仁法學，第21 期，2001 年，頁339-372。。
林俊宏，「NAFTA架構下『美國對自加拿大進口鎂反傾銷及帄衡措施落日檢討案』之評析」，貿易政策論叢，第13 期，2010 年，頁155-207。
張心悌，「WTO 爭端解決程序之法律經濟分析」，中正法學集刊，第15 期，2004 年，頁181-230。
裘兆琳，「柯林頓總統爭取國會批准『北美自由貿易協議』之策略分析」，歐美研究，第24 卷第3 期，1994 年，頁27-78。
藍瀛芳，「瑞典的伓裁制度（下）」，伓裁報季刊，第7 期，2008 年，頁4。

研討會論文
何明瑜，「論國際投資之徵用與財產人權」，國際投資法學術研討會論文集，2005 年，頁205-224。
易建明，「『投資人與國家爭端解決』伓裁規範之比較研究」，第十屆國際經貿法學發展學術研討會論文集，2011 年，頁349-485。
易建明，「論大陸對台商直接投資之徵收等法律保護問題」，第三屆國際經貿法學發展學術研討會論文集-WTO 新議題與新挑戰，2003 年， 頁275-358。
楊培侃，「論WTO 可控訴補貼報復措施程度之相稱性標準」，第十一屆國際經貿法學發展學術研討會論文集，2011 年，頁145-206。

網站資料
中華民國經濟部國際貿易局
http://cweb.trade.gov.tw/ 168
中華民國經濟部能源局
http://web3.moeaboe.gov.tw/ECW/populace/home/Home.aspx?menu_id=798
中華民國外交部
http://www.mofa.gov.tw/
中華經濟研究院
http://taiwan.wtocenter.org.tw/
ECFA兩岸經濟合作架構協議
http://www.ecfa.org.tw/
國家政策研究基金會
http://www.npf.org.tw/

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Henrik Horn, Petros C. Mavroidis and Håkan Nordström, ―Is the Use of the WTO Dispute Settlement System Biased?‖, The Law and Economics of the WTO Dispute Settlement System, Petros C. Mavroidis and Alan O. Sykes, ed., Edward Elgar Publishing, 2005.
I. Marboe, ―Compensation and Damages in International Law- The Limits of ‗Fair Market value‘‖, Journal of World Investment and Trade, Vol. 7, 2006, pp. 723-759.
Ingrid Frasl, ―The Trade Rules of Gatt and Related Instruments and the Energy Charter Treaty‖, The Energy Charter Treaty: An East-West Gateway for Investment and Trade, Thomas W. Wälde, ed., Kluwer Law International, 1996, pp. 459-496.
James Chalker, ―Making the Energy Charter Treaty Too Investor Friendly: Plama Consortium Limited v. the Republic of Bulgaria‖, Transnational Dispute Management, Vol.3, No. 5, 2006.
Jeswald W. Salacuse, ―The Energy Charter Treaty and Bilateral Investment Treaty Regimes‖, The Energy Charter Treaty: An East-West Gateway for Investment and Trade, Thomas W. Wälde, ed., Kluwer Law International, 1996, pp. 321-348.
Jeswald W. Salacuse, ―Towards a Global Treaty of Foreign Investment: The Search for a Grand Bargain‖, Arbitrating Foreign Investment Disputes, Norbert Horn and Stefan M. Kröll, ed., Kluwer Law International, 2004, pp. 51-85.
Justin R. Marlles, ―Public Purpose, Private Losses: Regulatory Expropriation and Environmental Regulation in International Investment Law‖, Journal of transnational Law and Policy, Vol. 16, No.2, 2007, pp. 275-336.
Kaj Hobér, ―Investment Arbitration and the Energy Charter Treaty‖, Journal of International Dispute Settlement, Vol. 1, No. 1, 2010, pp. 153-190.
Kenneth J. Vandevelde, ―Arbitration Provisions in the BITs and the Energy Charter Treaty‖, The Energy Charter Treaty: An East-West Gateway for Investment and Trade, Thomas W. Wälde, ed., Kluwer Law International, 1996, pp. 409-442.
Kenneth J. Vandevelde, ―The Political Economy of a Bilateral Investment Treaty‖, American Journal of International Law, Vol. 92, 1998, pp. 621-641.
Laurent Gouiffès, ―The Dispute Settlement Mechanisms of the Energy Charter Treaty‖, Investment Arbitration and The Energy Charter Treaty, Clarisse Ribeiro ed., JurisNet, 2006, pp. 22-47.
Lucy Reed and Lucy Martinez, ―The Energy Charter Treaty: An Overview‖, ILSA Journal of International & Comparative Law, Vol. 14, 2008, pp. 405-439.
Manuel R. Garcia-Mora, ―The Calvo Clause in Latin American Constitutions and International Law‖, Marquette Law Review, Vol. 33, No. 4, 1950, pp. 205-219.
Martha M. Roggenkamp, ―Transit of Network-bound Energy: the European Experience‖, The Energy Charter Treaty: An East-West Gateway for Investment and Trade, Thomas W. Wälde, ed., Kluwer Law International, 1996, pp. 499-519.
Mary E. Footer, ―Trade and Investment Measures in the Energy Charter Treaty‖, the Energy Charter Treaty: An East-West Gateway for Investment and Trade, Thomas W. Wälde, ed., Kluwer Law International, 1996, pp. 445- 458.
Matthew T. Parish and Charles B. Rosenberg, ―An Introduction to the Energy Charter Treaty‖, The American Review of International Arbitration, Vol. 2, No. 2, 2009, pp. 191-208.
Max Gutbrod, Steffen Hindelang and Yun-I Kim, ―Protection against Indirect Expropriation under National and International Legal Systems‖, Göttingen Journal of International Law, Vol. 1, 2009, pp. 291-327.
Meg Kinnear, ―Damages in Investment Treaty Arbitration‖, Arbitration Under International Investment Agreements: A Guide to the Key Issues, Catherine Yannacasmall, ed., Oxford University Press, 2010, pp. 551-572.
Peter Leon, ―Creeping Expropriation of Mining Investments: an African Perspective‖, Journal of Energy & Natural Resources Law, Vol. 27, No. 4, 2009, pp. 597-644.
Richard Happ, ―Dispute Settlement under the Energy Charter Treaty‖, Transnational Dispute Management, Vol. 2, No. 1, 2005.
Ronald Mok, ―Expropriation Claims in United States Courts: The Act of State Doctrine, the Sovereign Immunity Doctrine, and the Foreign Sovereign Immunities Act - A Road Map for the Expropriated Victim‖, Pace International Law Review, Vol.8, No. 1, 1996, pp. 199-236.
Stephan Schill, ―Private Enforcement of International Investment Law: Why We Need Investor Standing in BIT Dispute Settlement‖, The Backlash Against Investment Arbitration: Perceptions and Reality, Michael Waibel, Asha Kaushal, Kyo-Hwa Chung, and Claire Balchin, ed., Kluwer Law International, 2010, pp. 29-50.
Thomas W. Wälde, ―Arbitration in the Oil, Gas and Energy Field: Emerging Energy Charter Treaty Practice‖, Transnational Dispute Management, Vol.1, No. 2, 2004.
Thomas W. Wälde, "International Investment under the 1994 Energy Charter Treaty", the Energy Charter Treaty: An East-West Gateway for Investment and Trade, Thomas W. Wälde, ed., Kluwer Law International, 1996, pp. 251- 320.
Thomas W. Wälde, ―Investment Arbitration Under the Energy Charter Treaty- From Dispute Settlement to Treaty Implementation‖, Arbitration International, Vol.12, No. 4, 1996, pp. 429-466.
Thomas W. Wälde and Borzu Sabihi, ―Compensation, Damages and Valuation in International Investment Law‖, Transnational Dispute Management, Vol. 4, 2007.
Tina Hunter, ―The Energy Charter Treaty as a Means of Developing National Industry and Commerce in the Exploitation of Petroleum Resources: An Analysis of the Application of Articles 5, 10, and 22 of the Energy Charter Treaty‖, OGEL (Oil Gas and Energy Law) journal, Vol. 5, 2011.
Todd Weiler, ―NAFTA Investment Arbitration and the Growth of International Economic Law‖, Canadian Business Law International, 2002, pp. 158-189.

Conference Papers
Nils Eliasson, ―10 Years of Energy Charter Treaty Arbitration‖, in ECT Conference, 9-10 June, Stockholm.

Websites
The Arbitration Institute of the Stockholm Chamber of Commerce
http://www.sccinstitute.com/hem-3.aspx
Energy charter Treaty
http://www.encharter.org/
Guidelines for Energy Conservation in Europe
http://www.unece.org/fileadmin/DAM/env/documents/2000/cep/cep.47.add.1.e.pdf
United Nations
http://www.un.org/
United Nations Conference on Trade and Development
http://unctad.org/en/Pages/Home.aspx
International Centre for Settlement of Investment Disputes
https://icsid.worldbank.org/ICSID/Index.jsp