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研究生:趙思博
論文名稱:論WTO會員國於TBT協定中「國民待遇原則」下之政策空間
指導教授:施文真施文真引用關係
學位類別:碩士
校院名稱:國立政治大學
系所名稱:國際經營與貿易研究所
學門:商業及管理學門
學類:貿易學類
論文種類:學術論文
畢業學年度:102
語文別:中文
論文頁數:82
中文關鍵詞:GATTTBT協定國民待遇原則正當管制區分政策空間
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由於TBT協定第2.1條與GATT第3.4條同為規範「國民待遇原則」,TBT協定卻缺乏如同GATT第20條一般例外之規定,致使TBT協定之規範似乎較諸GATT嚴格,而造成與TBT協定序言所肯認WTO會員國在在不構成恣意或無理歧視之手段,或成為國際貿易之隱藏性限制的情況下,擁有實行政策空間權力之宣言不符。

學者提出有三種解決方式:第一種為透過允許援引GATT第20條之一般例外以正當化TBT協定之違反;第二種為透過解釋之方式,將「同類產品」此一要件納入一般例外之彈性;第三種同樣主張以解釋之方式,惟係欲透過對「較低待遇」之解釋以達成彈性。現行實務係採第三種解釋方式,惟本文認為現行實務所新創之「正當管制區分」,其內涵涉及的是「可比性」,不應置於「較低待遇」中討論,因為此可能使得「同類產品」之認定變得較無意義。另一方面,「較低待遇」之通常意義無法容納上訴機構現在所為之「正當管制區分」之分析,而有司法造法之疑慮。因此,現行實務於理論之形塑似有不妥。

據此,本文認為透過對「同類產品」之解釋,將WTO會員國之政策空間納入,可能為一較合適之選擇。而此選擇可以有二種方法:第一、以「管制目的」而不以「市場競爭關係」為詮釋BTA方法中四項「指標」之核心概念。第二、以「管制目的」作為認定系爭產品是否為同類之「指標」。而由於前者有受限於BTA四項「市場經濟面向」指標,可能將使政府因非經濟因素之政策考量所採行之技術性法規,仍舊受到限制,故本文認為以「管制目的」作為認定「同類產品」之額外指標,為較妥適之方法。

第一章 緒論.................................................1
第一節 研究動機及目的.........................................1
第二節 研究方法與範圍.........................................4
第三節 研究架構..............................................4
第二章 GATT下「國民待遇原則」對「政策空間」之影響.................7
第一節 GATT第3.4條下之「國民待遇原則」..........................7
第一項 影響其內地銷售、兜售、購買、運輸、分配、使用之「政府規範」.....8
第二項 同類產品..............................................9
第一款 範圍.................................................9
第二款 認定標準.............................................10
第一目 BTA方法.............................................11
第二目 目的效果方法.........................................16
第三項 較低待遇.............................................18
第二節 GATT第20條之「一般例外」..............................21
第三節 小結................................................24
第三章 「國民待遇原則」於TBT協定之適用.........................26
第一節 TBT協定第2.1條之要件 ..................................26
第一項 技術性法規...........................................27
第一款 可資辨識之產品或產品類別................................27
第二款 一項或數項產品特性....................................28
第三款 強制性..............................................29
第二項 同類產品.............................................29
第三項 較低待遇.............................................32
第二節 實務上對TBT協定第2.1條「較低待遇」要件之操作..............35
第一項 美國-丁香菸案........................................35
第一款 系爭措施.............................................35
第二款 TBT協定第2.1條之「較低待遇」...........................36
第一目 小組見解.............................................36
第二目 上訴機構見解.........................................37
第二項 美國-鮪魚案II.......................................39
第一款 系爭措施.............................................39
第二款 TBT協定第2.1條之「較低待遇」...........................40
第一目 小組見解.............................................40
第二目 上訴機構見解.........................................42
第三項 美國-肉品原產地標示案.................................45
第一款 系爭措施.............................................45
第二款 TBT協定第2.1條之「較低待遇」...........................46
第一目 小組見解.............................................46
第二目 上訴機構見解.........................................48
第四項 歐盟-海豹案.........................................49
第一款 系爭措施.............................................49
第二款 TBT協定第2.1條之「較低待遇」...........................50
第一目 小組見解.............................................50
第二目 上訴機構見解.........................................54
第三節 小結................................................54
第四章 TBT協定中「國民待遇原則」下之政策空間....................56
第一節 現行實務於TBT第2.1條中納入政策空間之方式.................58
第二節 現行實務於TBT第2.1條中納入政策空間方式之妥適性.............60
第三節 TBT協定第2.1條「國民待遇原則」下「政策空間」之其他可能......66
第四節 小結................................................71
第五章 結論................................................74
參考文獻...................................................77

一、中文專書
1.林彩瑜,WTO制度與實務, 2013年。
2.孟樊,論文寫作方法與格式,2009年。
3.許耀明,WTO爭端解決機制之法律解釋:多元途徑及其限制,載:第十一屆國際經貿法學發展學術研討會論文集, 2011年。
4.羅昌發,國際貿易法,2010年。

二、中文學位論文
1.張南薰,WTO協定間法律適用關係之研究,國立政治大學法律學研究所博士論文, 2008年7月。
2.莊雅涵,TBT協定第2.2條與GATT 1994第20條下「必要性」要件之分析,國立政治大學法律學研究所碩士論文, 2013年7月。

三、英文專書
1.DONALD H. REGAN, Regulatory Purpose and “Like Products” in Article III:4 of the GATT (with Additional Remarks on Article III:2), in TRADE AND HUMAN HEALTH AND SAFETY 192 (George A. Bermann &; Petros C. Mavroidis eds., 2006).
2.MITSUO MATSUSHITA , THOMAS J. SCHOENBAUM &; PETROS C. MAVROIDIS, THE WORLD TRADE ORGANIZATION: LAW, PRACTICE, AND POLICY (2d ed. 2006).
3.PETER VAN DEN BOSSCHE &; WERNER ZDOUC, THE LAW AND POLICY OF THE WORLD TRADE ORGANIZATION (3d ed. 2013).
4.WON-MOG CHOI, 'LIKE PRODUCTS' IN INTERNATIONAL TRADE LAW: TOWARDS A CONSISTENT GATT/WTO JURISPRUDENCE (1st ed. 2003).
5.WORLD TRADE ORGANIZATION, WTO ANALYTICAL INDEX-GUIDE TO WTO LAW AND PRACTICE (3d ed. 2012).

四、英文期刊論文
1.Choi Won-mog, Overcoming the "Aim and Effect" Theory: Interpretation of the "Like Product" in GATT Article III, 8 U.C. Davis J. Int'l L. &; Pol'y 107 (2002).
2.Cone III Sydney M., The Asbestos Case and Dispute Settlement in the World Trade Organization: The Uneasy Relationship Between Panels and the Appellate Body, 23 Mich. J. Int'l L. 103 (2001).
3.Gruszczynski Lukasz, The TBT Agreement and Tobacco Control Regulations, 8 Asian J. WTO &; Int'l Health L. &; Pol'y 115 (2013).
4.Howse Robert &; Levy Philip I., The TBT panels: US-Cloves, US-Tuna, US-COOL, 12(2) World T.R. 327 (2013).
5.Lin Tsai-yu, Exploring a Modest Balance for Trade in Tobacco, Anti-Tobacco Smuggling and Health Concerns in Light of the Dominican Republic-Cigarettes Case, 3 Asian J. WTO &; Int'l Health L. &; Pol'y 309 (2008).
6.Lydgate Emily Barrett, Consumer preferences and the National Treatment Principle : emerging environmental regulations prompt a new look at an old problem, 10(2) World T.R. 165 (2011).
7.Marceau Gabrielle, The New TBT Jurisprudence in US-Clove, WTO US-Tuna II, and US-COOL, 8 Asian J. WTO &; Int'l Health L. &; Pol'y 1(2013).
8.Mavroidis Petros C., Driftin’ too far from shore – Why the test for compliance with the TBT Agreement developed by the WTO Appellate Body is wrong, and what should the AB have done instead, 12(3) World T.R. 509 (2013).
9.Mavroidis Petros C. &; Saggi Kamal, What is not so cool about US COOL regulations? : a critical analysis of the Appellate Body's ruling on US-COOL, 13(2) World T.R. 299 (2014).
10.McGrady Benn, Appellate Body Report, United States--Clove Cigarettes, 3 EUR. J. RISK REG. 251 (2012).
11.Mitchell Andrew D. &; Voon Tania S., Regulating Tobacco Flavours: Implications of WTO Law, 29 B.U. Int'l L.J. 383 (2011).
12.Nielsen Laura &; Calle Maria-Alejandra, Systemic Implications of the EU - Seal Products Case, 8 Asian J. WTO &; Int'l Health L &; Pol'y 41 (2013).
13.Paltrowitz Julie H., A "Greening"of the World Trade Organization? A Case Comment on the Asbestos Report. Brooklyn Journal of International Law, 26 Brook. J. Int'l L. 1789 (2011).
14.Qin Julia Ya, Defining Nondiscrimination Under the Law of the World Trade Organization, 23 B.U. Int'l L.J. 215 (2005).
15.Schefer Krista Nadakavukaren, Dancing with the Devil: A Heretic's View of Protectionism in the WTO Legal System, 4 Asian J. WTO &; Int'l Health L. &; Pol'y 423 (2009).
16.Stedeford Todd, Persad Amanda S, The Influence of Carcinogenicity Classification and Mode of Action Characterization of Distinguishing "Like Products" under Article III:4 of the GATT and Article 2.1 of the TBT Agreement, 15 N.Y.U. Envtl. L.J. 377 (2007).
17.Tsai Edward S., "Like" is a Four-Letter Word - GATT Article III's "Like Product" Conundrum, 17 Berkeley J. Int'l L. 26 (1999).

五、GATT/WTO案例
1.GATT Panel Report, Italy-Discrimination against imported agricultural machinery, L/833-7S/60 (adopted Oct. 23, 1958).
2.GATT Panel Report, United States-Measures Affecting Alcoholic and Malt Beverages, DS23/R - 39S/206 (adopted 19 June 1992).
3.Panel Report, United States-Standards for Reformulated and Conventional Gasoline, WT/DS2/R (adopted May 20, 1996).
4.Panel Report, Japan-Taxes on Alcoholic Beverages, WT/DS8, 10, 11/R (adopted Nov. 1, 1996).
5.Panel Report, European Communities-Measures Affecting Asbestos and Products Containing Asbestos, WT/DS135/R (adopted Apr. 6, 2001).
6.Panel Report, Canada-Certain Measures Affecting the Automotive Industry, WT/DS139/R, WT/DS142/R (adopted June 19, 2000).
7.Panel Report, India-Measures Affecting the Automotive Sector, WT/DS146/R (adopted Apr. 5, 2002).
8.Panel Report, Korea-Measures Affecting Imports of Fresh, Chilled and Frozen Beef, WT/DS161, 169/R (adopted Jan. 10, 2001).
9.Panel Report, Canada-Measures Relating to Exports of Wheat and Treatment of Imported Grain, WT/DS276/R (adopted Sept. 27, 2004).
10.Panel Report, United States — Measures Concerning the Importation, Marketing and Sale of Tuna and Tuna Products, WT/DS381/R (adopted June 13, 2012).
11.Panel Report, United States — Certain Country of Origin Labelling (COOL) Requirements, WT/DS384/R (adopted July 23, 2012).
12.Panel Report, China-Measures Related to the Exportation of Various Raw Materials, WT/DS394, 395, 398 /R (adopted Feb. 22, 2012).
13.Panel Report, United States-Measures Affecting the Production and Sale of Clove Cigarettes, WT/DS406/R (adopted Apr. 24, 2012).
14.Panel Report, European Communities-Measures Prohibiting the Importation and Marketing of Seal Products, WT/DS400, 401/R (Nov. 25, 2013).
15.Panel Report, China-Measures Related to the Exportation of Rare Earths, Tungsten and Molybdenum, WT/DS431, 432, 433/R (Mar. 26, 2014).
16.Appellate Body Report, Japan-Taxes on Alcoholic Beverages, WT/DS8, 10, 11/AB/R (adopted Nov. 1, 1996).
17.Appellate Body Report, European Communities-Regime for the Importation, Sale and Distribution of Bananas, WT/DS27/AB/R (adopted Sept. 25, 1997).
18.Appellate Body Report, European Communities — Measures Affecting Asbestos and Products Containing Asbestos, WT/DS135/AB/R (adopted Apr. 5, 2011).
19.Appellate Body Report, Korea-Measures Affecting Imports of Fresh, Chilled and Frozen Beef, WT/DS161, 169/AB/R (adopted Jan. 10, 2001).
20.Appellate Body Report, European Communities-Trade Description of Sardines, WT/DS231/AB/R (adopted Oct. 23, 2002).
21.Appellate Body Report, Dominican Republic-Measures Affecting the Importation and Internal Sale of Cigarettes, WT/DS302/AB/R (adopted May 19, 2005).
22.Appellate Body Report, Brazil-Measures Affecting Imports of Retreaded Tyres, WT/DS332/AB/R (adopted Dec. 17, 2007).
23.Appellate Body Report, United States — Measures Concerning the Importation, Marketing and Sale of Tuna and Tuna Products, WT/DS381/AB/R (adopted June 13, 2012).
24.Appellate Body Report, United States — Certain Country of Origin Labelling (COOL) Requirements, WT/DS384/AB/R (adopted July 23, 2012).
25.Appellate Body Report, China-Measures Related to the Exportation of Various Raw Materials, WT/DS394, 395, 398/AB/R (adopted Feb. 22, 2012).
26.Appellate Body Report, United States — Measures Affecting the Production and Sale of Clove Cigarettes, WT/DS406/AB/R (adopted Apr. 24, 2012).
27.Appellate Body Report, European Communities-Measures Prohibiting the Importation and Marketing of Seal Products, WT/DS400, 401/AB/R (May 22, 2014).

六、GATT/WTO文件
1.Report of Working Party on Border Tax Adjustment, BISD 18S/97.

七、網頁資料
1.Simon Lester, The Intent of a Measure and the "Likeness" / "Less Favorable Treatment" Elements, available at http://worldtradelaw.typepad.com/ielpblog/2011/11/the-intent-of-a-measure-and-the-likeness-less-favorable-treatment-elements.html (last visited May 1, 2014).
2.WorldTradeLaw.net, Number of Complaints Filed under Selected WTO Agreements, available at http://www.worldtradelaw.net/dsc/database/agreementcount.asp (last visited May 26, 2014).

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