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研究生:陳雅萍
研究生(外文):Ya-Ping Chen
論文名稱:GATS市場開放與國民待遇重疊爭議與解決方向
論文名稱(外文):Overlap between Market Access and National Treatment: Problems and Possible Solutions
指導教授:羅昌發羅昌發引用關係
口試委員:林彩瑜楊培侃
口試日期:2015-07-24
學位類別:碩士
校院名稱:國立臺灣大學
系所名稱:法律學研究所
學門:法律學門
學類:一般法律學類
論文種類:學術論文
論文出版年:2015
畢業學年度:103
語文別:中文
論文頁數:212
中文關鍵詞:服務貿易市場開放國民待遇規範重疊特定承諾表
外文關鍵詞:GATStrade in servicesmarket accessnational treatmentoverlapschedule of specify commitments
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摘 要
國民待遇原則(national treatment)為WTO協定最重要的原則之一。基於服務貿易之特殊性,GATS協定對於國民待遇設有不同於GATT之規範安排,其主要差異有二: GATS涵蓋所有影響服務貿易之歧視性措施;其二為GATS國民待遇義務係特定性義務,在適用上受有兩項限制:須為特定承諾表所列之服務部門,及其所列之國民待遇之限制與條件。其次,第十六條市場開放所列之六款限制措施,包括非歧視性及歧視性之措施,其中具有歧視性質之措施,亦受第十七條國民待遇之規範,因而,此二條規定對於歧視性市場開放限制措施,構成規範上之重疊。
由於GATS市場開放與國民待遇義務均屬特定性義務,須以會員國作出承諾為適用之前提要件,故而,如一項措施同受第十六條與第十七條規範時,但會員國承諾表對此二項義務之記載不一致時,例如承諾表之市場開放為不予承諾及國民待遇無限制,即可能解為會員國就歧視性市場開放限制措施,雖無開放國內服務市場義務,但欲須賦予外國同類服務及服務提供者國民待遇之義務,構成承諾表填載事項之重疊,但法效力互斥衝突之情形。
故而,本文擬從三層次探討,GATS特定承諾表所列載之市場開放與國民待遇重疊與衝突之現象:第一個層次為特定承諾表所適用之GATS規範本身之重疊。第二個層次為依特定承諾表本身記載事項所生之重疊與衝突現象。第三個層次,如依承諾表所載文義及填載規則仍未能確定會員國是否就第十六條第二項歧視性措施有所保留或承諾,或其內容仍發生衝突時,涉及條約之解釋問題,本文擬從條約解釋之角度,為此一爭議問題,探尋符合會員國期待,兼顧GATS目的與宗旨之適當解決方向。
首先,本文認為,關於特定承諾表所適用之GATS規範本身之重疊。GATS協定第二十條第二項,確認第十六條及第十七條之間,對於歧視性市場開放限制措施(discriminatory market access restrictions)具有重疊關係(overlap)。綜觀學說所提出之各種區別第十六條及第十七條適用關係之看法,可發現其討論之重點,均置於第十六條及第十七條規定是否相互排除適用,然而,爭議發生之原因,在於GATS特定性承諾本身之法律性質產生之爭議,應為承諾表填載格式與規則所致,而非實體規範之衝突問題。
其次,參照第二十條第一項規定承諾表之相關欄位,無論是市場開放之內容、限制及條件或者是國民待遇之條件及資格,在解釋上均可能落入承諾表所指之「限制」範疇。其次,為期承諾表之記載,能明確表明會員國對於歧視性市場開放限制措施,予以承諾或保留之意思,因此,對於承諾表之填載規則與記載事項即有三種解釋可能性。而多數見解所採之解釋,即認為市場開放之歧視性措施,均應於市場開放欄位與國民待遇欄位重複填載,才能避免解釋上發生衝突。因此,如會員國承諾表對此二項義務之記載不一致時,例如承諾表之市場開放為不予承諾及國民待遇無限制,即為多數見解所指之構成承諾表重疊與衝突現象。
第三,既然承諾表與GATS協定本文構成整體不可分之一部分,則承諾表之解釋,亦須適用條約之解釋規則,而條約解釋之基本原則,在於肯認締約方以善意方式履行條約之前提上,而予以善意解釋條約之意義。因而,如透過解釋規則,而可認為有兩種以上解釋之可能,如其一解釋方法將使得條約得以有效存在,而另一種解釋將使條約無效時,應選擇前者為優先解釋方法。此一解釋原則亦為WTO上訴機構所肯認。否則,如隨意認定條約約文之意義具有衝突而排斥其適用與效力,將使條約締約方原本意欲透過條約所達成之目的有所減損,致其條約談判過程所花費之勞力、時間及費用,付諸流水。
最後,本文建議,於紛爭解決之層面上,如承諾表之市場開放與國民待遇記載不一致時,在解釋上,應先推定其為無衝突,並以GATS第二十條第二項特別填載規則為據,推定承諾表市場開放欄位,為歧視性市場開放措施優先記載之欄位。如承諾表為概括承諾與概括保留時,例如承諾表之市場開放為不予承諾,及國民待遇為無限制時,即可解為第十六條歧視性措施為不予承諾之效力所涵蓋。反之,如會員國主觀上認為已記載於國民待遇欄位時,則應進一步判斷其記載有無明顯徵兆,而可客觀合理認定,以兼顧會員國之期待及GATS漸進自由化及透明性之目的。


Abstract
This article examines the problems arised from overlap between market access and national treatment under GATS schedules of specific commitments, which mainly comprise of market access undertakings subject to six limitations under Article XVI and national treatment undertakings conditioned by all kind of discriminatory measures under Article XII. As many critics have pointed out the design of schedules and scheduling techniques that produce interpretive ambiguity, especially in the case a WTO Member entered Unbound under market access and None under national treatment or vice versa. Hence, a question arises whether that Member could maintain any discriminatory market access measures falling within the overlapping scope between Article XVI and XVII. This article anaylzes the overlap issue based on GATS Artilce XVI, XVII, XX:2 and the Schedule Guidelines from the following three aspects. Firstly, unlike GATT, the relationship between market access and national treatment displines under GATS remains unclear and thus the overlap is possible to create protential conflict undertakings while scheduling. Secondly, divided understandings on rules of scheduling exist among WTO Members, allowing them to use collective terms such as None and Unbound to entry in a seemingly conflict but consistent manner on their perception. Thirdly, since Members’ national schedules of specific commitments are regarded as an integrated part of GATS, rules on treaty interpretation shall be introduced and applied in the case of ambiguity. Finally, the article tries to propose possible solutions and suggests that Article XX:2 be provided some value to harmonize differenet interpretive approachs among WTO Members.

第一章 緒論………………….....…………………………………………………….1
第一節 問題意識………………………………………………………..............1
第二節 研究方法……………………..……………………………….………...6
第三節 研究目的…………………..…………….……………………………...7
第四節 研究架構…………………….………………………………………….7
第二章 GATS市場開放與國民待遇重疊之發生………….………………………9
第一節 重疊之概念…………………..…………………………………………9
第二節GATS市場開放與國民待遇規定重疊之發生……………..…………28
第三節 特定承諾表概述………………...………………………………55
第四節 特定承諾表之記載重疊之發生………………………………………71
第五節 GATS第二十條第二項與承諾表重疊爭議…….……………………92
第六節 小 結…………………………………………………………………..99
第三章 WTO/GATS協定之解釋規則……………..………….………….……...101
第一節 《維也納條約法公約》規定之解釋規則…..……………..……….….101
第二節 其他補充解釋方法…………………………………………………..116
第四章 WTO實務見解及其問題點………………………………......…………119
第一節 GATS實務見解……………………...………………………………119
第二節 GATS實務見解所提之五項解決途徑…………..…………………130
第三節 GATS實務見解之分析及其問題點………………...………………135
第四節 小結…………………………………………………………………146
第五章 重疊爭議之再詮釋與適當解決方法………………………………….148
第一節 自規範重疊問題至承諾表重疊與衝突問題………………….…….148
第二節 承諾表記載之重疊與GATS第二十條第二項……………..………165
第三節 GATS第二十條第二項之作用與規範意旨……...……...………….182
第四節 符合第二十條第二項意旨之解決方向建議………………………191
第五節 小結…………………………………………………………………199
第六章 結 論……………………………………………………………………..204
參考文獻…………………………………………………………………….……...207


一、漢文文獻
(一)專書
林彩瑜(2013)。《WTO制度與實務》。台北:元照。
姜皇池(2013)。《國際公法導論》。台北:新學林。
張新平(1996)。《世界貿易組織下之服務貿易》。台北:月旦。
黃立、李貴英、林彩瑜(2001)。《WTO國際貿易法論》。台北:元照。
羅昌發(2010)。《國際貿易法》。台北:元照。
(二)書之篇章
彭心儀(2005)。〈由美國禁止網路賭博爭端案論服務貿易市場開放及國民待遇之規範解釋與體系建構〉,黃智輝等著,《第五屆國際經貿法學發展學術研討會論文集》,頁217-304。台北:政大國際經貿法中心。
(三)學位論文
張南薰(2007)。《WTO協定之法律關係適用之研究》。國立政治大學法律研究所博士論文。

二、外文文獻
(一)專書
A. KACZOROWSKA, PUBLIC INTERNATIONAL LAW 4/E (Taylor & Francis. 2010).

ANTHONY AUST, MODERN TREATY LAW AND PRACTICE (Cambridge University Press. 2013).

ASIF H. QURESHI, INTERPRETING WTO AGREEMENTS PROBLEM AND PERSPECTIVES (Cambridge University Press. 2006).

Bryan Mercurio Simon Lester, Arwel Davies, WORLD TRADE LAW : TEXT, MATERIALS AND COMMENTARY, Hart 2nd ed. 2012

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JOOST PAUWELYN, CONFLICT OF NORMS IN PUBLIC INTERNATIONAL LAW: HOW WTO LAW RELATED TO OTHER RULES OF INTERNATIONAL LAW (2003).

NELLIE MUNIN, LEGAL GUIDE TO GATS § 31 (Kluwer Law International. 2010).

Philip Raworth, Trade in Services: Global Regulation and the Impact on Key Service Sectors, Oceaea Publishcation 2005

(二)書之篇章
William J. Davey, The Quest for Consistency: Principles Governing the Interrelationof the WTO Agreements, Enforcing World Trade Rules Essays on WTO Dispute Settlement and GATT Obligations, Cameron May 2006

Delimatsis & Molinuevo, Article XVI, in WTO-TRADE IN SERVICES (Rudiger Wolfrum & Peter-Tobias Stoll Clemens Feinaugle eds., 2008).

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Molinuevo, Article XX, in WTO-TRADE IN SERVICES (Rudiger Wolfrum & Peter-Tobias Stoll Clemens Feinaugle eds., 2008).

(三)期刊文章
Aaditya Mattoo, National Treatment in the GATS: Corner-stone or Pandora''s Box?, 31 JOURNAL WORLD TRADE (1997).

Benard Hoekman, Assessing the General Agreement on Trade in Service, in The Uruguay Round and the Developing Countries (Will Martin & L. Alan Winters, eds.1996)

Eric H. LEROUX, From Periodicals to Gambling: A review of systemic issues addressed by WTP adjudicatory bodies under the GATS, in GATS AND THE REGULATION OF INTERNATIONAL TRADE IN SERVICES (Marion Panizzon, et al. eds., 2008).


Joost Pauwelyn, The Role of Public International Law in the WTO: How Far Can We Go?, Vol.95 THE AMERICAN JOURNAL OF INTERNATIONAL LAW 535(2001).

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Panagiotis Delimatsis, Don''t Gamble with GATS--the Interaction between Article VI, XVI, XVII and XVIII GATS in the light of the US-Gambling Case 40 JOURNAL WORLD TRADE (2006).

Rachel Block, Market Access and National Treatment in China--Electronic Payment Services: An Illustration of the Structural and Interpretive Problems in GATS, Vol.14 No.2 CHICAGO JOURNAL OF INTERNATIONAL LAW (2014).

SIMON TONS, THE GATS APPROACH TOWARDS LIBERALIZATION, THE INTERACTION BETWEEN DOMESTIC REGULATION, MARKET ACCESS, NATIONAL TREATMENT AND SCHEDULED COMMITMENTS IN THE GATS (Radboud University Nijmegen. 2010)

Wei Wang, on the Relationship Between Market Access and National Treatment Under the GATS, Vol.46 THE INTERNATIONAL LAWYER 1045(2012).

(四)WTO文件
Working Group on Financial Services Including Insurance, Note on the Meeting of 11-13 June 1990, MTN.GNS/FIN/1 (5 July 1990)

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WTO, WTO Analytical Index, https://www.wto.org/english/res_e/booksp_e/analytic_index_e/gats_e.htm (latest visited on 5 July 2015)。

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Appellate Body Report, United States—Standards for Reformulated and Conventional Gasoline, WT/DS2/AB/R (29 April 1996)

Appellate Body Report, Japan—Taxes on Alcoholic Beverages,
WT/DS8/AB/R, WT/DS10/AB/R, WT/DS11/AB/R (4 October 1996)
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WT/DS31/R (14 March 1997)

Panel Report, European Community—Regime for the Importation, Sale and Distribution of Bananas, WT/DS27/R/USA (22 May 1997)

Appellate Body Report, United States—Measures Affecting Imports of Woven Wool Shirts and Blouses from India, WT/DS33/AB/R (25 April 1997)

Appellate Body Report, European Communities—Regime for the Importation, Sale and Distribution of Bananas, WT/DS27/AB/R (9 September 1997)

Panel Report, Indonesia—Certain Measures Affecting the Automobile Industry,
WT/DS54/R, WT/DS55/R, WT/DS59/R, WT/DS64/R (2 July 1998)

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WT/DS431/R (16 July 2012)




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