結論 - 論WTO會員國於TBT協定中「國民待遇原則」下之政策空間

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第五章結論

隨著 GATT 的簽署，傳統之關稅貿易障礙已有大幅度的降低，惟非屬關稅之技術性貿易障礙則有逐漸上升的趨勢。於此種情形之下，規範技術性法規之 TBT 協定的重要性亦與日俱增。然而，GATT 第 3.4 條與 TBT 協定第 2.1 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。在 TBT 協定之序言指出：「咸認不宜阻止任何國家於該國認為適當之程度內，採取必要措施以確保該國輸出品之品質，或保護人類、動物、植物之生命或健康或環境或防止欺騙行為。但以該等措施之適用方式，在各國間於相同狀況下不致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為限，且並應符合本協定之規定」之情況下，本係肯認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 TBT 協定卻因缺乏如同 GATT 第 20 條一般例外之規定，而使得 TBT 協定之規範似乎較諸 GATT 嚴格。

加以，在 TBT 協定與 GATT 係屬累積適用之情況下，一會員國之措施即便於 GATT 下援引一般例外成功正當化其措施，其仍有可能因為違反沒有一般例外規定之 TBT 協定而最終仍須修改或廢除其措施。此將使得 TBT 協定序言所指出之會員國具有管制權力的宣言有所不符。

顧慮及此，上訴機構已於實際案例中指出，TBT 協定中自由貿易與會員管制權力之平衡，與具有一般例外規定之 GATT 所欲達成之平衡並無二致。而欲達成此平衡，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，故 GATT 第 3.4 條與 TBT 協定第 2.1 條除了共有「同類產品」之認定與「較低待遇」中對於「是否對進口之同類產品於本國市場上產生較不利之影響」以外，TBT 協定第 2.1 條

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於「較低待遇」之分析尚須檢視「該不利影響是否源自於正當管制區分」。換言之，同樣規範「國民待遇原則」之 GATT 第 3.4 條與 TBT 協定第 2.1 條之解釋，

並不相同。

上訴機構以 TBT 協定序言第二段、第五段、第六段，以及第 2.2 條、附件一第 1.1 條作為解釋之上下文為論述之基礎，創造出「正當管制區分」此一新的判斷標準，以解決會員國於 TBT 協定中之政策空間較諸 GATT 中為限縮之問題，

蓋此額外判斷標準透過不檢視目的之正當性，而僅檢視手段之正當性，暫時假設性地認同會員國管制之目的，而納入不同於「不利影響」此單純市場面之考量，

而得容許會員國得基於其他不歧視之目的所為之管制。

本文雖認為上訴機構之此種作法雖可解決本文所關注之核心問題，但其理論之形塑似有不妥。蓋上訴機構奠基於 TBT 協定附件一第 1.1 條對於技術性法規的定義、TBT 協定第 2.2 條之條文文字，以及 TBT 協定序言第六段之文字，作為上下文之解釋，僅能推論 TBT 協定與 GATT 之「國民待遇原則」不必為相同解釋，然而不能用以說明現行實務所採之「正當管制區分」此一檢視方法之妥適性。本文雖贊同基於上述理由，可推論 TBT 協定與 GATT 之「國民待遇原則」

不必為相同解釋，惟由於上訴機構於「正當管制區分」此一判斷標準之實際操作，

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。

故本文認為透過對「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、如同「美國－丁香菸案」小組之方法，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。惟即便採取「美國－丁香菸案」小組之方法以「管制目的」為詮釋 BTA 方法中四項「指標」之核心概念，其最後終將因為詮釋之「指

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標」係屬「市場經濟面向」之指標，而無可避免地反映出「市場經濟面向」之情況。故，對於政府因非經濟因素之政策考量所採行之技術性法規，其仍將受到限制。

第二種作法，乃是以「管制目的」作為認定系爭產品是否為同類之「指標」，檢視系爭措施所為區分產品之因素是否確實係為管制目的而設。儘管其屬於較為主關之方法，惟由於如同 BTA 方法中之其它四項指標須要進行檢視，「管制目的」

亦須經由小組與上訴機構之檢視，是以亦應不致使得小組與上訴機構之權衡空間減小，而造成會員國之恣意解釋之情況。

因此，就本文所關注之核心問題，即如何在 TBT 協定第 2.1 條之「國民待遇原則」中納入 WTO 會員國之政策空間，由於現行實務所採之「正當管制區分」

於理論形塑上似將產生邏輯之矛盾；而以「管制目的」作為詮釋 BTA 方法中四項「指標」之核心概念納入政策空間考量之彈性，於理論上確為合宜，惟其效果受限於「市場經濟面向」之 BTA 四項指標。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。

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參考文獻

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 T

RADE 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/WTOJURISPRUDENCE (1st ed. 2003).

‧

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, 3EUR. 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).

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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).

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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).

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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

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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).

在文檔中論WTO會員國於TBT協定中「國民待遇原則」下之政策空間 (頁 80-88)

結論

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the GATT (with Additional Remarks on Article III:2), in T

‧

"Like Product" in GATT Article III, 8 U.C. Davis J. Int'l L. & Pol'y 107 (2002).

Trade Organization: The Uneasy Relationship Between Panels and the Appellate Body, 23 Mich. J. Int'l L. 103 (2001).

US-COOL, 12(2)

Smuggling and Health Concerns in Light of the Dominican Republic-Cigarettes Case, 3 Asian J. WTO & Int'l Health L. & Pol'y 309 (2008).

Principle : emerging environmental regulations prompt a new look at an old problem, 10(2)

and US-COOL, 8

with the TBT Agreement developed by the WTO Appellate Body is wrong, and what should the AB have done instead, 12(3)

regulations? : a critical analysis of the Appellate Body's ruling on US-COOL,

Implications of WTO Law, 29 B.U. Int'l L.J. 383 (2011).

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Products Case, 8 Asian J. WTO & Int'l Health L & Pol'y 41 (2013).

Comment on the Asbestos Report. Brooklyn Journal of International Law, 26

Organization, 23 B.U. Int'l L.J. 215 (2005).

Protectionism in the WTO Legal System, 4 Asian J. WTO & Int'l Health L. &

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,

Conundrum, 17 Berkeley J. Int'l L. 26 (1999).

－ Discrimination against imported agricultural machinery, L/833-7S/60 (adopted Oct. 23, 1958).

－ Measures Affecting Alcoholic and Malt Beverages, DS23/R - 39S/206 (adopted 19 June 1992).

－ Standards for Reformulated and Conventional Gasoline, WT/DS2/R (adopted May 20, 1996).

－ Taxes on Alcoholic Beverages, WT/DS8, 10, 11/R

－ Measures Affecting Asbestos and

Products Containing Asbestos, WT/DS135/R (adopted Apr. 6, 2001).

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－ Certain Measures Affecting the Automotive Industry,

－ Measures Affecting the Automotive Sector, WT/DS146/R

－ Measures Affecting Imports of Fresh, Chilled and Frozen Beef, WT/DS161, 169/R (adopted Jan. 10, 2001).

－ Measures Relating to Exports of Wheat and Treatment of Imported Grain, WT/DS276/R (adopted Sept. 27, 2004).

and Sale of Tuna and Tuna Products, WT/DS381/R (adopted June 13, 2012).

Requirements, WT/DS384/R (adopted July 23, 2012).

－ Measures Related to the Exportation of Various Raw Materials, WT/DS394, 395, 398 /R (adopted Feb. 22, 2012).

－ Measures Affecting the Production and Sale of Clove Cigarettes, WT/DS406/R (adopted Apr. 24, 2012).

－ Measures Prohibiting the Importation and Marketing of Seal Products, WT/DS400, 401/R (Nov. 25, 2013).

－ Measures Related to the Exportation of Rare Earths, Tungsten and Molybdenum, WT/DS431, 432, 433/R (Mar. 26, 2014).

－ Taxes on Alcoholic Beverages, WT/DS8, 10,

－ Regime for the Importation, Sale and Distribution of Bananas, WT/DS27/AB/R (adopted Sept. 25, 1997).

and Products Containing Asbestos, WT/DS135/AB/R (adopted Apr. 5, 2011).

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－ Measures Affecting Imports of Fresh, Chilled and Frozen Beef, WT/DS161, 169/AB/R (adopted Jan. 10, 2001).

－ Trade Description of Sardines,

－ Measures Affecting the Importation and Internal Sale of Cigarettes, WT/DS302/AB/R (adopted May 19,

－ Measures Affecting Imports of Retreaded Tyres,

Marketing and Sale of Tuna and Tuna Products, WT/DS381/AB/R (adopted June

(COOL) Requirements, WT/DS384/AB/R (adopted July 23, 2012).

－ Measures Related to the Exportation of Various Raw Materials, WT/DS394, 395, 398/AB/R (adopted Feb. 22, 2012).

Sale of Clove Cigarettes, WT/DS406/AB/R (adopted Apr. 24, 2012).

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