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題名:論WTO與國內法院之關係—以國碩公司之光碟強制授權案所引發之相關爭議為中心
作者:黃明展
作者(外文):Huang, Mingchan
校院名稱:東海大學
系所名稱:法律學系
指導教授:陳隆修博士
李成博士
學位類別:博士
出版日期:2011
主題關鍵詞:世界貿易組織強制授權管轄競合直接適用性國內法效力WTODSBCharming BetsyJurisdiction Conflict
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論文概要
本論文是以2002年在台灣實際發生之DRAM光碟強制授權案所引發之WTO相關協定與國內法院間如何互動之一連串問題作為研究主題,由國內法院審判角度來探討法官在實際訴訟上面臨諸如WTO相關協定如何在國內發生效力?國內法院得否直接加以適用?WTO相關協定是否會與國內現行法發生衝突?發生衝突時,國內法院應如何適用法律?等爭議問題時,應如何解決。此外,當WTO爭端解決程序與國內訴訟程序產生平行訴訟或多重訴訟之情形,其所產生國內法院是否有權審理WTO相關協定與國內法衝突之爭議?國內法院與DSB之管轄權界線為何?兩訴訟程序涉及相關連爭議時,應如何進行訴訟程序?應適用何種程序規範?當DSB針對同一或相關連問題先做出裁決時,該裁決對於國內法院是否有何效力?反之,國內法院之裁決對於WTO爭端解決程序是否有何影響?
本文第一章除對研究背景加以介紹外,並對本文之寫作格式、引註方式及研究方法作說明。
第二章則以WTO相關協定之性質亦屬條約之一種為基礎概念,先討論條約發生國內法效力之方式與直接適用性,之後再區別WTO相關協定與一般國際條約性質不同之處,進而探討WTO相關協定如何在我國發生國內法效力以及是否具有直接適用性。於區分具有直接適用性與不具有直接適用性之WTO相關協定後,分別探討兩者對法院如何發生拘束力?與國內法會不會產生衝突?產生衝突後法院應如何適用法律?等問題。
第三章先介紹DSB與爭端解決程序之基本之概念,之後再從國際司法組織與國內司法組織兩者之制度關係延伸探討DSB與國內法院兩者間之制度關係,確認兩者之制度設計並非毫無關連之二元主義,亦非上下階層之審級關係,而是彼此相互關連之替代關係,之後再依DSU第23條之管轄權規定探討WTO爭端解決機制有無排除國內法院管轄權。此外,基於WTO爭端解決控訴並不適用國內救濟途徑用盡原則,進而確認兩者程序是得以併行存在,最後再從兩個訴訟程序所管轄之事件是否為同一事件,其當事人是否同一、爭訟標的是否同一,加以確認兩程序是否有全部或部分管轄權競合之情形。
在第四章首先介紹WTO爭端解決程序與國內訴訟程序實際上如何交錯運行,彼此關連,之後再進一步探討爭端當事國是否有履行WTO爭端解決裁決建議之義務?於確認爭端當事國具有履行裁決建議之義務後,再分別探討何種WTO爭端解決裁決對爭端當事國國內法院具有直接效力,當事人得直接援引,何種WTO爭端解決裁決對爭端當事國國內法院具有間接效力,當事人不得直接援引,但亦應加以尊重,最後再探討DSB對非爭端當事國之國內法院是否具有拘束力。此外,本章亦反面探討國內法院之判決是否會對WTO爭端解決程序產生影響,除了確認國內法院判決可作為認定該國有無違反WTO相關協定之事實外,本文另對訴之利益之概念再重新分析,認為訴之利益包括兩個層次,第一層次是指得為權利保護之資格,亦即指得為訴訟解決之爭端適格,第二層次是指權利保護之必要,亦即提起訴訟之必要性與容許性,雖然WTO爭端解決程序並不強調第一層次之訴之利益,但仍強調有無回復WTO締約秩序之第二層次訴之利益—即訴訟必要性,因此當某一國之違反WTO協定之狀態或疑慮已被該國之國內法院判決完全去除時,此時即會影響WTO爭端解決程序之訴訟必要性。此外,針對某國之國內判決長期以來對某一WTO相關規定均採取特定之見解,進而引起外國貿易商信賴後在該國從事投資或貿易行為,若之後該國政府改採不同之見解會對該貿易商產生損害時,亦應適用禁反言原則,禁止該國政府在WTO爭端解決程序中為違反其國內法院慣行見解之主張,因此國內法院之判決在某些層面仍會對WTO爭端解決程序產生某些法律效力,影響WTO爭端解決程序之進行。
在第五章首先從第三章及第四章探討所得出WTO爭端解決程序彼此交互影響關係探討兩程序併行所可能產生之程序弊端,進而推論出規範國內法院與DSB間程序運作之必要性。之後再從可防止此些程序弊端之程序運作規則中,逐一探討可供兩者適用之程序運作規則及適用條件。在理論上,應從具體個案中逐一分析(Case by Case)DSB與國內法院所審判之爭端是否為同一爭端或者是相關連之爭端,若認定是同一爭端,而可適用一事不再理、嚴格之多重訴訟禁止原則及合意管轄等程序運作原則,若非同一爭端,但兩個爭端間具有關連性,此時則應適用較具彈性之禮讓原則、權利濫用原則、寬鬆之多重訴訟禁止原則、不便利管轄原則及爭點禁反言原則,如果兩個爭端毫無關連,基於尊重當事人之訴訟權及私法自治原則,法院即應各自進行訴訟,無須適用任何管轄規則。
然而,實際運作上,從DSU相關規定之精神及基於尊重條約原則觀之,DSB對於WTO相關協定之解釋具有至高之權利,為了達到訴訟經濟、避免裁判矛盾及保障當事人權益之最終目的,對於涉及WTO相關協定之爭議,應承認DSB具有優先管轄權,基於此一結論,本文認為除了有合意管轄、不便利法庭及權利濫用之情形之外,就DSB與國內法院程序之運作,原則應由DSB優先行使其管轄權,在兩者所管轄之爭端具有同一性之情形,DSB之程序繫屬對國內法院會產生嚴格之多重訴訟禁止之效力(縱使 繫屬在後亦同),而其裁決內容對國內法院則會產生一事不再理之效果,國內法院應受其拘束,而在兩者所管轄之爭端具有關連性之情形,DSB之程序繫屬對國內法院會產生寬鬆之多重訴訟禁止之效力(縱使繫屬在後亦同),國內法院可以暫停其訴訟程序以待DSB之裁決結果,DSB之裁決所認定之爭點則會對國內訴訟程序產生爭點禁反言效果,此外縱非屬同一爭點,國內法院亦應基於禮讓原則,予以尊重DSB裁決,避免與該裁決為相矛盾之認定。
最後為了達到此一程序運作方式,本文進一步探討我國民事訴訟法第182之2條之規定,認為其法理可提供國內法院於審理與WTO爭端解決程序相關連之事件時,可類推適用之程序規定,由國內法院裁量是否先裁定停止訴訟程序,待DSB裁決後,再參考其裁決內容下判決。此一程序規定,恰可為國內訴訟程序與WTO爭端解決程序競合時,提供解套之方式,進而達到訴訟經濟、保障當事人權利以及避免裁判矛盾之目的。
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88. Zhu Lanye, U.S.-China WTO Roundtable: The Effects of the WTO Dispute Settlement Panel and Appellate Body Reports: Is the Dispute Settlement Body Resolving Specific Disputes Only or Making Precedent at the Same Time?, 17 TEMP. INT'L & COMP. L.J. 221 (2003)
三、其他資料
01. Ernst-Ulrich Petersmann, Judging Judges: Do Judges Meet Their Constitutional Obligation to Settle Disputes in Conformity with “Principles of Justice and International Law”? (January 2008). EUI LAW Working Paper No. 2008/01. Available at SSRN: http://ssrn.com/abstract=1093622.
02. Explanatory Report to Protocol No 14 to the Convention for the Protection of Human Rights and Fundamental Freedoms, Amending the Control System of the Convention (CETS No 194), Available at http://convention.coe.int /Treaty/EN/Reports/Html/194.htm.
03. Jeanne J. Grimmett, WTO Decisions and Their Effect in U.S. Law, CRS Report for Congress RS22154 (Jan. 30, 2007) , Available at http://fpc.state.gov/documents/organization/81991.pdf.
04. Joost Pauwelyn, Choice of jurisdiction: WTO and Regional Dispute Settlement Mechanisms: Challenges, Options and Opportunities" (Speech presented to the ICTSD/GIAN-RUIG dialogue on the "Mexico Soft Drinks Dispute: Implications for Regionalism and for Trade and Sustainable Development"), available at International Centre for Trade and Sustainable Development .
05. KD Raju, The Debacle of Novartis Patent Case in India: Strict Interpretation of Patentability Criteria under Article 27 of the TRIPs Agreement (November 2007), 2 (2007). Available at http://ssrn. com/abstract=1030963.
06. Kyung Kwak & Gabrielle Marceau, "Overlaps and Conflicts of Jurisdiction Between the WTO and RTAS" (Paper presented to Conference on Regional Trade Agreements World Trade Organization, 26 April 2002) , available at http://www.wto.org/ english/tratop_e/region_e/sem_ april02_e/marceau. pdf>.
07. Report of the ILC Study Group. Fragmentation of International Law: Difficulties Arising from the Diversification and Expansion of International Law, Finalized by Martti Koskenniemi and Draft Conclusions of the Work of the Study Group, Doc. A/CN.4/L.682 and Add.1 and Corr.1, 2 May 2006.
08. Report to the Trade Barriers Regulation Committee, Examination Procedure Concerning an Obstacle to Trade, within the Meaning of Council Regulation (EC) No 3286/94, Consisting of Measures Adopted by the Separate Customs Territory of Taiwan, Penghu, Kinmen and Matsu Affecting Patent Protection in Respect of Recordable Compact Discs( 30 January 2008).available at http://trade.ec.europa.eu/ doclib/docs/2008/january/tradoc_137633.pdf.
09. Sheela Rai, Doctrine of Precedent in WTO (2007), available at http://www. esocialsciences.com/data/articles/Document1912007470. 4038965.doc.
10. Sheela Rai, Safeguard Measures under WTO, available at http://www. esocialsciences.com/data/articles/Document1882007540.2265894.
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二、期刊論文
01. 平覚,わが国におけるガットの法的地位,神戸商科大学商大論集,第39巻第4号,1988年2月。
02. 松下満雄,西陣ネクタイ訴訟最高裁判決,ジュリスト,第956号,1990年6月。
三、其他資料
01. 末啓一郎,国際経済法の国内直接適用に関する諸問題-WTO諸協定の国内裁判規範性についての考察(2008),http://www.ics.hit-u.ac.jp/jp/phd/article_sue. pdf/,2010年1月6日。
02. 阿部克則,第7章わが国におけるWTO協定の直接適用可能性,地方公共団体における国際協定への対応のあり方に関する調査研究,平成12 年,http://nippon. zaidan.info/seikabutsu/2000/00097/,2009年12月11日。

中文參考文獻(按作者姓氏筆畫排列)
一、專書
01. JOHN H. JACKSON著,張乃根譯,THE WORLD TRADING SYSTEM - LAW AND POLICY OF INTERNATIONAL ECONOMIC RELATIONS,復旦大學,2001年。
02. 朱曉勤主編,發展中國家與WTO法律制度研究,北京大學,2006年。
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06. 邱宏達,國際法在我國國內法上的地位,憲政時代,第19卷第4期,1995年4月。
07. 林彩瑜,WTO「杜哈回合」反請消議題談判與台灣參與之立場建議,載於氏著WTO貿易救濟與爭端解決之法律問題,元照,2006年1月。
08. 姜皇池,國際公法導論,新學林,2008年2版。new window
09. 洪力生,戰後各國新憲法與國際法的關係,薩孟武先生六秩晉華誕紀念社會科學論文集,台大法學院,1957年。
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12. 陳隆修,2005年海牙法院選擇公約評析,五南,2009年。new window
13. 黃異,國際法在國內法領域中的效力,元照,2006年。new window
14. 黃政傑「GATT/WTO爭端解決體系下非違反協定行為之控訴之研究」,中原大學財經法律系碩士論文,2002年7月。
15. 趙堅集,論違反協定與非違反協定之控訴—以世界貿易組織之法制為中心,中正大學法律研究所碩士論文,2003年6月。
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17.雷蕾,價值判斷:理論與實際的平衡-論WTO法的國內適用問題,中國司法,2002年10月。
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19. 羅昌發,國際貿易法,元照,2010年。
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二、期刊論文
01. 何曜琛,WTO爭端解決裁決於國內法院的效力-兼評歐盟經驗對我國的借鏡,中華國際法與超國界法評論,第3卷第1期,2007年6月。
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03. 李貴英, WTO爭端解決報告於歐洲共同體法律體系內部之地位與效力:歐洲共同體法院與第一審法院所持立場,東吳法律學報第16卷第3期,2005年4月。new window
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05. 周緒華,我國WTO義務履行之國際法基礎-以米酒稅調降事件對美諮商為例,政大法學評論,第87期,2005年10月。
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08. 陳文真,由智利—劍魚案論環保貿易措施所引發之爭端:管轄權衝突之探討,政大法學評論第86期, 2005年8月。
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10. 陳純一,條約在海峽兩岸法律中的地位與適用,中國國際法與國際事務年報,第15期,2004年9月。
11. 陸樹槐,國際法與國內法之關係,法律評論,第26卷第10期,1960年10月。
12. 游啟忠,條約與協定美國國內法上之效力(九),法務通訊,第144期,1989年10月。
13. 游啟忠,條約與協定美國國內法上之效力(十),法務通訊,第1442期,1989年10月。
14. 黃異,從德國法制看國際法引入國內法領域的問題,臺灣海洋學報,第4卷第1期,2005年6月。new window
15. 黃澗秋,論WTO協定在國內法院的適用,社會科學,第9期,2001年9月。
16. 黃國昌,爭點效理論之細緻化--評最高法院96年臺上字第1782號判決,台灣法學雜誌108期,2008年7月。
17. 謝英士、林雅慧,未經任許外國法人智慧財產權之保護與「與貿易有關之智慧財產權協定」中最惠國待遇原則之適用-評台北地方法院九十五年度自字第一五六號暨台灣高等法院九十六年度上易字第一一七七號刑事判決,中華國際法與超國界法評論,第4卷第1期,2008年6月。new window
18. 馮震宇,從TRIPS規範看飛利浦特許實施案之爭議與影響,月旦法學雜誌第159號,2008年8月。

三、其他資料
1. 孔祥俊,WTO法律的國內適用,http://big5.china.com.cn/chinese/OP-c/88214.htm/,2010年1月7日。
2. 我國申請加入GATT ∕ WTO之歷史紀要,http://www.mofa.gov.tw/webapp/lp.asp?ctNode=1220&CtUnit=102&BaseDSD=7&mp=1/,2009年12月30日。
3. 李幸祥,試論我國實施WTO協議的幾個主要問題(2005年6月),http://www. wtolaw.gov.cn/,2009年12月30日。
4. 李廣民,國際法與國內法關係中日之比較,山東社會科學院,http://www.sdass.net.cn/sdass/webpublish/block.258.view.detail.newsdetail?key=844.
5.孫南申,從中國入世看WTO協議在中國法院的適用,http://www.lunwennet.com/ thesis/2003/7414.html/,2009年12月1日。



 
 
 
 
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