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題名:論國際貨幣基金之附條件在國際法上之實踐──以集體行動理論為分析架構
作者:江念慈 引用關係
作者(外文):CHIANG, NEIN-TSU
校院名稱:東吳大學
系所名稱:法律學系
指導教授:余雪明
王煦棋
學位類別:博士
出版日期:2014
主題關鍵詞:國際貨幣基金附條件財政援助計畫新港學派政策取向法律經濟分析集體行動理論IMFconditionalitylending toolkitNew Haven Schoopolicy-orientedlaw and economics approachtheory of collective action
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本文運用新港學派(New Haven School)之政策取向法學(policy-oriented jurisprudence)對國際貨幣基金(IMF)附條件(conditionality)進行探討,將附條件之修訂過程視為全球性權威決策過程之一部分。
IMF附條件之爭議由來已久,IMF亦持續以具體行動屢次回應爭議,例如修改財政援助機制,放寬附條件,修訂《附條件指導方針》(Guideline of Conditionality)等。在1945年設立之時,IMF係為協助促進世界經濟的健全,避免國際支付系統之危機,及提供會員國金融援助以面對收支平衡問題。1980年代初期,IMF附條件多集中於總體經濟政策。其後,結構性附條件日趨複雜且範圍擴大,反映在有嚴重結構性問題阻礙其經濟之穩定及成長之低收入國家。
近年來,IMF在處理會員國結構性經濟改革所涉之問題,其方式已變得更加靈活。《1979年附條件指導方針》經全面性檢討之後,於2002年進行大修。在2009年3月,IMF進一步將附條件現代化,以防範並化解危機。此外,要求必須正式豁免之結構性績效標準亦被取消。從《2002年附條件指導方針》實施以來,IMF每二年進行一次附條件之檢討(review),分別於2004-2005年、2007年、2009年、2011年及2013-2014年一共進行五次。附條件乃IMF財政援助之核心內容,實有必要重新審視附條件之改革方向。本文從法律角度,探討IMF財政援助機制中附條件之演變歷程。
以經濟學為分析工具來探討國際組織立法政策之文獻不在少數,且已發展成獨立學門,稱之為「國際政治經濟學」。國際政治經濟學其研究途徑主要有二:一為研究國際事務中之政治(國家)與經濟(市場)之互動關係,以政治學者為主;二為以經濟學之方法研究國際政治,則以經濟學者為主。而法學界,以法律經濟分析為研究途徑,特別是以集體行動理論作為國際組織法之分析架構而發表之文獻,在美國法學界為數甚多,惟台灣法學界則尚未出現類此論文。本文試以集體行動理論作為國際組織法之分析架構,並從IMF附條件之修訂過程討論IMF之決策機制。
In this paper, a policy-oriented jurisprudence of New Haven School is applied to inquiries about the conditionality of IMF Lending, and the process revised “Guideline of Conditionality” is regarded as a part of the global process of authoritative decision.
The IMF conditionality has a long dispute. IMF continued to respond to repeated disputes with specific actions, such as modifying lending facility to relax loan conditions, revised “Guideline of Conditionality.” Created in 1945, the IMF was designed to help promote of the world economy, preventing crises in the International payment system and providing financial assistance to its members to face balance of payments problems. In the early 1980s, IMF conditionality largely focused on macroeconomic policies. Subsequently, the complexity and scope of structural conditions increased, reflecting in low-income countries, where severe structural problems hampered economic stability and growth.
In recent years, the IMF has become more flexible in the way it engages with countries on issues related to structural reform of their economies. The 1979 guidelines on conditionality were revised in 2002 following an extensive review. In March 2009, the IMF further modernized its conditionality framework in the context of a comprehensive reform to prevent and resolve crises. Moreover, structural performance criteria requiring formal waivers were abolished. Since the implementation of the 2002 Guideline of Conditionality, IMF conditions biennial review conducted in 2004-2005, 2007, 2009, 2011 and 2013-2014. IMF conditionality as the core aspect of IMF Lending is focused, and it is necessary to reexamine the direction and contents of the reform. This paper describes, from the legal aspects, the changes of conditionality in IMF lending framework.
There have been a large amount of periodicals exploring the legislative policy of international organizations through the perspective of economics. The effort they made helps bring about a distinct field called International Political Economy (IPE), the two primary approaches of which include the one focusing on mutual relationships between States (politics) and Market (economy) and the other dealing with the international politics in an approach of economics. In the academia of legal studies, there has also been voluminous research in the U.S. choosing the law and economics approach, especially concerning the theory of collective action. This, however, is not the case in Taiwan. My paper aims to examine the law of international organizations in terms of the theory of collective action and probe into the decision-making mechanism in the International Monetary Fund (IMF).
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陳抗,三個和尚一定沒水喝嗎?書摘Digest,2002年第8期,頁64-66,2002年8月。
陳進安,IMF與亞洲金融危機,中國商銀月刊,第18卷第2期,頁1-25,1999年2月。
馮震宇,知識經濟時代之智慧財產權問題與挑戰,經社法制論叢,第30期,頁81-120,2002年7月。
鄂曉梅,析IMF附條件的法律效力,法學評論,2002年第5期,頁36-42,2002年5月。
傅恆德,集體行動的整合理論:理性選擇和心理動機理論,東海學報,第37卷第5期,頁107-132,1996年7月。new window
溫樹英、馮麗,國際貨幣基金組織附條件改革的法律分析,山西大學學報(哲學社會科學版),第29卷,第4期,頁39-44,2006年4月。
彭百顯,國際貨幣基金組織的創設與體制──兼論台灣與基金組織之關係,新世紀智庫論壇,第50期,頁55-94,2010年6月。
   ,國際貨幣基金組織的業務功能與改革,新世紀智庫論壇,第51期,頁55-94,2010年9月。
廖培珊、尹慶春、章英華,調查資料之三角交叉分析:以大學社區生活品質之評估為例,調查研究,第11輯,頁105-131,2002年4月。new window
葉代芝,台灣大廠專利數 不敵三星一家,商業周刊,第1240期,頁142- 146,2011年8月29日。
歐陽承新,東南亞金融危機問題—從東亞金融危機評IMF的救援指導方針,經濟前瞻,70期,頁64-70,2000年7月。
蔡增家,南韓經濟發展的政治經濟分析:1963-1997,問題與研究,第37卷第11期,頁29-48,1998年11月。new window
   ,金大中金融改革與南韓政經體制的轉變,問題與研究,第40卷第6期,頁39-63,2001年9、10月。
   ,超越發展國家論:九七金融風暴與南韓政經體制的轉變,問題與研究,第44卷第4期,頁75-100,2005年7、8月。
劉雨芬,IMF 近期之融資與治理改革,國際金融參考資料,第57輯,頁115-125,2009年6月。new window
劉雨芬、游淑雅、廖俊男,國際貨幣基金及其融資功能,國際金融參考資料,第53輯,頁65-73,2007年6月。new window
繆心毫,世界銀行與國際貨幣基金組織財政援助交叉條件的法律分析,現代法學,第32卷第5期,頁104-111,2010年5月。
藺捷,金融危機背景下IMF貸款條件性改革,國際商務研究,2011年05期,頁37-48,2011年5月。
(三) 專書論文
彭百顯,國際貨幣基金,載:聯合國專門機構:體制、功能與發展,台北:新學林出股份有限公司,頁159-189,陳隆志、陳文賢主編,2009年12月。
(四) 研討會論文及研究報告
呂秋遠,馬來西亞金融改革之政治經濟分析,第二屆全國東南亞研究論文研討會,2000年。
施文真,國際經濟法下之「附帶條件」與「交叉附帶條件」:起源、發展、法律性質、以及其對於國際經濟主權之影響」(精簡報告),行政院國家科學委員會專題研究計畫(計畫編號:NSC93-2412-H-004-068-),2005年。
___,論國際貨幣基金會之治理改革──以決策機制為主要焦點,第十一屆國際經貿法學發展學術研討會,2011年3月。
(五) 學位論文
呂秋遠,亞洲金融危機的政治經濟分析,國立台灣大學政治研究所博士論文,2004年。new window
林文斌,日本、韓國、台灣金融體制改革的比較政治經濟分析,國立台灣大學政治研究所博士論文,2006年。new window
劉勝題,國際銀團財政援助法律風險分析及控制,華東政法學院國際法博士論文,2005年。
二、外文文獻
(一) 書籍
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___, The Political Economy of Intellectual Property Law, Washington, D.C.: The AEI Press (2004).
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Mayer, Wolfgang & Alex Mourmouras, IMF Conditionality: An Approach Based on the Theory of Special Interest Politics, 3 REV. INT’L ORG.105-121 (2008).
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___, The Future of the WTO: From Authoritarian ‘Mercantilism’ to Multilevel Governance for the Benefit of Citizens?, 6(1) ASIAN J. WTO & INT’L HEALTH L. & POLICY 45-80 (2011).
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(三) 專書論文
Abbott, Kenneth W. & Duncan Snidal, Why States Act through Formal International Organizations, in THE POLITICS OF GLOBAL GOVERNANCE, 27-68, Boulder: Lynne Rienner (Paul F. Diehl & Brian Frederking eds., 3rd ed., 2005).
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Bird, Graham, Relationships, Resource Uses and the Conditionality Debate, in THE QUEST FOR ECONOMIC STABILISATION: THE IMF AND THE THIRD WORLD, 321-331, London: Gower (Tony Killick ed., 1984).
Boughton, James M., Ownership and Conditionality in IMF-Supported Programs, in GLOBALIZATION AND THE NATION STATE, THE IMPACT OF THE IMF AND WORLD BANK, Routledge Studies in the Modern World Economy, London: Routledge Taylor and Francis Group (Gustav Rains, J. R. Vreeland & S. Kosack, 2005).
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Dell, Sidney, The Political Economy of Overkill, in IMF CONDITIONALITY, 17-46, Washington, D.C.: Institute for International Economics (John Williamson ed., 1982).
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Gold, Joseph, The Group of Five in International Monetary Arrangements, in CONTEMPORARY PROBLEM OF INTERNATIONAL LAW: ESSAY IN HONOUR OF GEORG SCHWARZENBERGER ON HIS EIGHTIETH BIRTHDAY, 86-115, London: Steven & Sons Ltd. (Bin Cheng & E. D. Brown, 1988).
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Mecagni, Mauro, the Causes of Program Interruptions, in ECONOMIC ADJUSTMENT IN LOW-INCOME COUNTRIES, 215-276, Washington, D.C.: International Monetary Fund (Bredenkamp, H. & Schadler, S. eds., 1999).
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___, The Political Economy of the International Monetary Fund: A Public Choice Analysis, in THE POLITICAL ECONOMY OF INTERNATIONAL ORGANIZATIONS: A PUBLIC CHOICE APPROACH, 204-244, Boulder, Co.: Westview Press (R. Vaubel & T. D. Willett eds., 1991).
(四) 研討會論文或研究報告
Abdildina, Zhanar & Jaramillo-Vallejo Jaime, Streamlining Conditionality in Bank and Fund Supported Programs, DEVELOPMENT POLICY FORUM-CONDITIONALITY REVISITED, Washington, D.C.: World Bank (2004).
Buiter, William H., Country Ownership: a Term Whose Time Has Gone, DEVELOPMENT POLICY FORUM--CONDITIONALITY REVISITED, Washington, D.C.: World Bank (2004).
Checkel, Jeffrey T., Compliance and Conditionality, ARENA WORKING PAPERS 00/18, Oslo University (2000).
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Conway, Patrick, Endogenous IMF Conditionality: Theoretical and Empirical Implications, unpublished manuscript, University of North Carolina, Chapel Hill (2003).
Dhonte, Pierre, Conditionality as an Instrument of Borrower Credibility, PAPER ON POLICY ANALYSIS AND ASSESSMENT OF THE IMF 97/2 (1997).
Diwan, Ishac & Dani Rodrik, Debt Reduction, Adjustment Lending, and Burden Sharing, NBER WORKING PAPER 4007 (1992).
Diz, Adolfo C., The Conditions Attached to Adjustment Financing; Evolution of the IMF Practice, THE INTERNATIONAL MONETARY SYSTEM: FORTY YEARS AFTER BRETTON WOODS, Conference Series No.28, Federal Reserve Bank of Boston (1984).
Doucouliagos, Hristos & Paldam, Martin, Conditional Aid Effectiveness: A Meta Study, University of Aarhus, Working Paper, no. 2005-14 (2005).
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___, Conditionality and Ownership in IMF Lending: A political economy approach, CEPR DISCUSSION PAPER 3562 (2002).
Drazen, Allan & Stanley Fischer, Conditionality, Selectivity and IFI Lending, paper prepared for presentation at THE CONFERENCE IN THE MEMORY OF MICHAEL BRUNO, JERUSALEM (November 23-24, 1997).
Drazen, Allan & Peter Isard, Can Public Discussion Enhance Program Ownership? IMF WORKING PAPER, WP/04/163, D.C.: IMF (2004).
Dreher, Axel, the Development and Implementation of IMF and World Bank Conditionality, HWWA DISCUSSION PAPER 165, Hamburg: HWWA (2002).
Dreher, Axel & Jan-Egbert Sturm, Do IMF and World Bank Influence Voting in the UN General Assembly? WORKING PAPERS 06-137, KOF Swiss Economic Institute (2005).
Edwards, Martin S., Crime and Punishment: Understanding IMF Sanctioning Practices,” unpublished manuscript, Rutgers University (2001).
___, “Sticking with Yes: Domestic institutions and IMF compliance, unpublished manuscript, Rutgers University (2001).
Edwards, Sebastian, The International Monetary Fund and the Developing Countries: A Critical Evaluation, CARNEGIE-ROCHESTER CONFERENCE SERIES ON “PUBLIC POLICY: IMF POLICY ADVICE, MARKET VOLATILITY, COMMODITY PRICE RULES AND OTHER ESSAYS,” North-Holland: 7-68 (1989).
Federico, Giulio, IMF Conditionality, Nuffield College, mimeo (2001).
Gai, Prasanna & Nicholas Vause, Sovereign Debt Workouts with the IMF as Delegated Monitor -- A common agency approach, BANK OF ENGLAND WORKING PAPER 187 (2003).
Goldstein, Morris, IMF Structural Programs, paper prepared for THE NBER CONFERENCE ON “ECONOMIC AND FINANCIAL CRISIS IN EMERGING MARKET ECONOMIES,” mimeo (2000).
Grabbe, Heather, A Partnership for Accession? The Implications of EU Conditionality for the Central and East European Applicants, ROBERT SCHUMAN CENTRE WORKING PAPER 12/99, San Domenico di Fiesole (FI): European University Institute (1999).
Hajro, Zlata & Joseph P. Joyce, A True Test: Do IMF programs hurt the poor?” WELLESLEY COLLEGE DEPARTMENT OF ECONOMICS WORKING PAPER #04-01 (2004).
Haque, Naadem Ul & Moshin S. Khan, Do IMF-Supported Programs Work? A survey of the cross-country empirical evidence, IMF WORKING PAPER 98/169 (1998).
Heckelman, Jac & Stephen Knack, Political Institutions and Market-Liberalizing Policy Reform, mimeo. (2005)
Hillman, Arye L. & Miriam Krausz, Corruption and International Financial Institutions’ Lending and Renegotiation Policies, mimeo. (2005)
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IMF Annual Report 2008, Washington, D.C.: IMF.
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IMF ANNUAL REPORT 2010, Washington, D.C.: IMF.
IMF ANNUAL REPORT 2011, Washington, D.C.: IMF.
IMF ANNUAL REPORT 2012, Washington, D.C.: IMF.
IMF ANNUAL REPORT 2013, Washington, D.C.: IMF.
Oatley, Thomas & Jason Yackee, Political Determinants of IMF Balance of Payments Lending: A Curse of Carabosse? WORKING PAPER, University of North Carolina at Chapel Hill (2000).
Paloni, Alberto & Zanardi, Maurizio, Reconciling Borrower Ownership with Conditionality in a Dynamic Political Economy Model, presented at THE HWWA CONFERENCE “THE POLITICAL ECONOMY OF AID” (2004).
Report of the Executive Board to Board of Governors, Proposed Third Amendment of the Articles of Agreement of the International Monetary Fund, Washington, D.C.: IMF (1990).
Report of the International Financial Institution Advisory Commission, International Financial Institution Advisory Commission (IFIAC), Washington, D.C.: U.S. Government Printing Office (2000).
Steinki, Bernhard & Wolfgang Bergthaler, Recent Reforms of the Finances of the International Monetary Fund: An Overview, 3(3) EURO. Y.B. INT’L ECO. L. (EYIEL) 652-654 (Herrmann C. & Terhechte J. P. eds., 2012).
Zulu, Justin B. & Saleh M. Nsouli, Adjustment Programs in Africa: The Recent Experience,” IMF OCCASIONAL PAPERS 34, Washington, D.C.: IMF (1985).
(五) 學位論文
Garcia, Gabriel, IMF Conditionality and Rule of Law: Exceptional Powers and Banking in Malaysia and Venezuela, Ph.D. thesis, Faculty of Law, University of Wollongong (2009).
Ivanova, Anna, IMF Conditionality and Implementation of IMF-Supported Programs, Thesis for the degree of Ph.D. (Economics), the University of Wisconsin-Madison (2003).
三、網路資料
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