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  • 學位論文

多種最終用途之科技產品之同類產品審查 - 關於審查之適當順序與範圍之分析

Like Product Review on Technology Products serving Multiple End Uses – Analysis on the Proper Sequence and Scope of Conducting Review

指導教授 : 羅昌發

摘要


透過GATT以及WTO的實務運作,GATT 1994第1條第1項、第3條第2項第1段以及第3條第4項之同類產品(Like Product)審查已經發展出諸多審查要件與標準,有效確保該等規範能夠有效運作。爭端解決小組以及上訴機構經常仰賴貨品之物理性質(Physical Property and Nature)、最終用途(End Use)、消費者品味與習慣(Consumer Tastes and Habits)以及關稅分類(Tariff Classification)等作為審查標的的構成要件,以作為其判斷系爭產品是否為同類產品的指標。另外,透過潛在競爭關係(potential competition)以及「假設的同類產品(Hypothetical Like Product)」的概念,實務亦承認會員能夠提出未來將發生之事實以支持其同類產品之主張。上述發展能夠幫助我們了解系爭產品之間的競爭關係,作為後續要件審查之基礎。 然而,作為判定產品競爭關係之工具,同類產品審查的有效性在遇到能夠行使其他額外功能的科技產品時將會遭受挑戰。隨著科技的發展,特定科技產品透過新組件的裝載以把新科技納入其整體結構,將能夠行使額外的新功能。因為該等新功能得以讓科技產品和原本不具競爭關係的產品在市場之中互相競爭,原本既存的市場運作機制將會受到改變。另外,科技的快速發展將會使整體情況更顯複雜,蓋隨著新產品的快速上市,市場將會經常面臨迅速的變革。因科技發展所生之物理性質、最終用途與消費者品味與習慣審查之複雜化現象,會因而讓人對於現行的實務運作是否仍然能夠有效的對產品競爭關係作界定產生疑問。 就前述疑問,本論文認為要能夠在科技產品審查的脈絡之下維持同類產品審查之效能,就必須更新現行的審查方式進行。畢竟在現行實務運作下,GATT 1994第1條與第3條的相關爭端尚未涉及對科技產品之審查;另外,現行實務缺乏同類產品要件審查順序的處理方式,在遇到科技產品時,將會因其複雜性而容易作出恣意的認定,導致對系爭產品之間的競爭關係形成錯誤的認定。就前述情況,面對科技產品,應該針對同類產品的審查界定審查構成要件的順序,並就涉及未來將發生之事實的主張建構特別的審查方法。 本論文所提出的審查順序,在第一階段會涉及和物理性質與最終用途有關之議題。在過去,實務對於物理性質的審查多鎖定在特定關鍵特性,對於最終用途反而有相對較詳細的討論。然而,本論文認為在科技產品審查的脈絡下,這樣的審查方式是不妥的,蓋缺乏有效的審查架構將可能會有錯誤評估關鍵事實之重要性的缺失。正確的審查順序應是將物理性質與最終用途設定為第一階段的審查,將涉及這兩個要件的事實整合為一個「群組(group)」,以作為後續審查消費者品味與習慣之基礎,蓋後者的審查必須處理消費者如何看待落入該群組之兩個要件之事實的相關主張。產品之最終用途的擴張,固然是重要的問題,然而物理性質之異同亦不可忽略,蓋其對於消費者如何看待系爭科技產品亦會造成影響。在這一個階段,小組的審查應著重在發現事實,而非在於比較物理性質與最終用途之異同,因為該等特性的重要性必須基於消費者對於產品的觀點才能夠確立。 接下來,就消費者品味與習慣之審查,本論文認為該要件應被定位為同類產品第二階段的審查。這個階段的審查將會著重在消費者如何看待先前第一階段所發現之產品物理性質與最終用途,蓋這些事實均是有可能會對市場造成影響之資訊。另外,對於科技產品,爭端解決小組應當就消費者對於新科技的接受程度進行審查,並避免引用其他會員之市場狀況作為其論點之基礎。於此同時,小組議應了解到所謂的「主要最終用途」之主張,乃是落入消費者品味與習慣之範圍的主張。最後,若消費者會對產品採取額外的作為進行改裝會影響競爭關系之認定時,應將其納入考慮,以作為正確界定系爭產品物理性質與最終用的指引。 最後,有關未來將發生事實之主張,本論文認為韓國含酒精飲料案(Korea – Alcoholic Beverages)所建立的標準對於科技產品不適用,因為該案的判決並未交待、也無法交代科技產品會涉及的科技發展與市場發展的不確定性。本論文從假設的同類產品概念尋求指引,並進一步針對前述之不確定性補充論述。 基於前述之分析,本論文得出結論認為藉由對既有構成要件重新定位其審查順序與扮演的功能,並針對未來將發生事實之主張之審查補充其內涵,在科技產品的脈絡下,同類產品審查在認定科技產品與其他產品之競爭關係時仍然能夠保有其精確性與有效性。這樣的發展能夠讓長久以來確立下來的同類產品要件能夠因應當代貿易環境的挑戰,捍衛GATT 1994第1條與第3條作為嚇阻歧視性措施的核心規範,確保WTO之運作之規範的效能。

並列摘要


Through GATT and WTO practice, the development of criteria and standards for the review of Like Product under Articles I:1, III:2 first sentence and III:4 of the GATT 1994 has sufficiently ensure the effective review of these provisions. The criteria subject to review, namely Physical Property and Nature, End Use, Consumer Tastes and Habits and Tariff Classification, have been heavily relied upon by Panels and the Appellate Body in determining whether the products at issue are Like Products. Also, recognition of the acceptability of Future Claims under the concept of potential competition and Hypothetical Like Product has further expanded the range of claims that a Member may pursue in support of their position. These established practices provide support in understanding the competition relationship between the products at issue, serving as basis for the later stage of review. However, the effectiveness of the review of Like Product as a tool of determining competition relations may face challenges from technology products that have incorporated additional function. Through technology development, certain technology products may be able to perform additional functions by incorporating new technology into its overall structure, which may involve adding additional components into the technology product. Such an additional function may change the relevant market dynamics by making the technology product being able to compete with other products that were originally not a subject of competition. Furthermore, the speed of technology development further complicates the situation, as changes in the market will possibly occur more rapidly with every new product being developed. The complication of the review of Physical Property and Nature, End Use and Consumer Tastes and Habits due to the involvement of technology product may lead to the question on whether current practice may still be able to sufficiently identify competition relationships between the products. This thesis is of the view that the Like Product review requires renovation in order to maintain its effectiveness under the special context of Technology Product. After all, technology product has not yet been raised as an issue under the review of Articles I and III of the GATT 1994; also, due to the complexity of technology products, the lack of a sequence of review will lead to arbitrary rulings that will misconceive the actual competition relations of the products at issue. What is required is the establishment of a sequence of review that will properly address the special situation of technology products, and a new approach to Future Claims. For the actual review process, first, this thesis will address issues regarding Physical Property and Nature and End Use. In the past, the review of Physical Property involves only comparison of key characteristics coupled with detailed analysis on End Use. However, under the context of technology products, this thesis is of the view that such an approach is not appropriate, as the lack of proper review process may lead to misconduct of not allocating the proper weight to crucial facts. The conducting of review should allocate Physical Property and Nature and End Use as the first step of review, being utilized as a “group” that will serve as basis in evaluating Consumer Tastes and Habits, which will involve evaluation of how consumers perceive facts that fall within the scope of these two criteria. While the expansion of End Use is an important factor, similarities and differences in regards to Physical Property and Nature must also be taken into account, as it may also have an effect on consumers. At this stage, the Panel’s review should focus on identifying relevant facts, not making comparison between the claims in regards to Physical Property and Nature and End Use, because the significance of these characteristics may only be properly evaluated in light of Consumer Perception. Then regarding the second issue of Consumer Tastes and Habits, this thesis is of the view that this criterion should serve as the second step of review, which involves a comparison of consumer perspective based on the Physical Property and Nature and End Use previously identified, as it may be a source of information that may affect the market. Also, for technology products, a Panel must consider the level of acceptance of the new technology at issue, and refrain from referring to the market situation of other Members as basis for its reasoning. Panels must also understand that a claim of “Major End Use” of the products is a claim under the scope of Consumer Tastes and Habits. Finally, if there is an additional consumer action of modification that may affect competition relations, Panels must also take this fact into account, serving as guidance in properly locating the Physical Property and Nature and End Use of the products at issue. To the last issue regarding Future Claims, this thesis is of the view that the Korea – Alcoholic Beverages case is not applicable to technology products, as this case did not and cannot address uncertainties arising from technology development and the market development that is specific to technology products. This thesis finds guidance from rulings regarding Hypothetical Like Product, and provides further supplementation in order to address the issues of uncertainty under technology products. Based on the above analysis, the review of technology product may still be effective and precise in determining the competition relationship between the products under the context of technology products. This further development proposed will ensure the effectiveness of Article I and III of the GATT 1994 in deterring discriminating measures which is indispensible to the functioning of the WTO.

參考文獻


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