在生物科技蓬勃發展下，歐盟對基因改造產品（GMO）採取嚴謹的審核政策，其部分會員國甚且對歐盟已核准的產品實施防衛措施禁止其進口。導致積極發展農業生技的美國，在拓展歐洲市場受阻後，將其與歐盟的貿易爭端訴諸WTO場域。歐盟與美國的基改GMO產品爭端案經世界貿易組織WTO爭端小組判決(2006年9月)歐盟敗訴，不應遲延美國GMO產品進入歐盟的申請案，歐洲人著重之環保與人權等「歐洲價值觀」是否因GMO爭端案歐盟的敗訴而備受挑戰？對基因改造生物科技安全疑慮，是否在美國與歐盟的GMO爭端案中，有進一步的科學証據得以釐清？2000年「卡塔赫納議定書(Cartagena Protocol) 」在生物科技潛在風險的風險管理概念中，正式將「預防原則」理念納入，歐盟據以引用遭WTO爭端小組裁決不適用，是否象徵WTO作為國際典則(international regime)的侷限性？又新自由制度論者將WTO評估為國際法制化程度最高的國際典則，而本爭端案的判決執行發展，是否應證其有效性？從歐盟部分會員國的主觀因素，不願解除GMO禁令是否會改變歐盟法規對各會員國的拘束力？ 筆者提出三個假設: （1）歐盟會執行WTO的裁決；但會員國不一定遵行，易言之，新自由制度主義的運用有其缺陷；（2）在歐盟與WTO的互動中，新現實主義仍有其運用的有效性；(3）從歐盟在WTO爭端解決的判決案中，國際法制化的效力仍有斟酌之處。本文將驗證此三項假設。

Ever since the development of modern biotechnology, the EU has taken a more careful regulatory approach. The US, on the contrary, has largely adopted GMOs in agriculture. Thus differences of regulation and acceptance of GMOs between the US and the EU has led to a crucial trade dispute in the WTO framework. The European population is not fond of GMO products. Following the adoption of the WTO panel report on 21 November 2006, the three complainants (US, Canada and Argentina) and the EU agreed to engage in constructive discussions on the implementation of the WTO panel report. Following the expiry of the extended WTO panel report, the US decided to request the authorization to retaliate against the EU. However, the US and the EU reached a procedural agreement according to which arbitration on the level of the retaliation would be suspended until such time as a compliance panel would rule on the issue.
However, member States of EU have invoked the safeguard clause, banning various authorized GMOs from their territory. This paper analyzes the decision-making dynamics that led to such an outcome. It argues that the external pressures on the Member States and the Commission prevented deliberation and consensual solutions. Furthermore, the conflict between states and Commission is a testimony of the debates in International relations (IR) theory that the controversial issues between the neo-realists and the neo-liberals have defended their arguments. Neo-liberal institutionalism (NLI), with inter-disciplinary research, provides a different approach for us to understand international realities. As Robert O. Keohane suggests, NLI places more emphasis on ideas, rules, beliefs, and practice of international region such as WTO than Neorealist do. This article also would like to research the empirical evidence by building up relative ideas concerning global governance, legalization, practices and norms in WTO framework.

論文提要內容：	i
Abstract	ii
誌謝	iii
目錄	iv
表目錄	vii
圖目錄	viii
第一章 導論	9
第一節、研究動機與目的	10
第二節、研究方法	15
第三節、文獻回顧及資料來源	18
第四節、研究範圍與架構	22
第二章、WTO的建立、功能、運作及解決衝突的機制	25
第一節、WTO的建立、功能及運作	26
第二節、WTO爭端解決機制及程序	31
第三節、WTO機制的本質與法律屬性	36
第四節、WTO協定在歐盟之法效探討	38
第五節、WTO協定在美國之法效探討	40
第三章、歐盟與美國有關GMO貿易爭端之產生及發展	45
第一節、產生爭端的過程	46
第二節、爭端處理的發展	51
第四章、歐盟與美國產生生技爭端的根源—內在因素	73
第一節、歐盟與美國生技產業政策	73
第二節、歐盟與美國GMO管理觀念差異: “預防原則”與“可靠科學原則”	76
第三節、歐美GMO管制產品方式的差異:“管制產品的製造方法”與“管制產品本身”	77
第四節、歐美對消費者態度的差異:“強制性需標示”與“不強制產品標示”	79
一、歐盟以“強制性的特別標示”告知消費者	79
二、美國以“不強制標示”與一般產品相同	80
第五節、歐美各自內部要素的態度	81
一、歐盟境內GMO相關爭端案例	94
（一）、德國巴斯夫公司基改馬鈴薯案（4/19,2008）	94
（二）、上奧地利邦向歐盟初審法院（The Court of First Instance, CFI）提出GMO禁令案	94
（三）、法國公民Pierre Azelvandre向歐洲法院ECJ控告法國當地政府不提供基改作物資料案	95
二、美國境內GMO相關爭端案例	96
（一）美國農民控告美國拜耳公司基改水稻LLRICE601污染案（2006年8月）	96
（二）、美國農民對拜耳稻米污染案再提出合併審理案（2008年5月）	96
（三）、美國法院裁決禁種基改苜蓿（2007年5月）	96
（四）、美國境內進行公投禁種案	97
第五章、歐盟與美國產生生技爭端的根源—外在因素	99
第一節、科技因素	99
第二節、非政府組織NGO在歐美GMO爭端案的角色	103
第三節、全球化的衝擊	107
第四節、道德因素	109
第六章、WTO爭端解決小組對歐美基改產品爭端案的裁決	111
第一節  本案主要爭議	111
第二節 本案歐盟對GMO產品之進口法規及程序	116
第三節、WTO 爭端小組對歐美基改產品爭端案的裁決及歐盟之執行	121
一、爭端小組的裁決（包含主要裁決、個別產品部份及歐盟會員國的防衛措施(Safeguard Measures)部分）	122
二、WTO爭端解決小組裁決歐盟所違反的條款	125
三、本案件涉及的主要法律層面問題	125
四、彙整列表爭端解決小組裁決內容及歐盟之執行	127
第四節、GMO案後續美國的策略評估	134
第七章、WTO機制解決歐盟與美國爭端案的成效	137
第一節、影響WTO裁決的因素	138
第二節、歐盟對WTO裁決的態度及執行成效	145
一、影響歐盟執行成效的因素	146
二、歐盟實際執行的成效	146
第三節、爭端解決小組裁決後美國對歐盟之後續執行成效，美歐雙方的辯論	149
第四節、美國貿易代表署關於GMO的具體行動	152
第五節、WTO對歐美基改產品爭端案裁決的執行總體成效評估	153
第八章、評估及展望	163
第一節、理論評估	163
一、WTO爭端解決機制與新自由制度主義之“制度”與“典則”	163
二、論文三項假設的評估	166
（1）	歐盟會執行WTO的裁決，而會員國不一定遵行；易言之，新自由制度主義的運用有其缺陷。	166
（2）	在歐盟與WTO的互動中，新現實主義仍有其運用的有效性。	166
（3）	從歐盟在WTO爭端解決的判決案中，國際法制化的效力仍有斟酌之處。	166
第二節、歐美基改產品爭端案的可能發展	169
第三節、生技議題與全球化	172
第四節、展望	175
第九章、結論	178
參考文獻	188
中文文獻	188
(一) 書籍	188
（二）期刊論文	188
英文文獻	189
名詞中英對照	194

表一 【裁決結果】WTO爭端裁決小組判決歐盟對美國21項GMO產品申請核准有不當遲延（違反SPS協定附件C(1)(a) 第一段及第8條規定）	57
表二 【美國GMO產品申請進口程序遭不當遲延內容】	59
表三 歐盟成員國奧地利、法國、德國、希臘、義大利及盧森堡等禁止GMO產品進口與銷售係違反WTO的SPS協定5.1條及2.2條及與5.7條不一致	61
表四 依據Council對GMO產品的投票區分各會員國的態度	69
表五 依據Directive 90/220指令核准釋出的GMO產品	104
表六 【裁決結果的執行--玉米類】	128
表七 【裁決結果的執行--油菜類】-基因改造油菜類	129
表八 【裁決結果的執行--棉花類】- 基因改造棉花類	130
表九 對六會員國以防衛條款實施GMO進口禁令的【裁決結果】	131
表十 對六會員國應取消GMO禁令的裁決結果的【執行】	132

圖一  研究架構圖	1
圖二  基改玉米值入蘇力菌蛋白	102

中文文獻
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69.	Regulation (EC) No 258/97 of the European Parliament and the council of 27 January 1997 on novel food and novel food ingredients﹐Official Journal of the European Communities﹐L 043/1-6
70.	Robert O.Keohane and Joseph S.Nye(2002), Power and Interdependence: World Politics in Transition(Boston:Litte,Brown and Co.)
71.	Robert O.Keohane(1989), “International Institutions and State Power: Essays in International Relations Theory (London: Westview Press) 
72.	Robert O.Keohane(1995), “International Institutions: Two Approaches,”International Security, Vol20, No.1.
73.	Roert O.Keohane & Lisa Martin(1995), “The Promise of International Institutions” no. 1.
74.	Rousseau, Jean-Jacques (1917), “State of War” in A Lasting Peace through the Federation of Europe (London: Constable)
75.	Sachio Nikaido(2008), Toshio Kawamura and Hiroshi Ikematsu , “U.S. shift to GM crops hits home / Trading houses struggle to buy soybeans that don't alarm consumers”, Yomiuri Shimbun Publication.
76.	Sara J. MacLaughlin, “Food for The Twenty-First Century: An Analysis of Regulations for Genetically Engineered Food in The United States, Canada, and The European”, Indiana International and Comparative Law Review, 2003, P. 390-391 
77.	Smith, Adam, Wealth of Nations, ed. R.H. Cambell and A.S Skinner (Oxford: Oxford University press,1776/1976)
78.	State of play on GMO authorisations under EU law﹐MEMO/03/221﹐Brussels, 7 (2003).
79.	Stephan Haggard and Sylvia Maxfield (1996), “ The Political Economy of Financial internationalization in the Developing World”
80.	Stephen Lendman (2009), “Unsafe Genetically Modified Food GMO Prikiferation Bills in the US Congress ”, Bal Research.ca for Research on Globalization.
81.	Tomer Broude(2007), “Genetically modified rules: the awkward rule-exception-right distinction in EC-Biotech”, World Trade Review, 6:pp.215-231 Cambridge University Press.
82.	“U.S. vs. EU : an examination of the trade issues surrounding genetically modified food.” Pew Initiative on Food and Biotechnology, 2003, pp. 35.
83.	UN biosafety conference agrees in principle on liability deal”, by DPA (2008)
84.	“US Plan To Tolerate Unapproved GMOs In Crops Draws Concern”, Publication: Dow Jones, (2009).
85.	Waltz, Kennth(1959), “Man, the State, and War” (N. Y. Columbia university press)
86.	William Surman(2008), “Trials to begin on GM potatoes”,FARMERS GUARDIAN.
87.	Yves Tiberghien (2007), “Divesting Power-EC comitology and GMO Approvals”,, Markp Papic University.
 
WTO英文網站
1.	EU ministers fail to approve 5 GM crops, commission likely to do so”Publication: EUObserver.com, February 19, 2008  http://euobserver.com/ 
2.	Farmers Worry About Genetically Modified Rice Approval”Authorship: WASHINGTON, DC, May 21, 2007 (ENS)  http://europa.eu.int/comm/food/dyna/gm_register/index_en.cfm
3.	Germany Bans Cultivation of GM Corn, SPIEGEL”, 2009/4/16.
4.	http://www.spiegel.de/international/germany/0,1518,618913,00.html
5.	ISAAA(International Service for the Acquisition of Agri-Biotech Application) 發表的商業性基改食品全球現狀Clive James , “Executive Summary of Global Status of Commercialized Biotech/GM Crops”, ISAAA Briefs41-2009 , ISAAA(2009) Ithaca, NY.。
6.	Syngenta does not market BT-11GE maize in the EU: Consumer resistance puts GM com on hold”, Press release of EurActiv 25 May 2004. Can be found at : http://www.euractiv.com/cgi-bin/cgint.exe/1185812-30？1&1011=index
7.	World Trade Panel Sides with Biotech Food Producing Countries Authorship”,GENEVA, witzerland, February 9, 2006 (ENS) http://ens-newswire.com/ens/feb2006/2006-02-09-02.asp
8.	WTO官方網站 http://www.wto.org/English/tratop_e/dispu_e/dispu_by_country_e.htm
9.	美國國際商會 http://www.americamember.org/usa/agriculture.htm
 
名詞中英對照
世界衛生組織（World Health Organization, WHO）
卡特赫那議定書（Cartagena Protocol）
地球之友（Friends of the Earth Europe）
有機貿易協會(The Organic Trade Association)
爭端解決規則與程序了解書(Understanding on Rules and Procedures Governing the Settlement of Disputes, DSU)
科學家關懷聯盟(the Union of Concerned Scientists)
美國國家研究委員會（U.S. National Research Council）
美國國家科學院（U.S. National Academy of Science）
食物與飲水監管聯盟(Food and Water Watch)
食品藥物局(Food and Drug Administration, FDA)
消費者聯盟（Consumers Union）
歐洲食品安全管理局(European Food Safety Authority, EFSA)
歐盟初審法院（The Court of First Instance, CFI）
歐盟食品和飲料業聯盟(the Confederation of EU Food and Drink Industries, CIAA)
聯合國世界農糧組織（Food and Agriculture Organization of the United Nations, FAO）及經濟合作暨發展組織(Organization for Economic Co-Operation and Development, OECD）