Three Essays on Digital Trade

학위논문(박사)--서울대학교 대학원 :국제대학원 국제학과(국제통상전공),2019. 8. 안덕근.Digital technologies have transformed the pattern of international trade into digital one. This thesis defines digital trade as cross-border transactions of goods and services through electronic means including cross-border data flows. Against this backdrop, it aims at finding ways to accommodate digital trade liberalization under the current world trading regime led by the World Trade Organization (WTO). To begin with, it is paramount to establish the principle of technological neutrality in order to render cross-border trade in digital services subject to a rules-based international regulatory framework. Several outstanding digital trade issues in the WTO Work Programme on Electronic Commerce may be addressed by the principle. For instance, it becomes clear that GATS rules are applicable to services delivered online. Moreover, it plays a pivotal role in determining likeness between conventional services and electronically-delivered services, which is crucial for non-discrimination analysis. Last but not least, the principle provides for an important theoretical ground to interpret GATS schedules in a flexible manner as technology advances. The issue of technological neutrality was raised both in US – Gambling and China – Audiovisuals. Yet panels and the Appellate Body avoided their rulings on the issue. It was attributed to the fact that consensus was not reached among WTO Members over the principle and the matter at issue was sensitive cultural products. However, it is of great importance to firmly establish the principle of technological neutrality to secure predictability and legal certainty under the world trading regime. In this light, this thesis proposes ways to incorporate the principle of technological neutrality into the multilateral regulatory framework at the bilateral, plurilateral, and multilateral levels. The seamless transfer of data across borders is indispensable for digital trade liberalization. Nonetheless, restrictive measures on cross-border data flows (CBDF) are rising around the world, hampering trade in digital services. This thesis also examines this issue from legal and economic perspectives. Domestic restrictions on CBDF can be categorized into: horizontal and sectoral approaches by the scope of regulation; location-based and risk-based approaches by the conditions of regulation. The econometric analysis using the gravity model and Digital Trade Restrictiveness Index (DTRI) as a main variable shows that restrictions on CBDF not only serve as digital trade barriers but also impede technological innovation, discouraging the exports of services. Moreover, services trade flows are limited between trading partners with heterogeneous data policies. It necessitates an internationally agreed regulatory framework for data flows. Issues relevant to CBDF should be addressed in the WTO, the most unique multilateral institution governing international trade affairs. This thesis proposes several suggestions to facilitate the free movement and usage of data: scheduling horizontal commitments allowing CBDF; adopting a data-differentiated approach; stablishing minimum standards for personal data protection; and elaborating the language of legitimate public policy objectives. It is the audiovisual service sector that is undergoing significant changes due to the development of computer technology and information communication technology. The distinction between computer and related services, telecommunication services, and audiovisual services, which are rather clear in the GATS classification scheme, has increasingly blurred due to technological convergence. Although the cross-border transaction of over-the-top (OTT) video streaming services through digital networks are rapidly growing, the old GATS classification scheme produces more confusion. Different views between the European Union (EU) and the United States (US) on market opening for audiovisual services have led to a clash over the OTT video streaming sector. This thesis examines the negotiation strategies of the two powerhouses with respect to OTT video streaming services and draws lessons for Korea. The EU takes a negotiation strategy to strictly distinguish broadcasting from telecommunication services or computer and related services and to carve out audiovisual services from trade talks in the name of exception culturelle. In the meantime, the EU imposes content quotas on all types of OTT video streming services. It is conceivable that, during services negotiations, the EU is to classify OTT video streaming services as audiovisual services, taking the sector off the negotiation table. On the other hand, the US has been an ardent supporter of trade liberalization in audiovisual services. It is found that the US tries to break down audiovisual services into content production and transmission componentes, then pursuing a great extent of liberalization in a transmission-related aspect of audiovisual services. Furthermore, it came up with new categories of information services and other communication services, which possibly include OTT video streaming services at the Doh Round. Recent US domestic media governance reforms separate non-linear services from linear services to take a laissezfaire approach toward non-linear OTT video streaming services. It is envisaged that the US is to take a negotiation strategy of separating OTT video streaming services from audiovisual services, requesting full commitments to a negotiating counterpart. Korean trade negotiators and media policymakers should be aware of these differences in negotiation strategies of the EU and the US to respond properly. On top of that, trade policies with respect to the cultural industry must be led in the direction of effectively promoting the competitiveness of Korean cultural industries. There is a mounting concern on digital trade-restrictive measures around the globe as the size of digital trade and economic repercussion are growing. Thus the importance of an international regulatory framework governing digital trade is getting highlighted. The rules and disciplines of the WTO established in the analogue age, however, are not perfectly suitable for digital trade liberalization. The WTO has launched, in a right time, plurilateral negotiations on trade-related aspects of electronic commerce to deal with digital trade-relevant issues. We hope this thesis contribute to reinforcing the predictability and legal certainty in the world trading regime with regard to digital trade by helping interpret traditional trade rules in a flexible way and make up any deficiency.디지털기술의 발달로 국제무역의 양상이 디지털무역 중심으로 변모하고 있다. 본 논문에서는 디지털무역을 국경간 데이터 이전을 포함하여 전자적 수단을 통해 이루어지는 상품 및 서비스의 국경간 거래로 폭넓게 정의한다. 이를 바탕으로 세계무역기구(WTO)를 중심으로 한 다자통상체제 내에서 디지털무역 자유화를 이루기 위한 방안을 모색한다. 디지털서비스의 국경간 무역을 법의 지배에 기초한 국제통상규범으로 규율하기 위해서는 기술중립성 원칙을 우선적으로 확고히 정립해야 한다. 기술중립성 원칙을 통해 그동안 WTO 전자상거래 작업계획에서 논의되었던 디지털무역의 쟁점을 상당부분 해소할 수 있다. 우선, 전자적 수단을 통해 전송되는 서비스에 서비스무역협정(GATS)을 적용할 수 있다는 점이 분명해진다. 또한 비차별원칙의 적용에 앞서 전통적 수단으로 제공되는 서비스와 전자적으로 전송되는 서비스간 동종성 판단이 가능해진다. 마지막으로 GATS 양허표를 기술발전에 따라 유연하게 해석하는데 있어 중요한 이론적 근거가 확립된다. US-Gambling 사건과 China-Audiovisuals 사건에서 기술중립성이 쟁점으로 제기되었지만 WTO 의 패널과 상소기구는 기술중립성 원칙에 대한 판단을 유보하였다. 기술중립성 원칙에 대해 WTO 회원국 사이에 컨센서스가 형성되지 못하였고 문화상품이라는 민감한 내용이 사건에서 다루어졌기 때문인 것으로 풀이된다. 그러나 디지털 시대에 적용되는 국제통상규범의 예측가능성 및 법적 확실성을 확보하기 위해서는 기술중립성 원칙이 무엇보다 중요하다. 이에 본 논문은 양자간 차원, 복수국간 차원, 다자간 차원 등을 통해 국제통상체제 내에 기술중립성 원칙을 정립하는 방안을 제안한다. 디지털무역 자유화가 이루어지기 위해서는 자유로운 국경간 데이터 이전이 필수적이다. 그러나 전세계적으로 국경간 데이터 이전을 필요이상으로 제한하는 조치가 취해지고 있어 디지털무역이 저해되는 문제가 발생한다. 본 논문의 두번째 장에서는 이에 대한 통상법적, 경제적 분석을 진행한다. 각국의 국경간 데이터 이전 제한조치는 규율 범위에 따라 일반적 접근방식과 분야별 접근방식으로 구분할 수 있으며 규정의 조건에 따라 지리적 기반 접근방식과 위험 기반 접근방식으로 구분할 수 있다. 중력모형과 디지털제한지수를 주요 변수로 사용한 계량분석 결과, 국경간 데이터 이전 제한조치가 디지털무역장벽으로 작용할 뿐만 아니라 기술혁신을 저해하여 서비스의 수출을 감소시키는 것으로 나타났다. 또한 상이한 데이터 규제수준을 유지하는 국가간에는 상대적으로 서비스무역량이 적은 것으로 나타나 데이터 이전에 관해 국제적으로 통일된 규범체계가 필요할 것으로 보인다. WTO 는 국제무역분야의 유일한 다자기구이므로 국경간 데이터 이전 규범도 WTO 체제 내에서 다루어져야 한다. 자유로운 데이터 이전과 활용을 촉진하는 국제통상규범을 제정하기 위해 본 논문은 GATS 수평적 양허에 국경간 데이터 이전을 기재하는 방안, 데이터 종류에 따라 서로 다른 수준으로 데이터 이전을 허용하는 방안, 최소한의 개인정보보호 국제표준을 제정하는 방안, 데이터 제한조치가 허용되는 예외적인 경우로서 적법한 공공정책 목적을 구체화하는 방안을 제시한다. 컴퓨터기술과 정보통신기술의 발전으로 가장 큰 변화를 겪고 있는 서비스 분야가 시청각서비스 분야이다. GATS 서비스 분류체계에서는 명확히 구분되는 컴퓨터및관련서비스, 통신서비스, 시청각서비스의 구별이 융복합기술의 발달로 점점 모호해지고 있다. 특히 전통적인 방송매체를 활용하지 않는 국경간 온라인 동영상제공서비스(OTT 동영상서비스)가 급속도로 성장하고 있지만 WTO/GATS 체제 내에서는 이에 대한 분류가 명확하지 않아 혼란이 가중되는 상황이다. 특히 시청각서비스 자유화에 대한 EU와 미국의 전통적인 입장 차이가 OTT 동영상서비스의 시장개방을 둘러싼 논의로 이어지고 있다. 본 논문은 OTT 동영상서비스 분야에서 EU 와 미국의 협상전략을 파악하고 우리나라에 대한 시사점을 도출한다. EU 는 우루과이라운드 이후 줄곧 컴퓨터서비스 또는 통신서비스와 방송서비스를 엄격히 구분하고 문화예외를 내세워 시청각(방송)서비스를 무역협상 논의에서 제외하는 협상전략을 펴고 있다. 또한 EU 는 모든 유형의 OTT 동영상서비스에 국내영상물 쿼터를 부과한다. 이를 토대로 볼 때, EU 는 향후 협상에서도 OTT 동영상서비스를 시청각(방송)서비스로 간주하여 이를 양허하지 않는 전략을 취할 가능성이 크다. 이에 반해, 미국은 시청각서비스의 자유화를 적극 옹호하는 입장으로 시청각서비스를 영상물 제작과 전송으로 세분화하여 전송에 관련된 서비스는 최대한 개방한다는 목표를 세운 것으로 파악된다. 또한 도하라운드에서 OTT 동영상서비스를 포함하는 기타 커뮤니케이션서비스라는 새로운 분류체계를 도입하는 전략을 수립했다. 국내적으로는 선형(linear) 서비스와 비선형(non-linear) 서비스를 구분하여 비선형 OTT 동영상서비스에 대한 규제를 완화하였다. 향후 무역협상에서는 비선형 OTT 동영상서비스를 전통적인 시청각서비스에서 제외하여 이에 대한 전면적인 시장개방 양허를 협상상대방에게 요구하는 전략을 실시할 것으로 예상된다. 우리 통상협상가들과 국내 미디어정책결정자들은 EU 와 미국의 이러한 협상전략의 차이를 파악하고 이에 대응하면서 개방을 통해 우리 문화산업의 경쟁력을 키우는 방향으로 통상정책을 펼쳐야 한다. 디지털무역의 규모와 경제적 영향력이 커지면서 새로운 유형의 무역제한조치인 디지털무역장벽들이 등장하고 있다. 이에 디지털통상규범의 중요성이 더욱 부각되고 있지만 아날로그 시대에 만들어진 WTO/GATS 규범만으로는 디지털무역 자유화를 완벽히 이루어내기 어렵다. 때마침 WTO 복수국간 전자상거래 협상이 본격적으로 시작되어 새로운 논의의 장이 열렸다. 본 논문이 전통적인 통상규범을 유연하게 해석하고 미비점을 보완하여 기존의 국제통상체제 내에서 디지털무역과 관련된 예측가능성과 법적 확실성을 확보하는데 공헌할 수 있길 바란다.Chapter I Introduction 1 1. Motivation and Scope 1 2. Methodology and Structure 4 Chapter II Technological Neutrality as a Bridge between the Analogue Trading Regime and Digital Trade 6 1. Introduction 6 2. Overview of the GATS 10 2.1. Scope of the GATS 10 2.2. Mode of Supply 12 2.3. General Obligations: Most-Favoured-Nation and Transparency 13 2.4. Specific Commitments: Market Access and National Treatment 13 2.5. Schedules of Commitments for Market Access and National Treatment 15 3. Overview of Technological Neutrality in the World Trading Regime 16 3.1. Definition of Technological Neutrality 16 3.2. Historical Development of Technological Neutrality 19 4. Technological Neutrality, Digital Trade, and the GATS 23 4.1. Applicability of GATS Rules to the Delivery of Services by Electronic Means 24 4.1.1. Growing Consensus among WTO Members 25 4.1.2. WTO Jurisprudence 29 4.2. Determination of Likeness in the Era of Digital Trade 33 4.2.1. Non-Discrimination and Likeness in the GATS 34 4.2.2. Likeness of Services in the Digital Age 37 4.2.3. The Principle of Technological Neutrality in Determining Likeness in the Digital Era 40 4.2.4. WTO Jurisprudence 43 4.3. Evolutionary Interpretation of the GATS Schedules of Commitments 46 4.3.1. General Rule of Treaty Interpretation in WTO Dispute Settlement 47 4.3.2. Evolutionary Interpretation and the Principle of Technological Neutrality 49 4.3.3. WTO Jurisprudence 52 4.4. Why Would the WTO Adjudicators Maintain Strategical Neutrality on Technological Neutrality? 54 5. A Way Forward to Embracing the Principle of Technological Neutrality in the World Trading System 56 5.1. At the Bilateral and Regional Level 56 5.2. At the Plurilateral Level 60 5.3. At the Multilateral Level 63 6. Concluding Remarks 64 Chapter III Cross-Border Data Flows and Trade Agreements 72 1. Introduction 72 2. Understanding of the Restrictive Measures on Cross-Border Data Flows 75 2.1. Definition of Notion 75 2.2. Data Policies at a Glance 76 2.3. Case Studies 80 2.3.1. Horizontal and Risk-Based Approach (Type I) 80 2.3.2. Horizontal and Location-Based Approach (Type II) 85 2.3.3. Sectoral and Location-Based Approach (Type III) 87 2.3.4. Sectoral and Risk-Based Approach (Type IV) 93 3. Empirical Study on the Impact of Regulatory Policies on Cross-Border Data Flows on Trade in Services 94 3.1. Introduction 94 3.2. Conceptual Framework 96 3.3. Estimating Methodology and Data Description 98 3.3.1. Model Specification 98 3.3.2. Data Description 102 3.4. Estimation Results and Discussion 105 4. The Role of Trade Agreements in Eliminating Barriers to Cross-Border Data Flows 109 4.1. Historical Development of International Rules on Cross-Border Data Flows 110 4.2. WTO Rules Are Comprehensive, Substantial, Flexible and Effective 114 4.2.1. Comprehensive Membership and Subjects 115 4.2.2. Substantial Rules for Trade Liberalization 116 4.2.3. Flexible Application in Exceptional Circumstances 117 4.2.4. Effective Dispute Settlement 118 4.3. Relevant WTO Rules on Cross-Border Data Flows and Challenges to the WTO 119 4.3.1. General Obligations and Disciplines, and Specific Commitments of the GATS 120 4.3.2. Annex on Telecommunications 123 4.3.3. General Exceptions and National Security Exceptions 124 4.3.4. Challenges Facing the Brick-and-Mortar WTO in the Era of a Data-Driven Economy 127 4.4. Emerging Rules on Cross-Border Data Flows in Regional Trade Agreements 129 4.4.1. Allowing the Cross-Border Free Flows of Information 130 4.4.2. Banning Data Localization Requirements 133 4.4.3. Utilizing Government Data 135 5. Suggestions to Upcoming WTO Negotiations on Trade-Related Aspects of Electronic Commerce 137 5.1. Scheduling Horizontal Commitments Allowing Cross-Border Data Flows 138 5.2. Adopting a Data-Differentiated Approach 139 5.3. Establishing Minimum Standards for Personal Data Protection 141 5.4. Elaborating the Language of Legitimate Public Policy Objectives 143 6. Concluding Remarks 146 Chapter IV Over-the-Top Video Streaming Services and Trade Negotiations 152 1. Introduction 152 2. Stock-taking of the Linear or Non-Linear Over-the-Top Video Streaming Services 155 3. Over-the-Top Video Streaming Services in the GATS Context 159 3.1. Computer and Related Services 160 3.1.1. Classification Scheme 160 3.1.2. GATS Commitments 162 3.2. Telecommunication services 163 3.2.1. Classification Scheme 164 3.2.2. GATS Commitments 166 3.3. Audiovisual Services 170 3.3.1. Classification Scheme 171 3.3.2. GATS Commitments 172 4. EU and US Approaches to Over-the-Top Video Streaming Services at the Trade Negotiation Fora 173 4.1. EU Approach 174 4.1.1. At the International Level 174 4.1.2. At the Domestic Level 180 4.2. US Approach 184 4.2.1. At the International Level 184 4.2.2. At the Domestic Level 194 4.3. Preliminary Conclusion 196 5. Implications for Korea in the Trade Policy Context 199 6. Concluding Remarks 203 Chapter V Conclusions 228 BIBLIOGRAPHY 233Docto

아날로그 체제 하의 디지털무역: 디지털무역 자유화와 무역협정의 역할

학위논문 (석사)-- 서울대학교 국제대학원 : 국제학과, 2015. 2. 안덕근.The growing pervasiveness of Internet connectivity and the widespread use of information communication technologies have helped cross-border digital trade expand. However, as digital trade mushrooms, governments are naturally tempted to set up protectionist trade policies to protect public morals or to safeguard the domestic service industry. This is where international trade agreements come in to prevent countries from adopting discriminatory trade policies and bring heterogeneous domestic disciplines in compliance with international ones. This paper aims to examine what contribution multilateral trade agreements/negotiations, the WTO dispute settlement body, and bilateral or regional trade agreements have made to promote the liberalization of digital trade. At the multilateral trade negotiation level, several rounds of negotiation on digital trade was held based on the WTO Work Program on E-Commerce. However, WTO Member countries have agreed only on the temporary expansion of duty-free moratorium on electronic transmissions, failing to draw any concrete agreement on other thorny issues because of different national interests in digital trade. The WTO dispute settlement body have had a chance to clarify digital trade-related issues in two trade disputes: US-Gambling and China-Publication. One of the greatest progress made in US – Gambling is the confirmation that WTO rules are indeed applicable to e-commerce or electronically supplied services. It is also confirmed that GATS mode 1 (cross-border supply) commitments are applicable to cross-border electronic delivery of services. Yet in the two cases, Panels and the Appellate Body avoid to make a ruling on the issue of likeness and technical neutrality. With the Doha Round in stalemate, major players in international digital trade are relying on bilateral or regional trade agreements to establish new rules applicable to digital trade. Several achievements are witnessed: the duty-free moratorium on digital products becomes permanentcountries take a pragmatic approach toward the classification of digital productsthe applicability of WTO rules to electronic commerce is confirmednon-discriminatory treatment is applicable to digital productsdeep digital trade rules start to appear. Yet WTO Member countries should make their best endeavor to make digital trade-relevant rules in bilateral or regional trade agreements compatible with one in the multilateral trading system. Digital trade has become an integral part of multilateral trade negotiations and regional trade agreement negotiations. This study examines the liberalization movement of digital trade in three arenas: in WTO multilateral trade negotiations (WTO-led liberalization), in WTO dispute settlement body (DSB-led liberalization), and in regional trade agreements (RTA-led liberalization). Global trade environment surrounding digital trade, for the time being, is likely to be established through regional trade negotiations and common provisions in e-commerce chapters are expected to become a global trade norm. With few achievements so far, uncertainties about the future negotiation process make desire for global rules on digital trade nothing but swelling. Negotiation shall continue.ABSTRACT ............................................................................................. i TABLE OF CONTENTS .......................................................................... iv TABLES AND FIGURES..........................................................................vii I. Introduction......................................................................................... 1 II. Economic Dimensions of Digital Trade ............................................... 7 1. Trade in Digitalized Media Products ................................................... 7 2. Trade in Digitally-Enabled Services .................................................. 10 III. Liberalization of Digital Trade and Multilateral Trade Agreements ............................................................................................................. 20 1. Information Technology Agreement and Basic Telecommunications Agreement ........................................................................................... 21 1) Information Technology Agreement (ITA) .......................................... 22 2) Agreement on Basic Telecommunications Services and Reference Paper ................................................................................................... 25 2. WTO E-Commerce Work Program.................................................... 28 1) History of Trade Negotiations of E-Commerce.................................. 29 2) Issues under the WTO E-Commerce Work Program ......................... 35 i. Duty-Free Moratorium on Electronic Transmissions and their Contents ............................................................................................................ 35 ii. Classification of Digital Products.......................................................39 iii. Applicability of Regulatory GATS Disciplines to the Electronic Delivery of Services ............................................................................. 43 iv. Classification of Electronically Delivered Services ........................... 46 v. Classification and Scheduling of Newly Developed Electronically Delivered Services ............................................................................... 49 vi. Likeness and Technological Neutrality .......................................... 52 vii. Applicability of GATS Article VI Relevant to Digital Trade ................ 55 viii. Applicability of GATS Article XIV to Digital Trade.............................57 IV. Liberalization of Digital Trade and Dispute Settlement .................... 59 1. US – Gambling ................................................................................ 60 1) Applicability of Regulatory GATS Disciplines to the Electronic Delivery of Services.............................................................................. 60 2) Classification of Electronically Delivered Services ............................ 62 3) Likeness and Technological Neutrality........................................... 63 4) Applicability of GATS Article XIV to Digital Trade ............................. 66 2. China – Publications ........................................................................ 68 V. Liberalization of Digital Trade and Regional Trade Agreements......... 71 1. Digital Trade Policy of the United States............................................74 2. Assessing E-Commerce Chapters in Regional Trade Agreements......76 1) Achievements by Regional Trade Agreements.................................. 76 i. Duty-Free Moratorium on Electronic Transmissions and Their Contents ............................................................................................................ 76 ii. Classification of Digital Products.......................................................79 iii. Applicability of WTO Disciplines to E-Commerce..............................80 iv. Applicability of Regulatory Trade Disciplines to the Electronic Supply of Services........................................................................................... 81 v. Applicability of Non-Discriminatory Treatment to Digital Products ............................................................................................................. 82 vi. Deep Digital Trade Rules ................................................................. 85 vii. Other Issues Concerning Digital Trade............................................ 86 2) Summary and Evaluation on E-Commerce Chapters in RTAs.............89 VI. Conclusion...................................................................................... 92 BIBLIOGRAPHY.................................................................................... 97 ANNEX............................................................................................... 106 ABSTRACT IN KOREAN .................................................................... 109Maste