本文選題：WTO規(guī)則　切入點：法律全球化　出處：《吉林大學(xué)》2012年博士論文　論文類型：學(xué)位論文

【摘要】：世界貿(mào)易組織（World Trade Organization, WTO）是世界上最重要的國際性貿(mào)易組織。WTO的優(yōu)勢在于它為國際社會提供了一套國際公認的貿(mào)易規(guī)則——WTO規(guī)則。該貿(mào)易規(guī)則的影響程度之深，影響范圍之廣是史無前例的。但從現(xiàn)階段來考量，WTO規(guī)則所倡導(dǎo)的多邊貿(mào)易體制正在遭遇著嚴重的信任危機。理性正視WTO規(guī)則存在的問題，并嘗試在WTO規(guī)則體系內(nèi)提出可能的解決方案是必要的。法律全球化作為經(jīng)濟全球化浪潮沖擊的必然結(jié)果，對法學(xué)理論研究產(chǎn)生了重大而深遠的影響，提出了與傳統(tǒng)國內(nèi)法意義上的法律觀念截然不同的建立在全人類整體利益考量基礎(chǔ)上的理念。用全球化的意識和視野對WTO規(guī)則進行法理分析具有重要的理論及現(xiàn)實意義。 WTO規(guī)則存在的問題在很大程度上是由于對WTO規(guī)則本身的屬性、正當性、基本原則及其所蘊含的價值理念缺乏正確的理解。在法律全球化的大背景下，首先要跳出單一的權(quán)力中心的觀念，從一種新的“體系中心”的視角看待法律本身，就能得出WTO規(guī)則具有國際法屬性的結(jié)論。WTO規(guī)則作為國際法的一部分的同時，也形成了自己的自洽的體系，并在全球范圍內(nèi)對國際貿(mào)易及其相關(guān)問題進行著協(xié)調(diào)與管理。雖然在實踐中WTO規(guī)則在成員國內(nèi)并不具有直接效力，但是，WTO規(guī)則總是能通過轉(zhuǎn)化和采納等方式在成員國國內(nèi)得以適用，并得到各成員國的普遍遵守。各成員國的普遍認可和遵守是WTO規(guī)則正當性的重要來源之一。 通常認為，當WTO規(guī)則具有某種道德指向或某些基本的眾所公認的內(nèi)在價值，并被各國人民或各個國家普遍認可，那么我們就認為WTO規(guī)則具有正當性。相對應(yīng)的，對WTO規(guī)則的正當性進行分析，并指出WTO規(guī)則正當性的瑕疵及補救之法，是使WTO規(guī)則獲得普遍遵守及認可的根本方法。WTO正當性的另一個重要來源是WTO規(guī)則內(nèi)在的平等、自由的價值理念，這些價值理念主要通過非歧視原則、透明度原則和良好貿(mào)易原則等WTO規(guī)則的基本原則來體現(xiàn)和加以實現(xiàn)的。WTO規(guī)則的法理是活的法理，它體現(xiàn)在包括環(huán)境規(guī)則在內(nèi)的WTO的各個具體規(guī)則和爭端解決的過程中，并在具體規(guī)則的運用和爭端解決中得到驗證和升華。 WTO規(guī)則的制定和實施不意味著貿(mào)易摩擦和爭端馬上的減少，相反，WTO的文化特質(zhì)可能還會使爭端有所增加。如何解決這些爭端和分歧，并不斷總結(jié)經(jīng)驗，不斷改革和完善WTO規(guī)則才是我們需要思考的問題，只有正當而完善的國際貿(mào)易規(guī)則才可能使國際貿(mào)易更加規(guī)范而有效率。 根據(jù)上述研究思路與理論邏輯，本文共分為五章展開具體闡述： 第一章交代了WTO規(guī)則形成及發(fā)展的時代背景。WTO規(guī)則是在全球化的大背景下形成及發(fā)展起來的。在本章中，首先，對世界發(fā)展以及全球化的景象進行了俯瞰。經(jīng)濟的變化和發(fā)展是一切上層建筑變動的基礎(chǔ)。全球化理所當然的首先體現(xiàn)在經(jīng)濟、貿(mào)易及資本領(lǐng)域，然后迅速擴展到包括法律、政治、文化等在內(nèi)的各個領(lǐng)域。其次，分析了法律全球化的產(chǎn)生機理及理論意蘊。再次，指出了WTO規(guī)則在法律全球化的大背景下是如何產(chǎn)生及發(fā)展起來的，以及它對法律全球化乃至整個全球化發(fā)展起到了怎樣的的推動作用。 第二章指出WTO規(guī)則具有的屬性。本章從WTO規(guī)則的形式屬性、過程屬性和效力屬性入手進行分析，試圖厘清WTO規(guī)則所具有的屬性。首先是WTO規(guī)則的形式屬性。該部分從體系中心的視角看待法律，從而得出全球化時代的“法”的定義，進而得出WTO規(guī)則具有國際法屬性的結(jié)論。并分析了WTO規(guī)則作為國際法的一部分，，又作為一個自洽的法律體系，是怎么解決和協(xié)調(diào)WTO規(guī)則體系內(nèi)部規(guī)則之間以及WTO規(guī)則與其它國家法之間的沖突問題的。其次是WTO規(guī)則的職能屬性。這部分著重分析了WTO作為一個全球性的對國際貿(mào)易相關(guān)問題進行協(xié)調(diào)和管理的機構(gòu)，其規(guī)則所具有的監(jiān)督政府、解決貿(mào)易糾紛等職能。最后是WTO規(guī)則的效力屬性。關(guān)于WTO規(guī)則的效力屬性，分為兩部分進行分析，第一部分是WTO規(guī)則在各成員國國內(nèi)法的一般效力問題，以及WTO爭端解決機制所通過的報告對于成員國的效力問題。這些問題主要集中在國際法層面。第二部分是國內(nèi)法院能否援用WTO規(guī)則而對與WTO規(guī)則不一致的國內(nèi)法律和政策進行裁判的問題，即WTO規(guī)則是否在成員國內(nèi)具有直接效力的問題。這個問題主要集中在國內(nèi)法層面，涉及到更寬泛的國內(nèi)憲法性安排的制度。 第三章對WTO規(guī)則的正當性進行分析和審視。首先，對正當性的含義進行了分析，指出了正當性所應(yīng)具有的“自愿遵守”和“道德指向”的含義內(nèi)核，并對正當性和合法性進行了區(qū)分和比較，使正當性的含義更加明晰。其次，建立了WTO規(guī)則正當性的分析框架。將法理學(xué)領(lǐng)域的實體正當性和程序正當性的劃分，與政治學(xué)領(lǐng)域中的輸出正當性與輸入正當性的劃分進行比較。將本章對正當性的分析限定在以下兩方面：實體法方面，WTO規(guī)則在實現(xiàn)其目標與價值時,是否能夠高效的達到令人滿意的效果；在程序法方面，WTO在制定規(guī)則、作出決議以及解決糾紛等方面是否具有程序正當性，其決策與解決程序是否以民主的方式進行；再次，在上述確定的框架內(nèi)，以發(fā)展中國家問題、擴大管轄權(quán)問題、協(xié)商一致及透明度問題以及爭端解決問題等為切入點，具體分析WTO規(guī)則的正當性及其瑕疵，并對其正當性瑕疵的彌補提出建議。 第四章對WTO規(guī)則的基本原則及其蘊含的價值理念進行了剖析。首先，對WTO基本原則的概念進行厘定，并對WTO基本原則的歸納尺度進行說明，進一步將WTO基本原則與其具體原則、規(guī)則相區(qū)別，并且將WTO基本原則與其中蘊含的法的理念相區(qū)別。其次，將WTO規(guī)則的基本原則歸納為非歧視原則、透明度原則、良好貿(mào)易原則。并從上述基本原則在實踐領(lǐng)域的體現(xiàn)以及存在的問題等方面進行具體的分析。最后，本章還對WTO規(guī)則所體現(xiàn)出的平等、自由的價值理念進行探究。 第五章通過對WTO規(guī)則的具體規(guī)則和典型案例進行分析，進一步在具體的實踐領(lǐng)域使WTO規(guī)則的法學(xué)理論得到驗證和升華。本章以WTO環(huán)境規(guī)則及具體案例為例，將前幾章中討論的WTO規(guī)則的屬性、正當性及基本原則、價值理念等問題在該部分加以印證與體現(xiàn)。在本章中，首先對環(huán)境規(guī)則進行了分析與歸納，其次以海蝦海龜案等典型案例為例，展現(xiàn)了WTO爭端解決機制的專家組和上訴機構(gòu)對WTO規(guī)則及其原則在實踐中的運用；再次，為貿(mào)易與環(huán)境保護沖突的解決提出建議。
[Abstract]:The World Trade Organization (World Trade Organization, WTO) is the world's most important international trade organization.WTO has the advantage of it for the international community to provide a set of international trade rules, WTO rules. The trade rules of the deep impact, the impact of a wide range. But is There was no parallel in history. from the stage to consider WTO, the rules advocated by the multilateral trading system is facing a serious crisis of confidence. WTO rules rationally face the existing problems, and tries to put forward the possible solutions in the WTO rule system is necessary. The legal globalization as the inevitable result of economic globalization, has important and profound influence on the theoretical research of law. The different from traditional legal concepts of domestic law on the significance of the establishment of the whole human overall interests on the basis of philosophy. With globalization consciousness and vision on the WTO It is of great theoretical and practical significance to analyze the rules in jurisprudence.
WTO rules problems is due to the properties of WTO, the rules of their own legitimacy to a great extent, value concept and basic principles of its inherent lack of correct understanding. In the background of legal globalization, we must first jump out of a single power center concept, from a new perspective on the system of "center" the law itself, can get the WTO rules have the attribute of international law. Conclusion.WTO rules as part of the international law at the same time, also formed a self consistent system of their own, and in the global scope of international trade and related problems of coordination and management. Although in practice WTO rules in member States do not have direct effect WTO, however, rules can always through transformation and adoption in Member States to apply, and the universal adherence to the member states. Each member of the general approval and comply with the rules of WTO are One of the important sources of sex.
Generally, when the WTO rule has the intrinsic value of a moral point or some basic consensus, and is widely accepted by all the people or countries, so we think the WTO rule has legitimacy. Correspondingly, analyze the legitimacy of WTO rules, and pointed out the flaw and remedy the legitimacy of WTO rules the method is to make the WTO rules for universal adherence and recognized the legitimacy of the basic method of.WTO is another important source of equality WTO rules inherent value concept, freedom, these values mainly through the principle of non discrimination principle, legal principle of transparency and good trade principle WTO rules embodied and implemented the.WTO rule is a living law, which embodies the process including environmental rules, the specific rules of each WTO and dispute settlement, and in the use of specific rules and dispute settlement in check Evidence and sublimation.
The formulation and implementation of WTO rules does not mean that the trade friction and disputes immediately reduced, instead, WTO culture could also lead to disputes increased. How to solve these disputes and differences, and constantly sum up experience, to reform and perfect the rules of WTO are what we need to think about the rules of international trade, only legitimate and perfect to make international trade more standardized and efficient.
According to the above research ideas and theoretical logic, this paper is divided into five chapters to elaborate.
The first chapter introduces the rules of WTO formation and development background of the.WTO rule is the formation and development of it in the context of globalization. In this chapter, firstly, the world development and the globalization of the scene. Overlooking the changes and development of economy is the foundation of all the superstructure changes. The first reflected in the globalization behoove economic, trade and capital area, and then quickly expanded to include legal, political, cultural, various fields. Secondly, analyzes the produce mechanism and the theoretical connotation of legal globalization. Thirdly, points out the WTO rules in the background of legal globalization is how to generate and develop, and its development of legal globalization and the globalization has played a role in promoting the how.
The second chapter points out that attribute WTO rule has. This chapter forms the WTO attribute from the rules of the process attribute and effect attribute of analysis, trying to clarify the rules of the WTO attribute. The first is the formal properties of the WTO rules. This part from the perspective of system center upon the law, then the definition of "law" in the era of globalization the obtained conclusion has attribute WTO rules of international law. And analyzes the WTO rules as part of international law, and as a self consistent legal system is how to solve and the coordination between the WTO rules system of internal rules and WTO rules with other countries' law in the conflict. The second is the function of attribute the rules of WTO. This part focuses on the analysis of the WTO as a global international trade issues related to coordination and management mechanism, government supervision has its rules, to resolve trade disputes and other functions. Finally is the effect of the WTO rules. The effectiveness of attribute attribute on the WTO rules, divided into two parts to carry on the analysis, the first part is the general validity of the WTO rules in the domestic laws of the Member States, the WTO dispute settlement mechanism as well as the report for the validity of member States. These problems mainly focus on the level of international law. The second part is the domestic court can invoke Rule WTO to judge not consistent with WTO rules of domestic law and policy issues, and whether the WTO rule has direct effect problem in the member states. The problem is mainly concentrated in the domestic law related to domestic constitutional arrangements system more broad.
The third chapter analyzes and examines the legitimacy of the WTO rules. First of all, the legitimacy of the meaning of the analysis, pointed out that should have the legitimacy of "voluntary" and "moral" meaning of the kernel, and the legitimacy and legality of distinguish and compare, so when the meaning is more clear. Secondly, we established an analysis framework of WTO rules of legitimacy. The division of entity legitimacy and procedural jurisprudence legitimacy, compared with the division of Political Science in the field of legitimacy and the legitimacy of the input and output. This chapter is on the legitimacy of the analysis is restricted in the following two aspects: substantive law the rules of WTO, in the realization of its aim and value, can efficiently achieve satisfactory results; in the aspect of procedural law, WTO rules, whether to make resolutions and resolve disputes and other aspects of the decision-making and due process. Whether the settlement procedures in a democratic manner; thirdly, in the framework of the above identified, in developing countries, expand the jurisdiction problem, problem of consensus and transparency and dispute solving problems as the starting point, the legitimacy of the specific analysis of WTO rules and its defects, and put forward some suggestions to the legitimacy of the defects of the remedy.
The fourth chapter on the basic principle of WTO and its value is analyzed. Firstly, the concept of the basic principle of WTO were determined, and the basic principles of WTO induction scale that will further WTO basic principles and specific principles, rules of distinction, and the WTO which contains the basic principles and ideas of law phase difference. Secondly, the basic principle of WTO rules into the principle of non discrimination, transparency principle, principle of good trade. And embodied in the field of practice from the basic principle and the existing problems were analyzed in detail. Finally, this chapter focuses on the rules of WTO reflects the value concept of equality, inquiry free.
The fifth chapter through the analysis of the specific rules of WTO rules and typical cases, makes the legal theory of WTO rules and verified in the sublimation of the practice field. In this chapter, WTO environmental rules and the specific case as an example, the property WTO rules discussed in the previous chapters, the legitimacy and the basic principle, concept of value such problems are confirmed and reflected in this part. In this chapter, firstly, environmental rules are analyzed and summarized, followed by the shrimp turtle case and other typical cases, demonstrates the use of WTO dispute settlement mechanism of the panel and the Appellate Body of WTO rules and principles in practice; thirdly, put forward suggestions to solve the conflict between trade and environment protection.

【學(xué)位授予單位】：吉林大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2012
【分類號】：D996.1

【引證文獻】

相關(guān)期刊論文 前1條

1 葉揚;張文;;新興經(jīng)濟體對WTO規(guī)則的沖擊與展望[J];西部論壇;2014年05期

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