WTO爭端解決機制中的仲裁制度研究
發(fā)布時間：2018-09-04 20:48
【摘要】：本文探討WTO爭端解決機制中的仲裁制度問題。根據(jù)DSU及其他WTO協(xié)定的規(guī)定,仲裁是一項重要的WTO爭端解決法律手段,用以解決WTO成員方之間的某些國際貿(mào)易爭端,但目前WTO仲裁尚未受到足夠的重視和研究。迄今為止在WTO仲裁實踐中已產(chǎn)生了許多法律問題,有待于進一步澄清和解決。在未來的DSU改革談判中,應(yīng)進一步完善WTO仲裁制度,增強它與WTO多邊體系的兼容性,促進和提高WTO各成員方對WTO仲裁的有效運用,這些都要求首先對目前的WTO仲裁制度進行全面考察和深入研究。 本文共分六章。第一章為概述,首先界定了國際仲裁、WTO仲裁等基本概念；介紹了國際仲裁的發(fā)展以及仲裁在世界貿(mào)易多邊體系演進中的嬗變；并對WTO爭端解決機制及WTO仲裁體系作了重點介紹和分析。在此基礎(chǔ)上,本文第二章、第三章、第四章、第五章分別對DSU第25條仲裁、確定“合理期限”仲裁、“報復(fù)”仲裁以及其他特殊事項上的WTO仲裁進行了介紹,通過研讀條文規(guī)定、考察立法起源、分析相關(guān)WTO仲裁實踐及典型案例等方式,對上述各項WTO仲裁中存在的主要法律問題進行分析和探討�；谏鲜龇治鲅芯�,本文第六章進一步將WTO仲裁與《(日內(nèi)瓦)和平解決國際爭端總議定書》中的仲裁、《聯(lián)合國海洋法公約》中的仲裁、《能源憲章條約》中的仲裁等進行了比較研究,指出目前WTO仲裁的主要特點與缺陷；介紹和評價新一輪DSU改革談判中WTO成員方有關(guān)WTO仲裁制度改進的建議和提案；并對未來WTO仲裁制度的改進及利用提出相應(yīng)建議。最后,本文對中國今后利用WTO仲裁解決國際貿(mào)易爭端的前景進行了展望。 WTO仲裁由GATT仲裁逐步發(fā)展而來,目前形成了一套頗具特色的國際仲裁制度體系。根據(jù)法律依據(jù)的不同,WTO仲裁可區(qū)分為“DSU體制內(nèi)的仲裁”和“DSU體制外的仲裁”,前者主要包括DSU第25條仲裁、DSU第21.3(c)條規(guī)定之確定“合理期限”仲裁和DSU第22.6條規(guī)定之“報復(fù)”仲裁等；后者則指游離于DSU適用范圍之外由其他WTO協(xié)定所規(guī)定的WTO仲裁。但是這一WTO仲裁體系并沒有帶動WTO各成員方利用仲裁解決國際貿(mào)易爭端的熱情,在目前的WTO爭端解決中,專家組程序及上訴機構(gòu)上訴審查程序儼然成為了WTO爭端解決的唯一“主流”程序；相比之下,各項WTO仲裁程序都較少被運用,特別是DSU第25條仲裁。 針對這一現(xiàn)象,通過對專家組程序和上訴機構(gòu)上訴審查程序的再考察以及對各項WTO仲裁條款及其實踐的分析,本文認(rèn)為：雖然DSU第25條規(guī)定了“WTO中的速效仲裁是爭端解決的一個替代手段”,但由于DSU第25條規(guī)定簡陋,仲裁模式存在局限,在目前,DSU第25條仲裁并不足以構(gòu)成對專家組(或?qū)＜医M和上訴機構(gòu))程序的有效“競爭”和“替代”；DSU第21.3(c)條、DSU第22.6條是DSU第25.2條所指的“例外”,DSU第21.3(c)條規(guī)定的確定“合理期限”仲裁以及DSU第22.6條規(guī)定的“報復(fù)”仲裁與DSU第25條仲裁構(gòu)成“特殊WTO仲裁”和“一般WTO仲裁”的關(guān)系。同時,這兩項WTO仲裁也是對DSU第25條仲裁模式的改革和實踐,作為兩項最主要的WTO強制仲裁,它們獲得WTO成員方更多青睞和運用。當(dāng)然,在這兩項WTO仲裁的實踐中也產(chǎn)生了諸多法律問題,亟待澄清和解決。另外,晚近“DSU體制外仲裁”的出現(xiàn)進一步豐富了WTO仲裁制度的內(nèi)涵,也啟迪著未來WTO仲裁的改革和應(yīng)用�？傊�,WTO仲裁屬于國際公法意義上的“國家間仲裁”,具有傳統(tǒng)國際仲裁的基本特征。仲裁的“雙邊性”在WTO多邊機制下被進一步弱化,但WTO卻并沒有相應(yīng)地對各項WTO仲裁程序的具體規(guī)則進行統(tǒng)一規(guī)范和詳細(xì)編纂。 在新一輪關(guān)于改進和澄清DSU規(guī)則及程序的談判中,各成員方對目前的WTO爭端解決機制包括各項WTO仲裁的改革與運用都提出了不少建議,值得關(guān)注和探討。而今后隨著中國經(jīng)濟和國際貿(mào)易的增長,中國運用各種WTO爭端解決手段解決與其他成員方貿(mào)易爭端的案件也會增多,其中不排除被訴諸WTO仲裁甚或主動運用仲裁解決某些貿(mào)易爭端問題的可能,因此須加強對WTO爭端解決機制中仲裁制度的理解和研究。
[Abstract]:According to the provisions of DSU and other WTO agreements, arbitration is an important legal means to settle some international trade disputes between WTO members. However, at present, WTO arbitration has not received enough attention and research. In the future DSU reform negotiations, we should further improve the WTO arbitration system, enhance its compatibility with the WTO multilateral system, and promote and improve the effective use of WTO arbitration by WTO members. All these require that we first conduct a comprehensive investigation and in-depth study of the current WTO arbitration system. Research.
The first chapter is an overview of the basic concepts of international arbitration and WTO arbitration. It introduces the development of international arbitration and the evolution of arbitration in the evolution of the multilateral system of world trade. Chapter Four and Chapter Five introduce DSU Article 25 Arbitration, Determination of "Reasonable Time Limit" Arbitration, Retaliation Arbitration and WTO Arbitration on Other Special Matters. By studying the provisions, examining the origin of legislation, analyzing relevant WTO arbitration practices and typical cases, the main legal questions in the above-mentioned WTO Arbitration are discussed. Based on the above analysis and research, this paper further compares WTO arbitration with the arbitration in the General Protocol for the Peaceful Settlement of International Disputes, the arbitration in the United Nations Convention on the Law of the Sea and the arbitration in the Energy Charter Treaty, and points out the main characteristics and defects of WTO arbitration. This paper introduces and evaluates the suggestions and proposals of WTO members on the improvement of WTO arbitration system in the new round of DSU reform negotiations, and puts forward corresponding suggestions on the improvement and utilization of WTO arbitration system in the future.
WTO arbitration has been gradually developed from GATT arbitration, and now a set of international arbitration system has been formed. According to the different legal basis, WTO arbitration can be divided into "arbitration within the DSU system" and "arbitration outside the DSU system". The former mainly includes the arbitration under Article 25 of the DSU, and the "reasonable time limit" stipulated in Article 21.3 (c) of the DSU. Arbitration and "retaliation" arbitration as stipulated in Article 22.6 of the DSU, etc. The latter refers to WTO arbitration as stipulated by other WTO agreements outside the scope of application of the DSU. However, this WTO arbitration system has not stimulated the enthusiasm of WTO members to use arbitration to settle international trade disputes. In the current WTO dispute settlement, expert group procedures and appellate bodies The appeal review procedure has become the only "mainstream" procedure for WTO dispute settlement; in contrast, WTO arbitration procedures are rarely used, especially DSU Article 25 arbitration.
In view of this phenomenon, by re-examining the panel procedure and the appeal review procedure of the Appellate body, as well as analyzing the various WTO arbitration clauses and their practice, this paper holds that although Article 25 of the DSU stipulates that "Quick-acting arbitration in WTO is an alternative means of dispute settlement", the arbitration mode exists because of the simplicity of Article 25 of the DSU. At present, DSU Article 25 arbitration is not sufficient to constitute an effective "competition" and "substitution" for panel (or panel and appellate body) proceedings; DSU Article 21.3 (c), DSU Article 22.6 is the "exception" referred to in DSU Article 25.2, DSU Article 21.3 (c) provides for the determination of "reasonable period" of arbitration and DSU Article 22.6 provides for "retaliation" Arbitration and DSU Article 25 Arbitration constitute the relationship between "Special WTO Arbitration" and "General WTO Arbitration". At the same time, these two WTO Arbitration are also the reform and practice of DSU Article 25 arbitration mode. As the two most important WTO compulsory arbitration, they are more favored and applied by WTO members. Of course, these two WTO Arbitration practices have also emerged. In addition, the recent appearance of "arbitration outside the DSU system" has further enriched the connotation of WTO arbitration system and enlightened the reform and application of WTO arbitration in the future. The "bilaterality" has been further weakened under the multilateral mechanism of WTO, but the WTO has not accordingly standardized and detailed compiled the specific rules of various WTO arbitration procedures.
In the new round of negotiations on the improvement and clarification of DSU rules and procedures, various members have put forward many suggestions on the reform and application of the current WTO dispute settlement mechanism, including various WTO arbitration mechanisms, which deserve our attention and discussion. With the growth of China's economy and international trade, China will use various WTO dispute settlement methods to solve its disputes. The cases of trade disputes among other members will also increase, which does not exclude the possibility of being resorted to WTO arbitration or even the initiative to use arbitration to settle certain trade disputes. Therefore, it is necessary to strengthen the understanding and study of the arbitration system in the WTO dispute settlement mechanism.
【學(xué)位授予單位】：復(fù)旦大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2012
【分類號】：D996.1;D997.4
本文編號：2223287
[Abstract]:According to the provisions of DSU and other WTO agreements, arbitration is an important legal means to settle some international trade disputes between WTO members. However, at present, WTO arbitration has not received enough attention and research. In the future DSU reform negotiations, we should further improve the WTO arbitration system, enhance its compatibility with the WTO multilateral system, and promote and improve the effective use of WTO arbitration by WTO members. All these require that we first conduct a comprehensive investigation and in-depth study of the current WTO arbitration system. Research.
The first chapter is an overview of the basic concepts of international arbitration and WTO arbitration. It introduces the development of international arbitration and the evolution of arbitration in the evolution of the multilateral system of world trade. Chapter Four and Chapter Five introduce DSU Article 25 Arbitration, Determination of "Reasonable Time Limit" Arbitration, Retaliation Arbitration and WTO Arbitration on Other Special Matters. By studying the provisions, examining the origin of legislation, analyzing relevant WTO arbitration practices and typical cases, the main legal questions in the above-mentioned WTO Arbitration are discussed. Based on the above analysis and research, this paper further compares WTO arbitration with the arbitration in the General Protocol for the Peaceful Settlement of International Disputes, the arbitration in the United Nations Convention on the Law of the Sea and the arbitration in the Energy Charter Treaty, and points out the main characteristics and defects of WTO arbitration. This paper introduces and evaluates the suggestions and proposals of WTO members on the improvement of WTO arbitration system in the new round of DSU reform negotiations, and puts forward corresponding suggestions on the improvement and utilization of WTO arbitration system in the future.
WTO arbitration has been gradually developed from GATT arbitration, and now a set of international arbitration system has been formed. According to the different legal basis, WTO arbitration can be divided into "arbitration within the DSU system" and "arbitration outside the DSU system". The former mainly includes the arbitration under Article 25 of the DSU, and the "reasonable time limit" stipulated in Article 21.3 (c) of the DSU. Arbitration and "retaliation" arbitration as stipulated in Article 22.6 of the DSU, etc. The latter refers to WTO arbitration as stipulated by other WTO agreements outside the scope of application of the DSU. However, this WTO arbitration system has not stimulated the enthusiasm of WTO members to use arbitration to settle international trade disputes. In the current WTO dispute settlement, expert group procedures and appellate bodies The appeal review procedure has become the only "mainstream" procedure for WTO dispute settlement; in contrast, WTO arbitration procedures are rarely used, especially DSU Article 25 arbitration.
In view of this phenomenon, by re-examining the panel procedure and the appeal review procedure of the Appellate body, as well as analyzing the various WTO arbitration clauses and their practice, this paper holds that although Article 25 of the DSU stipulates that "Quick-acting arbitration in WTO is an alternative means of dispute settlement", the arbitration mode exists because of the simplicity of Article 25 of the DSU. At present, DSU Article 25 arbitration is not sufficient to constitute an effective "competition" and "substitution" for panel (or panel and appellate body) proceedings; DSU Article 21.3 (c), DSU Article 22.6 is the "exception" referred to in DSU Article 25.2, DSU Article 21.3 (c) provides for the determination of "reasonable period" of arbitration and DSU Article 22.6 provides for "retaliation" Arbitration and DSU Article 25 Arbitration constitute the relationship between "Special WTO Arbitration" and "General WTO Arbitration". At the same time, these two WTO Arbitration are also the reform and practice of DSU Article 25 arbitration mode. As the two most important WTO compulsory arbitration, they are more favored and applied by WTO members. Of course, these two WTO Arbitration practices have also emerged. In addition, the recent appearance of "arbitration outside the DSU system" has further enriched the connotation of WTO arbitration system and enlightened the reform and application of WTO arbitration in the future. The "bilaterality" has been further weakened under the multilateral mechanism of WTO, but the WTO has not accordingly standardized and detailed compiled the specific rules of various WTO arbitration procedures.
In the new round of negotiations on the improvement and clarification of DSU rules and procedures, various members have put forward many suggestions on the reform and application of the current WTO dispute settlement mechanism, including various WTO arbitration mechanisms, which deserve our attention and discussion. With the growth of China's economy and international trade, China will use various WTO dispute settlement methods to solve its disputes. The cases of trade disputes among other members will also increase, which does not exclude the possibility of being resorted to WTO arbitration or even the initiative to use arbitration to settle certain trade disputes. Therefore, it is necessary to strengthen the understanding and study of the arbitration system in the WTO dispute settlement mechanism.
【學(xué)位授予單位】：復(fù)旦大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2012
【分類號】：D996.1;D997.4
【引證文獻】
相關(guān)博士學(xué)位論文 前5條
1 高田甜;WTO爭端解決機制證明負(fù)擔(dān)規(guī)則研究[D];華東政法大學(xué);2010年
2 張東平;WTO爭端解決中的條約解釋研究[D];廈門大學(xué);2003年
3 盧建祥;WTO裁決的強制執(zhí)行機制[D];華東政法大學(xué);2008年
4 毛燕瓊;WTO爭端解決機制問題與改革[D];華東政法大學(xué);2008年
5 竇仲暉;對和平解決國際爭端的政治與法律方式的比較研究[D];暨南大學(xué);2009年
相關(guān)碩士學(xué)位論文 前4條
1 孫書玲;WTO仲裁決定合理執(zhí)行期限的考慮因素研究[D];華東政法大學(xué);2013年
2 陸鈺;WTO仲裁決定報復(fù)水平問題研究[D];華東政法大學(xué);2014年
3 史佳麗;論WTO爭端解決機制中的仲裁程序[D];華東政法大學(xué);2014年
4 許喬博;中美取向性電工鋼案“合理期限”法律問題研究[D];西南政法大學(xué);2014年
，本文編號：2223287
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