論WTO爭端解決機制中的報復程度仲裁
發(fā)布時間：2018-12-08 17:17
【摘要】：世界貿(mào)易組織(World Trade Organization, WTO)在如今的多邊貿(mào)易領(lǐng)域具有舉足輕重的地位和作用。在烏拉圭回合談判中達成的《關(guān)于爭端解決規(guī)則和程序的諒解》( Understanding on Rules and Procedures Governing the Settlement of Disputes, DSU)為WTO這個直接或間接關(guān)系到整個國際經(jīng)濟秩序和政治秩序的國際組織確立了一個強有力的爭端解決機制,保障了整個多邊貿(mào)易體制安全和具有可預見性。其中爭端解決機構(gòu)(DSB)通過的最后建議和裁決能否得到充分履行是確保爭端解決機制有效運行的關(guān)鍵。 在裁決的執(zhí)行中,報復作為救濟的最后手段,在促使有關(guān)成員方及時全面地履行裁決方面發(fā)揮著重要的作用。而報復程度問題始終是授權(quán)報復的爭議雙方關(guān)切的核心問題,決定了WTO爭端解決的最終結(jié)果,同時也是關(guān)系到WTO法律救濟本質(zhì)的關(guān)鍵。本文結(jié)合目前WTO案例實踐,通過對報復程度仲裁的程序性和實體性事項的剖析,強調(diào)了報復“促進執(zhí)行”的目的和WTO“展望未來、既往不咎”的價值取向。 本文分為四個部分。 第一章介紹了WTO體制內(nèi)的三種仲裁機制和DSU第22條規(guī)定的授權(quán)報復的基本內(nèi)容,同時回顧了GATT和WTO時期報復程度仲裁在爭端解決中的具體實踐。 第二章對報復程度仲裁的程序性事項予以詳解,包括仲裁申請的提出、仲裁員的產(chǎn)生與仲裁權(quán)限、舉證責任與證據(jù)規(guī)則、第三方參與仲裁程序以及仲裁的時限和結(jié)果。 第三章從實體法角度剖析了貫穿報復程度仲裁過程中的“報復程度必須與利益喪失或損害水平相當”的原則,并歸納出仲裁員在確定利益喪失或損害時運用的方法與考量因素,強調(diào)報復的目的是為了促進敗訴方執(zhí)行專家組和/或上訴機構(gòu)的裁決或建議,使被判定違規(guī)的爭議措施盡快回到符合WTO相關(guān)協(xié)定的軌道上來。在反補貼領(lǐng)域,仲裁員適用特別仲裁機制,對禁止性補貼和可訴性補貼分別參考不同的報復程度原則,筆者對三種不同的衡量報復程度的標準進行了比較。 第四章從授權(quán)報復案件的執(zhí)行情況來分析授權(quán)報復在執(zhí)行中所面臨的困境與存在的缺陷,并結(jié)合成員方以及專家對報復的評述提出具有可行性的完善報復機制的合理建議。
[Abstract]:The World Trade Organization (WTO) (World Trade Organization, WTO) plays an important role in the field of multilateral trade. Understandings on rules and procedures for the settlement of disputes reached in the Uruguay Round of negotiations. (Understanding on Rules and Procedures Governing the Settlement of Disputes, DSU) has established a strong dispute settlement mechanism for WTO, an international organization directly or indirectly related to the whole international economic and political order, which ensures the security and predictability of the entire multilateral trading system. Whether the final recommendations and rulings adopted by the dispute settlement body (DSB) can be fully implemented is the key to ensure the effective operation of the dispute settlement mechanism. In the execution of the award, retaliation, as the last measure of relief, plays an important role in the prompt and comprehensive implementation of the award by the members concerned. The degree of retaliation has always been the core concern of both parties to the dispute of authorized retaliation, which determines the final outcome of WTO dispute settlement, and is also the key to the essence of WTO legal remedy. Combined with the current WTO case practice, this paper analyzes the procedural and substantive matters of the degree of retaliation arbitration, and emphasizes the purpose of "promoting enforcement" and the value orientation of WTO "looking forward to the future, leaving bygones behind". This paper is divided into four parts. The first chapter introduces three kinds of arbitration mechanism in WTO system and the basic content of authorized retaliation stipulated in Article 22 of DSU. At the same time, it reviews the practice of degree of retaliation arbitration in the period of GATT and WTO in dispute settlement. The second chapter gives a detailed explanation of the procedural matters of the degree of retaliation arbitration, including the filing of the arbitration application, the emergence and jurisdiction of the arbitrators, the burden of proof and the rules of evidence, the participation of third parties in the arbitration procedure, and the time limit and the result of the arbitration. The third chapter analyzes the principle that "the degree of retaliation must be equal to the level of loss of interest or damage" throughout the arbitration process of degree of retaliation from the perspective of substantive law, and concludes the methods and considerations used by arbitrators in determining the loss or damage of interest. The purpose of the emphasis on retaliation is to facilitate the implementation by the losing party of the decisions or recommendations of the panel of experts and / or the appellate body, and to bring the contentious measures found to be in violation to the track of the relevant WTO agreement as soon as possible. In the field of countervailing, arbitrators apply special arbitration mechanism and refer to different principles of retaliation degree respectively for prohibited subsidy and actionable subsidy. The author compares three different standards to measure the degree of retaliation. The fourth chapter analyzes the dilemma and defects of authorized retaliation in the implementation of authorized retaliation cases, and puts forward reasonable suggestions on how to improve the mechanism of retaliation in the light of the comments of member parties and experts.
【學位授予單位】：華東政法大學
【學位級別】：碩士
【學位授予年份】：2011
【分類號】：D996.1
本文編號：2368703
[Abstract]:The World Trade Organization (WTO) (World Trade Organization, WTO) plays an important role in the field of multilateral trade. Understandings on rules and procedures for the settlement of disputes reached in the Uruguay Round of negotiations. (Understanding on Rules and Procedures Governing the Settlement of Disputes, DSU) has established a strong dispute settlement mechanism for WTO, an international organization directly or indirectly related to the whole international economic and political order, which ensures the security and predictability of the entire multilateral trading system. Whether the final recommendations and rulings adopted by the dispute settlement body (DSB) can be fully implemented is the key to ensure the effective operation of the dispute settlement mechanism. In the execution of the award, retaliation, as the last measure of relief, plays an important role in the prompt and comprehensive implementation of the award by the members concerned. The degree of retaliation has always been the core concern of both parties to the dispute of authorized retaliation, which determines the final outcome of WTO dispute settlement, and is also the key to the essence of WTO legal remedy. Combined with the current WTO case practice, this paper analyzes the procedural and substantive matters of the degree of retaliation arbitration, and emphasizes the purpose of "promoting enforcement" and the value orientation of WTO "looking forward to the future, leaving bygones behind". This paper is divided into four parts. The first chapter introduces three kinds of arbitration mechanism in WTO system and the basic content of authorized retaliation stipulated in Article 22 of DSU. At the same time, it reviews the practice of degree of retaliation arbitration in the period of GATT and WTO in dispute settlement. The second chapter gives a detailed explanation of the procedural matters of the degree of retaliation arbitration, including the filing of the arbitration application, the emergence and jurisdiction of the arbitrators, the burden of proof and the rules of evidence, the participation of third parties in the arbitration procedure, and the time limit and the result of the arbitration. The third chapter analyzes the principle that "the degree of retaliation must be equal to the level of loss of interest or damage" throughout the arbitration process of degree of retaliation from the perspective of substantive law, and concludes the methods and considerations used by arbitrators in determining the loss or damage of interest. The purpose of the emphasis on retaliation is to facilitate the implementation by the losing party of the decisions or recommendations of the panel of experts and / or the appellate body, and to bring the contentious measures found to be in violation to the track of the relevant WTO agreement as soon as possible. In the field of countervailing, arbitrators apply special arbitration mechanism and refer to different principles of retaliation degree respectively for prohibited subsidy and actionable subsidy. The author compares three different standards to measure the degree of retaliation. The fourth chapter analyzes the dilemma and defects of authorized retaliation in the implementation of authorized retaliation cases, and puts forward reasonable suggestions on how to improve the mechanism of retaliation in the light of the comments of member parties and experts.
【學位授予單位】：華東政法大學
【學位級別】：碩士
【學位授予年份】：2011
【分類號】：D996.1
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