论WTO争端解决机制中报复水平的仲裁

发布时间：2018-02-22 02:42

本文关键词： WTO 报复水平仲裁　出处：《山西大学》2011年硕士论文　论文类型：学位论文

【摘要】：作为WTO争端解决执行程序中最后的、最强有力的强制措施,报复在争端解决执行程序中占有着非常重要的地位,它不仅强化了WTO执行力度和执行机制,同时还极大的提高了执行机制的有效性和可靠性,争端各方的利益也得到了重新平衡。然而报复必须被限定在一定范围内,即报复水平与违法措施所造成的利益的丧失或损害必须相当。在实践中,WTO成员常常因为报复水平产生纠纷,从而诉诸WTO下的报复水平仲裁。另一方面,由于WTO相关规定的原则性,实践中产生很多理解上的分歧和适用方面的困难。因此,以相关案件为基础,对报复水平仲裁进行专门研究,对国际贸易争端的解决、经济秩序的稳定和我国在国际贸易中合法权益的维护具有重要意义。本文运用案例分析、文献分析、比较分析等方法对WTO争端解决机制中报复水平仲裁中涉及的程序问题和实体问题进行深入的探究,以期为我国充分、合理利用WTO争端解决机制提供理论指导。除引言和结论外,论文分为三个部分。第一部分论述WTO体制下报复措施的特点及意义。WTO体制下的报复具有临时性、最后性、非惩罚性和法定性等特点。实施报复需要满足部门顺序要求和程度要求。就部门顺序而言,实施报复应按照同部门、同协定和跨协定的顺序实施。就程度要求而言,实施报复的水平应当与利益丧失或损害的水平保持相当。报复的实施不仅可以提高执行效率,还能强化执行力度,有利于争端的积极解决。与一般的仲裁相比,报复水平仲裁有其自己独有的特点,它仅存于执行阶段,具有特定性、临时性、强制性等特点。第二部分以DSU的相关规定为基础,结合争端解决实践中仲裁员对具体案件的解释,全面分析报复水平仲裁的程序问题。具体包括：仲裁的申请、仲裁员的选定、仲裁员的职责、举证责任、第三方权利、报复水平仲裁程序的中止、报复水平仲裁与裁决执行复审程序之间的“顺序问题”。第三部分论述WTO体制下报复水平仲裁的实体问题,主要包括计算报复水平的起始日期和报复水平的计算方式。就报复水平的起始日期而言,DSU并没有明确的规定,在报复水平仲裁的实践中,往往依靠仲裁员综合多方面因素进行确定。结合各成员对报复水平起始日期的提出改革建议,作者认为应将其确定为DSB通过上诉机构或者专家组报告之日。关于报复水平的计算方式,DSU只有原则性的规定,仅起指导作用。作者在总结争端解决实践中的五种计算方式,即实际/反事实分析方式、等同方式、推算方式、经济模式方式、对等方式的基础上,指出仲裁员和争端方计算时应根据案件的具体情况,选择适当的计算方式。
[Abstract]:As the last and most powerful coercive measure in the WTO dispute settlement enforcement procedure, retaliation plays a very important role in the dispute settlement enforcement procedure. It not only strengthens the enforcement strength and mechanism of WTO, but also strengthens the enforcement mechanism of WTO. It also greatly improves the effectiveness and reliability of the enforcement mechanism and rebalances the interests of the parties to the dispute. However, retaliation must be limited to a certain extent. That is, the level of retaliation must be equal to the loss or damage to the interests caused by illegal measures. In practice, WTO members often have disputes over the level of retaliation, and thus resort to the level of retaliation arbitration under the WTO. On the other hand, Because of the principle of the relevant regulations of WTO, there are many differences in understanding and difficulties in application in practice. Therefore, based on the relevant cases, the arbitration of retaliation level has been specially studied, and the settlement of international trade disputes has been carried out. The stability of economic order and the protection of China's legitimate rights and interests in international trade are of great significance. In this paper, case analysis, literature analysis, comparative analysis and other methods are used to deeply explore the procedural and substantive issues involved in the level of retaliation arbitration in the WTO dispute settlement mechanism, in order to make full use of it in our country. Reasonable use of WTO dispute settlement mechanism to provide theoretical guidance. In addition to the introduction and conclusions, the paper is divided into three parts. The first part discusses the characteristics and significance of the retaliatory measures under the WTO system. The retaliation under the WTO system is temporary and final. Characteristics such as non-punitive and statutory... the enforcement of retaliation requires the fulfilment of sectoral order and degree requirements... in terms of sectoral order, retaliation shall be carried out in the same sector, in the same agreement and in the order of cross-agreement... as far as the degree requirement is concerned, The level of retaliation should be equal to the level of loss of interest or damage. The enforcement of retaliation can not only improve the efficiency of enforcement, but also strengthen enforcement, which is conducive to the positive settlement of disputes. Retaliation level arbitration has its own unique characteristics, it only exists in the execution stage, it has the characteristics of specificity, temporary, mandatory and so on. The second part is based on the relevant provisions of DSU, combined with the arbitrators' interpretation of specific cases in the practice of dispute settlement, comprehensively analyzes the procedural issues of retaliation level arbitration, including: the application for arbitration, the selection of arbitrators, Duties of arbitrators, burden of proof, third-party rights, suspension of retaliation level arbitration proceedings, "order issues" between level of retaliation arbitration and award enforcement review proceedings. The third part discusses the substantive issues of the level of retaliation arbitration under the WTO system, mainly including the calculation of the starting date of the level of retaliation and the calculation method of the level of retaliation. There is no clear stipulation on the starting date of the level of retaliation. In the practice of retaliation level arbitration, the arbitrators often rely on the arbitrators to synthesize various factors for determination. In combination with the reform proposals made by the members on the starting date of the retaliation level, The author holds that it should be determined as the date on which the DSB is reported by the appellate body or the panel of experts. The calculation of the level of retaliation is only a matter of principle and only serves as a guide. The author has five methods of calculation in summing up the practice of dispute settlement. On the basis of actual / counterfactual analysis, equivalent, reckoning, economic model and equivalence, it is pointed out that the arbitrators and disputing parties should choose appropriate calculation methods according to the specific circumstances of the case.
【学位授予单位】：山西大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.1

【引证文献】