WTO规则的法理分析

发布时间：2018-03-15 19:58

本文选题：WTO规则　切入点：法律全球化　出处：《吉林大学》2012年博士论文　论文类型：学位论文

【摘要】：世界贸易组织（World Trade Organization, WTO）是世界上最重要的国际性贸易组织。WTO的优势在于它为国际社会提供了一套国际公认的贸易规则——WTO规则。该贸易规则的影响程度之深，影响范围之广是史无前例的。但从现阶段来考量，WTO规则所倡导的多边贸易体制正在遭遇着严重的信任危机。理性正视WTO规则存在的问题，并尝试在WTO规则体系内提出可能的解决方案是必要的。法律全球化作为经济全球化浪潮冲击的必然结果，对法学理论研究产生了重大而深远的影响，提出了与传统国内法意义上的法律观念截然不同的建立在全人类整体利益考量基础上的理念。用全球化的意识和视野对WTO规则进行法理分析具有重要的理论及现实意义。 WTO规则存在的问题在很大程度上是由于对WTO规则本身的属性、正当性、基本原则及其所蕴含的价值理念缺乏正确的理解。在法律全球化的大背景下，首先要跳出单一的权力中心的观念，从一种新的“体系中心”的视角看待法律本身，就能得出WTO规则具有国际法属性的结论。WTO规则作为国际法的一部分的同时，也形成了自己的自洽的体系，并在全球范围内对国际贸易及其相关问题进行着协调与管理。虽然在实践中WTO规则在成员国内并不具有直接效力，但是，WTO规则总是能通过转化和采纳等方式在成员国国内得以适用，并得到各成员国的普遍遵守。各成员国的普遍认可和遵守是WTO规则正当性的重要来源之一。通常认为，当WTO规则具有某种道德指向或某些基本的众所公认的内在价值，并被各国人民或各个国家普遍认可，那么我们就认为WTO规则具有正当性。相对应的，对WTO规则的正当性进行分析，并指出WTO规则正当性的瑕疵及补救之法，是使WTO规则获得普遍遵守及认可的根本方法。WTO正当性的另一个重要来源是WTO规则内在的平等、自由的价值理念，这些价值理念主要通过非歧视原则、透明度原则和良好贸易原则等WTO规则的基本原则来体现和加以实现的。WTO规则的法理是活的法理，它体现在包括环境规则在内的WTO的各个具体规则和争端解决的过程中，并在具体规则的运用和争端解决中得到验证和升华。 WTO规则的制定和实施不意味着贸易摩擦和争端马上的减少，相反，WTO的文化特质可能还会使争端有所增加。如何解决这些争端和分歧，并不断总结经验，不断改革和完善WTO规则才是我们需要思考的问题，只有正当而完善的国际贸易规则才可能使国际贸易更加规范而有效率。根据上述研究思路与理论逻辑，本文共分为五章展开具体阐述：第一章交代了WTO规则形成及发展的时代背景。WTO规则是在全球化的大背景下形成及发展起来的。在本章中，首先，对世界发展以及全球化的景象进行了俯瞰。经济的变化和发展是一切上层建筑变动的基础。全球化理所当然的首先体现在经济、贸易及资本领域，然后迅速扩展到包括法律、政治、文化等在内的各个领域。其次，分析了法律全球化的产生机理及理论意蕴。再次，指出了WTO规则在法律全球化的大背景下是如何产生及发展起来的，以及它对法律全球化乃至整个全球化发展起到了怎样的的推动作用。第二章指出WTO规则具有的属性。本章从WTO规则的形式属性、过程属性和效力属性入手进行分析，试图厘清WTO规则所具有的属性。首先是WTO规则的形式属性。该部分从体系中心的视角看待法律，从而得出全球化时代的“法”的定义，进而得出WTO规则具有国际法属性的结论。并分析了WTO规则作为国际法的一部分，，又作为一个自洽的法律体系，是怎么解决和协调WTO规则体系内部规则之间以及WTO规则与其它国家法之间的冲突问题的。其次是WTO规则的职能属性。这部分着重分析了WTO作为一个全球性的对国际贸易相关问题进行协调和管理的机构，其规则所具有的监督政府、解决贸易纠纷等职能。最后是WTO规则的效力属性。关于WTO规则的效力属性，分为两部分进行分析，第一部分是WTO规则在各成员国国内法的一般效力问题，以及WTO争端解决机制所通过的报告对于成员国的效力问题。这些问题主要集中在国际法层面。第二部分是国内法院能否援用WTO规则而对与WTO规则不一致的国内法律和政策进行裁判的问题，即WTO规则是否在成员国内具有直接效力的问题。这个问题主要集中在国内法层面，涉及到更宽泛的国内宪法性安排的制度。第三章对WTO规则的正当性进行分析和审视。首先，对正当性的含义进行了分析，指出了正当性所应具有的“自愿遵守”和“道德指向”的含义内核，并对正当性和合法性进行了区分和比较，使正当性的含义更加明晰。其次，建立了WTO规则正当性的分析框架。将法理学领域的实体正当性和程序正当性的划分，与政治学领域中的输出正当性与输入正当性的划分进行比较。将本章对正当性的分析限定在以下两方面：实体法方面，WTO规则在实现其目标与价值时,是否能够高效的达到令人满意的效果；在程序法方面，WTO在制定规则、作出决议以及解决纠纷等方面是否具有程序正当性，其决策与解决程序是否以民主的方式进行；再次，在上述确定的框架内，以发展中国家问题、扩大管辖权问题、协商一致及透明度问题以及争端解决问题等为切入点，具体分析WTO规则的正当性及其瑕疵，并对其正当性瑕疵的弥补提出建议。第四章对WTO规则的基本原则及其蕴含的价值理念进行了剖析。首先，对WTO基本原则的概念进行厘定，并对WTO基本原则的归纳尺度进行说明，进一步将WTO基本原则与其具体原则、规则相区别，并且将WTO基本原则与其中蕴含的法的理念相区别。其次，将WTO规则的基本原则归纳为非歧视原则、透明度原则、良好贸易原则。并从上述基本原则在实践领域的体现以及存在的问题等方面进行具体的分析。最后，本章还对WTO规则所体现出的平等、自由的价值理念进行探究。第五章通过对WTO规则的具体规则和典型案例进行分析，进一步在具体的实践领域使WTO规则的法学理论得到验证和升华。本章以WTO环境规则及具体案例为例，将前几章中讨论的WTO规则的属性、正当性及基本原则、价值理念等问题在该部分加以印证与体现。在本章中，首先对环境规则进行了分析与归纳，其次以海虾海龟案等典型案例为例，展现了WTO争端解决机制的专家组和上诉机构对WTO规则及其原则在实践中的运用；再次，为贸易与环境保护冲突的解决提出建议。
[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.

【学位授予单位】：吉林大学
【学位级别】：博士
【学位授予年份】：2012
【分类号】：D996.1

【引证文献】