论WTO报复制度的完善

发布时间：2018-04-18 02:08

本文选题：WTO + DSU　；参考：《安徽大学》2017年硕士论文

【摘要】：根据WTO争端解决机制规定了三种执行手段,即撤回、补偿与报复。报复制度是WTO争端解决机制中的最后一种救济手段。报复制度也是WTO各成员方用来解决争端的最后一道保险。通过对于报复制度从GATT1947到WTO时期的比较和基本规则的探究,结合DSU第22条的文本研究、报复制度的具体施用,我们可以总结出WTO报复制度在实体和程序上存在的弊端,进而提出完善建议。可是,WTO争端解决机制被发展中国家称作不公平或与他们自身环境不兼容的。这使得他们在面对与发达国家的贸易争端解决中变得更加没有保障,因为发展中国家政治实力以及经济、技术资源相对于发达国家比较弱小。中国作为世界上最大的发展中国家,不可避免地会参与到涉及报复制度的争端之中,因此对于报复制度的研究有助于中国更好地运用与应对报复措施。"报复"这一概念一直都存在,在国际法和国际贸易交往之中有着特殊的内涵。WTO报复制度有着几个特点:临时性、顺序性、多边性、最后性,同时DSU第22条对于报复制度的具体规则有着明确的规定。当然WTO报复制度并不是凭空设计出来的,而是在GATT1947的基础之上继承发展起来的,前者进一步明确了实施报复的前提条件,增加了交叉报复的报复方式,"反向协商一致"的原则使得批准报复具有了自动性,同时也设置了审查报复申请的仲裁程序并详细规定了报复终止条件和相关程序的期限。WTO报复制度的具体规则都是由其内在的价值目标所指导的,关于报复制度的价值目标在学界有两种学说的争议,"补偿说"认为报复制度是为了将被违反的规则和受损的利益进行再平衡,"制裁说"认为报复是为了督促执行,而这两种价值目标并不是不能共存、彼此冲突的,它们是共同存在并且都反映着WTO的价值目标。实施WTO报复有着实体性条件和程序性条件两方面。实体性条件有:首先是在合理期限届满之后被诉方的违约行为依然存在,其次是争端中的双方并未就补偿达成令双方满意的协议。程序性条件则有三个:首先是起诉方对于被诉的不履行行为根据DSU第21.5条提出复审,其次是起诉方须就补偿事项与被诉方进行谈判,再次是报复必须经DSB授权。DSU对于报复也施加了限制,首先是限制报复水平,其次是对交叉报复的限制,再次限制报复的对象仅限于报复清单列明的产品类别、部门或知识产权的类型。报复制度虽是WTO中争端解决机制的重要部分,但是由国内政府所决定作出的选择,国内实施存在的问题以及应当考虑的因素,其中包括政治因素与经济因素两方面,这对于指导发展中国家参与报复实践具有着非常现实的指导意义。当今报复实践中极具代表性的几个案例进行分析,从中既可以发现当前报复制度所存在的缺陷,又能为发展中国家尤其是中国参与WTO争端解决提供方法论的参考和宝贵的经验。WTO报复制度存在至今,优势与缺陷并存。首先,报复制度的优势在于执行力度的强化与执行效率的提高。其次,在实体方面,报复制度存在着违背国际贸易自由化原则、不能充分保障发展中国家的利益以及会损害无辜产业利益等主要缺陷。再次,在程序方面,WTO报复制度存在的不足有执行异议与授权报复适用的先后顺序的争议、报复措施终止条件模糊、报复措施透明度问题。欧共体香蕉案、荷尔蒙案和安提瓜赌博案都是DSB解决的发达国家和发展中国家产生争端的报复案件,通过对这些案件的分析能够得出完善WTO报复制度的一些建议与中国面临报复时的应对之策。首先,鉴于发展中国家被授权报复发达国家执行困难的现状,本文在实体方面提出了一系列有利于发展中国家参与报复的改革建议,例如建立集体报复、金钱赔偿制度、可追溯报复和可转让报复制度。其次,程序方面也对适用顺序问题、终止条件以及提高报复措施透明度提出了可行性的完善建议。再次,本文研究报复制度,最终目的就是要帮助中国运用和应对WTO报复制度。报复制度对中国的影响包括积极影响和消极影响两个方面,但总体来说还是利大于弊。中国在应对报复方面,应遵守WTO协定、积极履行裁决或建议,避免被其他成员方报复;还应完善国内的相关立法、增强对报复措施的承受能力;善于利用WTO报复制度的规则;加强和其他发展中国家的合作与对报复相关案例研究。
[Abstract]:According to the WTO dispute settlement mechanism provides three kinds of means of implementation, namely, withdrawal, compensation and retaliation. The retaliation system is the last kind of relief means in the WTO dispute settlement mechanism. The last one is the member insurance Retaliation System WTO Fang Yonglai to resolve disputes. Through exploring for retaliation system from GATT1947 to WTO period and basic rules the combination of text study of DSU twenty-second, the specific application of the retaliation system, we can summarize the drawbacks of WTO Retaliation System in the presence of the entity and procedure, and puts forward some suggestions for improvement. However, the WTO dispute settlement mechanism is called unfair or developing countries with their environment is not compatible. This makes them in the face of trade disputes with the developed countries in solving more insecure, because of political and economic strength of developing countries, technical resources relative to the developed countries in the country are relatively weak. As the largest developing country in the world, is inevitably involved in the dispute involving the retaliation system, thus helping to better use and deal with Chinese retaliatory measures for the study of the retaliation system. "Revenge" this concept has been in existence, in international law and international trade association has a special connotation of.WTO Retaliation System there are several features: temporary, sequential, multilateral, finally, at the same time, DSU twenty-second for retaliation system specific rules have a clearly defined. Of course, WTO is not out of the retaliation system designed, but on the basis of GATT1947 succession developed, the former has further defined the precondition of revenge and increase the cross retaliation retaliation, "reverse consensus" principle which has automatic approval of revenge, but also set up a review of the application of the arbitration procedure in detail and revenge The provisions of the specific rules of revenge termination conditions and related procedures for.WTO retaliation system is guided by its intrinsic value, the value of the target of retaliation system there are two kinds of theory controversy in academic circles, "compensation" is that the retaliation system of order will be in violation of the rules and damaged the interests of the re balance, "said sanctions that revenge is to supervise the execution, and the two value goals are not in conflict with each other, can not coexist, they are common and reflects the value of the target WTO. The implementation of WTO retaliation has two substantive conditions and procedural conditions. Substantive conditions are: the first is the the defendant's breach of contract still exist after reasonable period, followed by the two sides in the dispute of compensation does not reach a satisfactory agreement. The program has three conditions: the first is the prosecution for alleged non performance Act according to Article 21.5 of DSU this review, followed by the prosecution and the defendant compensation matters shall negotiate again is authorized by DSB.DSU for revenge must revenge also imposed restrictions, first of all is to limit the level of retaliation, the second is to limit the cross retaliation, again only limited revenge revenge list product categories, types of departments or intellectual property rights. Although the retaliation system is an important part of the WTO dispute settlement mechanism, but by the domestic government decided to make a choice, the domestic implementation of the existing problems and the factors to be considered, including the two aspects of political and economic factors, the participation of developing countries in practice with the guidance of revenge very practical significance. The analysis of revenge practice representative of several cases, we can find the defects of the retaliation system, And especially for developing countries to participate in the WTO dispute settlement China provide methodology reference and valuable experience of.WTO retaliation system still exist, both advantages and disadvantages. First of all, the advantage of the retaliation system of enforcement and strengthening to improve execution efficiency. Secondly, in the aspect of entity, the retaliation system there is a breach of international trade liberalization principle and can not fully protect the interests of developing countries and will damage the main defect of innocent industry interests. Thirdly, in the process, there is objection and authorized revenge applicable Order of controversial problems of WTO retaliation system, retaliation termination condition fuzzy problem of retaliatory measures. The transparency of EC banadas, hormone case and Antigua gambling case are developed and developing countries is to solve the DSB disputes retaliation cases, through the analysis of these cases can be obtained. Some good suggestions of WTO retaliation system and Countermeasures Chinese face retaliation. First of all, in view of the developing countries have been authorized retaliation in developed countries the implementation of difficult situation, this paper puts forward a series of entities is conducive to the participation of developing countries in retaliation for reform proposals, such as establishing a collective revenge, money compensation system, can be traced back to revenge and transferable retaliation system secondly, the procedure of the application order, termination conditions and improving the transparency of retaliatory measures and puts forward some feasible suggestions. Thirdly, this paper studies the retaliation system, the ultimate goal is to help China use and deal with WTO retaliation system. Effects of the retaliation system of China included two aspects of positive and negative effects, but overall it is more good than harm. China in response to retaliation, should comply with the WTO agreement, actively carry out the recommendations and rulings, avoid other The members should retaliate. They should also improve relevant legislation in the country, enhance their bearing capacity for retaliatory measures, make good use of the rules of WTO retaliation system, strengthen cooperation with other developing countries and study cases related to reprisals.

【学位授予单位】：安徽大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D996.1

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