WTO“公共道德例外”条款研究

发布时间：2018-04-19 20:00

本文选题：WTO + 贸易自由化　；参考：《湖南师范大学》2012年博士论文

【摘要】：旨在平衡自由贸易与公共道德之关系的WTO“公共道德例外”条款,寥寥数十字的规则却在沉寂了半个多世纪之后成为贸易各方关注的焦点。这是因为WTO规则肩负着双重使命：一方面强调成员方必须坚持自由贸易与公平贸易；另一方面又强调在成员方的公共道德已经受到或可能受到自由贸易损害时,则有权采取贸易限制措施。但问题的关键是：如何平衡协调此二者的关系?换言之,如何使得贸易各方在保护公共道德时,不致滥用权利而变相推行贸易保护主义?实践表明,WTO“公共道德例外”条款因表述简洁(允许各国采取“必要的保护公共道德”的贸易措施)而颇具争议性,以致成员方之间和DSB历任专家至今未能达成一致解释。这就为后续研究留下了诸多思考探讨的空间。本文分为引论、本论和结语三个部分。其中,“本论”共分六章展开论述。为使后文的论述存在话语背景及探讨基础,本文第一章主要介绍了WTO“公共道德例外”条款的概念、特征、法理基础及制定情况。考虑到“公共道德”的内涵解读是正确理解和援用WTO“公共道德例外”条款的关键,因而本文的第二章专门探讨了该条款的解释问题。在WTO规则体系内,由“模糊条款”导致的争端需要由DSB来进行解释澄清。这一行为的法律依据就是《维也纳条约法公约》和实际遵循的DSB裁决“先例”。DSB采用的解释方法主要包括客观解释方法、有效解释方法和动态解释方法等。但问题是,即便存在这些法律依据和解释方法,DSB也不曾清楚地阐释“公共道德”的内涵。在“美国博彩案”与“中美出版物市场准入案”中,DSB也未过多阐释“公共道德”的内涵,只是倾向于认同成员方在界定“公共道德”方面的一定自主权。从对成员方关于“公共道德”的立法和司法实践看,他们对其内涵及概念并未形成一致,尽管可能基于地域、历史、文化或政治等原因而形成了一些区域性的共识。此外,鉴于GATS第14条(a)款“公共道德和公共秩序例外’条款中增加了“公共秩序”术语,因而本章有必要对“公共道德”和“公共秩序”稍加论述,并将其描述为“两个不同但有重叠”的概念。毋庸置疑,作为法律规则之一,“公共道德例外”条款的援用必须符合一定条件,即：违背WTO其他规则、符合必要性原则、满足GATT序言宗旨。本文的第三章主要讨论了WTO“公共道德例外”条款的适用条件。针对各项条件之间适用的先后顺序、必要性要件和序言要求,本章考察了它们各自的要素及其形成的历史,结合判例实证分析了各项条件的具体适用情况并归结出其对例外条款适用条件的发展：“磋商和谈判”不再是必要性检验的替代措施；必要性检验中替代措施的举证责任由被投诉方转移至投诉方。这些发展对于衡平贸易自由与公共道德之关系显然有益。有鉴于WTO“公共道德例外”条款并未规定其适用的范围,本文第四章从横向与纵向两个层面探讨了“公共道德例外”条款的适用范围。在横向层面,探讨了“公共道德例外”条款能否在协定外适用的问题。从“中美出版物市场准入案”来看,GATT第20条的适用范围就已经扩展至GATT之外,即适用于入世文件。从遵循先例的角度看,“公共道德例外”条款的适用范围还可能继续扩展至其他WTO协议文件上。在纵向层面,针对“公共道德例外”条款能否适用于域外(措施实施国之境外)的问题,传统理论认为,该条款的初衷是旨在保护成员方境内的公共道德,而随着公共道德内涵的不断涵摄进包含人权、劳工标准、动物福利等在内的因素,一些主要WTO成员(如美国)为保护他国的公共道德而纷纷制定了贸易限制措施。但无论如何,为防止该条款被滥用,本文主张,依据国际法关于管辖权原则的一般规定,只有在一国实施了违反国际强行法的行为时,才可能将“公共道德例外”条款适用于该国。立足于WTO“公共道德例外”条款的适用现状,第五章主要就其适用前景进行了展望。该条款已渐成关注“热点”,中国等发展中国家也开始积极援用一般例外条款进行自我保护；DSB也致力于公共道德与贸易权利之间的平衡努力。从一定程度上讲,这些即是WTO“公共道德例外”条款的适用现状。更为重要的是,随着世界贸易的迅猛发展,“公共道德例外”条款将呈现出三大发展趋势：其一,该条款将被大量援用；其二,公共道德的内涵将进一步扩展并囊括进有限人权(包括人权、劳工权益等)；其三,在平衡贸易自由与公共道德的努力中,DSB仍将起主导作用。为了维护好各国保护公共道德的诉求和有效防止该条款被滥用,DSB一方面应谨慎引导公共道德内涵的扩展趋势,另一方面要适度运用“公共道德例外”条款的适用条件鉴于针对中国的投诉逐年上升的趋势,要切实维护好中国的贸易利益,中国政府和学者必须加强对WTO“公共道德例外”条款的研究。针对“中美出版物市场准入案”暴露出的主要问题,如立法存在漏洞和举证存在不足等,本文第六章提出了一些完善相关立法、培养WTO诉讼人才等方面的建议。
[Abstract]:The WTO "public moral exception", which aims to balance the relationship between free trade and public morality, has been the focus of trade parties after more than half a century. This is due to the dual mission of the WTO rules: on the one hand, the member Fang Bi must insist on free trade and fair trade; the other is the other. The key to the question is: how to balance and coordinate the relationship between these two parties? In other words, how to make trade protectionism be implemented by all trade parties in protecting public morality from abuse of rights? The practice shows that the WTO "public moral exception" clause is quite controversial because of its conciseness (allowing countries to take "necessary protection of public morality"), so that members of Fang Zhijian and DSB have not been able to reach a consensus. This has left a lot of space for further research.
This article is divided into three parts: introduction, theory and conclusion. The "theory" is divided into six chapters.
In order to make the discourse background and the basis of discussion, the first chapter introduces the concept, characteristics, legal basis and formulation of the WTO "public moral exception" clause.
Considering that the interpretation of "public morality" is the key to correctly understanding and invoking the WTO "public moral exception" clause, the second chapter of this article specializes in the interpretation of the clause. In the WTO rule system, the dispute caused by "fuzzy clause" needs to be explained and clarified by DSB. The legal basis of this act is < The interpretation methods adopted by the Vienna Convention on the law of treaties and the "precedent" of the DSB award, which is actually followed, mainly include the objective interpretation method, the effective interpretation method and the dynamic interpretation method, but the problem is that even if these legal basis and interpretation methods exist, DSB has not clearly explained the connotation of "public morality". In the case of China and the United States publications market access, DSB has not too much interpretation of the connotation of "public morality", but is inclined to identify the certain autonomy of the members in defining "public morality". Regional consensus can be formed based on geographical, historical, cultural or political reasons.
In addition, in view of the addition of the term "public order" in the "public morality and public order exceptions" clause in the fourteenth article of GATS (a), it is necessary for this chapter to briefly discuss "public morality" and "public order" and describe it as "two different but overlapping" concepts.
There is no doubt that as one of the rules of law, the use of the "public moral exception" clause must meet certain conditions, that is, contrary to the other rules of WTO, conforming to the principle of necessity and satisfying the tenet of the GATT preface. The third chapter of this article mainly discusses the application conditions of the "public moral exception" clause in WTO. In order, necessary elements and preface requirements, this chapter examines their respective elements and the history of their formation, analyses the specific application of the conditions and sums up the development of the conditions applicable to the exceptions: "consultation and negotiation" is no longer a substitute for the necessary inspection; The burden of proof is transferred from the respondent to the complainant. These developments are obviously beneficial to the relationship between trade freedom and public morality.
In view of the fact that the WTO "public moral exception" clause does not specify the scope of its application, the fourth chapter discusses the scope of the application of the "public morality exception" clause from two horizontal and vertical levels. In the horizontal level, the question whether the "public morality exception" clause is suitable for the outside of the agreement is discussed. "See, the scope of the application of the GATT twentieth is extended beyond GATT, which is suitable for the entry of WTO documents. From the point of view of following the precedent, the scope of the application of the" public moral exception "clause may continue to extend to the other WTO documents. The traditional theory holds that the purpose of the clause is to protect the public morality within the territory of the member, and as the connotation of the public morality is constantly taken into account, such as human rights, labour standards, animal welfare, and other factors, some major WTO members (such as the United States) have set up a trade limit for the protection of the public morality of his country. However, in any case, in order to prevent this clause from being abused, this article argues that, in accordance with the general provisions of international law on the principle of jurisdiction, it is possible to apply the "public moral exception" clause to the country only when a state has carried out a violation of the international law of force.
Based on the application of the WTO "public moral exception" clause, the fifth chapter focuses on the prospect of its application. This clause has gradually become a focus of attention, and China and other developing countries have also started to actively use the general exception clauses to protect themselves; DSB is also committed to the balance between public morality and trade rights. To a certain extent, these are the application of WTO's "public moral exception" clause.
More importantly, with the rapid development of world trade, the "public moral exception" clause will present three major trends: first, the clause will be widely used; secondly, the connotation of public morality will be further expanded and included in the limited human rights (including human rights, labor rights and interests, etc.); thirdly, the balance of trade freedom and public morality In the effort, DSB will still play a leading role. In order to maintain the demands of the public morality and prevent the abuse of this clause effectively, DSB should cautiously guide the expansion of the connotation of public morality on the one hand, and on the other hand, apply the conditions of the "public moral exception" clause appropriately.
In view of the rising trend of China's complaints, in order to effectively safeguard China's trade interests, the Chinese government and scholars must strengthen the study of the "public moral exception" clause of WTO. The main problems exposed in the "China US publications market access case", such as the shortcomings of the loopholes in legislation and the lack of evidence, are mentioned in the sixth chapter. Some suggestions on improving relevant legislation and cultivating WTO litigation talents were put forward.

【学位授予单位】：湖南师范大学
【学位级别】：博士
【学位授予年份】：2012
【分类号】：D996.1

【引证文献】