WTO体制下公共道德例外条款研究
发布时间：2018-08-20 09:39
【摘要】：例外条款在WTO体系中具有非常重要的作用,WTO体制下的多项协定都规定了例外条款,其中两个重要的协定《关税与贸易总协定》(以下简称“GATT")和《服务贸易总协定》(以下简称"GATS")中更是列出了专门的一条来规定特定情形可以作为违反WTO义务的抗辩理由,分别表现为GATT第20条和GATS第14条。其中列举的首个例外情形即为“公共道德”例外条款,由此足见该例外的重要性。本文综合运用历史分析、案例分析和比较分析的方法对WTO体制下公共道德例外条款的理论和适用进行研究。 论文的第一部分介绍了WTO体制下公共道德例外条款的制定与发展。在WTO成立之前,已经有许多国际条约都选择将道德例外作为国际条约的一项豁免理由,这可以说是WTO公共道德例外条款的出台背景。之后在WTO的两个重要协定GATT和GATS中相继纳入了公共道德例外条款。与该条款的积极纳入形成鲜明对比的是,该条款被纳入后50多年都没有得到适用和阐明,但是此时公共道德条款仍旧在国际贸易法中扮演一个较为活跃的角色。 由于正确理解和援用公共道德例外条款的关键在于对“公共道德”内涵的解释,因此,把对该条款的解释单独列出来作为论文的第二部分来阐述,借助《维也纳条约法公约》规定的条约解释方法对“公共道德”术语的含义进行解释和界定。此外,鉴于GATS第14条a项增加了“公共秩序”的概念,在本章还对“公共道德”和“公共秩序”的相互关系做了探讨。 论文的第三部分主要结合援引公共道德例外条款的两个具体案例即美国——影响跨境提供赌博和博彩服务的措施案(以下简称“美国赌博案”)和中国——影响出版物和娱乐用音像制品贸易权和分销服务的措施案(以下简称“中国出版物案”)来分析对该条款的适用,重点阐释了专家组和上诉机构在这两个案例中对公共道德例外条款的具体分析。美国赌博案是援引WTO体制下公共道德例外条款的第一案,该案确立了分析公共道德例外条款的标准。中国出版物案是新近发生的相关案例,在本案中我国以GATT第20条a项的公共道德例外条款作为被诉措施的抗辩理由,虽然没有成功,但仍然不失为研究公共道德例外的典型案例。通过分析得出本案的专家组和上诉机构在分析方法上仍然沿用了先前案子所确立的审查标准。 论文的第四部分列举了个人认为的公共道德例外条款在分析适用中存在的一些问题,主要包括,WTO争端解决机构在对公共道德例外条款进行分析时,对该条款适用时的一个关键问题即“公共道德”的含义是什么以及怎样确定仍然没有一个明确的答案；同时,一个按顺序的“双层测试”的分析方法将公共道德例外条款僵硬地分成了两部分,违背了条约解释的原则；此外,WTO争端解决机构适用的“必需性”测试审查标准要求非常严格却又并不确定。 论文的最后一部分对中国未来针对公共道德例外条款所应该采取的态度与策略提出相应的建议。本部分首先查明我国法律中规定的公共道德贸易措施的条文,紧接着对我国未来针对公共道德例外条款的适用提出具体的几点对策。
[Abstract]:Exceptional clauses play a very important role in the WTO system. Many agreements under the WTO system stipulate exceptional clauses. Among them, two important agreements, GATT (hereinafter referred to as GATT) and GATS (hereinafter referred to as GATS), list special clauses to stipulate that specific circumstances can be violated. The first exception is the exception clause of "public morality", which shows the importance of the exception. This paper uses the methods of historical analysis, case analysis and comparative analysis to analyze the theory and application of the exception clause of public morality under the WTO system. Conduct research.
The first part of the thesis introduces the formulation and development of the exceptional clauses of public morality under the WTO system.Before the establishment of WTO, many international treaties have chosen moral exceptions as one of the exceptional exceptions to international treaties.This can be said to be the background of the publication of the exceptional clauses of public morality in WTO.After that, GATT and GATS are two important agreements of WTO. In contrast to the active incorporation of this clause, it has not been applied and clarified for more than 50 years after its incorporation, but the public ethics clause still plays a more active role in international trade law.
Since the key to the correct understanding and application of the exceptional clause of public morality lies in the interpretation of the connotation of "public morality", the second part of the paper sets out the interpretation of the clause separately, and interprets and defines the meaning of the term "public morality" by means of the treaty interpretation method provided for in the Vienna Convention on the Law of Treaties. In addition, since the concept of "public order" has been added to Article 14A of GATS, the relationship between "public morality" and "public order" has also been discussed in this chapter.
The third part of the paper combines two specific cases that cite exceptions to public morality, namely, the United States-Measures Affecting Cross-border Gambling and Gambling Services (hereinafter referred to as the "American Gambling Case") and China-Measures Affecting Trade Rights and Distribution Services of Audio-visual Products for Publications and Entertainment (hereinafter referred to as "China"). The United States Gambling Case is the first case to invoke the exceptional clause of public morality under the WTO system. The case establishes the criteria for analyzing the exceptional clause of public morality. In this case, the public moral exception clause of Article 20a of GATT is used as the defense of the defendant's measure. Although it has not succeeded, it is still a typical case to study the public moral exception. Established standards of review.
The fourth part of the thesis lists some problems that exist in the analysis and application of the exceptional clause of public morality, mainly including: when the WTO Dispute Settlement Body analyzes the exceptional clause of public morality, one of the key problems in the application of this clause is what is the meaning of "public morality" and how to determine it. At the same time, a sequential "double-test" analytical method rigidly divides the public moral exception clause into two parts, which violates the principle of treaty interpretation; moreover, the "necessity" test review criteria applied by the WTO Dispute Settlement Body are very strict but uncertain.
The last part of the paper puts forward some suggestions on the attitude and strategy that China should adopt towards the public moral exception clause in the future.
【学位授予单位】：郑州大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D996.1
本文编号：2193173
[Abstract]:Exceptional clauses play a very important role in the WTO system. Many agreements under the WTO system stipulate exceptional clauses. Among them, two important agreements, GATT (hereinafter referred to as GATT) and GATS (hereinafter referred to as GATS), list special clauses to stipulate that specific circumstances can be violated. The first exception is the exception clause of "public morality", which shows the importance of the exception. This paper uses the methods of historical analysis, case analysis and comparative analysis to analyze the theory and application of the exception clause of public morality under the WTO system. Conduct research.
The first part of the thesis introduces the formulation and development of the exceptional clauses of public morality under the WTO system.Before the establishment of WTO, many international treaties have chosen moral exceptions as one of the exceptional exceptions to international treaties.This can be said to be the background of the publication of the exceptional clauses of public morality in WTO.After that, GATT and GATS are two important agreements of WTO. In contrast to the active incorporation of this clause, it has not been applied and clarified for more than 50 years after its incorporation, but the public ethics clause still plays a more active role in international trade law.
Since the key to the correct understanding and application of the exceptional clause of public morality lies in the interpretation of the connotation of "public morality", the second part of the paper sets out the interpretation of the clause separately, and interprets and defines the meaning of the term "public morality" by means of the treaty interpretation method provided for in the Vienna Convention on the Law of Treaties. In addition, since the concept of "public order" has been added to Article 14A of GATS, the relationship between "public morality" and "public order" has also been discussed in this chapter.
The third part of the paper combines two specific cases that cite exceptions to public morality, namely, the United States-Measures Affecting Cross-border Gambling and Gambling Services (hereinafter referred to as the "American Gambling Case") and China-Measures Affecting Trade Rights and Distribution Services of Audio-visual Products for Publications and Entertainment (hereinafter referred to as "China"). The United States Gambling Case is the first case to invoke the exceptional clause of public morality under the WTO system. The case establishes the criteria for analyzing the exceptional clause of public morality. In this case, the public moral exception clause of Article 20a of GATT is used as the defense of the defendant's measure. Although it has not succeeded, it is still a typical case to study the public moral exception. Established standards of review.
The fourth part of the thesis lists some problems that exist in the analysis and application of the exceptional clause of public morality, mainly including: when the WTO Dispute Settlement Body analyzes the exceptional clause of public morality, one of the key problems in the application of this clause is what is the meaning of "public morality" and how to determine it. At the same time, a sequential "double-test" analytical method rigidly divides the public moral exception clause into two parts, which violates the principle of treaty interpretation; moreover, the "necessity" test review criteria applied by the WTO Dispute Settlement Body are very strict but uncertain.
The last part of the paper puts forward some suggestions on the attitude and strategy that China should adopt towards the public moral exception clause in the future.
【学位授予单位】：郑州大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D996.1
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