WTO争端解决机制中的仲裁制度研究
发布时间：2018-09-04 20:48
【摘要】：本文探讨WTO争端解决机制中的仲裁制度问题。根据DSU及其他WTO协定的规定,仲裁是一项重要的WTO争端解决法律手段,用以解决WTO成员方之间的某些国际贸易争端,但目前WTO仲裁尚未受到足够的重视和研究。迄今为止在WTO仲裁实践中已产生了许多法律问题,有待于进一步澄清和解决。在未来的DSU改革谈判中,应进一步完善WTO仲裁制度,增强它与WTO多边体系的兼容性,促进和提高WTO各成员方对WTO仲裁的有效运用,这些都要求首先对目前的WTO仲裁制度进行全面考察和深入研究。 本文共分六章。第一章为概述,首先界定了国际仲裁、WTO仲裁等基本概念；介绍了国际仲裁的发展以及仲裁在世界贸易多边体系演进中的嬗变；并对WTO争端解决机制及WTO仲裁体系作了重点介绍和分析。在此基础上,本文第二章、第三章、第四章、第五章分别对DSU第25条仲裁、确定“合理期限”仲裁、“报复”仲裁以及其他特殊事项上的WTO仲裁进行了介绍,通过研读条文规定、考察立法起源、分析相关WTO仲裁实践及典型案例等方式,对上述各项WTO仲裁中存在的主要法律问题进行分析和探讨。基于上述分析研究,本文第六章进一步将WTO仲裁与《(日内瓦)和平解决国际争端总议定书》中的仲裁、《联合国海洋法公约》中的仲裁、《能源宪章条约》中的仲裁等进行了比较研究,指出目前WTO仲裁的主要特点与缺陷；介绍和评价新一轮DSU改革谈判中WTO成员方有关WTO仲裁制度改进的建议和提案；并对未来WTO仲裁制度的改进及利用提出相应建议。最后,本文对中国今后利用WTO仲裁解决国际贸易争端的前景进行了展望。 WTO仲裁由GATT仲裁逐步发展而来,目前形成了一套颇具特色的国际仲裁制度体系。根据法律依据的不同,WTO仲裁可区分为“DSU体制内的仲裁”和“DSU体制外的仲裁”,前者主要包括DSU第25条仲裁、DSU第21.3(c)条规定之确定“合理期限”仲裁和DSU第22.6条规定之“报复”仲裁等；后者则指游离于DSU适用范围之外由其他WTO协定所规定的WTO仲裁。但是这一WTO仲裁体系并没有带动WTO各成员方利用仲裁解决国际贸易争端的热情,在目前的WTO争端解决中,专家组程序及上诉机构上诉审查程序俨然成为了WTO争端解决的唯一“主流”程序；相比之下,各项WTO仲裁程序都较少被运用,特别是DSU第25条仲裁。 针对这一现象,通过对专家组程序和上诉机构上诉审查程序的再考察以及对各项WTO仲裁条款及其实践的分析,本文认为：虽然DSU第25条规定了“WTO中的速效仲裁是争端解决的一个替代手段”,但由于DSU第25条规定简陋,仲裁模式存在局限,在目前,DSU第25条仲裁并不足以构成对专家组(或专家组和上诉机构)程序的有效“竞争”和“替代”；DSU第21.3(c)条、DSU第22.6条是DSU第25.2条所指的“例外”,DSU第21.3(c)条规定的确定“合理期限”仲裁以及DSU第22.6条规定的“报复”仲裁与DSU第25条仲裁构成“特殊WTO仲裁”和“一般WTO仲裁”的关系。同时,这两项WTO仲裁也是对DSU第25条仲裁模式的改革和实践,作为两项最主要的WTO强制仲裁,它们获得WTO成员方更多青睐和运用。当然,在这两项WTO仲裁的实践中也产生了诸多法律问题,亟待澄清和解决。另外,晚近“DSU体制外仲裁”的出现进一步丰富了WTO仲裁制度的内涵,也启迪着未来WTO仲裁的改革和应用。总之,WTO仲裁属于国际公法意义上的“国家间仲裁”,具有传统国际仲裁的基本特征。仲裁的“双边性”在WTO多边机制下被进一步弱化,但WTO却并没有相应地对各项WTO仲裁程序的具体规则进行统一规范和详细编纂。 在新一轮关于改进和澄清DSU规则及程序的谈判中,各成员方对目前的WTO争端解决机制包括各项WTO仲裁的改革与运用都提出了不少建议,值得关注和探讨。而今后随着中国经济和国际贸易的增长,中国运用各种WTO争端解决手段解决与其他成员方贸易争端的案件也会增多,其中不排除被诉诸WTO仲裁甚或主动运用仲裁解决某些贸易争端问题的可能,因此须加强对WTO争端解决机制中仲裁制度的理解和研究。
[Abstract]:According to the provisions of DSU and other WTO agreements, arbitration is an important legal means to settle some international trade disputes between WTO members. However, at present, WTO arbitration has not received enough attention and research. In the future DSU reform negotiations, we should further improve the WTO arbitration system, enhance its compatibility with the WTO multilateral system, and promote and improve the effective use of WTO arbitration by WTO members. All these require that we first conduct a comprehensive investigation and in-depth study of the current WTO arbitration system. Research.
The first chapter is an overview of the basic concepts of international arbitration and WTO arbitration. It introduces the development of international arbitration and the evolution of arbitration in the evolution of the multilateral system of world trade. Chapter Four and Chapter Five introduce DSU Article 25 Arbitration, Determination of "Reasonable Time Limit" Arbitration, Retaliation Arbitration and WTO Arbitration on Other Special Matters. By studying the provisions, examining the origin of legislation, analyzing relevant WTO arbitration practices and typical cases, the main legal questions in the above-mentioned WTO Arbitration are discussed. Based on the above analysis and research, this paper further compares WTO arbitration with the arbitration in the General Protocol for the Peaceful Settlement of International Disputes, the arbitration in the United Nations Convention on the Law of the Sea and the arbitration in the Energy Charter Treaty, and points out the main characteristics and defects of WTO arbitration. This paper introduces and evaluates the suggestions and proposals of WTO members on the improvement of WTO arbitration system in the new round of DSU reform negotiations, and puts forward corresponding suggestions on the improvement and utilization of WTO arbitration system in the future.
WTO arbitration has been gradually developed from GATT arbitration, and now a set of international arbitration system has been formed. According to the different legal basis, WTO arbitration can be divided into "arbitration within the DSU system" and "arbitration outside the DSU system". The former mainly includes the arbitration under Article 25 of the DSU, and the "reasonable time limit" stipulated in Article 21.3 (c) of the DSU. Arbitration and "retaliation" arbitration as stipulated in Article 22.6 of the DSU, etc. The latter refers to WTO arbitration as stipulated by other WTO agreements outside the scope of application of the DSU. However, this WTO arbitration system has not stimulated the enthusiasm of WTO members to use arbitration to settle international trade disputes. In the current WTO dispute settlement, expert group procedures and appellate bodies The appeal review procedure has become the only "mainstream" procedure for WTO dispute settlement; in contrast, WTO arbitration procedures are rarely used, especially DSU Article 25 arbitration.
In view of this phenomenon, by re-examining the panel procedure and the appeal review procedure of the Appellate body, as well as analyzing the various WTO arbitration clauses and their practice, this paper holds that although Article 25 of the DSU stipulates that "Quick-acting arbitration in WTO is an alternative means of dispute settlement", the arbitration mode exists because of the simplicity of Article 25 of the DSU. At present, DSU Article 25 arbitration is not sufficient to constitute an effective "competition" and "substitution" for panel (or panel and appellate body) proceedings; DSU Article 21.3 (c), DSU Article 22.6 is the "exception" referred to in DSU Article 25.2, DSU Article 21.3 (c) provides for the determination of "reasonable period" of arbitration and DSU Article 22.6 provides for "retaliation" Arbitration and DSU Article 25 Arbitration constitute the relationship between "Special WTO Arbitration" and "General WTO Arbitration". At the same time, these two WTO Arbitration are also the reform and practice of DSU Article 25 arbitration mode. As the two most important WTO compulsory arbitration, they are more favored and applied by WTO members. Of course, these two WTO Arbitration practices have also emerged. In addition, the recent appearance of "arbitration outside the DSU system" has further enriched the connotation of WTO arbitration system and enlightened the reform and application of WTO arbitration in the future. The "bilaterality" has been further weakened under the multilateral mechanism of WTO, but the WTO has not accordingly standardized and detailed compiled the specific rules of various WTO arbitration procedures.
In the new round of negotiations on the improvement and clarification of DSU rules and procedures, various members have put forward many suggestions on the reform and application of the current WTO dispute settlement mechanism, including various WTO arbitration mechanisms, which deserve our attention and discussion. With the growth of China's economy and international trade, China will use various WTO dispute settlement methods to solve its disputes. The cases of trade disputes among other members will also increase, which does not exclude the possibility of being resorted to WTO arbitration or even the initiative to use arbitration to settle certain trade disputes. Therefore, it is necessary to strengthen the understanding and study of the arbitration system in the WTO dispute settlement mechanism.
【学位授予单位】：复旦大学
【学位级别】：博士
【学位授予年份】：2012
【分类号】：D996.1;D997.4
本文编号：2223287
[Abstract]:According to the provisions of DSU and other WTO agreements, arbitration is an important legal means to settle some international trade disputes between WTO members. However, at present, WTO arbitration has not received enough attention and research. In the future DSU reform negotiations, we should further improve the WTO arbitration system, enhance its compatibility with the WTO multilateral system, and promote and improve the effective use of WTO arbitration by WTO members. All these require that we first conduct a comprehensive investigation and in-depth study of the current WTO arbitration system. Research.
The first chapter is an overview of the basic concepts of international arbitration and WTO arbitration. It introduces the development of international arbitration and the evolution of arbitration in the evolution of the multilateral system of world trade. Chapter Four and Chapter Five introduce DSU Article 25 Arbitration, Determination of "Reasonable Time Limit" Arbitration, Retaliation Arbitration and WTO Arbitration on Other Special Matters. By studying the provisions, examining the origin of legislation, analyzing relevant WTO arbitration practices and typical cases, the main legal questions in the above-mentioned WTO Arbitration are discussed. Based on the above analysis and research, this paper further compares WTO arbitration with the arbitration in the General Protocol for the Peaceful Settlement of International Disputes, the arbitration in the United Nations Convention on the Law of the Sea and the arbitration in the Energy Charter Treaty, and points out the main characteristics and defects of WTO arbitration. This paper introduces and evaluates the suggestions and proposals of WTO members on the improvement of WTO arbitration system in the new round of DSU reform negotiations, and puts forward corresponding suggestions on the improvement and utilization of WTO arbitration system in the future.
WTO arbitration has been gradually developed from GATT arbitration, and now a set of international arbitration system has been formed. According to the different legal basis, WTO arbitration can be divided into "arbitration within the DSU system" and "arbitration outside the DSU system". The former mainly includes the arbitration under Article 25 of the DSU, and the "reasonable time limit" stipulated in Article 21.3 (c) of the DSU. Arbitration and "retaliation" arbitration as stipulated in Article 22.6 of the DSU, etc. The latter refers to WTO arbitration as stipulated by other WTO agreements outside the scope of application of the DSU. However, this WTO arbitration system has not stimulated the enthusiasm of WTO members to use arbitration to settle international trade disputes. In the current WTO dispute settlement, expert group procedures and appellate bodies The appeal review procedure has become the only "mainstream" procedure for WTO dispute settlement; in contrast, WTO arbitration procedures are rarely used, especially DSU Article 25 arbitration.
In view of this phenomenon, by re-examining the panel procedure and the appeal review procedure of the Appellate body, as well as analyzing the various WTO arbitration clauses and their practice, this paper holds that although Article 25 of the DSU stipulates that "Quick-acting arbitration in WTO is an alternative means of dispute settlement", the arbitration mode exists because of the simplicity of Article 25 of the DSU. At present, DSU Article 25 arbitration is not sufficient to constitute an effective "competition" and "substitution" for panel (or panel and appellate body) proceedings; DSU Article 21.3 (c), DSU Article 22.6 is the "exception" referred to in DSU Article 25.2, DSU Article 21.3 (c) provides for the determination of "reasonable period" of arbitration and DSU Article 22.6 provides for "retaliation" Arbitration and DSU Article 25 Arbitration constitute the relationship between "Special WTO Arbitration" and "General WTO Arbitration". At the same time, these two WTO Arbitration are also the reform and practice of DSU Article 25 arbitration mode. As the two most important WTO compulsory arbitration, they are more favored and applied by WTO members. Of course, these two WTO Arbitration practices have also emerged. In addition, the recent appearance of "arbitration outside the DSU system" has further enriched the connotation of WTO arbitration system and enlightened the reform and application of WTO arbitration in the future. The "bilaterality" has been further weakened under the multilateral mechanism of WTO, but the WTO has not accordingly standardized and detailed compiled the specific rules of various WTO arbitration procedures.
In the new round of negotiations on the improvement and clarification of DSU rules and procedures, various members have put forward many suggestions on the reform and application of the current WTO dispute settlement mechanism, including various WTO arbitration mechanisms, which deserve our attention and discussion. With the growth of China's economy and international trade, China will use various WTO dispute settlement methods to solve its disputes. The cases of trade disputes among other members will also increase, which does not exclude the possibility of being resorted to WTO arbitration or even the initiative to use arbitration to settle certain trade disputes. Therefore, it is necessary to strengthen the understanding and study of the arbitration system in the WTO dispute settlement mechanism.
【学位授予单位】：复旦大学
【学位级别】：博士
【学位授予年份】：2012
【分类号】：D996.1;D997.4
【引证文献】
相关博士学位论文 前5条
1 高田甜;WTO争端解决机制证明负担规则研究[D];华东政法大学;2010年
2 张东平;WTO争端解决中的条约解释研究[D];厦门大学;2003年
3 卢建祥;WTO裁决的强制执行机制[D];华东政法大学;2008年
4 毛燕琼;WTO争端解决机制问题与改革[D];华东政法大学;2008年
5 窦仲晖;对和平解决国际争端的政治与法律方式的比较研究[D];暨南大学;2009年
相关硕士学位论文 前4条
1 孙书玲;WTO仲裁决定合理执行期限的考虑因素研究[D];华东政法大学;2013年
2 陆钰;WTO仲裁决定报复水平问题研究[D];华东政法大学;2014年
3 史佳丽;论WTO争端解决机制中的仲裁程序[D];华东政法大学;2014年
4 许乔博;中美取向性电工钢案“合理期限”法律问题研究[D];西南政法大学;2014年
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