论WTO争端解决机制中的报复程度仲裁
发布时间：2018-12-08 17:17
【摘要】：世界贸易组织(World Trade Organization, WTO)在如今的多边贸易领域具有举足轻重的地位和作用。在乌拉圭回合谈判中达成的《关于争端解决规则和程序的谅解》( Understanding on Rules and Procedures Governing the Settlement of Disputes, DSU)为WTO这个直接或间接关系到整个国际经济秩序和政治秩序的国际组织确立了一个强有力的争端解决机制,保障了整个多边贸易体制安全和具有可预见性。其中争端解决机构(DSB)通过的最后建议和裁决能否得到充分履行是确保争端解决机制有效运行的关键。 在裁决的执行中,报复作为救济的最后手段,在促使有关成员方及时全面地履行裁决方面发挥着重要的作用。而报复程度问题始终是授权报复的争议双方关切的核心问题,决定了WTO争端解决的最终结果,同时也是关系到WTO法律救济本质的关键。本文结合目前WTO案例实践,通过对报复程度仲裁的程序性和实体性事项的剖析,强调了报复“促进执行”的目的和WTO“展望未来、既往不咎”的价值取向。 本文分为四个部分。 第一章介绍了WTO体制内的三种仲裁机制和DSU第22条规定的授权报复的基本内容,同时回顾了GATT和WTO时期报复程度仲裁在争端解决中的具体实践。 第二章对报复程度仲裁的程序性事项予以详解,包括仲裁申请的提出、仲裁员的产生与仲裁权限、举证责任与证据规则、第三方参与仲裁程序以及仲裁的时限和结果。 第三章从实体法角度剖析了贯穿报复程度仲裁过程中的“报复程度必须与利益丧失或损害水平相当”的原则,并归纳出仲裁员在确定利益丧失或损害时运用的方法与考量因素,强调报复的目的是为了促进败诉方执行专家组和/或上诉机构的裁决或建议,使被判定违规的争议措施尽快回到符合WTO相关协定的轨道上来。在反补贴领域,仲裁员适用特别仲裁机制,对禁止性补贴和可诉性补贴分别参考不同的报复程度原则,笔者对三种不同的衡量报复程度的标准进行了比较。 第四章从授权报复案件的执行情况来分析授权报复在执行中所面临的困境与存在的缺陷,并结合成员方以及专家对报复的评述提出具有可行性的完善报复机制的合理建议。
[Abstract]:The World Trade Organization (WTO) (World Trade Organization, WTO) plays an important role in the field of multilateral trade. Understandings on rules and procedures for the settlement of disputes reached in the Uruguay Round of negotiations. (Understanding on Rules and Procedures Governing the Settlement of Disputes, DSU) has established a strong dispute settlement mechanism for WTO, an international organization directly or indirectly related to the whole international economic and political order, which ensures the security and predictability of the entire multilateral trading system. Whether the final recommendations and rulings adopted by the dispute settlement body (DSB) can be fully implemented is the key to ensure the effective operation of the dispute settlement mechanism. In the execution of the award, retaliation, as the last measure of relief, plays an important role in the prompt and comprehensive implementation of the award by the members concerned. The degree of retaliation has always been the core concern of both parties to the dispute of authorized retaliation, which determines the final outcome of WTO dispute settlement, and is also the key to the essence of WTO legal remedy. Combined with the current WTO case practice, this paper analyzes the procedural and substantive matters of the degree of retaliation arbitration, and emphasizes the purpose of "promoting enforcement" and the value orientation of WTO "looking forward to the future, leaving bygones behind". This paper is divided into four parts. The first chapter introduces three kinds of arbitration mechanism in WTO system and the basic content of authorized retaliation stipulated in Article 22 of DSU. At the same time, it reviews the practice of degree of retaliation arbitration in the period of GATT and WTO in dispute settlement. The second chapter gives a detailed explanation of the procedural matters of the degree of retaliation arbitration, including the filing of the arbitration application, the emergence and jurisdiction of the arbitrators, the burden of proof and the rules of evidence, the participation of third parties in the arbitration procedure, and the time limit and the result of the arbitration. The third chapter analyzes the principle that "the degree of retaliation must be equal to the level of loss of interest or damage" throughout the arbitration process of degree of retaliation from the perspective of substantive law, and concludes the methods and considerations used by arbitrators in determining the loss or damage of interest. The purpose of the emphasis on retaliation is to facilitate the implementation by the losing party of the decisions or recommendations of the panel of experts and / or the appellate body, and to bring the contentious measures found to be in violation to the track of the relevant WTO agreement as soon as possible. In the field of countervailing, arbitrators apply special arbitration mechanism and refer to different principles of retaliation degree respectively for prohibited subsidy and actionable subsidy. The author compares three different standards to measure the degree of retaliation. The fourth chapter analyzes the dilemma and defects of authorized retaliation in the implementation of authorized retaliation cases, and puts forward reasonable suggestions on how to improve the mechanism of retaliation in the light of the comments of member parties and experts.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.1
本文编号：2368703
[Abstract]:The World Trade Organization (WTO) (World Trade Organization, WTO) plays an important role in the field of multilateral trade. Understandings on rules and procedures for the settlement of disputes reached in the Uruguay Round of negotiations. (Understanding on Rules and Procedures Governing the Settlement of Disputes, DSU) has established a strong dispute settlement mechanism for WTO, an international organization directly or indirectly related to the whole international economic and political order, which ensures the security and predictability of the entire multilateral trading system. Whether the final recommendations and rulings adopted by the dispute settlement body (DSB) can be fully implemented is the key to ensure the effective operation of the dispute settlement mechanism. In the execution of the award, retaliation, as the last measure of relief, plays an important role in the prompt and comprehensive implementation of the award by the members concerned. The degree of retaliation has always been the core concern of both parties to the dispute of authorized retaliation, which determines the final outcome of WTO dispute settlement, and is also the key to the essence of WTO legal remedy. Combined with the current WTO case practice, this paper analyzes the procedural and substantive matters of the degree of retaliation arbitration, and emphasizes the purpose of "promoting enforcement" and the value orientation of WTO "looking forward to the future, leaving bygones behind". This paper is divided into four parts. The first chapter introduces three kinds of arbitration mechanism in WTO system and the basic content of authorized retaliation stipulated in Article 22 of DSU. At the same time, it reviews the practice of degree of retaliation arbitration in the period of GATT and WTO in dispute settlement. The second chapter gives a detailed explanation of the procedural matters of the degree of retaliation arbitration, including the filing of the arbitration application, the emergence and jurisdiction of the arbitrators, the burden of proof and the rules of evidence, the participation of third parties in the arbitration procedure, and the time limit and the result of the arbitration. The third chapter analyzes the principle that "the degree of retaliation must be equal to the level of loss of interest or damage" throughout the arbitration process of degree of retaliation from the perspective of substantive law, and concludes the methods and considerations used by arbitrators in determining the loss or damage of interest. The purpose of the emphasis on retaliation is to facilitate the implementation by the losing party of the decisions or recommendations of the panel of experts and / or the appellate body, and to bring the contentious measures found to be in violation to the track of the relevant WTO agreement as soon as possible. In the field of countervailing, arbitrators apply special arbitration mechanism and refer to different principles of retaliation degree respectively for prohibited subsidy and actionable subsidy. The author compares three different standards to measure the degree of retaliation. The fourth chapter analyzes the dilemma and defects of authorized retaliation in the implementation of authorized retaliation cases, and puts forward reasonable suggestions on how to improve the mechanism of retaliation in the light of the comments of member parties and experts.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.1
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