WTO报复水平之仲裁研究

发布时间：2018-12-18 18:44

【摘要】：随着国际经济交往的日益扩大和深入，国际贸易摩擦也接踵而至。世界贸易组织的争端解决机制在解决成员方贸易纠纷实践中的重要作用日益凸显。而作为维护争端解决机制有效运作的支柱之一，报复制度一直是被广泛关注的焦点。WTO框架下的报复制度不同于传统国际法上的报复和双边贸易中的报复，其表现之一是对报复水平的严格控制。报复水平的高低直接关系到成员方的利益是否得到WTO法律的有效保护，关系到世界贸易组织是否沿着贸易自由化的目标健康发展。《关于争端解决规则与程序谅解》中涉及报复水平仲裁的条文非常有限，具体案例中往往依赖仲裁员对条文作出解释。本文试图将散见于仲裁员的报告和相关领域专家著述中的意见，加以归纳梳理，最终形成系统性的结论，并在此基础上提出针对性的完善建议。本文由引言、正文和结语三部分组成，引言部分重点分析了选题的意义本文研究的重点，结语部分主要是对作者观点的总结，正文分为四个部分：第一部分“WTO报复水平仲裁概述”。该部分首先从报复水平仲裁的历史沿革入手，，介绍了报复水平仲裁如何由GATT时期演变至今。然后着重介绍报复水平仲裁的原则和具体程序。为下文从理论方面分析报复水平仲裁程序所存在的争议奠定了基础。第二部分“关于WTO报复水平仲裁的理论争议”。重点从实体和程序两个方面深入剖析了报复水平仲裁存在的争议，在此基础上作者进行了简要的评述。实体方面，报复制度本身存废以及通过报复制度所要达成何种目的都深刻影响着报复水平的高低，涉及具体操作层面上，损害水平的计算方法历来备受争议。而在程序方面，报复水平仲裁中的举证责任分配问题有别于DSU的其他仲裁程序，加之DSU条文规定的模糊性，执行监督程序与报复水平仲裁程序之间的衔接问题尚未有定论。第三部分“WTO报复水平仲裁案例分析”。该部分从实证的角度，选取了两则具有代表性的案例——欧共体第三香蕉案和巴西诉美国陆地棉花案。前者作为WTO争端解决就运行以来第一例报复水平仲裁的案例，仲裁员在本案中的做法无疑为后来同类案件提供了标杆。而后者则在一定程度上代表了WTO争端解决机制在报复水平仲裁方面的新动向。第四部分“WTO报复水平仲裁程序完善建议”。该部分是在前文基础之上，针对报复水平仲裁程序在理论和实践上存在的问题，结合DSU制度设计的原则和特点，提出了完善建议，希望报复水平仲裁程序能藉此摆脱目前的窘境。
[Abstract]:With the increasing expansion and deepening of international economic exchanges, international trade frictions also follow one after another. The WTO dispute settlement mechanism plays an increasingly important role in the practice of resolving trade disputes among its members. As one of the pillars to maintain the effective operation of the dispute settlement mechanism, retaliation system has always been the focus of widespread attention. The retaliation system under the framework of WTO is different from the retaliation in traditional international law and in bilateral trade. One of its manifestations is strict control of the level of retaliation. The level of retaliation is directly related to whether the interests of the members are effectively protected by the WTO law and whether the WTO develops healthily along the goal of trade liberalization. The provisions on dispute settlement rules and procedural understandings concerning the level of retaliation arbitration are very limited, and in specific cases arbitrators are often relied on to interpret the provisions. This paper attempts to sum up and sort out the opinions scattered in the report of arbitrators and the works of experts in related fields, and finally form a systematic conclusion, and on this basis put forward some suggestions for perfection. This paper is composed of three parts: introduction, text and conclusion. The introduction mainly analyzes the significance of the topic, and the conclusion is a summary of the author's views. The text is divided into four parts: the first part, "WTO retaliation level arbitration overview". This part begins with the history of the level of retaliation arbitration and introduces how the level of retaliation arbitration evolves from the period of GATT to the present. Then introduces the principle and concrete procedure of retaliation level arbitration. It lays a foundation for the theoretical analysis of the disputes existing in the arbitration procedure of retaliation level. The second part is the theoretical dispute about the level of WTO retaliation arbitration. On the basis of this, the author makes a brief comment on the dispute of retaliation level arbitration from the aspects of entity and procedure. In the aspect of substance, the system of revenge itself and the purpose to be achieved through the system of revenge have a profound impact on the level of retaliation, involving the specific operational level, the calculation method of damage level has always been controversial. In the aspect of procedure, the distribution of burden of proof in retaliation level arbitration is different from other arbitration procedures of DSU, in addition to the fuzziness of the provisions of DSU, the connection between executive supervision procedure and retaliation level arbitration procedure has not been concluded. The third part is the case Analysis of WTO retaliation level Arbitration. In this part, two representative cases, the third Banana case of EC and the case of Brazil v. American Upland Cotton, are selected from an empirical point of view. The former is the first case of WTO dispute settlement arbitration on the level of retaliation since the operation of the case, the arbitrators in this case undoubtedly provided a benchmark for the subsequent similar cases. The latter, to some extent, represents the new trend of WTO dispute settlement mechanism in retaliation level arbitration. The fourth part is the suggestion of perfecting the arbitration procedure of WTO retaliation level. This part is based on the above, aiming at the problems existing in the theory and practice of the arbitration procedure of retaliation level, combined with the principles and characteristics of the design of the DSU system, the author puts forward some suggestions to perfect it. It is hoped that the level of retaliation arbitration procedures will thus be able to get rid of the current predicament.
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996.1

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