【摘要】：世界貿(mào)易組織(World Trade Organization, WTO)在如今的多邊貿(mào)易領(lǐng)域具有舉足輕重的地位和作用。在烏拉圭回合談判中達(dá)成的《關(guān)于爭(zhēng)端解決規(guī)則和程序的諒解》( Understanding on Rules and Procedures Governing the Settlement of Disputes, DSU)為WTO這個(gè)直接或間接關(guān)系到整個(gè)國(guó)際經(jīng)濟(jì)秩序和政治秩序的國(guó)際組織確立了一個(gè)強(qiáng)有力的爭(zhēng)端解決機(jī)制,保障了整個(gè)多邊貿(mào)易體制安全和具有可預(yù)見性。其中爭(zhēng)端解決機(jī)構(gòu)(DSB)通過(guò)的最后建議和裁決能否得到充分履行是確保爭(zhēng)端解決機(jī)制有效運(yùn)行的關(guān)鍵。 在裁決的執(zhí)行中,報(bào)復(fù)作為救濟(jì)的最后手段,在促使有關(guān)成員方及時(shí)全面地履行裁決方面發(fā)揮著重要的作用。而報(bào)復(fù)程度問(wèn)題始終是授權(quán)報(bào)復(fù)的爭(zhēng)議雙方關(guān)切的核心問(wèn)題,決定了WTO爭(zhēng)端解決的最終結(jié)果,同時(shí)也是關(guān)系到WTO法律救濟(jì)本質(zhì)的關(guān)鍵。本文結(jié)合目前WTO案例實(shí)踐,通過(guò)對(duì)報(bào)復(fù)程度仲裁的程序性和實(shí)體性事項(xiàng)的剖析,強(qiáng)調(diào)了報(bào)復(fù)“促進(jìn)執(zhí)行”的目的和WTO“展望未來(lái)、既往不咎”的價(jià)值取向。 本文分為四個(gè)部分。 第一章介紹了WTO體制內(nèi)的三種仲裁機(jī)制和DSU第22條規(guī)定的授權(quán)報(bào)復(fù)的基本內(nèi)容,同時(shí)回顧了GATT和WTO時(shí)期報(bào)復(fù)程度仲裁在爭(zhēng)端解決中的具體實(shí)踐。 第二章對(duì)報(bào)復(fù)程度仲裁的程序性事項(xiàng)予以詳解,包括仲裁申請(qǐng)的提出、仲裁員的產(chǎn)生與仲裁權(quán)限、舉證責(zé)任與證據(jù)規(guī)則、第三方參與仲裁程序以及仲裁的時(shí)限和結(jié)果。 第三章從實(shí)體法角度剖析了貫穿報(bào)復(fù)程度仲裁過(guò)程中的“報(bào)復(fù)程度必須與利益喪失或損害水平相當(dāng)”的原則,并歸納出仲裁員在確定利益喪失或損害時(shí)運(yùn)用的方法與考量因素,強(qiáng)調(diào)報(bào)復(fù)的目的是為了促進(jìn)敗訴方執(zhí)行專家組和/或上訴機(jī)構(gòu)的裁決或建議,使被判定違規(guī)的爭(zhēng)議措施盡快回到符合WTO相關(guān)協(xié)定的軌道上來(lái)。在反補(bǔ)貼領(lǐng)域,仲裁員適用特別仲裁機(jī)制,對(duì)禁止性補(bǔ)貼和可訴性補(bǔ)貼分別參考不同的報(bào)復(fù)程度原則,筆者對(duì)三種不同的衡量報(bào)復(fù)程度的標(biāo)準(zhǔn)進(jìn)行了比較。 第四章從授權(quán)報(bào)復(fù)案件的執(zhí)行情況來(lái)分析授權(quán)報(bào)復(fù)在執(zhí)行中所面臨的困境與存在的缺陷,并結(jié)合成員方以及專家對(duì)報(bào)復(fù)的評(píng)述提出具有可行性的完善報(bào)復(fù)機(jī)制的合理建議。
[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.
【學(xué)位授予單位】：華東政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2011
【分類號(hào)】：D996.1

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