论wto争端解决机制中关于报复水平仲裁.pdf

摘要

中止减让及其他义务(以下简称“报复”) 是 WTO 争端解决机制中为实施多
边贸易协议所能够采取的最后救济手段,但若被报复方不满被报复的水平时也享
有一定的救济,即可以依 DSU 第 22 条第 6 款和第 4 款对要求报复的一方提起关
于报复水平的仲裁。本文通过条文解释和案例实证分析的方法来论述 WTO 体制下
授权报复水平仲裁机制的相关问题。
本文分为五部分:第一部分,简要介绍本文的研究对象、目的和研究意义。
第二部分,全面回顾关贸总协定时期、世贸组织时期对于报复水平的仲裁的
制度的规定及简要统计当前对报复水平的仲裁的运用状况。
第三部分,通过分析学者的各种争论,重点分析报复水平的仲裁中所涉及的
三个主要问题,即授权报复的目的、举证责任的分配和对利益丧失与减损水平(以
下简称“损失水平”)的衡量方法。
第四部分,通过对七个典型的仲裁案例的实证分析,全面展现在违反措施
为一般关税措施和补贴措施、所涉领域为货物贸易与服务贸易领域的情形时,仲
裁员对假定相反事实的选择和对损失水平的衡量,并在案例分析的基础上对仲裁
员裁决思路进行总结及评论。
最后结语部分,笔者提出,作为 WTO 救济体制中的一项重要措施,授权报复
水平的仲裁仍需要在条文的具体规定、仲裁员人选构成、仲裁报告的裁决理由及
举证责任的贯彻落实方面进行完善,并提出中国若作为败诉方被授权报复时如何
充分利用仲裁机制维护其合法权益。

关键词:报复,损失水平,相等性,DSU 第 22 条 6 款











I
Abstract

“Suspension of concessions or other obligations”(hereafter referred as
“retaliation”) is the “last resort” to guarantee pliance of multilateral trade
agreements in GATT and WTO. If the violating state objects the level of retaliation he
is entitled to invoke arbitration according to the provisions of and .
This dissertation attempts to elaborate on the issues concerned with the retaliation
level under WTO with the methodologies of treaty-interpretation and cases-analysis.
This dissertation can be divided into five parts.
Part one briefly introduces the study object, purpose and significance of this
dissertation.
Part two reviews the prescription provided in GATT1947 and WTO periods and
briefs the exercise of the arbitration mechanism for retaliation level.
Part three focuses on the three important main issues—the purpose of retaliation,
the allocation of burden of proof and the measuring of nullifications and impairments
by way of discussing the different opinions of scholars.
Part four analyses seven typical arbitral cases and exhibites thoroughly
arbitrators’ choose of counterfactuals and reasoning of the measures for nullifications
and impairements in distinguish situations in which the incon