WTO 争端解决机制：改革方案（I〕
TheWTODisputeSettlementSystem:ProposalsforReform（Ⅰ）Author:GeWU
I.Introduction
On1January1995,themostfundamentalchangeoccurredduringtheUruguayRound,whichregulatedtherulesofthenewdisputesettlementmechanism,namedtheUnderstandingontheRulesandProceduresGoverningtheSettlementofDisputes(“DisputeSettlementUnderstanding”or“DSU”),underArticlesXXIIandXXIIIoftheGATT(GeneralAgreementonTariffsandTrade).TheDSUhasbeenwidelyregardedasabigsuccessinitscreativityandnecessityofeffectiveservicetoresolvedisputesbetweenthe142statesandseparatecustomsterritoriesthatarecurrentlymembersoftheWorldTradeOrganization(“WTO”).Inaddition,theDSUishighlypraisedas“thecentralpillarofthemultilateraltradingsystemandtheWTO’smostindividualcontributiontothestabilityoftheglobaleconomy.”
Duringthesix-yearoperationoftheDSU“constitution”,theexperiencehasshownusthattheDSUhaschangedthenatureofthedisputesettlementprocessdifferentfromthepracticesofthepreviousGATT1947systeminmanyways.Thechangesmadethesystemfrom“adiplomatictoalegalizedprocessandfromapower-basedtoamorerule-basedprocedure.”UndertheDSU,thedisputesettlementprocessconsistsofthreemajorstages,namely,“(1)bilateralormultilateralconsultations,(2)adjudicativeprocessbeforeapanel,subjecttoappellatereview,(3)implementationandenforcementundersurveillancebytheDisputeSettlementBody(DSB).”Aseriesoffeatureshavebeenintroducedtodealwiththetradingproblemsinthenewdisputesettlementmechanism.Theconsultationisafirststepbeforetheestablishmentofpanel.PanelreportsareadoptedunlessthereisaconsensusintheDSBtothecontrary.Inaddition,theDSBintroducedstrictdeadlinestosettledisputeswithinatime-framewhichisacceptabletothebusinesscommunity.Further,astandingAppellateBodyisempoweredtoreviewthepanelreporttoensurethelegalconsistencyofthereportsandofthejurisprudenceingeneral.Finally,theimplementationorenforcementoftherecommendationsorrulingsfromthepanelortheAppellateBodyisunderpinnedbytherightofretaliateofthewinningparty.
Generallyspeaking,theDSUcreatedalegalized,predictable,andreliablesystemfordisputesettlement.ButatfirstthenegotiatorsoftheDSUdarednotassumethesuccess.SotheMinistersmeetingatMarrakechinApril1994regulatedaninsurancepolicytoguaranteethesuccess.TheyinvitedtheMinisterialConferenceoftheWTOtocompleteafullreviewtoWTOdisputesettlementrulesandprocedureswithinfouryearsaftertheWTOagreemententeredintoeffect,and“totakeadecision…whethertocontinue,modifyorterminatesuchdisputesettlementrulesandprocedures.”Thereviewwasscheduledforcompetitionin31December1998,butbecauseofthenumerousproposalssubmitted,thedeadlineforthereviewwasextendeduntiltheendofJuly1999.AmongthenumerousproposalssubmittedbytheWTOmembers,itisthecommonpointthatistheirsatisfactionwiththedisputesettlementsystem.TheypraisedtheDSU’sroleinstrengtheningthecredibilityandpredictabilityofthemultilateraltradingsystem,theimpartialandobjectivemannerinwhichdisputesaresettled,andthepositiveandsatisfactorysolutionsfound.Consequently,theyemphasisedthatthereisnoneedtochangethedisputesettlementsystemasawhole.Butbehindthecommonagreement,lotsofcomplaintsregardingthedisputesettlementproceduresandtheWTOinstitutionweaknessarosefromthedevelopingcountries,non-governmentalorganizations(NGOs)andsomedevelopedcountries.Thispaperwillfirstlyoverlookthedisputesettlementprocedure,andthentrytoexaminethepointsinrelationtothedisputesettlementprocessandtheinstitutionalweaknessonthebaseofallkindsofreviewproposals.
II.OverviewontheDisputeSettlementUnderstanding(DSU)
TheDSUcontainsrulesandprocedures.ApartycaninitiatetheprocessbytherequestofconsultationstotheotherpartyandnotifytheDisputeSettlementBody(DSB)ifthepartythinkthattheotherWTOMember’smeasuresareincompatiblewiththeWTOAgreements.PursuanttoArticle4oftheDSU,aMemberisto‘affordadequateopportunityforconsultation’andaMemberistoreplywithin10daysand‘enterintoconsultationsingoodfaith’within30daysafterthereceiptoftherequestforconsultations.
Iftheconsultationsfailtosettlethedisputewithin60daysfollowingthereceiptofrequestforconsultations,thecomplainingpartycanmakearequestinwritingfortheestablishmentofapanel.Thedefendingpartycanblockthecreationofthepanelonce.However,whentheDSBmeetsforasecondtime,theappointmentcannolongerbeblocked.Onceapanelisestablished,panellistsmustbeselectedwithin20days.Thepanellistswillhaveameetingtofixthetimetableandworkingprocedureaftertheyareappointed.PanelsshallfollowtheWorkingProceduresinAppendix3oftheDSUunlessthepaneldecidesotherwiseafterconsultingthepartiestothedispute.ThefunctionofpanelsistoassisttheDSBtomakeanobjectiveassessmentofthematterconcernedandtoseekenoughinformationtoassisttheDSBinmakingtherecommendationsoringivingtherulingsprovidedforthecoveredagreements.Panelsshallhavethestandardtermsofreferencewithin20daysfromtheestablishmentofthepanelbeforethepanelexamination.
Theperiodofexaminationbythepanelcannotexceedsixmonthsincasesofurgencythreemonthsfromtheestablishmentofthepaneluntilthefinalreportsareissuedtothepartiestothedispute.Thepanelmaysuspenditsworkattherequestofthecomplainingpartyforaperiodnottoexceed12monthsduringthepanelprocedures.Beforethefinalreportsareformed,thereisaninterimreviewstageinwhichthepanelshallissuethedescriptive(factualandargument)sectionsofitsdrafttothepartiesconcernedforwrittencomments.Aftertheduetimeforthecomments,thepanelshallissueaninterimreporttothepartiesforfurthercomments.Onthebaseofthefurthercomments,thefinalpanelreportwillbeformedandcirculatedtotheWTOMembers.
After20daysfortheMembers’considerationofthefinalreport,theDSBwillconsiderfortheadoptionofthereport.Within60daysafterthedateofcirculationofapanelreporttotheMembers,thereportshallbeadoptedataDSBmeetingunlessapartytothedisputeformallynotifiestheDSBofitsdecisiontoappealortheDSBdecidesbyconsensusnottoadoptthereport.Theparty’sdecisionofappealwillautomaticallyleadtotheprocedureofappellatereview.
TheAppellateBodyisastandinginstituteestablishedbytheDSB.ThemainfunctionoftheBodyistoheartheappealsfrompanelcasesandtoissuetheAppellateBodyreportwithin60days.AnAppellateBodyreportshallbeadoptedbytheDSBandunconditionallyacceptedbythepartiestothedisputeunlesstheDSBdecidesbyconsensusnottoadoptthereportwithin30daysfollowingitscirculationtotheMembers.
AftertheDSBadoptthepanelreportorAppellateBodyreport,theadoptedpanelorAppellateBodyrecommendationswillbeimplementedunderthemonitorandsurveillanceoftheDSBwithindefinedreasonabletime.Atthemoment,partiesmaynegotiatecompensationpendingfullimplementation.Within60daysaftertheexpiryofthereasonableperiodoftime,theDSBmayauthoriseretaliationpendingfullimplementationwhichisregardedasthelastprocedureofthedisputesettlement.Sothefullcourseofadisputetoitsfirstreportinconsultationandpanel-decisionstageswilltakeaboutoneyear.IfthedisputeisappealedtotheAppellateBody,thetimeperiodincreasesto15months.
ComparedwiththepastGATT1947disputesettlementsystem,severalnewfeaturesoftheDSUareasfollowings:
1.astricttime-frameforeverystageofthedisputesettlementprocessisfixed;
2.theDSBwasestablishedtoministertheoperationoftheDSU;
3.explicitproceduresforconsultationswereestablished;
4.panelscanbeformedautomaticallyifthepartiesfailtosettlethedisputewithin60daysofconsultations;
5.standardtermsofreferencecanbeusedandimpartialpanelsareestablishedexpeditiously;
6.perhapsmostimportantly,panelandAppellateBodyreportsareautomaticallyadoptedunlessthereisaconsensustothecontrarybytheDSB;
7.theAppellateBodywascreatedtoreviewlegalissuesandinterpretationsofpanels;
8.aprovisionwasintroducedrequiringthelosingpartytoimplementtheDSBrecommendationsandruleswithinareasonableperiodoftimeorthecomplainingpartywouldbeautomaticallyentitledtoretaliate;and
9.MembersaretoabidebytherulesandproceduresoftheDSUonissuespertainingtotheWTOagreementsandarenottotakeunilateralactions.(tobecontinued)
Footnotes：StatementofDirector-GeneralRuggierodated17April1997,reprintedathttp://www.wto.org/wto/about/dispute1.htm.JohnH.Jackson,DisputeSettlementandtheWTOEmergingProblems,1(3),JInt’lEconoL(1998),330.JohnH.Jackson,TheWorldTradingSystem,109-11(Cambridge,MA:MITPress1997).WernerZdouc,WTODisputeSettlementPracticeRelatingtotheGATS,2(2)JInt’lEconoL(1999),295.AndrewW.Sboyer,TheFirstThreeYearsofWTODisputeSettlement:ObservationsandSuggestions,1(2),JInt’lEconoL(1998),298.SeeDecisionontheApplicationandReviewoftheUnderstandingonRulesandProceduresGoverningtheSettlementofDisputes,Apr.15,1994,33I.L.M.1125,1259,reprintedinJohnH.Jackson,1995DocumentsSupplementtoLegalProblemsofInternationalEconomicRelations,446(3ded.1995).Ibid,at1260.DSU,Articles4.2-4.3,seeWorldTradeOrganization,TheWTODisputeSettlementProcedures,ACollectionoftheRelevantLegalTexts,2nd,CambridgeUniversityPress,2001.DSU,Article4.7,6.2.DSU,Article8.7.DSU,Article12.1.DSU,Article11.DSU,Article7.DSU,Article12.8.DSU,Article12.12.DSU,Article15.DSU,Article16.DSU,Article17.1.DSU,Article17.5.DSU,Article17.14.HyunChongKim,TheWTODisputeSettlementProcess:APrimer,2(3)JInt’lEconoL,1999,460.Alsosee,DebraP.StegerandSusanM.Hainsworth,WorldTradeOrganisationDisputeSettlement:TheFirstThreeYears,1(2)JInt’lEconoL1998,201.]Ibid.
Editor:ZhenCHEN【出处】
此文已被北大法律信息网采用【写作年份】2002【学科类别】国际法->国际私法
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