WTO 争端解决机制：改革方案（I〕

　　TheWTODisputeSettlementSystemroposalsforReform（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