世贸组织争端解决机制举证责任规则研究

上海交通大学硕士学位论文世贸组织争端解决机制举证责任规则研究姓名：谢玮申请学位级别：硕士专业：国际法学指导教师：胡加祥20081210IWTO3.8IIIIIASTUDYONRULESOFBURDENOFPROOFINWTODISPUTESETTLEMENTSYSTEMABSTRACTTherulesofburdenofproofunderWTOdisputesettlement,attheguidanceofprinciplesof“UnderstandingonRulesandProceduresGoverningtheSettlementofDisputes”evolvedthroughthepracticeofWTOpanelsandappellatebodies.Itisself-evidentthattherulesofburdenofproofarereallyimportantunderWTOdisputesettlementsystem.Duringtheprocessofdisputesettlement,therulesonburdenofproofarereallysignificant,whichnotonlyconcernsthesubstantiverightsofpartiestodispute,butalsoaffectsthefinalresultsofthecases.SincenostipulationofburdenofproofcouldbefoundintheagreementsofWTO,therelatingrulesonburdenofproofarecreatedbypracticesofpanelsandappellatebodieshereby.Intheprocessofdisputesettlement,afundamentalruleisthatthepartywhomakesanallegationshallbeartheburdentoproduceevidenceandproveit.Thestandardoftheevidenceiscalled“primafaciecase”,whichis,inessence,asortofconstructiveevidenceratherthanaconclusiveone.ThedisputesettlementmechanismcombinestheprincipleofevidenceshiftingwiththepresumptionIVtechnique,thusthestandardofproofislowered.Thepanelisentitledtodeterminewhethertheburdenofproofissettled.Theinherentrequirementofburdenofproofliesinproducingsufficientevidenceandpersuadingthepanel.Thedistinctionbetweentheviolatingandnon-violatinglitigation,thepartyinvokingexceptionruleswillaffecttheallocationofproofandstandardofproof.Thearticlesconcerningburdenofproofprovidedin“AgreementonAgriculture”andthe“TRIPS”whichconcludedinUruguayRoundconstitutethespecialrules.Whetherpartiestodisputehavesuccessfullyproducedtheadequateevidencetosupportitsclaimwillbedeterminedbypanels.Andthediscretionofpanelwillbesupervisedbyappellatebodyhereby.InthepracticeofWTOdisputesettlementsystem,theold“power-oriented”systemisreplacedby“rule-oriented”system.Theburdenofproofisoftenusedasanattackmeansasdevelopedcountriestakeadvantageofitspower,economyandexperienceinthedisputesettlementtodebate.Howeverdevelopingcountrieshavetofacetheadversesituationinburdenofproof.Thus,constructingrulesofburdenofprooffairlyandjustly,soastoenhancetheinterestofdevelopingcountriesisaneternalobjective.Whatismore,rulesofburdenofproofhavesomeotherdeficienciessuchasweaknessofoperationandprimafaciecase.VThedisputesettlementshouldhaveastandingagencytoconductfact-findinginordertocorrectevidentiarydeficienciesinsubmissionsbymemberstopanels.Revisingthearticlesof“UnderstandingonRulesandProceduresGoverningtheSettlementofDisputes”andestablishingthespecificstandardof“primafaciecase”willgreatlybalancetheinterestsofbetweendevelopedmembersanddevelopingones,betweencomplainantsandrespondents.KEYWORDS:burdenofproof,aprimafaciecase,discretionofpanels,equityandjusticeab112223231SeeErmstPetersmann,TheDisputeSettlementSystemoftheWorldTradeOrganizationandtheEvolutionoftheGATTDisputeSettlementSystemSince1948,KluwerAcademicPublishersGroup(1994).21999683WTO2007124WTODSU38DSUWTOWTOWTOWTOWTOandItsDisputeSettlementMechanism-fromaDevelopingCountryPerspectiveWTOEvidence,ProofandPersuasionintheWTODisputeSettlement:WhoBearstheBurden?”4WTO200734BurdenofProof125BurdenofProducingEvidenceAPrimaFacieCase6520032086WTO20037385BurdenofPersuasionCauseofAction7872005161820051516910920051591020013927111213PreponderanceofevidenceBeyondreasonabledoubt11200517912132004610281958‘’‘’1415WTO1614200346315SeeErnstPetersmann,TheDisputeSettlementSystemoftheWorldTradeOrganizationandtheEvolutionoftheGATTDisputeSettlementSystemSince1948,KluwerAcademicPublishersGroup(1994).16199968917184743333940%30%192.117200046418panel20033147192005178102021“UnderstandingonRulesandProceduresgoverningtheSettlementofDisputes”8.110.28.91720WTO200221221WTO20022132231311“”232132132024232001762420003641225262738325SeeHuJiaxiang,WTOandItsDisputeSettlementMechanism—FromaDevelopingCountryPerspectiveZhejiangUniversityPress(2005).26SeeHuJiaxiang,WTOandItsDisputeSettlementMechanism—FromaDevelopingCountryPerspectiveZhejiangUniversityPress(2005).27SeeJoostPauwelyn,Evidence,ProofandPersuasionInWTODisputeSettlement:WhoBearstheBurden?JournalofInternationalEconomicLaw,Vol.1(1998).132828WTO200737914GATT1947231a19631529233029WTO200373830200047015197952323119471987321954112312031SeeUnderstandingRegardingNotification,Consultation,DisputeSettlementandSurveillance(adoptedon28November1979),at(LastVisitedon10December2008).32WTO20037381633203420d20d3434281a“”281a3533SeeJoostPauwelyn,Evidence,ProofandPersuasionInWTODisputeSettlement:WhoBearstheBurden?JournalofInternationalEconomicLaw,Vol.1(1998).34SeeCanada-AdministrationofForeignInvestmentReviewAct,PanelReport(adoptedon7February1984),BISD30S/140,para.5.20,at(LastVisitedon10December2008).35SeeCanada-AdministrationofForeignInvestmentReviewAct,PanelReport(adoptedon7February1984),BISD30S/140,para.5.22,at(LastVisitedon10December2008).1