技术性贸易壁垒中的若干法律问题研究

【作者】 游丹；

【导师】 高晋康；

【作者基本信息】 西南财经大学 ， 经济法学， 2005， 硕士

【摘要】 本论文着重从国际贸易法律规则功能性研究的视角,探讨《技术性贸易壁垒协议》结构配置和内容安排的合理性以及自身存在的缺陷,力图揭示国际贸易中如何利用该协议最大程度地趋利避害。同时,通过横向比较国外发达国家技术性贸易壁垒状况,剖析由技术性贸易壁垒引发争端的经典案例,力图在立法和司法适用层面上抽象出一些趋同因素,与我国构建中的技术性贸易措施体系相对照,以提供相应的制度借鉴。本论文除结语以外分为五章,第一章为“导论”;第二章为“技术壁垒的内涵以及对当代国际贸易的影响”;第三章为“《技术性贸易壁垒协议》功能性研究与法律属性辨析”;第四章为“主要发达国家技术壁垒状况分析及启示”;第五章为“我国建立技术性贸易措施体系的应对措施”。第一章“导论”。本章着重在于论述本论文研究议题的意义以及主要采用的研究方法和论证思路。人们首先可能对本论文的标题产生疑虑,“若干法律问题”严格意义上讲不是论文题目命名的最佳选择,研究对象往往受到局限,论文各章节间逻辑性可能减弱。对此,本文在第一章第一点“研究问题的研究意义”中给予了回答。即研究对象范围受限源于技术性贸易壁垒内涵的丰富性以及当前国内法律领域对其研究的空白。技术性贸易壁垒概念本身就有广义和狭义之分,涉及部门和行业众多,跨越国际贸易、法律、经济学、技术标准、环境保护等多个学科领域。当前国内对于国际贸易中技术壁垒的法律问题研究比较欠缺,已有的研究成果仅仅集中于 20 世纪 90 年代初期,并仅仅限于研究《技术性贸易壁垒协议》本身。现有的研究角度多从技术、绿色、认证、标准等切入。因此,本论文仅从《技术性贸易壁垒协议》的功能性研究入手,探讨该协议在规则设计上如何基于合法目的促进国际贸易良性发展之路径,为我国构建技术性贸易措施体系在制度建设、司法适用上提供思路。本文主要采用比较研究、实证研究2和案例分析等方法来论证《技术性贸易壁垒协议》如何克服自身缺乏有效性的制度缺陷,成为可供贸易国善加利用并具操作性的有效规则。第二章“技术壁垒的内涵以及对当代国际贸易的影响”。本章主要阐述技术壁垒的内涵及其成为影响国际贸易发展的双刃剑之原由。着重从技术壁垒的概念、实质和特征等方面分析其内涵具有实质意义:第一,技术性贸易壁垒三要素(即技术法规、标准及合格评定程序)对国际贸易影响侧重点的不一致性,决定了构建技术性贸易措施体系必须从长远的观点出发,使三要素得到均衡的发展;第二,技术壁垒与传统贸易壁垒的差异及其自身独特性决定了 WTO 法律体系无法强行消除技术壁垒的根由,技术壁垒由此成为当今国际贸易最主要的保护措施;第三,解读“技术性贸易壁垒总是对贸易产生负面影响”的误区,证实技术壁垒具有促进国际贸易发展的良性作用。探讨技术壁垒如何成为影响国际贸易发展的双刃剑必须先追寻其初始设立理念、并有针对性地论证 TBT 如何在当下渐渐偏离其设立初衷,成为国际贸易的瓶颈。首先,WTO 法律体系存在制度缺失,即对各成员国的技术壁垒无法及时审查并采取有效制裁,导致技术壁垒表现形式、涵盖范围和危害性逐渐升级。其次,技术壁垒制定显失公平源于 WTO 各成员间经济技术发展不平衡造成。第三章“《技术性贸易壁垒协议》功能性研究与法律属性辨析”。该协议作为国际贸易中技术壁垒设置以及由此引发争端所能援引的唯一法律规则,有必要论证其结构配置和内容安排的合理性以及自身存在的缺陷。首先,从制度演进的角度,比较《TBT 协议》自东京回合制定初至乌拉圭回合全面修订后的重大改进和变动。该协议在技术性贸易壁垒三要素的区别和界定、信息的交流与公开以及约束机制和争端解决等方面可操作性大大增强,将有力地减轻技术壁垒对贸易的阻碍作用。其次,结合 GATT 的例外原则和有关争端案例,探讨设置技术壁垒基于合法目的实质及其在争端解决中的适用,其用意在于堵塞“漏洞”和防止保护主义者利用各种富有创意的进口限制,以期保护《TBT 协议》的规则有效性。再次,引入“世界贸易政策体系”中3两个重要命题:一是规则与自由裁量之间的两难推理,即旨在稳定性和可预见性的法律规则与人们需要解决眼前的和暂时的问题这两方面的矛盾与冲突;二是国际贸易规则的有效性问题。论证上述命题的实质在于:第一,《技术性贸易壁垒协议》(《TBT 协议》)缺乏有效性体现了协议制定者在制度设计上的用意。一方面,如果将规则视为调整、改进人类自身事务的手段,则削弱某一规则体系会导致降低该手段在特有环境中的作用。《TBT 协议》在司法实践中的效力先天不足变相保证了该协议能够为各贸易国从维护本国经济利益出发灵活运用。另一方面,对于潜在的贸易发展,规则可以提供可预见性与稳定性,换言之,旨在减少风险的政策可以降低国际交易时所需的“风险投保费用”。因此,《TBT 协议》仍对潜在的商业交易乃至政府政策产生强大影响,基于互惠观念、国家间相互依赖的愿望使得多数国家遵守该协议。第二、WTO 法律体系遵循“规则导向型外交”政策,因此决定了 WTO 争端解决目标,更多地朝“和解与谈判”主导方向发?更多还原

【Abstract】 The thesis focuses on the vision studied from the regularfunctionality of international trade law, probe into GATT/TBT structuredispose and rationality and defect that oneself store in that contentarrange, try hard to announce how to utilize this agreement to go afterprofits and avoid disadvantages to the greatest extent in internationaltrade. Meanwhile, More foreign TBT (Technical barriers to trade) state ofdeveloped country that this text passes the crosswise, that we can analyzeit by the classical case that TBT causes the dispute, try hard to belegislating to get off some convergent factors with the suitable aspect ofadministration of justice abstractly, with the technical trade measuresystem looks contrast while structuring in our country, in order to offerthe corresponding system to draw lessons from. This thesis is divided intofive chapters besides concluding the speech, chapter one is for "introduction "; Chapter two is for " the intension of technological barrierand impact on contemporary international trade "; Chapter three is for "the functional research and legal attribute differentiated and analyze ofGATT/TBT "; Chapter four is for " Main technological barrier stateanalysis and enlightenment of developed country "; Chapter five is for "counter-measure that our country establishes the system of TBT". Chapter one lies in expounding the fact that studies meaning andresearch approach and thinking of demonstration adopted mainly of thetopic in a thesis emphatically. This thesis is studied and started with onlyfrom the functionality of GATT/TBT, how to promote the route of benigndevelopment of international trade on the basis of the legal purpose inregular design to probe into this agreement, structure technical trademeasure system in institutional improvement, which offer the thinking onsuitable administration of justice for our country having. This text adoptsrelatively studies mainly; positive research and case analysis method toprove GATT/TBT how overcome oneself lack the system defect ofvalidity, and become suitable for trade country’s utilizing and havingeffective rule of operating nature properly. Chapter two explains the intension of the technological barrier andbecomes reasons of the double-edged sword, which influenceinternational trade development mainly. Focus on and analyze from suchrespects as the concept, essence and characteristic of the technologicalbarrier, etc. its intension has essence meaning. First, three key element(namely technological regulation, standard and qualified to evaluateprocedure) of TBT influence inconsistency of emphasis point tointernational trade, it must be from the viewpoint of long-term todetermine to structure the measure system of technical trade, make threekey elements get balanced development; Second, the difference oftechnological barrier and traditional trade barrier and one’s ownuniqueness have determined WTO legal system is unable to dispel theorigin of the technological barrier by force, so from this, the technologicalbarrier becomes the main protective measure of current international trade;Third, understanding the mistaken idea that " TBT always exerts anegative influence on trade ", which prove the technological barrier hasbenign function that brings about an advance in international trade.Discussing technological barrier how it is influence double-edged sword,international trade of development must pursue their initial to set up theidea first to become, prove how deviate from their set up originalintention gradually instantly TBT pointed, become the bottleneck ofinternational trade. First of all, WTO legal system has systems to lackcauses the form of expression of technological barrier, containing therange and harmfulness to upgrade gradually. Secondly, technologicalbarrier make apparent to lose fair to come from the technologicaldisparate development of economy causes of WTO all member Chapter three: " the functional research and legal attributedifferentiated and analyze of GATT/TBT.” Agreement this technologicalbarrier set up and cause only legal更多还原