【作者】 徐莉；

【导师】 李先波；

【作者基本信息】 湖南师范大学 ， 国际法学， 2012， 博士

【摘要】 旨在平衡自由贸易与公共道德之关系的WTO“公共道德例外”条款,寥寥数十字的规则却在沉寂了半个多世纪之后成为贸易各方关注的焦点。这是因为WTO规则肩负着双重使命：一方面强调成员方必须坚持自由贸易与公平贸易；另一方面又强调在成员方的公共道德已经受到或可能受到自由贸易损害时,则有权采取贸易限制措施。但问题的关键是：如何平衡协调此二者的关系?换言之,如何使得贸易各方在保护公共道德时,不致滥用权利而变相推行贸易保护主义?实践表明,WTO“公共道德例外”条款因表述简洁(允许各国采取“必要的保护公共道德”的贸易措施)而颇具争议性,以致成员方之间和DSB历任专家至今未能达成一致解释。这就为后续研究留下了诸多思考探讨的空间。本文分为引论、本论和结语三个部分。其中,“本论”共分六章展开论述。为使后文的论述存在话语背景及探讨基础,本文第一章主要介绍了WTO“公共道德例外”条款的概念、特征、法理基础及制定情况。考虑到“公共道德”的内涵解读是正确理解和援用WTO“公共道德例外”条款的关键,因而本文的第二章专门探讨了该条款的解释问题。在WTO规则体系内,由“模糊条款”导致的争端需要由DSB来进行解释澄清。这一行为的法律依据就是《维也纳条约法公约》和实际遵循的DSB裁决“先例”。DSB采用的解释方法主要包括客观解释方法、有效解释方法和动态解释方法等。但问题是,即便存在这些法律依据和解释方法,DSB也不曾清楚地阐释“公共道德”的内涵。在“美国博彩案”与“中美出版物市场准入案”中,DSB也未过多阐释“公共道德”的内涵,只是倾向于认同成员方在界定“公共道德”方面的一定自主权。从对成员方关于“公共道德”的立法和司法实践看,他们对其内涵及概念并未形成一致,尽管可能基于地域、历史、文化或政治等原因而形成了一些区域性的共识。此外,鉴于GATS第14条(a)款“公共道德和公共秩序例外’条款中增加了“公共秩序”术语,因而本章有必要对“公共道德”和“公共秩序”稍加论述,并将其描述为“两个不同但有重叠”的概念。毋庸置疑,作为法律规则之一,“公共道德例外”条款的援用必须符合一定条件,即：违背WTO其他规则、符合必要性原则、满足GATT序言宗旨。本文的第三章主要讨论了WTO“公共道德例外”条款的适用条件。针对各项条件之间适用的先后顺序、必要性要件和序言要求,本章考察了它们各自的要素及其形成的历史,结合判例实证分析了各项条件的具体适用情况并归结出其对例外条款适用条件的发展：“磋商和谈判”不再是必要性检验的替代措施；必要性检验中替代措施的举证责任由被投诉方转移至投诉方。这些发展对于衡平贸易自由与公共道德之关系显然有益。有鉴于WTO“公共道德例外”条款并未规定其适用的范围,本文第四章从横向与纵向两个层面探讨了“公共道德例外”条款的适用范围。在横向层面,探讨了“公共道德例外”条款能否在协定外适用的问题。从“中美出版物市场准入案”来看,GATT第20条的适用范围就已经扩展至GATT之外,即适用于入世文件。从遵循先例的角度看,“公共道德例外”条款的适用范围还可能继续扩展至其他WTO协议文件上。在纵向层面,针对“公共道德例外”条款能否适用于域外(措施实施国之境外)的问题,传统理论认为,该条款的初衷是旨在保护成员方境内的公共道德,而随着公共道德内涵的不断涵摄进包含人权、劳工标准、动物福利等在内的因素,一些主要WTO成员(如美国)为保护他国的公共道德而纷纷制定了贸易限制措施。但无论如何,为防止该条款被滥用,本文主张,依据国际法关于管辖权原则的一般规定,只有在一国实施了违反国际强行法的行为时,才可能将“公共道德例外”条款适用于该国。立足于WTO“公共道德例外”条款的适用现状,第五章主要就其适用前景进行了展望。该条款已渐成关注“热点”,中国等发展中国家也开始积极援用一般例外条款进行自我保护；DSB也致力于公共道德与贸易权利之间的平衡努力。从一定程度上讲,这些即是WTO“公共道德例外”条款的适用现状。更为重要的是,随着世界贸易的迅猛发展,“公共道德例外”条款将呈现出三大发展趋势：其一,该条款将被大量援用；其二,公共道德的内涵将进一步扩展并囊括进有限人权(包括人权、劳工权益等)；其三,在平衡贸易自由与公共道德的努力中,DSB仍将起主导作用。为了维护好各国保护公共道德的诉求和有效防止该条款被滥用,DSB一方面应谨慎引导公共道德内涵的扩展趋势,另一方面要适度运用“公共道德例外”条款的适用条件鉴于针对中国的投诉逐年上升的趋势,要切实维护好中国的贸易利益,中国政府和学者必须加强对WTO“公共道德例外”条款的研究。针对“中美出版物市场准入案”暴露出的主要问题,如立法存在漏洞和举证存在不足等,本文第六章提出了一些完善相关立法、培养WTO诉讼人才等方面的建议。更多还原

【Abstract】 The exception clause of public morals in WTO rules only with a dozen of words, in order to balance the free trade and public morality, become the focus of attention from the trading parties, after in silence for more than half a century. It is the reason that the WTO rules have a dual mission:on the one hand, it stressed that the members must adhere to free trade; on the other hand, it stressed that the members have the right to take trade restriction measures, when their public morality have been or may be subject to damages from free trade. However, the key issue is: how to realize the coordination of this relationship between the twos? In other words, how to make the trading parties do in the protection of public morals, without abuse of rights in disguise to implement trade protectionism? The trade practice shows that, the terms of the WTO public morals exception (allowing countries to take "necessary to protect public morals" trade measures) are quite controversial, because of it’s expression in simple, so that members of the parties and the DSB served as an expert so far failed to reach a consistent interpretation. This left a lot of thinking space to explore.This article is divided into three parts of the introduction, the body and the conclusion. Among them, the "body" is divided into six chapters discussed next.For the discourse background and discuss basis of the exposition on the body, so that the first chapter introduces the concept, characteristics, the legal basis and formulation of WTO public morals exception. Taking into account the connotation of "public morals" interpretation is the key to understand and invoke the WTO public morals exception clause, the second chapter devoted to the interpretation of the provisions. Within the WTO system of rules, the dispute caused by the "fuzzy terms" is duty by the DSB to explain clarify. The legal basis of this behavior is the Vienna Convention on the Law of Treaties, and the DSB actually following precedent "case rules". The interpretations adopted by the DSB include objective interpretation methods, effective interpretation methods and dynamic interpretation methods. But the problem is, even if there is a legal basis and interpretation methods, the DSB had not clearly explained the connotation of "public morals". In "American Gambling Case" and "Sino-US market access for publications case", DSB is still not explain clearly the connotation of "public morals", but tend to agree with the members of the party some having the autonomy in defining the "public morals". From the legislative and judicial practice of "public morality exceptions", there is not a consistent connotation, but a number of regional consensu based on geographical, historical, cultural or political reasons.In addition, in view of the GATS section14(a) added an concept "public order", therefore, it’s necessary for this chapter to discuss the "public morals" and "public order", and described them as a "two different but overlapping" concept.Needless to say, as a rule of law, quoting the "public morals exception" must meet certain conditions, namely:contrary to other WTO rules, in line with the principle of necessity, to meet the purpose of the GATT preamble. The third chapter focuses on the applicable conditions of the WTO public morals exception. To direct at the applicable order of the conditions, the necessity of the elements and the requirements of the preamble, this chapter examines their respective elements and their formation history, combined with case to analyze the applicable conditions, and concluded with the development of conditions of application of the exceptions:consultation and negotiation is no longer the need to test alternative measures; the need to test alternative measures of the burden of proof by a complaint transferred to the complaining party. These developments are clearly beneficial for equitable free trade and the public morality of the relationship.In view of the WTO public morals exception clause does not provide for its scope of application. Chapter IV of this article discusses the scope of application of the public morals exception clause from the horizontal and vertical two levels. To discuss whether the "public morals exception" could be applied beyond the agreement from the horizontal dimension. From the "Sino-US market access for publications case", the applicable scope of Article20of the GATT has been extended to the GATT, applied to the accession package. From the point of view of stare decides, the applicable scope of the "public morals exception" may continue to be extended to other WTO agreements. Vertical level for the "public morals exception" clause can be applied to extra-territorial (measures have been implemented outside of the country), the traditional theory that the original intention of the provision is aimed at protecting members of the party within the territory of public morality, and as public moral connotation continue to contain the factors included human rights, labor standards, animal welfare, including some of the major WTO members (such as the United States) have developed a trade-restrictive measures for the protection of other countries’public morality. Nevertheless, in order to prevent the clause being abused, this paper argues that the country violating of international jus cogens under international law, according to the general provisions on the principle of jurisdiction, may be applied to the "public morals exception" clause.Based on the application situation of the "public morals exception clause" in the WTO, to forcast the future for its application in the fifth chapter. The terms had become concerned about the "hot spots", China and other developing countries also began to actively invoking the general exception clauses to protect themselves; the DSB also committed to a balance of efforts between public morality and the right to trade. To a certain extent, these are the current applicable situation of the provisions of WTO public morals exception.More importantly, with the rapid development of world trade,"public morals exception" will appear in the three major trends:Firstly, the clause will be invoked greatly; Secondly, the public moral connotation will be further expanded and include into the limited human rights (including human rights, labor rights, etc.); Thirdly, in balancing the freedom of trade and public morality efforts, the DSB will continue to play a leading role. In order to safeguard the States to protect public morality demands and effectively prevent the abuse of the terms, the DSB, on the one hand, should be careful to guide the expansion trend of the public of the ethical dimension; on the other hand, moderately use of the applicable conditions of the "public morals exception".In view of the complaints against China increased year by year, to safeguard the trade interests of China, the China government and scholars must strengthen the clause of public moral exception in the WTO. For the "Sino-US market access for publications" exposed major problems, such as legislative existence of the vulnerability and the existence of proof, the sixth chapter of this paper made a number of improvement of legislation, developing the recommendations of the WTO litigation and personnel.更多还原