试析WTO关于归零的裁决及其启示——以WTO之DS471案为例
摘要
尽管一般倾销幅度计算方法下的"归零法"在WTO争端解决中屡屡被否定,但美国从未放弃寻找"合法"归零的契机,在多哈回合谈判中为"归零法"争取合法地位的同时,实践中借《反倾销协议》第2.4.2条允许的特殊计算方法转移焦点并试图在该例外情形下实现"合法归零"。中国将美国"以中国出口产品存在‘目标倾销’为由在WA-T方法下归零"的做法诉至WTO,并在该问题上获得了胜诉。鉴于WTO争端解决机制的先例作用力并非不可超越,且"归零"违法性在WTO法律文件中始终未予明确,分析先例中专家组的裁决思路以及对《反倾销协议》相关条款的解读,有利于明确我国未来应对"归零法"的策略,提出合理的申诉主张及严密的论证依据,并监督执行的落实。
引文
[1] European Communities — Anti-Dumping Duties on Imports of Cotton-type Bed Linen from India, WT/DS141/R(30 October 2000)[A/OL].(2018-05-06)[2000-10-30]. https://docs.wto.org/dol2fe/Pages/FE_Search/FE_S_S006.aspx?MetaCollection=WTO&SymbolList=&Serial=&IssuingDateFrom=&IssuingDateTo=&CATTI-TLE=Anti-Dumping+Duties+on+Imports+of+Cotton-type+Bed+Linen+from+India&ConcernedCountryList=&OtherCoun-tryList=&Subje-ctList=&TypeList=&FullTextHash=371857150 &ProductList=&BodyList=&OrganizationList=&ArticleList=&Contents=&CollectionList=&Restriction-TypeName=&PostingDateFrom=&PostingDateTo=&Der-estrictionDateFrom=&DerestrictionDateTo=&Refe-ren-ceList=&Language=ENGLISH&Se-archPage=FE_S_S001&ActiveTabIndex=0&langua-geUIChanged=true#.
[2] Wauters J . United States – Laws, Regulations and Methodology for Calculating Dumping Margins (Zeroing) (DS 294) and United States – Measures Relating to Zeroing and Sunset Reviews (DS322)[J]. World Trade Review, 2009(1):255-257.
[3] United States — Continued Existence and Application of Zeroing Methodology,WT/DS350/AB(4 February 2009),para.7.180[A/OL].(2018-05-06)[ 2009-02-04].https://docs.wto.org/dol2fe/Pages/FE_Search/FE_S_S006.aspx?MetaCollection=WTO&SymbolList=&Serial=&IssuingDateFrom=&IssuingDateTo=&CATTITLE=Continued+Existence+and+Application+of+Zeroing+Methodology&Con-cernedCountryList=&OtherCou-ntryList=&SubjectList=&TypeList=&FullTextHash=371857150 &Prod-uctList=&BodyList=&OrganizationList=&Artic-leList = &Contents=&CollectionList=&Restric-tionType-Name=&PostingDateFrom=&PostingDa-teTo=&Derestric-tionDateFrom=&DerestrictionDateTo=&ReferenceList=&Language=ENGLISH&Se-archPage=FE_S_S001& ActiveTabIndex=0&lang-uageUIChanged=true#.
[4 ] 赵阳.定期复审中“简单归零”本身的违法性分析:以“美国-不锈钢反倾销最终措施案(墨西哥)”为例[J].中国物价,2017(6):71-73.
[5] 张玉卿.T-to-T时可以用归零吗?[J].WTO经济导刊,2006(11):61-63.
[6] 王衡.中国WTO争端应对法律问题研究[M].北京:法律出版社,2015.
[7] United States– Certain Methodologies and Their Application to Anti-Dumping Proceedings Involving China, WT/DS471/R(19 October 2016), Para.3.1[A/OL].(2018-05-06)[2016-10-19]. https://docs.wto.org/dol2fe/Pages/FE_Search/FE_S_S006.aspx?Query=(%40Symbol%3d+wt%2fds471%2f*)&Language=ENGLISH&Context=FomerScripte-dSearch&languageUICh-anged=true.
[8] United States — Anti-Dumping and Countervailing Measures on Large Residential Washers from Korea, WT/DS464/R(11 March 2016)[A/OL].(2018-05-06)[ 2016-03-11].https://docs.wto.org/dol2fe/Pages/FE_Search/FE_S_S006.aspx?MetaCollection=WTO &SymbolList=&Serial=&IssuingDateFrom=&Issuing-DateTo=&CATTITLE=Anti-Dumping+and+Countervailing+Measures+on+Large+Residential+Washers+from+Korea&ConcernedCountryList=&OtherCountryList=&SubjectList=&TypeList=&FullTextHash=371857150 &ProductList=&BodyList=&OrganizationList=&Arti-cleList=&Contents=&CollectionList=&Restri-ctionTypeName=&PostingDateFrom=&PostingDateTo=&Dere-strictionDateFrom=&DerestrictionDateTo=&Refere-nceList=&Language=ENGLISH&SearchPage=FE_S_S001 &ActiveTabIndex=0&languageUIChanged=true#.
[9] 张月姣.亲历世界贸易组织上诉机构:中国首位上诉机构主席张月姣法官判例集[M].北京:社会科学文献出版社,2017:68-69.
[10] 裘韵.美国对华反倾销中“单一税率假设”问题分析:以WTO之DS471案为例[J].海关与经贸,2017(4):106-117.
①案例来源:https://www.wto.org/english/tratop_e/dispu_e/dispu_subjects_index_e.htm#selected_subject. 本文数据截至2018年2月22日。
②Article 2.4.2 Subject to the provisions governing fair comparison in paragraph 4, the existence of margins of dumping during the investigation phase shall normally be established on the basis of a comparison of a weighted average normal value with a weighted average of prices of all comparable export trans actions or by a comparison of normal value and export prices on a transaction to transaction basis …
③案例来源:https://www.wto.org/english/tratop_e/dispu_e/dispu_subjects_index_e.htm#selected_subject. 本文数据截至2018年2月22日。
④为区别于定期审查阶段适用的交易进行当月的加权平均正常价值与单笔交易出口价值的比较方法(W-T方法),此处初始调查阶段的加权平均-交易方法简称为WA-T方法。
⑤该案也是上诉机构首次认定目标倾销下归零法不符合WTO规则,且韩国提起的诉讼要求涉及目标倾销下归零法的规则本身(as such)。
⑥DSU第21.5条第1句规定:“若为遵守某项建议和裁决所要采取的措施,就其实体或与某个有关协议的一致性存在分歧,则应决定通过依靠这些争端解决程序,如可能的话,包括求助于原来的专家组来解决此类争端。”
⑦该法案于1994年通过的,专门用于处理WTO协定以及争端解决结果在美国国内法的效力问题的法案。
[2] Wauters J . United States – Laws, Regulations and Methodology for Calculating Dumping Margins (Zeroing) (DS 294) and United States – Measures Relating to Zeroing and Sunset Reviews (DS322)[J]. World Trade Review, 2009(1):255-257.
[3] United States — Continued Existence and Application of Zeroing Methodology,WT/DS350/AB(4 February 2009),para.7.180[A/OL].(2018-05-06)[ 2009-02-04].https://docs.wto.org/dol2fe/Pages/FE_Search/FE_S_S006.aspx?MetaCollection=WTO&SymbolList=&Serial=&IssuingDateFrom=&IssuingDateTo=&CATTITLE=Continued+Existence+and+Application+of+Zeroing+Methodology&Con-cernedCountryList=&OtherCou-ntryList=&SubjectList=&TypeList=&FullTextHash=371857150 &Prod-uctList=&BodyList=&OrganizationList=&Artic-leList = &Contents=&CollectionList=&Restric-tionType-Name=&PostingDateFrom=&PostingDa-teTo=&Derestric-tionDateFrom=&DerestrictionDateTo=&ReferenceList=&Language=ENGLISH&Se-archPage=FE_S_S001& ActiveTabIndex=0&lang-uageUIChanged=true#.
[4 ] 赵阳.定期复审中“简单归零”本身的违法性分析:以“美国-不锈钢反倾销最终措施案(墨西哥)”为例[J].中国物价,2017(6):71-73.
[5] 张玉卿.T-to-T时可以用归零吗?[J].WTO经济导刊,2006(11):61-63.
[6] 王衡.中国WTO争端应对法律问题研究[M].北京:法律出版社,2015.
[7] United States– Certain Methodologies and Their Application to Anti-Dumping Proceedings Involving China, WT/DS471/R(19 October 2016), Para.3.1[A/OL].(2018-05-06)[2016-10-19]. https://docs.wto.org/dol2fe/Pages/FE_Search/FE_S_S006.aspx?Query=(%40Symbol%3d+wt%2fds471%2f*)&Language=ENGLISH&Context=FomerScripte-dSearch&languageUICh-anged=true.
[8] United States — Anti-Dumping and Countervailing Measures on Large Residential Washers from Korea, WT/DS464/R(11 March 2016)[A/OL].(2018-05-06)[ 2016-03-11].https://docs.wto.org/dol2fe/Pages/FE_Search/FE_S_S006.aspx?MetaCollection=WTO &SymbolList=&Serial=&IssuingDateFrom=&Issuing-DateTo=&CATTITLE=Anti-Dumping+and+Countervailing+Measures+on+Large+Residential+Washers+from+Korea&ConcernedCountryList=&OtherCountryList=&SubjectList=&TypeList=&FullTextHash=371857150 &ProductList=&BodyList=&OrganizationList=&Arti-cleList=&Contents=&CollectionList=&Restri-ctionTypeName=&PostingDateFrom=&PostingDateTo=&Dere-strictionDateFrom=&DerestrictionDateTo=&Refere-nceList=&Language=ENGLISH&SearchPage=FE_S_S001 &ActiveTabIndex=0&languageUIChanged=true#.
[9] 张月姣.亲历世界贸易组织上诉机构:中国首位上诉机构主席张月姣法官判例集[M].北京:社会科学文献出版社,2017:68-69.
[10] 裘韵.美国对华反倾销中“单一税率假设”问题分析:以WTO之DS471案为例[J].海关与经贸,2017(4):106-117.
①案例来源:https://www.wto.org/english/tratop_e/dispu_e/dispu_subjects_index_e.htm#selected_subject. 本文数据截至2018年2月22日。
②Article 2.4.2 Subject to the provisions governing fair comparison in paragraph 4, the existence of margins of dumping during the investigation phase shall normally be established on the basis of a comparison of a weighted average normal value with a weighted average of prices of all comparable export trans actions or by a comparison of normal value and export prices on a transaction to transaction basis …
③案例来源:https://www.wto.org/english/tratop_e/dispu_e/dispu_subjects_index_e.htm#selected_subject. 本文数据截至2018年2月22日。
④为区别于定期审查阶段适用的交易进行当月的加权平均正常价值与单笔交易出口价值的比较方法(W-T方法),此处初始调查阶段的加权平均-交易方法简称为WA-T方法。
⑤该案也是上诉机构首次认定目标倾销下归零法不符合WTO规则,且韩国提起的诉讼要求涉及目标倾销下归零法的规则本身(as such)。
⑥DSU第21.5条第1句规定:“若为遵守某项建议和裁决所要采取的措施,就其实体或与某个有关协议的一致性存在分歧,则应决定通过依靠这些争端解决程序,如可能的话,包括求助于原来的专家组来解决此类争端。”
⑦该法案于1994年通过的,专门用于处理WTO协定以及争端解决结果在美国国内法的效力问题的法案。