WTO透明度原则:内涵、发展与影响
详细信息    本馆镜像全文|  推荐本文 |  |   获取CNKI官网全文
摘要
WTO透明度原则是从GATT法律体系当中继承而来,并在乌拉圭回合之后大放异彩的WTO基本原则之一。从GATT时期的潜伏到WTO时期的爆发,WTO透明度原则的发展,本身就体现着国际贸易法从关税到以非关税壁垒为主要关注目标的历史发展脉络。透明度原则最早被规定在GATT1994的第十条当中;WTO当中货物贸易的其他协议以及知识产权贸易和服务贸易当中也有相应的透明度条款;贸易政策评审机制是保障透明度原则的专门机制。
     争端解决机构在司法程序中也适用了透明度原则。经过近40个案件的裁决,WTO透明度原则已经形成了有众多规则内容的法律制度,同时,争端解决机构也形成了在透明度问题上的比较明确的立场。欧盟——特定海关事项案表明争端解决机构不倾向于限制WTO透明度原则适用的范围,但是同时适用透明度原则的案件并不一定裁定被诉方违反透明度原则,这也符合争端解决机构一向避免争议、小心谨慎的立场。而在众多案例当中使用“保护‘贸易者’的预期”这一提法,也表明争端解决机构有意拓展透明度的合理性基础,是对“保护缔约方预期”的条文内容的大胆突破。
     促成透明度如此快速发展的因素有很多,关键的两个因素是信息技术的发展和应对金融危机的共识。WTO透明度原则的宗旨是破除贸易保护,促进国际贸易健康发展。若想达成这一目标,就必须从国际贸易摩擦的国内原因入手。国际贸易摩擦往往是由于要求贸易保护的政治压力和条块分割的行政体制造成的,而深层次的原因则是应激性的选举政治和客户主义的行政机构设置与考评机制。找到原因,对症下药,才能避免既得利益集团绑架决策者和民意,才能使贸易管理和贸易政策科学、民主。
     西方法治土壤上培育出的透明度原则也在和东方国家的法律传统、立法实践和行政执法体制碰撞着。透明度原则的适用,导致了这些国家的立法和执法改革,日本和中国是有代表意义的两个例子。虽然改革的程度深浅不一,但是这毕竟是令人瞩目的进步。在WTO透明度原则的作用下,国际贸易体系和国内贸易管理都可以期待一个更加美好的未来。
The Principle of Transparency is a basic tenet supporting the development of WTO, which is an inheritance from the framework of GATT. Most-favored-nation-treatment, National treatment and Transparency are believed to be three core foundation of WTO. Transparency is mainly prescribed in Art. X of GATT1994, and similar rules can also be discovered in other protocols, understandings and agreements, include those are inferred with trade of intellectual property and trade of service. This paper is designed to go from the birth of principle of WTO Transparency, analyze the history conditions of the development, pursue the changes and the propose of those who make these changes, dissect the mechanism of how Transparency works to fight against trade protection and concentrate on the conflict between transparency and local culture and then find out the changes of rules, systems and institutions.
     The introduction contains definition and cultivation of Transparency. There are also some indexes here which the author thinks them of importance.
     The first chapter treats the idea of Transparency and builds a foundation for further discussion. It is from the birth of principle of WTO Transparency to the analysis of the history conditions of the development.
     The second chapter offers insights into the cases referred to transparency clause which were made by Dispute Settlement Body include panel and appellate body in the WTO. DSB has cleared the scope of application of transparency clause and defined the term of protecting the expectations of traders. The relationship of Article X of GATT 1994 and the WTO agreement was also referred. Sometimes it seems that DSB was too prudent to achieve good governance. Though we may see some different decide, DSB has its line. The line was found to be expanding the space for the application of WTO rules and doing every effort to avoid making wrongs. A famous case is specially paid close attention to, that is the EC—Selective Customs Matters Dispute. In this case, we notice that the whole custom administration of European Community was challenged. That is without precedent in history.
     The third chapter shifts focus from the development to the causations of the development. One of them is the development of information skills. Personal Computer and Internet help us to get awareness of almost every news happened allover the globe. They make the carrying out transparency obligations in a convenient and effective way possible. In an addition, the skills make challenges include hiding key information into huge mountains of other messages. Government also has strong reasons and motivations to screen information they don’t want the public knows. The technology of information examination gives its support to the information-masking. How can transparency cope with these is one of the most important problems in internet era.
     The forth chapter tries to discuss the mechanism of how Transparency works to fight against trade protection. Trade protection was caused by trade conflict. But what we don’t know is how trade conflict leads to trade protection. The enterprises and industries in threat of failure of competition with foreign products and producers, would like to choose their spokesman in the government, parliament and medium. They have sympathy stories telling someone would lose his job and lots enterprises are in the edge of bankrupting. Decision makers get information mainly through government apartment, industry union or labor union. They are all spokesman of certain groups instead of whole domestic economy. They pass the information which their“client”wants to. So decision makers could not acquire adequate information. It was the same with customers. They are told domestic industry suffered a lot from foreign competitors who succeeded through cheap but illegal labor, and so on. They don’t know that they are the bill payers for trade protection. The cost is huge and varies from deduction of supply of public goods to more tax. If transparency works, the real cost and pay will be exposed and the public will help the government to make good choice. Any betray of the public willing and interests will be punished by votes.
     The fifth chapter is mainly focus on the efforts of transparency. Transparency was earlier applied in USA and they do a better job too. Eastern countries, like Japan and China, have their problems. Fist of all, their cultures are tended to hide the information and purpose of authority. That is a symbol of authoritativeness. The conflicts between transparency and local cultures are one of the major encumbrances to trade liberation. As mentioned in the chapter, transparency was finally accepted as a tool for clean, fair and effective trade government. The changes and adjustment of administrative system were followed. It’s not excellent but it is precious.
     The final part concludes this paper, trying to give a generalized account of the history, development and effect of transparency. Some strategies were also mentioned here as an effort for the future. This chapter crystallizes this paper and carries it to the conclusion.
引文
[1] Barton H. John,Judith L. Goldstein,Timothy E. Josling,Steinberg Richard H.,The Evolution of the Trade Regime: Politics,Law,and Economicsof the GATT and the WTO[M].Princeton University Press 2006.
    [2] Cotarelli Carlo , Efficiency and Legitimacy: Trade-Offs in IMF Governance[M]. International Monetary Fund, 2005.
    [3] Chistopher Crowe, Testing the Transparency Benefits of Inflation Targeting: Evidence from Private Sector Forecasts[M]. Inernationa Monetary Fund, 2006.
    [4] Consultative Borard to the Director-General Supachai Panitchpakdi, The Future of The WTO, [M].Switzerland: World Trade Organization,2004.
    [5] Dabla-Norris Era and Elisabeth Paul, What Transparency Can Do When Incentives Fail : An Analysis of Rent Capture[M].International Monetary Fund, 2006.
    [6] Ehtisham Ahmad, Raju siSingh, and Mario Fortuna, Toward More Effective Redistribution: Reform Options for Intergovernmental Transfers in China[M]. International Monetary Fund, 2004.
    [7] Foote H. Daniel, Law in Japan: A Turning Point[M]. Seattle and London: University of Washington Press, 2007.
    [8] Florini Ann, The Right to Know: Transparency for an Open World[M].New York: Columbia University Press, 2007.
    [9] Fung Archon, Mary Graham and David Well, Full Disclosure: The Perils and Promise of Transparency[M].Cambridge: Cambrige University Press, 2007.
    [10] Finel I. Bernard, Lord Kristin M.,Power and Conflict in the Age of Transparency[M].New York: PALGRAVE, 2000.
    [11] Holzner Burkart and Holzner Leslie, Transparency in Global Change: The Vanguard of The Open Society[M].Pittsburgh: University of Pittsburgh Press, 2006.
    [12] Hameed Farha, Fiscal Transparency and Economic Outcomes[M]. International Monetary Fund,2005.
    [13] Holzner Burkart and Holzner Leslie, Transparency in Global Change: The Vanguard of The Open Society[M].Pittsburgh: University of Pittsburgh Press, 2006.
    [14] Hoekman M. Bernard, Mavriodis C. Petros, The World Trade Organization: Law, Economics and Politics[M].Oxon: Routledge,2007.
    [15]——, Kostecki M. Michel,The Political Economy ofthe World Trading System:From GATT to WTO.2nd ed[M].Oxford;New York:Oxford University Press,2001.
    [16] Henrik Horn , Petros C. Mavroidis , The WTO Case Law of 2004-2005[M]. Cambridge: Cambridge University Press,2008.
    [17] Jacqueline Best, The Limits of Transparency: Ambiguity and The History of Inernational Finance[M]. New York: Cornell University Press,2005.
    [18] Jackson H. John,The World Trading System:Law and Policy ofInternational Economic Relations,2d ed[M].Cambridge,Mass.;London:MITPress,1997.
    [19]——, The World Trade Organization: Constitution and Jurisprudence[M].London: Royal Institute of International Affairs,1998.
    [20]——,Sovereignty,the WTO and Changing Fundamentals of International Law[M].Cambridge University Press, 2006.
    [21] Neal D. Finkelstein, Transparency in Public Policy: Great Britain and the United States[M]. Macmillan Press LTD, 2000.
    [22] Nuri Erbas , Ambiguity , Transparency , and Institutional Strengh[M].International Monetary Fund, 2004.
    [23] Nam Duck-Woo et al., When the Going Gets Tough: Need for Early Progress in the Uruguay Roud[M].Aldershot, Brookfield and Sydney: Gower, for the Trade Policy Research Centre, 1988.
    [24] Organisation for Economic Co-operation and Development, Open Government: Fostering Dialogue with Civil Society[M].OECD, 2003Scott Joanne, The WTOAgreement on Sanitary and Phytosanitary Measures: A Commentary[M].Oxford: Oxford University Press, 2007.
    [25] Olivier Long, Public Scrutiny of Protection: Domestic Policy Transparency and Trade Liberalization[M]. Aldershot, Brookfield, USA, Hong Kong, Singapore, Sydney: Trade Policy Research Centre,1989.
    [26] Qureshi Asif H., International Economic Law, London: Sweet & Maxwell Ltd, 1999.
    [27] Rodan Garry,Transparency and Authoritarian Rule in Southeast Asia: Singapore and Malaysia[M].London: RoutledgeCurzon,2004.
    [28] Rumbaugh Thomas and Nicolas Blancher, China: International Trade and WTO Accession[M].International Monetary Fund, 2004.
    [29] Smith B. C., Good Governance and Development[M].Macmillan: PALGRAVE, 2007.
    [30] Scott Roger and Mark Stone,On Target? The International Experience with Achieving Inflation Targets[M].International Monetary Fund, 2005.
    [31] Trebilcock Michael J. and Howse Robert,The Regulation of2 1 2International Trade.2d ed. [M].New York: Routledge,1999.
    [32] The World Bank Development Research Group, Transparency and Trade Facilitation in the Asia Pacific: Estimating the Gains from Reform[M].World Band, 2007.
    [33] United Nations Centre on Trade and Development, Transparency[M].New York and Geneva: United Nations, 2004.
    [34] United Nations Conference on Trade and Development, Transparency in the Design of Trade Policy in The Context of The Fight Against Protectionism: Experience of Selected Countries[M]. Geneva: United Nations,2003.
    [35] West Harry G. and Sanders Todd, Transparency and Conspiracy: Ethnographies of Suspicion in the New World Order[M].Durham and London: Duke University Press,2003.
    [36] Yap Fiona O., Citizen Power, Politics, and The“Asian Miracle”M].Boulderand London: Lynne Rienner Publishers,2005.
    [37] Zdenek Drabek and Warren Payne, The Impact of Transparency on Foreign Direct Investment[M].World Trade Organization,2001.
    [1] Charnovitz Steve , Economic and Social Actors in the World TradeOrganization[J].7 ILSA J.Int'l&Comp.L.(2001).
    [2] Ernst-Ulrich Petersmann, Judging Judges: From‘Principal-Agent Theory’To‘Constitutional Justice in Multilevel‘Judicial Governance’of Economic Cooperation Among Citizens[J].Journal of International Economic Law,2008,12.
    [3] Gregory Shaffer,Parliamentary Oversight of WTO Rule-Making:ThePolitical,Normative,and Practical Contexts[J].7 J.Int'l Econ.L.(2004).
    [4] Gail E.Evans,The Lawmaking under the Trade Constitution:A Study inLegislating by the World Trade Organization.Studies in TransnationalEconomic Law[J].vol.14.The Hague;Boston: Kluwer Law International,2000.
    [5] Gerhart M. Peter , The Two Constitutional Visions of the World TradeOrganization[J].24 U.Pa.J.Int'l Econ.L.(2003).
    [6] Gerhart M. Peter , The Two Constitutional Visions of the World TradeOrganization[J].24 U.Pa.J.Int'l Econ.L.1(2003).
    [7] Laurence R.Helfer , Constitutional Analogies in the International LegalSystem[J].37 Loy.L.A.L.Rev.193,218(2003) .
    [8] Lacarte A. Julio,Transparency,Public Debate and Participation byNGOs in the WTO:A WTO Perspective[J].7 J.Int'l Econ.L.(2004) .
    [9] Ljiljana Biukovic, Selective Adaptation of WTO Transparency Norms and Local Practice in China and Japan[J].Journal of International Economic Law,2008,12 .
    [10] Padideh Ala'I, From The Periphery To The Centre? The Evolving WTO Jurisprudence on Transparency and Good Governance[J].Journal of International Economic Law,2008,12 .
    [11] Qin Ya Julia,"WTO-Plus"Obligations and Their Implications for theWorld Trade Organization Legal System[J].37 J.World Trade(2003) .
    [12] Robert Wolfe,Regulatory Transparency,Developing Countries and theWTO[J].2 World Trade Rev.157,161(2003) .
    [13] William B.T. Mock, An Interdisciplinary Introduction to Legal Transparency: A Tool for Rational Development[J].18 Dick. J. Int’l L.293, 295(2000) .
    [1]刘敬东.WTO法律制度中的善意原则[M].社会科学文献出版社,2009.
    [2]罗国强.国际法本体论[M].法律出版社,2008年.
    [3]刘文静.WTO透明度原则与我国行政公开制度[M].法律出版社,2008年.
    [4]刘志云.现代国际关系理论视野下的国际法[M].法律出版社,2006年.
    [5]格老秀斯著,战争与和平法[M].何勤华等译.上海人民出版社,2005.
    [6] [比]约斯特·鲍威林著.国际公法规则之冲突:WTO法与其他国际法规则如何联系[M].周忠海,周丽英,马静,黄建中等译.法律出版社,2005年.
    [7]杨解君.WTO下的中国行政法制变革[M].北京大学出版社,2005年.
    [8]王士如.中国行政法治与WTO规则的整合[M].上海财经大学出版社,2005年.
    [9]朱淑娣.WTO体制下国际贸易救济审查制度研究[M].时事出版社,2005年.
    [10] [德]彼得斯曼著.国际经济法的宪法功能与宪法问题[M].何志鹏,孙璐,王彦志译.高等教育出版社,2004年.
    [11] [美]路易斯·亨金著.国际法:政治与价值[M].张乃根,马忠法,罗国强,叶玉,徐珊珊译.张乃根校.中国政法大学出版社,2004年.
    [12] [美]约翰.O.麦金尼斯,马克.L.莫维赛西恩著.世界贸易宪法[M].张保生,满云龙译.中国人民大学出版社,2004年.
    [13]朱淑娣主编.国际贸易救助司法审查[M].香港文汇出版社,2004年.
    [14]朱榄叶.世界贸易组织国际贸易纠纷案例评析(1995-2002)》上下册[M].法律出版社,2004年.
    [15]黄东黎.国际贸易法:经济理论、法律、案例[M].法律出版社,2003年.
    [16]梁治平.在边缘处思考[M].法律出版社,2003年.
    [17]约翰·杰克逊著.GATT/WTO法理与实践[M].张玉卿等译.新华出版社2002年.
    [18]杨国华.中国加入WTO法律问题专论[M].法律出版社,2002年.
    [19]石广生.中国加入世界贸易组织知识读本[M].人民出版社,2002年.
    [20]朱淑娣等.中国经济行政法治与国际化[M].同济大学出版社,2002年.
    [21]朱淑娣主编.运行中的国际经济行政法[M].时事出版社,2002年.
    [22]梁治平.法辨[M].中国政法大学出版社,2002年.
    [23]梁治平.寻求自然秩序中的和谐[M].中国政法大学出版社2002年.
    [24]朱榄叶.世界贸易组织国际贸易纠纷案例评析[M].法律出版社,2000年.
    [25]朱淑娣.欧盟经济行政法通论[M].东方出版中心,2000年.
    [26]赵维田.世贸组织的法律制度[M].吉林人民出版社,2000年.
    [27]蒋兆康.美国对外贸易法和海关法(上、下)[M].法律出版社,2000年.
    [28]世界贸易组织秘书处编.贸易走向未来[M].法律出版社,2000年.
    [29]伯纳德·霍克曼等著.世界贸易组织的政治经济学――从关贸总协定到世界贸易组织[M].刘平等译.法律出版社,1999年.
    [30]武树臣.中国传统法律文化[M].北京大学出版社,1997年.
    [31]王名扬.美国行政法[M].中国法制出版社,1995年.
    [32]王名扬.英国行政法[M].中国政法大学出版社,1987年.
    [1]刁节文.政策操作透明度下的货币政策传导机制研究[J].改革与战略,2009年,第25卷,第1期.
    [2]邓庆.WTO框架下政府采购透明化的发展与我国对策[J].特区经济,2008年,5月.
    [3]张嘉.论透明度[J].湖南涉外经济学院学报,2008年,第1期.
    [4]张千帆.政府公开的原则与例外[J].当代法学,2008年,第22卷,第5期.
    [5]张潇剑.WTO透明度原则研究[J].清华法学,2007年,第1卷,第3期.
    [6]李春.透明度作为WTO基本原则的原因探究[J].北京科技大学学报(社会科学版),2006年第2期.
    [7]曹晓华.交易透明度与信息揭示制度:国际趋势与启示[J].证券市场导报,2006年第5期.
    [8]丁文治.WTO透明度与中国的行政公开问题[J].江淮论坛,2006年第2期.
    [9]林松.美国法制建设与立法透明度初探[J].行政与法,2005年第3期.
    [10]姜明安.行政法基本原则新探[J].湖南社会科学,2005年2期.
    [11]由力.WTO背景下政府规章制度透明度探析[J].辽宁公安司法管理干部学院学报,2005年,第2期.
    [12]沈四宝.世贸组织透明度原则与中国的法治进程[J].国际商务,2004年第1期.
    [13]苟大凯.WTO透明度原则的新发展——兼论中国入世议定书的相关规定[J].哈尔滨学院学报,2004年第7期.
    [14]谢晓尧.WTO透明度:固有价值与保障机制[J].法学,2003年第1期
    [15]梁莹.WTO透明度原则对我国政府行为的挑战及对策[J].行政与法,2003年第1期.
    [16]董进.论WTO透明度原则与我国行政改革的基本关系[J].行政与法,2002年12期.
    [17]王杏飞.WTO透明度原则与裁判文书改革[J].行政与法,2002年7期.
    [18]高景芳.WTO的透明度原则与我国行政公开的现状及其改革[J].河北科技大学学报(社会科学版),2002年3期.
    [20]陈兵.试论我国外商投资的法律统一性与透明度问题[J].广西社会科学,2002年3期19.
    [21]秦国荣.WTO规则与中国法制建设——以WTO透明度原则和司法审查制度为视角[J].长白学刊,2002年5期.
    [22]秦国荣.规范性法律文件的清理:法律特征、存在问题及其法治化研究——兼论WTO透明度原则对我国立法的影响[J].理论与改革,2002年3期.
    [23]王从虎.入世后中国构建透明政府的战略选择[J].北京行政学院学报,2002年第5期.
    [24]宋才发.WTO规则与中国政府的透明度[J].河北法学,2002年4期
    [25]周佑勇.西方两大法系行政法基本原则之比较[J].环球法律评论,2002年冬季版.
    [26]彭欣.论WTO透明度原则与我国行政公开制度[J].行政与法,2001年5期.
    [27]俞灵雨.WTO规则的透明度原则与中国涉外商事、海事审判[J].法律适用,2001年1期.
    [28]张冬阳.WTO的政策透明度原则及其运用[J].河北法学,2000年6期.
    [29]杨裕钦.WTO的透明度原则的理论分析[J].北京理工大学学报(社会科学版),2000年4期.
    [30]杜钢建.知情权制度比较研究-当代国外权利立法的新动向[J].中国法学,1993年第2期.
    [31]宋小卫.略论我国公民的知情权[J].法律科学,1994年第5期.
    [1]孙俊停.论WTO的透明度原则——兼论我国行政公开制度[D].西南政法大学,2008年4月.
    [2]刘政宇.我国行政执法责任制度完善之研究[D].湖南师范大学,2008年4月.
    [3]王秉乾.论WTO透明度原则对我国法治建设的影响[D].对外经济贸易大学,2007年6月.
    [4]孙雨心.WTO争端解决机制的透明度问题研究[D].中国政法大学,2007年3月.
    [5]冯小军.国际反倾销中透明度法律问题研究[D].西南政法大学,2007年4月.
    [6]王运萍.和谐社会视野下的透明政法[D].山西大学,2006年6月.
    [7]翁佳.论WTO透明制度原则与我国地方立法透明制度的完善[D].华东政法学院,2006年11月.
    [8]魏红梅.遵循WTO透明度原则,提高我国政府透明度[D].广东工业大学,2005年4月.
    [9]周恭伟.WTO与建设透明政府[D].中共中央党校,2003年6月.
    ①William B.T. Mock, An Interdisciplinary Introduction to Legal Transparency: A Tool for Rational Development, 18 Dick. J. Int’l L.293, 295(2000).
    ②Bernard I. Finel and Kristin M. Lord, Power and Conflict in the Age of Transparency ,2000, PALGRAVE
    ①Abram Chayes and Antonia Handler Chayes, The New Sovereignty: Compliance with International Regulatory Agreements , Harvard University,1996,第135页
    ②John Board et al., Transparency and Fragmentation , Houndmills, Basingstoke, Hampshire ;New York :Palgrave Macmillan,2002
    ③Debra P. Steger, Introduction To The Mini-symposium On Transparency In The WTO, Journal of International Economic Law 11(2008)
    ①这里的保护合法预期主要是指保护缔约方的合法预期。
    ②转引自刘敬东:WTO法律制度中的善意原则,社会科学文献出版社,2009,北京,第114页。
    ③参见石广生:中国加入世界贸易组织知识读本(二),乌拉圭回合多边贸易谈判结果:法律文本,人民出版社,第423页。
    ④参见格老秀斯:战争与和平法,何勤华等译,上海人民出版社,2005年。
    
    ①参见奥本海:奥本海国际法,王铁崖译,中国大百科全书出版社,1995年,第23页。
    ②参见刘敬东:WTO法律制度中的善意原则,社会科学文献出版社,2009,第49页。
    ③参见阿根廷牛皮和皮革制品案专家组报告第11.71段
    ①参见Industrial Policy: An Unfair Trade Practice?, Congressional Quaterly Weekly Report, 29 January 1983, Washington, D.C. : Congressional Quarterly, Inc.,第214页。
    ①参见王秉乾:论WTO透明度原则对我国法治建设的影响.对外经济贸易大学,2007年6月,第35页。
    
    ①参见左海聪:国际经济法的理论与实践,第二版.武汉:武汉大学出版社,2009,第251页.
    ②参见王秉乾:论WTO透明度原则对我国法治建设的影响.对外经济贸易大学,2007年6月,第73页。

© 2004-2018 中国地质图书馆版权所有 京ICP备05064691号 京公网安备11010802017129号

地址:北京市海淀区学院路29号 邮编:100083

电话:办公室:(+86 10)66554848;文献借阅、咨询服务、科技查新:66554700