论WTO上诉机构裁决失误与纠错机制:评原材料案与稀土案（英文）

日期:19-06-19 来源: 作者:admin

摘要(Abstract)：

Ⅰ.INTRODUCTION The curtain of a high-profile WTO case over trade in rare earths was ultimately drawn down,when the Appellate Body,the ultimate judicial body of the WTO,released its report on August 7,2014.~1 The case originated four years ago when China decided to restrain its export volume of rare earths almost by half.~2 The sudden and steep drop in rare earths export was against a background of international economic transition in a mineral-hungry world.~3 China stated its policy change in rare earths export as to serve the purposes of environment

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作者(Author): 顾宾;徐程锦;

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参考文献(References)：

1 CHINA-MEASURES RELATED TO THE EXPORTATION OF RARE EARTHS,TUNGSTEN AND MOLYBDENUM,at http://wto.org/english/tratop_e/dispu_e/cases_e/ds433_e.htm(Last visited on September 10,2015).
2 US DEPARTMENT OF ENERGY,"CRITICAL MATERIALS STRATEGY",at http://www.energy.gov/news/documents/criticalmaterialsstrategy.pdf(Last visited on September 10,2015).
3 The traditional minerals-for-manufactures trade structure had deprived developing countries of greater value-added income,and depleted much of their exhaustible natural resources,while leaving a severely eroded environment at home.Some of those developing countries,particularly those emerging ones,now try to catch up by processing minerals behind borders before export.
4 RARE EARTH INDUSTRY IN CHINA FACES SEVERE ENVIRONMENTAL PRESSURE,at http://news.xinhuanet.com/fortune/2010-1 l/07/c_13594689.htm(Last visited on September 10,2015).
5 Jane Korinek and Jeonghoi Kim,Export Restrictions On Strategic Raw Materials And Their Impact On Trade And Global Supply,OECD Trade Policy Working Paper No.95,19-20(2009).
6 CHINA'S RARE EARTH RESERVE WILL BE USED UP IN 20 YEARS,at http://news.xinhua net.com/mil/2010-10/17/c_12668271.htm(Last visited on September 10,2015).
7 FINANCIAL TIMES,WHY CHINA AND JAPAN ARE OCEANS APART,at http://www.ft.eom/intl/cms/s/0/6elb773c-ed03-1 ldf-9912-00144feab49a.html#axzzldaJ18iFB(Last visited on September 10,2015).
8 According to MOFCOM,between January and September 2010,China exported rare earths 32,200 tonnes,with 16,000 tonnes(49.8%)to Japan,and 6200 tonnes(19%)to the USA,at http://www.mofcom.gov.cn/aarticle/ae/ah/201011/20101107247803.htrm(Last visited on September 10,2015).
9 They were named rare earth elements because most were identified during the eighteenth and nineteenth centuries as oxide components within seemingly rare minerals.U.S.Department of the Interior et at.,at http://pubs.usgs.gov/sir/2010/5220/(Last visited on September 10,2015).
10 Supra note 2.
11 NATIONAL RESEARCH COUNCIL,MINERALS,CRITICAL MINERALS,AND THE U.S.ECONOMY,at 156-166(Washington,DC:The National Academies Press,2008).
12 Supra note 2.
13 Id.
14 Supra note 7.
15 The Preamble of the Marrakesh Agreement Establishing the World Trade Organization stipulates that the WTO Members contribute to the objectives of the WTO"by entering into reciprocal and mutally advantageous arrangements directed to the substantial reduction of tariffs and other barriers to trade and to the elimination of discriminatory treatment in international trade relations."
16 The Appellate Body made the following conclusion:"in our view,as export duties are outside the scope of articleⅧ,the question of conformity or consistency with this article does not arise.Consequently,the fact that articleⅩⅩmay be invoked to justify those fees and charges regulated under articleⅧdoes not mean that it can also be invoked to justify export duties,which are not regulated under articleⅧ."See Appellate Body Reports,China-Raw Materials,para 290.
17 Id,para 307.
18 Id,para 305.
19 Gu Bin,Mineral Export Restraints and Sustainable Development:Are Rare Earths Testing the WTO's Loopholes?,14(4)Journal of International Economic Law 765,792(2011).
20 Supra note 16,para 303.
21 Supra note 16,para 291.
22 Gu Bin,Applicability of GATT Article XX in China-Raw Materials,15(4)Journal of International Economic Law,1007,1024(2012).
23 Appellate Body Report,EC Measures Concerning Meat and Meat Products(Hormones)(EC-Hormones),WT/DS26/AB/R,WT/DS48/AB/R,n 154(quoting from R.Jennings and A.Watts(eds),Oppenheim's International Law,9th ed.,Vol.I(England:Longman,1992),at 1278)(13 February 1998).
24 RICHARD GARDINER,TREATY INTERPRETATION,at 147(New York:Oxford University Press,2008).
25 Gu Bin,supra note 22,1029.
26 Supra note 16,paras 7.100-14.
27 Id,paras 7.63-64.
28 Id,paras 7.73,7.75.
29 Id,para 7.63.
30 Id,para 7.63.
31 Id,para 7.65.
32 Id,para 7.65.
33 Id,para 7.67-71.
34 Id,para 7.72.
35 Panel Reports,China-Rare Earths,paras 7.67-72.
36 See Appellate Body Report,Canada-Certain Measures Affecting the Automotive Industry(Canada-Autos)(19 June 2000),WT/DS139/AB/R,WT/DS142/AB/R,para 138.
37 Supranote 16,para7.73.
38 Id,para 7.59.
39 Final Act Embodying the Result of the Uruguay Round of Multilateral Trade Negotiation,para 1.
40 Supranote 16,para 7.75.
41 Id,paras 7.80,7.91.
42 The Protocol's Paragraph 1.2 and the WTO Agreement Article II.2.
43 Supranote 16,para 7.80.
44 Id.,paras 7.118-38.
45 Id,para 7.136.
46 Id,para 7.138.
47 Id,para 7.137.(fn omitted)
48 Id,para 7.138.
49 Id.,paras 5.1,5.2,5.15.
50 Id.,para 5.2.
51 Id.,para 7.78.
52 Id.,5.39.
53 JOHN H.JACKSON,SOVEREIGNTY,THE WTO,AND CHANGING FUNDAMENTALS OF INTERNATIONAL LAW,at 173(Cambridge University Press,2006).
54 Id.,173-75.
55 Id.,175-77.
56 Appellate Body Report,US-Stainless Steel(Mexico),para.160.
57 Id.,para.362.
58 JOHN H.JACKSON,supra note 53,202.
59 Audiovisual Products,Raw Materials,and Rare Earths.
60 The Appellate Body reasoned that the phrase"right to regulate trade in a manner consistent with the WTO Agreement"in the introductory clause of Paragraph 5.1 encompasses not only rights that the covered agreements affirmatively recognize as accruing to WTO Members,but also certain rights to take regulatory action pursuant to relevant exceptions,such as Article XX of the GATT1994.Appellate Body Report,China-Measures Affecting Trading Rights and Distribution Services for Certain Publications and Audiovisual Entertainment Products(China-Publications and Audiovisual Products),WT/DS363/AB/R(19 January 2010),para223.The first three sentences of Paragraph 5.1 read:"Without prejudice to China's right to regulate trade in a manner consistent with the WTO Agreement,China shall progressively liberalize the availability and scope of the right to trade,so that,within three years after accession,all enterprises in China shall have the right to trade in all goods throughout the customs territory of China,except for those goods listed in annex 2A which continue to be subject to state trading in accordance with this Protocol.Such right to trade shall be the right to import and export goods.All such goods shall be accorded national treatment under article III of the GATT 1994,especially paragraph 4 thereof,in respect of their internal sale,offering for sale,purchase,transportation,distribution or use,including their direct access to end-users."
61 Appellate Body Report,China-Publications and Audiovisual Products,paras 226,229,230.
62 Id,paras 229,231-233.
63 Supra note 16,para 5.61.
64 The other element for concluding applicability of GATT Article XX to Paragraph 5.1 is a clearly discernable,objective link between provisions of China's measures that are inconsistent with China's Protocol commitments,and China's regulation of trade in the relevant products.
65 This requirement is not necessarily contradictory to the Appellate Body's comment that the term"WTO Agreement"may,"depending on the specific context,include a reference to the annexed Multilateral Trade Agreements,or it may refer to the Marrakesh Agreement alone."Appellate Body Reports,China-Rare Earths,para 5.46.Also see Bin GU,"Applicability of GATT Article XX in China-Raw Materials"',15(4)Journal of International Economic Law,1007(2012),at 1015,fn 39.
66 This is because the term"WTO Agreement"is the abbreviation of the Marrakesh Agreement,of which the Multilateral Trade Agreements are integral parts.Appellate Body Reports,China-Rare Earths,para 5.45,and Marrakesh Agreement Article II.2.
67 Supra note 16,para 2.240.
68 The WTO Agreement Article IX.2 reads,"The Ministerial Conference and the General Council shall have the exclusive authority to adopt interpretation of this Agreement and of the Multilateral Trade Agreements."
69 Id.
70 Id,article X.8.
71 Id.
72 Id.
73"Working Procedures for Appellate Review"Article 4(1)reads,"To ensure consistency and coherence in decision-making,and to draw on the individual and collective expertise of the Members,the Members shall convene on a regular basis to discuss matters of policy,practice and procedure."

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