法学理论论文国际贸易中的PPM法律问题研究.doc
国际贸易中的PPM法律问题研究 国际贸易中的PPM法律问题研究 【摘要】 PPM(Process and Production Methods)是指产品的生产过程和生产方法,PPM标准作为一种技术标准,其核心是以产品的生产过程和生产方法来区分产品。PPM标准缘于自由贸易与环境保护之间的矛盾。由于PPM标准在WTO体制中的法律地位和适用规定尚未明确,在国际贸易中引起的争端越来越多,加上近年来世界范围内对环境保护的日益关注,它已经成为贸易与环境之争中最棘手的问题之一。本文旨在通过界定与PPM标准相关的基本概念、明晰其基本分类,并结合案例阐述PPM标准与GATT/WTO规则的关系以及结合欧美现行的立法和实践来剖析PPM标准的法律适用,最后辩证分析了PPM标准对中国的挑战与机遇,并对相关的应对策略提出适当建议,以期对国际贸易中PPM法律问题进行相对系统的研究。除了前言和结论,本文由四章组成。第一章作为全文的背景性介绍,将说明PPM的概念与产生、基于PPM采取的贸易措施及其动机。接下来详细阐述了经济合作与发展组织(OECD)对PPM尤其是NPR-PPM进行的分类。第二章将主要采用案例分析的方法,对GATT时期两个金枪鱼案和WTO时期“海龟/海虾案”的专家组和上诉机构报告的相关部分进行详细分析,以此获得PPM标准在GATT/WTO框架下的历史发展之详尽脉络。在第三章中,通过介绍PPM标准在欧美各国的立法与实践,对PPM标准进行了法律适用分析,其中包括对NPR-PPM标准的合法性依据的探寻、PPM标准的域外适用问题的研究以及对PPM标准法律适用协调途径的探求。最后一章主要针对中国对PPM标准的立法与实践,剖析了PPM标准给中国带来的经济与环境的影响,并在此基础上区别中国政府与企业给出相应的策略建议。 【Abstract】 PPM is the abbreviation of Process and Production Methods. As a kind of technical standard, PPM standard features by differentiating a product on its process and production methods. PPM standard originated from the conflicts between free trade and environmental protection. Due to lack of international regulations and undefined legal status, it still remains ambiguous and controversial in the international trade arena particularly under the WTO framework. With the increasing concern over environmental protection around the globe coherently with more and more environment-related trade disputes, PPM has become one of the most knotty issues in the debate over the “Trade vs. Environment” . This thesis intends to carry on a systematical research upon PPM on the basis of classifying its definition and classification, illustrating the relation between PPM and GATT/WTO by case-analysis, dissecting the application of PPM standard in line with its practice in EU and the United States. At last, this thesis analyzes China s challenges and opportunities facing the PPM standard and the relevant strategies to tackle the situation.Except the preface and the conclusion, the thesis consists of four chapters.Being the background of this thesis, chapter one firstly addresses the concept of PPM and its emergence as well as the main types of trade measures that based on PPM and their motivation. Then it draws heavily upon OECD PPM papers classification, especially that of the NPR-PPM.Chapter two carefully examines the pertinent parts of the reports of the panel and appellate body in the cases of Tuna I & II cases during GATT period and Turtle/Shrimp case in WTO by case-analysis. Therefore, it gives a full view of PPM standard under the WTO framework.Chapter three analyses the application of PPM standard by introducing its practice in EU and the United States. The problems consists of the legitimacy of non-product related PPM, the extra jurisdiction application of PPM and the way to harmonize the application of PPM standard.The last chapter mainly elaborates on China s practice based on PPM standard. It discloses the influence on China s economy and environment brought by PPM. Finally, some strategic advices about tackling the PPM standard for Chinese enterprises and Chinese government are separately given by the author. 【关键词】 生产过程与生产方法; 贸易壁垒; 相似产品 【Key words】 Process and Production Methods; trade barrier; like product 国际贸易中的PPM法律问题研究中文摘要 5-6 ABSTRACT 6-7 引言 8-10 第一章 PPM标准问题概述 10-17 第一节 PPM标准的概念和分类 10-14 一、PPM标准的概念和产生 10-11 二、OECD对PPM标准的分类 11-14 第二节 基于PPM标准的贸易措施及其动机分析 14-17 一、基于PPM标准的贸易措施 14-15 二、对基于PPM标准的贸易措施的动机分析 15-17 第二章 PPM标准在GATT/WTO框架内的历史发展 17-29 第一节 PPM标准与GATT 17-23 一、概述 17-18 二、GATT时期的两个”金枪鱼案” 18-23 第二节 PPM标准与WTO 23-29 一、概述 23-24 二、WTO时期的”海虾/海龟案” 24-29 第三章 PPM标准在国际贸易背景下的法律适用 29-42 第一节 PPM标准在欧美各国的立法与实践 29-34 一、PPM标准在欧洲的立法与实践 29-32 二、PPM标准在美国的立法与实践 32-34 第二节 PPM标准的法律适用分析 34-42 一、NPR-PPM标准的合法性依据分析 34-36 二、PPM标准的域外适用问题 36-39 三、PPM标准法律适用协调途径 39-42 第四章 PPM标准对中国的机遇与挑战 42-54 第一节 中国对PPM标准的立法与实践 42-43 一、中国的环境立法现状概述 42-43 二、中国对待PPM标准的态度 43 第二节 PPM标准对中国的影响 43-49 一、PPM标准对中国的负面影响 44-46 二、PPM标准对中国的正面影响 46-49 第三节 中国应对PPM标准的策略建议 49-54 一、中国企业应对PPM标准的策略建议 49-51 二、中国政府应对PPM标准的策略建议 51-54 结语 54-55 注释 55-70 参考文献 70-75 后记 75-76
