WTO争端解决中的“初步证据案件”与证明标准

Prima Facie Case and Standard of Proof in WTO Dispute Settlement

'初步证据案件'属于证明标准范畴。WTO专家组和上诉机构报告经常使用'初步证据案件'这一表述,为避免理解和适用的混乱,其含义与功能有必要予以澄清。在WTO争端解决中'初步证据案件'不应被看做是普通法意义上的提供证据责任的证明标准;依据许多专家组报告和上诉机构报告'初步证据案件'的确立导致'证明责任转移',这里的证明责任接近于大陆法的'主观证明责任'。鉴于容易产生歧义以及并无实际作用,专家组和上诉机构应尽量避免在其报告中使用'初步证据案件'这一表述,并将'初步证据案件'的确立与证明责任转移相联系;'初步证据案件'作为WTO争端解决中的最终证明标准在通常情况下并不适宜。'优势证据标准'适合作为WTO争端解决一般情况下的证明标准,同时在某些具体情况下应当允许有一定的灵活性。

Prima facie case is a concept of standard of proof,which is frequently used in WTO panel reports and AB reports.In order to avoid confusion in understanding and application,it is necessary to clarify its implication and functions.In WTO dispute settlement practice,prima facie case should not be regarded as the standard of proof in the sense of Common Law System,i.e.the burden of producing evidence.According to plenty of panel reports and AB reports,establishing a prima facie case leads to the"shift of burden of proof".The"burden of proof"used here is more close to"subjective burden of proof"in Continental Law System.In light of the ambiguity and ineffectiveness,WTO dispute settlement body should try to avoid using prima facie case and connecting the establishment of prima facie case with the shift of burden of proof.As the final standard of proof,prima facie case is on the low side in WTO dispute settlement.Generally,preponderance of evidence is the right standard of poof in WTO dispute settlement practice,while flexibility should be allowed in some situations.