WTO爭端解決中的「初步證據案件」與證明標準

Prima Facie Case and Standard of Proof in WTO Dispute Settlement

「初步證據案件」屬於證明標準範疇。WTO嫥家組和上訴機構報告經常使用「初步證據案件」這一表述，為避免理解和適用的混亂，其含義與功能有必要於以澄清。在WTO爭端解決中「初步證據案件」不應被看做是普通法意義上的提供證據責任的證明標準；依據許多專家組報告和上訴機構報告「初步證據案件」的確立導致「證明責任轉移」，這里的證明責任接近於大陸法的「主觀證明責任」。鑑於容易產生歧義以及並無實際作用，專家組和上訴機構應盡量避免在其報告中使用「初步證據案件」這一表述，並將「初步證據案件」的確立與證明責任轉移相聯系；「初步證據案件」作為WTO爭端解決中的最終證明標準在通常情況下並不適宜。「優勢證據標準」適合作為WTO爭端解決一般情況下的證明標準，同時在某些具體情況下應當允許有一定的靈活性。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 evdence. 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.