WTO概论复习总结学习资料

1、精选文档Let's Talk about Trade Policy and Trade IssuesMD, who else?I Preliminary Knowledge1 Tariff(1) Specific Tariff (从量关税)Weight, quantity, volume(2) Ad Valorem Tariff (从价关税)A percentage of the price(3) Compound Tariff (复合关税)A mixture of specific tariff and ad valorem tariff2 Non-tariff(1) Quota(2

2、) License (进口许可证)General license and specific license; usually combined with quota, bidding(3) Custom Valuation(4) Technical Barners(5) Environment issues(6) GMO ( Genetically Modified Organism ,转基因生物)3 VER &VIE(1) VER(Voluntary Export Restriction)(2) VIE (Voluntary Import Expansion)Aiming at tr

3、ade balance, either domestic or foreign.II GATT & Agreements1 Historical Perspective of WTO(1) Havana Charter ( GATT 1947)a) Background: protectionism after WW U, Great Depression, need to establish ITO (International Trade Organization);b) The charter is mainly about trade and commercial polici

4、es, employment, economic activities, economic reconstruction, investment, restrictive business practice;c) Failed to meet some countries ' butinte rest,much content of Commercial policy survived in GATT 1947, provisional rather than legal;(2) Marrakesh Agreements (establishing WTO)a) The importa

5、nce of Uruguay Round on Marrakesh Agreements and the establishment of WTO;b) Including Agreements about trade in commodity, GATS, TRIPs, DSU(Understanding on Rules and Procedures Governing the Settlement of Disputes), TP RM, PTA(Plurila teral Trade Agreements);c) Entered into force on 1 Jan. 1995, 1

6、28 GATT signatories;d) 160 members since 26 Jun. 20142 GATT 1947(1) Basic Principles of WTOa) Nondis crim ination(MFN, NT), Graduation Clauseb) Trade Liberalization(tariff, non-tariff market access)c) Transparenced) Fair Competition(2) MFN clauseAilicle Ia) Mo s t-F a vo re d - Na tio n Tre atme nt(

7、MFN): any advantage, favor, privilege or immunity granted by any contracting party to any product shall be accorded immediately and unconditionally to the like product of all other contracting parties;b) Accord the basic principles, nondiscrimination, promote tradeliberalization as it' s Multila

8、tera 1;c) Exceptions: GSP, FT A, Anti-dumping, safety issues, etc.d) China ' s benefits: double -edged sword;(3) National TreatmentArticle HIa) National Treatment on Internal Taxation and Regulation: the contracting parties should treat imported products and domestic products equally in terms of

9、 internal taxes and/or other internal charges, laws, regulations, and requirements;b) Exceptions: government procurement, domestic subsidies, etc.c) Preference Policy and NT: depending on different industries;(4) Anti-dumping一Ailicle VIa) Dumping: products of one country are exported to another coun

10、try ata price less than the normal value, and is causes or threatens mate rial injury to the importer * s industry;b) “ normal value ” is defined by the comparable price, in the ordinary course of trade, for the like product for consumption in the exporting country; or if domestic price not availabl

11、e: the highest comparable price for the like product exported to a third country, or the cost of the product plus a reasonable additional for selling and profit;c) Dete rm inants in dumping: Dumping Margin and Ma te ria 1 In ju ry(5) Rule of Origin(RoO)Article IXa) Marks of Origin: marks, characters

12、, patte rns, etc that indicate the original country/region of an imported product or service;b) Ailicle 7: contracting parties cooperate to minimize the difficulties, and to pre vent mis represent of the true origin;c) Determining origin and whether" substantial transformation ” : value-added,

13、process test, change in tariff classification(CTC);d) Controversial issue on trade balance: different standards todetermine origin and processing trade;e) MFN or not determined by the origin of the product;(6) Ad min is tration of Trade Re g u la tio n s Ailic le Xa) Publication: laws, regulations,

14、judicial decisions and a dm in is trative rulings of general application about international trade (e.g. custom classification and valuation, rates of duty/taxes, requirements, restrictions, etc.) shall be published promptly to enable traders become acquainted with them;b) Admin is tration: contract

15、ing parties shall maintain, or institute judicial, arbitra 1, or administrative procedures to deal with custom matters, and admin is trate laws, regulations in a uniform and reasonable way;(7) QRs(Quantitative Restrictions)Article XIa) Elimination of QRs: except duties, taxes or other charges, contr

16、acting parties shall eliminate restrictions made effect through quotas, licenses or other measuresb) Exceptions: food, agriculture or fisheries product, (shortage or surplus)(8) General Exceptions一Article XXa) Protect public morals;b) Protect human, animal or plant life or health;c) Trade re la ting

17、 to gold or s ilve r;d) Secure compliance with laws or regulations consistent with the pro vis ions (e.g. intellectual property);e) Prison labor products;f) National treasures;g) Exhaustible resources;h) Intergovernmental commodity agreement that are approved;i) Ensure essential domestic quantities;

18、j) General or local short supply;(9) State Trading EnterpriseArticle XVIIa) Contracting parties can establish or maintain state enterprises, but they shall act in a manner consistent with general principles of non discriminatory treatment for governmental measures affecting trades by private traders

19、;b) Such enterprises shall make purchases or sales solely in accordance with commercial considerations, including price, quality, availability, transportation, etc.c) Contracting parties shall not pre vent enterprises from actingin accordance with the principles;(10) Subsidies Ailicle XVIa) Subsidie

20、s in General: when granting any subsidies, contracting parties shall notify other parties in writing of the extent, nature, estimated effect and necessity;b) In case of serious prejudice, the contracting party granting the subsidy shall discuss with other parties about the possibility of limiting th

21、e subsidization;c) Additional Pro vis ions: parties shall seek to avoid the use of subsidies on the export of primary products, or the subsidy shall not increase the party ' s equitable share of the world export in that product;(1 l)hnplemental MechanismAiticle XXIVa) Te rritorial Applicatio Fro

22、ntier Traffic -Customs Unions-Free Trade Areas, an exception of MFN(12) GSP (Generalized System of Preference)a) Between developed countries and developing countries;b) Nondiscrimination, unilateral;(13) History: China，s reenter in GATTa) An original contracting party;b) Suspended its eligibility as

23、 a contracting party in 1950;c) Taiwan: observer to GATT in 1965;d) China ' s efforts to reenter in 1986;e) Complexity of China' s relevance to ;GATT3 GATT 1994(1) The framework of URa) Agreements about trade in commodity, GATS, TRIPs,b) DSU(Understanding on Rules and Procedures Governing th

24、e Settlement of Disputes),c) TPRMsd) PTA (Plurilateral Trade Agreements);(2) The initiatives of WTOa) Principles?(3) Legal instruments under GATT 1947a) Tariff concession;b) Protocols of accession;c) Waiver granted under Article 25(4) Understanding on Paragraph 1(2) Ailicle Ha) Aims at promoting the

25、 transparency of the rights and obligations;b) Agreement to record in national schedules“ other duties orcharges (which” shall be exempted) levied in addition to the recorded tariff, and to bind them at the leveIs prevailing at the date established in the UR Protocol;(5) Understanding on Article XVI

26、Ia) To promote the transparency of state trading- enterprises ' activities, contracting parties shall report such enterprises to the committee, regardless of whether export has happened or not;b) Increase surveillance ofcnterprises' activities through strongernotification and review procedur

27、es;(6) Understanding on Ai'ticle XVHIa) Article 18: for the Balance-of-Payment(BOP) and development of economy, especially for the less deve loped countries, tariff protectionand QRs can be imposed;b) The schedule for the restriction measures on import shall be notified as soon as possible;c) Co

28、ntracting parties imposing restrictions for BOP purposes shall do so in the least tradedisnjptive manner, and shall favor price -based measures, like import surcharges and import deposits, rather than quantitative restrictionsd) Agreement is also on procedure for consultations by GATT BOP Committee,

29、 as well as for notification.(7) Understanding on Aiticle XXTVa) C la riiy and reinforce the standard and procedures for the re vie w of new or enlarged custom unions or FTA and for the evaluation of their effects on third parties;b) Clarify the procedure to be followed for achieving any necessary c

30、ompensatory adjustment in the event of contracting p a rtie s forming a customs union seeking to increase a bound tariff;c) The obligations of contracting parties in regard to measures taken by regional or local governments or authorities within territories are also clarified;4 Other Agreements(1) A

31、greement on Technical Barriers to Trade ( TBT ,技术性贸易壁垒协议)a) NaiTow TBT: processing and production methods re la te d to the characteris tics of the product itself;b) Dilemma on Broad TBT: needs for industrialization vs. potentiality toward protection;c) This agreement will extend and clarify the Agr

32、eement on Technical Barriers to Trade reached in the Tokyo Round. It seeks to ensure that technical negotiations and standards, as well as testing and certification procedures, do not create unnecessary obstacles to trade However, it recognizes that countries have the right to estabbsh protection, a

33、t leveIs they consider appropriate, for example for human, animal or plant life or health or the environment, and should not be pre vented from taking measures necessary toensure those le ve Is of protection are met. The agreement therefore encourages countries to use international standards where t

34、hese are appropriate, but it does not require them to change theii* levels of protection as a result of standardization.Innovative features of the re vis e d agreement are that it covers processing and production methods re la te d to the characteris tics of the product its e If. The cove rage of co

35、nformity assessment procedures is enlarged and the disciplines made more precise Notification pro vis ions applying to local government and nongovernmental bodies are elaborated in more detail than in the Tokyo Round agreement. A Code of Good Practice for the Preparation, Adoption and Application of

36、 Standards by standardizing bodies, which isopen to acceptance by private sector bodies as well as the public sector, is included as an annex to the agreement.(2) Agreement on the Application of Sanitary and Phytosunitary Measures(SPS,实施动植物卫生检疫措施协议)a) Specific in the protection of human health and e

37、cological balance,(3) Agreement on Trade-Related Investment Measures (TRIMs ,与贸易有 关的投资措施协议)a) This Agreement, negotiated during the Uruguay Round, applies only to measures that affect trade in goods Recognizing that certain investment measures can have traderestrietive and distorting effects, it sta

38、tes that no Member shall apply a measure that is prohibited by the pro vis ions of GATT Article ID (national treatment) or Ailicle XI (quantitative restrictions). Examples of inconsistent measures, as spelled out in the Annex ' s Illustrative List, include local content or trade balancing requir

39、ements The Agreement contains transitional arrangements allowing Members to maintain notified TRIMs for a limited time following the entry into force of the WTO o The Agreement also establishes a Committee on TRIMs to monitor the operation and implementation of these commitments.(4) Agreement on Agr

40、iculture (农业协议)a) Long-term objectives: substantial progressive reduction in agricultural support;b) A decisive move towards the objective of increased market orientation in agricultural trade;c) Total AMS (Aggregate Measure of Support): covers all support provided on either a product-specific or no

41、n-product-specific basis;d) Market access一tariffication: nontariff border measures are replacedby ta riffs that provide substantially same level of protection; Tariff-quota: under 10% &outside 80%;e) Domestic supportamber, blue, green boxf) Amber box: All domestic support measures considered to

42、distort production and trade (with some exceptions) foil into the amber box, which is defined in Aiticle 6 of the Agriculture Agreement as all domestic supports except those in the blue and green boxes These include measures to support prices, or subsidies diiectly related to production quantities T

43、hese supports are subject to limits: “ de minimis minimal supports are allowed (5% of agricultural productionfor developed countries, 10% for developing countries); the 30 WTO members that had larger subsidies than the de minimis leveIs at the beginning of the post-Uruguay Round reform period are co

44、mmitted to reduce these subsidiesg) Blue Box: This is the “ amber box with conditions conditions ”designed to reduce distortion. Any support that would normally be in the amber box, is placed in the blue box if the support also requkes farmers to limit production (details set out in Paragraph 5 of A

45、rticle 6 of the Agriculture Agreement). At present there are no limits on spending on blue box subsidies In the current negotiations, some countries want to keep the blue box as it is because they see it as a crucial means of moving away firom distorting amber box subsidies without causing too much

46、hardship Others wanted to set limits or reduction commitments, some advocating moving these supports into the amber box.h) Green Box: In order to qualify, green box subsidies must not dis tort trade, or at most cause minimal distortion (paragraph 1). They have to begovernment-funded (not by charging

47、 consumers higher prices) and must not involve price support. They tend to be programmes that are not targeted at particular products, and include dkect income supports for formers that are not re la te d to (are“ decoupled " :from) current productionleveIs or prices They also include environme

48、ntal protection and regional development programmes“ Green box " subsidies are therefore allowedwithout limits, provided they comply with the policy-specific criteria set out in Annex 2.In the cun*ent negotiations, some countries arguethat some of the subsidies lis ted in Annex 2 might not meet

49、 the criteria of the annex ' s fii'st paragraphbecause一of the large amounts paid, or because of the nature of these subsidies, the trade dis tort ion they cause might be more than minimal. Among the subsidies under discussion here are: direct payments to producers (paragraph 5), including de

50、coupled income support (paragraph 6), and government financial support for income insurance and income safetynet programmes (paragraph 7), and other paragraphs Some other countries take the opposite view一 that the current criteria are adequate, and might even need to be made more flexible to take be

51、tter account ofnontrade concerns such as envii'onmental protection and animal welfare.i) Export competition: Members are required to reduce the value of mainly direct export subsidies to a level 36 per cent below the 198690 base period level over the sixyear implementation period, and the quanti

52、ty of subsidized exports by 21 per cent over the same period(5) Agreement on Textiles and Clothing (纺织品与服装协议)a) MFA(Multifibre Arrangement): Up to the end of the Uruguay Round, te xtile and clothing quotas were negotiated bilaterally and governed by the rules of the Multifibre Arrangement (MFA). Thi

53、s provided for the application of selective quantitative restrictions when surges in imports of particular products caused, or threatened to cause, serious damage to the industry of the importing country. The Multifibre Arrangement was a major departure from the basic GATT rules and particularly the

54、 principle of non dis crim in at io n. On 1 January 1995 it was replaced by the WTO Agreement on Textiles and Clothing which sets out a transitional processfor the ultimate removal of these quotas b) ATC (Agree me nt on Te xtiles and Clothing) is a transitional instrument built on the following key

55、elements:(a) the product coverage, basically encompassing yarns, fabrics, madeup textile products and clothing;(b) a programme for the progressive integration of these te xtile and clothing products into GATT 1994 rules;(c) a liberalization process to progressively enlarge existing quotas (until the

56、y are removed) by increasing annual growth rates at each stage;(d) a special safeguard mechanism to deal with new cases of serious damage or threat thereof to domestic producers during the transition period;(e) establishment of a Textiles Monitoring Body ( “ TMB” )to supervise the implementation of

57、the Agreement and ensure that the rules are faithfully followed; and(f) other provisions, including rules on cii'cumvention of the quotas, theii* admin is tration, treatment of non-MFA restrictions, and commitments undertaken elsewhere under the WTO's agreements and procedures affecting this

58、 sectorc) Secure the eventual integration of the te xtile s and clothing sector(MFA)into the GATT on the basis of strengthened GATT rules and disciplines(6) General Agreement on Trade in Service (GATS ,服务贸易总协定)a) For the purposes of this Agreement, trade in services is defined as the supply of a service:(a) from the tenitory of one Member into the tenitory of any other Member;(b) in the territory of one Member to the service consumer of any other Member;(c) by a service supplier of one Member, through commercial presence in the territory of any other Member;(d) by a service supp