英文版国际经济法课程教材WTO章节

ChapterSixGATTandWTOLaw战后经济三大支柱关贸总协定国际货币基金组织世界银行TheFoundingofGATTAtradebarrierisanyimpediment（阻碍）totradeingoodsorservices.Animporttradebarrierisanyimpediment,directorindirect,totheentranceorsaleofimportedgoodsorservicesexistinginthecountryofimportation.TradeLiberalizationthroughCooperationMostnationshavecometorealizethattradebarriersaredamagestotheinternationaleconomyandultimatelytotheirown.Moreover,theyhaverealizedthatiftheyrestricttheproductsoftheirtradingpartnersinordertoprotectonesegmentorsectoroftheireconomy,thenanothersectorwillsuffer.Therefore,beginningin1934,nationsembarked（着手）onalongroadtoimprovetheworldtradeenvironment.Atfirst,negotiationsbasedonreciprocity（互惠）resultedinmutualtariffreductions.AfterWorldWarIInationalleadersandpolicymakersstressedamoreinternationalviewoftheworld’seconomy.Atthesametime,theUnitedNationsandothernewinternationalorganizationswereborn.LedbytheUnitedStates,othernation’sembracedfreetradeandopenmarketpolicies.Theireffortstoestablishnew"rulesofthegame"forconductingtheirtraderelationsresultedinthecreationofaninternationallegalsystemtohandletradematters,completewithinternationallaw,disputesettlementmechanisms,andagreed-uponcodesforregulatingtrade.ThissystemisbasedontheGeneralAgreementonTariffsandTrade(GATT).GATTprovidesanorganizedglobalstructuretoimprovetheeconomic,political,andlegalclimatefortrade,investment,anddevelopment.Itsprimarygoalistoachievedistortion（扭曲）-freetradethroughtheremovalofartificialbarriersandrestrictionsimposedbyself-servingnationalgovernments.TheGATTsystemincludesaninternationallegalsystemwithrules,amechanismforinterpretingthoserules,andaprocedureforresolvingdisputesunderthem.GATTrulesarecreatedbyinternationalagreementandbecomeguidingprinciplesofinternationaltradelaw.Intheory,theGATTlegalsystemexistssidebysidewiththedomesticlegalsystemsofsovereignnations;GATTanticipatesthatnationallegislaturesandgovernmentagencieswillcomplywithGATT’sprinciplesinsettingtariffsandregulatingimports.ScopeandCoverageofGATT1947andGATT1994TherulesofGATT1947appliedonlytotradeingoods.Becausemostofthemajortradingnationsoftheworldhavebeenmembers,GATThascontrolledmotethan80percentoftheworld'stradeingoods.GATT1947wassuccessfulinreducingtariffsandnon-tariffbarrierstotradeworldwide.However,nationsencounteredmanytradeissuesoverwhichGATThadnoresponsibility.Tradeinservices,suchasbankingorinsurance,wasspecificallyexcludedfromGATT1947.Italsofailedtoregulateagriculturaltrade,anareaofconstantdisputebetweennations.Tradeintextilesandapparelwasalsonotcoveredbecauseofthepoliticallysensitivenatureoftheseindustries.BecauseGATT1947onlydealtwithtradeingoods,itdidlittleornothingtoprotectintellectualpropertyfights,suchascopyrightsandtrademarks.Finally,thedisputesettlementprocesssetupunderGATT1947,usedtoresolvetradeconflictsbetweencountries,wasfilledwithloopholes（漏洞）andwasoftenineffective.GATT1994ismuchbroaderinscopeandcoveragethantheoriginalagreement,andaddressesmanyofthelatter’slimitations.InadditiontotheoriginalprovisionsofGATT1947,GATT1994includesthefollowingmultilateraltradeagreementsonspecificissuessuchasagreementonagriculture,agreementontextilesandclothing,agreementontechnicalbarrierstotrade,agreementontrade-relatedinvestmentmeasures,agreementonsubsidiesandcountervailingmeasures,etc.ROUNDRound:（谈判的）一轮；回合（关税减让的谈判）UndertherulesofGATT,nationswillmeetperiodicallytoreducetariffsandnontariffbarrierstotrade.Since1947theGATTorganizationhasservedtobringmembernationstogethertonegotiatetariffreductionsandtheopeningofmarkets.Undertheauspices（主办）theGATT,thecontractingpartieshavecompletedeightmajorrounds,ormultilateralnegotiatingsessions:(1)Geneva,Switzerland,in1947,(2)Annecy,France,in1948,(3)Torquay,England,in1956,(4)Geneva,Switzerland,in1956,(5)DillonRound,1960--1961,(6)KennedyRound,1964--1967,(7)TokyoRound,1973--1979,(8)UruguayRound,1986--1994.关贸总协定历次多边贸易谈判情况简表轮次谈判地点和时间参加方谈判主要成果第一轮瑞士日内瓦1947年4月-10月23达成45000项商品的关税减让，使占应税进口值54%的商品平均降低关税35%；关贸总协定于1948年1月1日生效。第二轮法国安纳西1949年4月-10月33达成近5000项商品的关税减让，使占应税进口值5.6%的商品平均降低关税35%。第三轮英国托奎1950.9-1951.439达成8700多项商品的关税减让，使占应税进口值11.7%的商品平均降低关税6%。第四轮瑞士日内瓦1956年1月-5月28达成近3000项商品的关税减让，使占应税进口值16%的商品平均降低关税15%。第五轮瑞士日内瓦1960.9-1962.745达成4400项商品的关税减让，使占应税进口值20%的商品平均降低关税20%。第六轮瑞士日内瓦1964.5-1967.654以关税统一减让方式就影响世界贸易额约400亿美元的商品达成关税减让，平均降低关税35%；首次涉及非关税壁垒谈判，并通过了第一个反倾销协议。第七轮瑞士日内瓦1973.9-1979.4102以一揽子关税减让方式就影响世界贸易额约3000亿美元的商品达成关税减让与约束，关税水平下降35%；达成多项非关税壁垒协议和守则；通过了给予发展中国家优惠待遇的“授权条款”。第八轮瑞士日内瓦1986.9-1994.4123达成了28个内容广泛的协议；货物贸易减税幅度近40%，减税商品涉及贸易额高达1.2万亿美元，近20个产品部门实行了零关税；农产品非关税措施实行关税化，纺织品的配额限制在10年内取消；GATT扩大到服务贸易、知识产权和与贸易有关的投资措施协议；建立WTO取代GATT。Intheearlyrounds,countriesnegotiatedonaproduct-by-productbasisbysimplypresentinglistsoftariffreductionsthattheydesiredfromothercountries,whosubmittedrequestsforconcessionsthattheywantedinreturn.TheKennedyRoundresultedinevenlargeracross-the-boardtariffcuts,particularlyinmanufacturedgoods,averagingnearly40percentreductionsandcovering$40billionintrade.Morethan60nationsparticipatedintheKennedyRound.Bythe1970s,GATT’seffortshadprovensosuccessfulthattariffsceasedtobetheworld’sgreatestbarriertotradeingoods.Indeed,withoutGATT,decadesofbilateralnegotiationsmayhavebeennecessarytoachievethereductionsthatmultilateralnegotiationsreachedwithinafewyears.IntheTokyoRoundmorethan100participatingnationsagreedtotariffcutsaveraging34percentandcovering$300billionintrade,whicheffectivelyloweredtheaverageleveloftariffstoabout5percent.DuringtheUruguayRound,theUnitedStatesadoptedazero-for-zerotariffreductionpolicy.Eachnation’stariffschedulesdepositedwiththeWTOreflectthenewrates.ManymembernationshaveagreedtonegotiateadditionalmarketaccessagreementsinfutureWTOnegotiationsonazero-for-zerobasis.TheWorldTradeOrganization(WTO)OnJanuary1,1995,theWorldTradeOrganization(WTO)replacedtheoriginalGATTorganization.Itprovidesanumbrellaorganizationthatsetstherulesbywhichnationsregulatetradeinmanufacturedgoods,services(includingbanking,insurance,tourismandtelecommunications),intellectualproperty,textilesandclothing,andagriculturalproducts.TheroleoftheWTOistofacilitateinternationalcooperationtoopenmarkets,provideaforumforfuturetradenegotiationsbetweenmembers,andprovideaforumforthesettlementoftradedisputes.TheWTOwillhaveastatureequaltothatoftheIMForWorldBank,andwillcooperatewiththoseagenciesoneconomicmatters.TheWTO’smembershipincludesthosecountriesthatpreviouslybelongedtoGATT,andwilleventuallybeopentoothercountries,ifacceptedbyatwo-thirdsmajorityvoteofthemembers.Now,WTOhas154members.LegalStructureoftheWTO诸边贸易协定诸边贸易协定（plurilateraltradeagreement），亦称为“复合贸易协定”，不属于一揽子接受的范畴，其生效与接受从其自身的规定。诸边贸易协定涉及民用航空器、政府采购、奶制品和牛肉等四个领域。这些协定中除个别条款进行了调整或修改外，基本上保持上了东京回合四个守则的原样。尽管诸边贸易协定在接受方式上没有与建立世界贸易组织的协定和多边贸易协定挂钩，但它们同样经过乌拉圭回合载入《最后文件》，从而亦构成世界贸易组织法律体系的组成部分。这就意味着凡是总协定的缔约方，即使不接受诸边贸易协定，也可以成为世界贸易组织的成员。同样地，不是总协定的缔约方，若申请加入世界贸易组织，也无须以接受诸边贸易协定为条件。

世贸组织的决策程序协商一致优先，投票表决第二决策事项不同，投票要求不同争端解决机构通过报告的特殊规定所有重大的决定都是由全体成员共同作出的在部长会议和总理事会会议上，世界贸易组织的每一成员都有一票投票权。除非另有规定，部长会议和总理事会的决定以简单多数票表决通过。对任何协议条款的解释，都需要成员的3/4多数通过一般条款的修改，需成员的2/3多数通过。涉及权利义务的条款的修改，对接受修改的成员生效；不涉及权利义务条款的修改，对所有的成员生效修改最惠国待遇、关税减让、WTO决策、修正需全体成员接受豁免成员义务3/4以上接受新成员3/4以上争端解决机构在作出决定时，按协商一致（协商一致，是指除非有成员正式提出异议，否则，应视为所有成员一致同意作出决议）的方式进行。但在通过专家组或上诉机构的报告时（见第6章），却采取反向一致原则，即除非争端解决机构所有成员一致同意不通过相关报告，该报告即得以通过。专家组或上诉机构的报告仅对有关争议各方有约束力MajorprincipleofGATTMost-favored-nationTreatmentNationalTreatmentMost-favored-nationTreatmentTheguidingconceptoftradeliberalizationunderGATTisthatofnondiscrimination,whichismostlyillustratedbyMost-favored-nationprinciple(MFN)(最惠国待遇原则).MFNprinciples(Article1ofGATT)requirethatanytradeadvantageorprivilegegrantedbyoneGATTmembertothegoodsofanothermembershouldbegrantedtoall.Anytariff,tax,orotherrestrictiononimportsshouldbeappliedequallytoproducts,withoutregardtoorigination.BecausetheproductsofallMFNcountriesaretreatedequally,productsshippedfrombotheconomicallypowerfulcountriesandsmallcountrieswillbetreatedthesameintheforeignmarket.最惠国待遇原则是国际经贸条约中一项传统的法律原则。最惠国待遇是指一国在贸易、航海、关税、国民法律地位等方面给予另一国的优惠待遇不得低于现时或将来给予任何第三国的优惠待遇。该项待遇的给予通常是通过签订双边贸易条约并在其中订入最惠国待遇条款得以进行。享有最惠国待遇的国家为受惠国，给与最惠国待遇的国家为给惠国。UnconditionalMFNTreatmentConditionalMFNTreatmentMFNExceptionsUnconditionalMFNTreatmentUnconditionalMFNtraderequiresthatwhenanationextendssomeprivilegeorrighttooneofitstradingpartners,suchasareducedtariffrate,thatprivilegeautomaticallybecomesapplicabletoallothertradingpartners.So,ifnationAnegotiatesareducedtariffrateonaparticularproductimportedfromnationB,thatnewratebecomesapplicabletolikeproductsimportedfromMFNnationCandfromallnationsthathaveMFNstatuswiththeimportingcountry.国际经贸实践中,缔约国相互给予的这种待遇有两种不同的形式:一是无条件的最惠国待遇,它是指缔约国一方现时或将来给予缔约另一方的任何优惠待遇应立即无偿地给予缔约第三方;二是有条件的最惠国待遇,它是指缔约方相互给予对方最惠国待遇以对方给予为条件补偿。如当某一缔约方甲给另一缔约方乙提供了一种贸易上的更为优惠的待遇时,其他任何第三方若想要享受甲国给予乙国的这种优惠,则必须向甲提供相应的优惠作为补偿。因此,凡以索取相应的贸易优惠作为条件,将其给予另一国的贸易优惠给予其他任何第三国的,该国实施的便是有条件的最惠国待遇。MFNExceptionsTheGATTprovidesfortraderelationshipsthatmaybeevenmorefavorablethanMFNtreatment.Theseincludefree-tradeareas(e.g.theNorthAmericanFreeTradeAgreement)andcommonmarkets(e.g.theEuropeanUnion).GATTalsoprovidesforspecialtrade"preferences"fordevelopingcountriesunderwhichtheirproductsqualifyforbetter-than-MFNtreatment.NationalTreatmentThenationaltreatment(国民待遇原则)provisionsofGATTareintendedtoensurethatimportedproductswillnotbesubjectedtodiscriminatorytreatmentunderthelawsoftheimportingnation.UnderArticlesIII,importedproductsmustnotberegulated,taxed,orotherwisetreateddifferentlyfromdomesticgoodsoncetheyenteranation’sstreamofcommerce.GATTArticleIII:2providethatimportsshallnotbesubjecttointernaltaxesorchargesinexcessofthoseappliedtolikedomesticproducts.TheevenbroaderprovisionsofArticleIII:4statethatimportedproductsshallbegiventreatmentnolessfavorablethanthataccordedtolikeproductsofnationalorigininrespectofalllaws,regulations,andrequirementsaffectingtheirinternalsale.Thisprovisionhasbeeninterpretedasprohibitingdiscriminationagainstimportsresultingfromawiderangeofnon-tariffbarrierstotrade,includingdiscriminatorycustomsprocedures,governmentprocurementpolicies,andproductstandards.Tariff-basedImportRestrictionGATT’sfounderssoughtamultilateralapproachtotheeliminationofrestrictivetradebarriers.Theyselectedatariff-basedapproachthathadtwofundamentalgoals.First,GATTmembersweretoengageinregularnegotiationsdesignedtosystematicallyreduceimportduties.Second,tariffsweretobetheonlyformofimportprotectionpermittedbyGATT.Specifically,GATTprohibitedtheuseofnon-tariffbarriers,suchasquotasandquantitativerestrictionstotrade.Aswillbeseenlater,however,therearenumerousexceptionstothispolicy.世贸组织对关税的原则是约束关税，并不断削减。各成员在降低关税谈判中作出的关税减少，通常称为关税减让。各成员对其进口产品作出的关税减让，构成了该成员的关税减让表。各成员在关税减让表中公布的税率是受到约束的，是可以适用的税率的最高限。除非经其他有关规则允许(如反倾销税)，或重新与其他成员谈判，否则不得提高关税税率。但成员可以实际适用比约束关税低的关税。Prohibitionofquantitativerestrictionsandexceptions依关税与贸易总协定的规定，对进出口产品原则上取消一切数量限制。对进出口产品采取数量限制，是指对进出口产品采取除关税、国内税和其他费用之外的禁止或限制措施。数量限制与税费措施相比，缺乏透明性、公正性，它对贸易的影响也不易在产品价格上直接反映出来。下列情况存在普遍取消数量限制义务的例外：为防止或缓解出口成员的粮食或其他必需品的严重短缺而临时实施的出口禁止或限制；为实施国际贸易中的商品归类、分级和销售标准或法规而必须实施的进出口禁止或限制；为了限制国内产品数量或消除国内产品的过剩而对农产品或渔产品进口而实施的限制；为了保障其对外金融地位和国际收支平衡而对进口产品进行的限制。GATS跨境供应服务产品的流动境外消费消费者流动自然人存在工程承包，出国打工商业存在分支机构如银行、保险最惠国待遇国民待遇市场准入具体减让WTO争端解决机制典型案例分析1963年，美国国会制定了旨在防止和控制美国空气污染的《清洁空气法》。根据1990年美国国会通过的一项有关该法的修正案，美国环境保护局(EPA)于1993年12月1