世界贸易组织概论(英文部分)

1、世界贸易组织概论英文部分Chapter 1 OVERVIEW : WTO and GATT1. What is the World Trade OrganizationThe World Trade Organization (WTO) is the only international body dealing with the rules of trade between nations. At its heart are the WTO agreements, negotiated and signed by the bulk of the worlds trading nations.

2、 These documents provide the legal ground-rules for international commerce. They are essentially contracts, binding governments to keep their trade policies within agreed limits. Although negotiated and singed by governments, the goal is to help producers of goods and services, exporters, and import

3、ers conduct their business. The WTOs creation on 1 January 1995 marked the biggest reform of international trade since after the Second World War. It also brought to realityin an updated formthe failed attempt to create an International Trade Organization in 1948.2. GATT: a brief historya. The Gener

4、al Agreement on Tariffs and TradeTowards the end of the Second World War, a number of international negotiations were set in motion in order to create institutional structures for the conduct of international relations in the postwar world. One of the most important negotiating processes at the time

5、 was the United Nations Conference on Trade and Employment, held in Havana, Cuba, in 1947, after lengthy preparatory stages in New York, London and Geneva. At the end of this Conference, the Havana Charter for the International Trade Organization was adopted. For various reasons, including the failu

6、re of the United States to ratify it, the Havana Charter never entered into force. As part of the negotiations on the Havana Charter, a group of countries engaged in tariff negotiations and in 1947 agreed on substantial tariff reductions.b. A provisional set of rulesPending the entry into force of t

7、he Havana Charter, a mechanism was needed to implement and protect the tariff concessions negotiated in 1947. To do so, it was decided to take the Chapter on Commercial Policy of the Havana Charter and convert it, with certain additions, into the General Agreement on Tariffs and Trade (GATT). To bri

8、ng the GATT into force quickly, a Protocol of Pro-visional Application was developed. Thus, the GATT was born, as a provisional agreement until such time as the Havana Charter would be ratified. The Protocol of Provisional Application stated that the governments involved would apply Parts I and III

9、of the GATT, however. Part It (mostly on non-tariff barriers) would apply only to the fullest extent not inconsistent with existing legislation.c. Originally 23 contracting partiesThe Protocol of Provisional Application of the General Agreement on Tariffs and Trade was signed by 23 countries. These

10、original Contracting Parties were Australia, Belgium, Brazil, Burma, Canada, Ceylon, Chile, China, Cuba, the Czechoslovak Republic, France, India, Lebanon, Luxembourg, Netherlands, New Zealand, Norway, Pakistan, Southern Rhodesia, Syria, South Africa, the United Kingdom, and the United States of Ame

11、rica. d. Entered into force: 1 January 1948The Protocol of Provisional Application entered into force on 1 January 1948.e. Terminated on 31 December 19953. Eight rounds of multilateral trade negotiationsThroughout its 48-year history, the GATT provided the structure for a global process of steady tr

12、ade liberalization through eight rounds of multilateral trade negotiations sponsored by its Contracting Parties, covering progressively larger volumes of international trade. This process witnessed the initial years of the Cold War, the emergence to independence of many developing countries, the cre

13、ation of the European Communities, the rise of new and important trading countries, the transition of many countries to market economies, the increasing globalization of the world economy and the consolidation of the multilateral trading system. 4. WTOinternational organization embodied in the resul

14、ts of the Uruguay RoundIn light of the entry into force of the Marrakesh Agreement establishing the World Trade Organization as of 1 January 1995 and its ratification by almost all GATT Contracting Parties, those parties decided to terminate the GATT 1947 as of 31 December 1995. The substance of GAT

15、T rules lives on since they are incorporated, with certain understandings, in the Marrakesh Agreement as GATT 1994.a. International organization embodied in the results of the Uruguay RoundThe Marrakesh Agreement, establishing the World Trade Organization, is included in the Final Act Embodying the

16、Results of the Uruguay Round of Multilateral Trade Negotiations, concluded on 15 December 1993 and signed at Marrakesh Ministerial Meeting, on 15 April 1994. It constitutes the principal result of the Uruguay Round and incorporates, in its annexes, the multilateral agreements on trade in goods, incl

17、uding the General Agreement on Tariffs and Trade, the General Agreement on Trade in Services, the Agreement on Trade-Related Aspects of Intellectual Property Rights, the Understanding on Rules and Procedures Governing the Settlement of Disputes, the Trade Policy Review Mechanism, and, for those coun

18、tries having accepted them, the plurilateral trade agreements.b. Membership139 countries and regionsAfter a period of intensive activity, and a vigorous debate on international trade policy in the capitals of many countries participating in the negotiations of the Uruguay Round, the Marrakesh Agreem

19、ent was ratified by a large number of countries, including the main trading nations, in time for its entry into force on 1 January 1995.By August 2000, one hundred and thirty-nine countries and regions had accepted and ratified the Marrakesh Agreement, and 28 more countries and regions were in the p

20、rocess of acceding to the World Trade Organization. The aim of the WTO isas clearly indicated in its nameto be universal.c. The secretariat: around 500 staff, headed by a Director-General, based in GenevaProvision is made, in Article VI of the WTO Agreement, for the establishment of a Secretariat an

21、d the appointment of its Director-General. It was agreed by ministers that the GATT Secretariat would become the Secretariat of the WTO. At present it has approximately five hundred staff members. The WTO Secretariat is based in Geneva, Switzerland, at the Centre William Rappard. d. Current Director

22、-General: Michael Moore (from New Zealand)5. WTO vs GATT: main differencesa. NatureThe GATT was a set of rules, with no institutional foundation,applied on a provisional basis. The WTO is a permanent institutionwith a permanent framework and its own secretariat.b. ScopeThe GATT rules applied to trad

23、e in goods. The WTO Agreement covers trade in goods, trade in services and trade-related aspects of intellectual property rights.c. ApproachWhile the GATT was a multilateral instrument, a series of newagreements were adopted during the Tokyo Round on a plurilateralthat is, selectivebasis, causing a

24、fragmentation of the multilateral trading system. The WTO has been adopted, and acceptedby its Members, as a single undertaking: the Agreements whichconstitute the WTO are all multilateral, and therefore involve commitments for the entire membership of the organization.d. Dispute settlementThe WTO d

25、ispute settlement system has specific time limitsand is therefore faster than the GATT system; it operates more automatically, thus ensuring less blockages than in the old GATT; andit has a permanent appellate body to review findings by disputs settlement panels. There are also more detailed rules o

26、n the process ofthe implementation of findings.6. WTO: the main objectivesa. To raise standards of livingRelations among Members of the WTO in the field of trade and economic endeavour should be conducted with a view to raising the standards of living of their populations,b. To ensure full employmen

27、t to ensure full employment of their economies,c. Growing volume of real income and effective demand to promote the steady growth of real incomes and effective demand in their markets,d. Expanding the production of and trade in goods & servicesto expand the production of and trade in goods and servi

28、ces,e. Sustainable development and environmental protection while allowing for the optimal use of the world) s reserves in accordance with the objective of sustainable development, and protecting and Preserving the environment, andf. Developing countriesin a manner consistent with the respective nee

29、ds and concerns of Members at different levels of development.7. WTO: functionsThe World Trade Organization is the institutional framework of the multilateral trading systerm. The main functions of WTO are as follows:a. Implementation, administration and operation of the covered agreementsThe WTO fa

30、cilitates the implementation, administration and operation of the WTO Agreement and the Multilateral Trade Agreements, and furthers their objectives. It also provides the framework, for those of its Members that have accepted them, for the implementation, administration and operation of the Plurilat

31、eral Trade Agreements.b. Forum for negotiationsThe WTO provides the forum for negotiations on multilateral trade relations in matters covered by its various agreements. It may also, on decision by the Ministerial Conference, provide a forum for further negotiations, and a framework for the implement

32、ation of their results, on other issues arising in the multilateral trade relations among its Members.c. Dispute settlementThe WTO administers the integrated dispute settlement system, which is a central element in providing security and predictability to the multilateral trading system, serving to

33、preserve the rights and obligations of the Members of the WTO.d. Review of national trade policiesThe WTO administers the Trade Policy Review Mechanism, which is designed to contribute to greater transparency and understanding of the trade policies and practices of WTO Members, to their improved adh

34、erence to the rules, disciplines and commitments of the multilateral trading system, and hence to the smoother functioning of the system.e. Coherence in global economic policy-makingA Ministerial Declaration adopted at the Marrakesh Ministerial Meeting recognizes the role of trade liberalization in

35、achieving greater coherence in global economic policy-making. For this purpose, the WTO cooperates, as appropriate, with the International Monetary Fund, the World Bank, the United Nations Conference on Trade and Development and other world institutions.8. WTO: structurea. Ministerial ConferenceThe

36、Ministerial Conference is the supreme body of the WTO, composed of representatives of all Members, with the authority to carry out the functions of the WTO, take the actions necessary to this effect, and take decisions on matters under any of the Multilateral Trade Agreements if so requested by a Me

37、mber. The Ministerial Conference is to meet at least once every two years. The first WTO Ministerial Conference was held in Singapore in December 1996 and the second in Geneva in May 1998. The Third took place in Seattle, U.S.A. from 30th November to 3rd December 1999.b. General CouncilThe day to da

38、y business of the WTO is conducted by the General Council, also composed of representatives of all WTO Members, which meets on a regular basis (normally once every two months). The General Council acts on behalf of the Ministerial Conference in the periods between its meetings, and reports directly

39、to it. (a) Dispute Settlement BodyThe General Council convenes also as the Dispute Settlement Body (DSB), which has its own Chairman and its own rules of procedure, to discharge the functions assigned to the DSB under the Dispute Settlement Understanding.(b) Trade Policy Review BodyThe General Counc

40、il meets also as Trade Policy Review Body, which again has its own Chairman and rules of procedure, to carry out the review of Members trade policies and practices, as provided for in the Trade Policy Review Mechanism.c. CouncilsThree sectoral councils have been established for goods, services and T

41、RIPs matters, respectively. These Councils, operating under the general guidance of the General Council, carry out the responsibilities assigned to them by their respective agreements and by the General Council, they meet as necessary to carry out their functions, and they are open to representative

42、s of all WTO Members. They may also establish subsidiary bodies, such as committees and working parties.(a) Council for Trade in GoodsThe Council for Trade in Goods oversees the functioning of the multilateral agreements on trade in goods. These include the General Agreement on Tariffs and Trade (GA

43、TT) and related Understandings, and twelve other agreements, as contained in Annex 1A to the WTO Agreement.(b) Council for Trade in ServicesThe Council for Trade in Services oversees the functioning of the General Agreement on Trade in Services (GATS).(c) Council for TRIPsThe Council for TRIPs overs

44、ees the functioning of the Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPs Agreement).d. Committees and other subsidiary bodiesThree main committees are established by the WTO Agreement: the Committee on Trade and Development, the Committee on Balance of Payments Restrictio

45、ns, and the Committee on Budget, Finance and Administration. Membership of these committees is also open to all Members of the WTO. The General Council has established two other committees reporting to it: the committee on Trade and Environment and the Committee on Regional Trade Agreements.e. Decis

46、ion-makingThe WTO continues the practice of decision-making by consensus followed under the GATT 1947. Consensus is defined as the situation where no Member, present at a meeting where a decision is taken, formally objects to the proposed decision. However, it is recognized that there may be situati

47、ons where a consensus cannot be reached, in which case the matter may be decided by voting. Voting rules are set out in the WTO Agreement.Questions for Discussion and Reflection:1. What is the World Trade Organization?2. At what background was GATT born?3. What do you know about the eight rounds of

48、multilateral trade negotiations?4. What are the main differences between GATT and WTO?5. What are WTO s main objectives?6. Explain WTO s functions.Chapter 2 WTO s Basic Principles1. Trade without discriminationThe basic principles of the multilateral trading system, as embodied in the WTO Agreement,

49、 derive mostly from the principles that constituted the foundations of the GATT. Trade without discrimination is one of these basic principles, guaranteed through the operation of various clauses included in the multilateral agreements on trade in goods, in the GATS, and in the TRIPs Agreement.2. Mo

50、st-favoured-nation treatment (MFN)The most-favoured-nation clause has been the pillar of the system since the inception of the GATT in 1947. The Contracting Parties to the GATT 1947 were bound to grant to the products of other contracting parties treatment no less favourable than that accorded to pr

51、oducts of any other country. Members of the WTO have entered into similar commitments, under the GATT 1994 (Article I ) for trade in goods, under the GATS (Article II ) in relation to treatment of service suppliers and trade in services, and under the TRIPs Agreement (Article 4) in regard to the pro

52、tection of intellectual property.3. National Treatment (NT)The national treatment principle condemns discrimiation between foreign and national goods or services and service suppliers or between foreign and national holders of intellectual property rights.GATT 1994 and the TRIPS Agreement provide fo

53、r national treatment as one of the main commitments of WTO Members. Imported goods, once duties have been paid, must be given the same treatment as like domestic products in relation to any charges, taxes, or administrative or other regulations (GATT Article 3). With regard to the protection of inte

54、llectual property rights, and subject to exceptions in existing international conventions. Members of WTO are committed to grant to nationals or other Members treatment no less favourable than that accorded to their own nationals (Article III ).GATS, however, due to the special nature of trade in se

55、rvices, deals with national treatment under its Part III, Specific Commitments, (Article XV II ), where national treatment becomes a negotiated concession and may be subject to conditions or qualifications thatMembers have inscribed in their schedules on specific commitments in trade in services.4.

56、TransparencyProvisions on notification requirements and the Trade Policy Review MecHanism are set out in the WTO Agreement and its Annexes, with the objective of guaranteeing the fullest transparency possible in the trade policies of its Members in goods, services and the protection of intellectual

57、property rights. Article X of GATT 1994 deals with the publication and administration of trade regulations; Article III of GATS sets out provisions on transparency as one of the general obligations and disciplines under that agreement; and Article 3 establishes transparency rules for the TRIPs Agree

58、ment.5. Predictable and growing access to marketsPredictable and growing access to markets for goods and services is an essential principle of the WTO. This principle is fulfilled through various provisions so as to guarantee security, predictability and continued liberalization of trade.6. Binding

59、of tariffsIn the case of goods, a basic GATT postulate is that tariffs should normally be the only instrument used to protect domestic industry. Furthermore, tariffs should be predictable and stable. Security and predictability in trade in goods are achieved through the commitments embodied in the binding of tariffs. A boun