英文版国际经济法课程教材WTO章节.pptx

Chapter Six GATT and WTO Law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The Founding of GATTA trade barrier is any impediment（阻碍）to trade in goods or services.An import trade barrier is any impediment,direct or indirect,to the entrance or sale of imported goods or services existing in the country of importation.Trade Liberalization through CooperationMost nations have come to realize that trade barriers are damages to the international economy and ultimately to their own.Moreover,they have realized that if they restrict the products of their trading partners in order to protect one segment or sector of their economy,then another sector will suffer.Therefore,beginning in 1934,nations embarked（着手）on a long road to improve the world trade environment.At first,negotiations based on reciprocity（互惠）resulted in mutual tariff reductions.After World War II national leaders and policy makers stressed a more international view of the worlds economy.At the same time,the United Nations and other new international organizations were born.Led by the United States,other nations embraced free trade and open market policies.Their efforts to establish new rules of the game for conducting their trade relations resulted in the creation of an international legal system to handle trade matters,complete with international law,dispute settlement mechanisms,and agreed-upon codes for regulating trade.This system is based on the General Agreement on Tariffs and Trade(GATT).GATT provides an organized global structure to improve the economic,political,and legal climate for trade,investment,and development.Its primary goal is to achieve distortion（扭曲）-free trade through the removal of artificial barriers and restrictions imposed by self-serving national governments.The GATT system includes an international legal system with rules,a mechanism for interpreting those rules,and a procedure for resolving disputes under them.GATT rules are created by international agreement and become guiding principles of international trade law.In theory,the GATT legal system exists side by side with the domestic legal systems of sovereign nations;GATT anticipates that national legislatures and government agencies will comply with GATTs principles in setting tariffs and regulating imports.Scope and Coverage of GATT 1947 and GATT 1994The rules of GATT 1947 applied only to trade in goods.Because most of the major trading nations of the world have been members,GATT has controlled mote than 80 percent of the worlds trade in goods.GATT 1947 was successful in reducing tariffs and non-tariff barriers to trade worldwide.However,nations encountered many trade issues over which GATT had no responsibility.Trade in services,such as banking or insurance,was specifically excluded from GATT 1947.It also failed to regulate agricultural trade,an area of constant dispute between nations.Trade in textiles and apparel was also not covered because of the politically sensitive nature of these industries.Because GATT 1947 only dealt with trade in goods,it did little or nothing to protect intellectual property fights,such as copyrights and trademarks.Finally,the dispute settlement process set up under GATT 1947,used to resolve trade conflicts between countries,was filled with loopholes（漏洞）and was of ten ineffective.GATT 1994 is much broader in scope and coverage than the original agreement,and addresses many of the latters limitations.In addition to the original provisions of GATT 1947,GATT 1994 includes the following multilateral trade agreements on specific issues such as agreement on agriculture,agreement on textiles and clothing,agreement on technical barriers to trade,agreement on trade-related investment measures,agreement on subsidies and countervailing measures,etc.ROUNDRound:（谈判的）一轮；回合（关税减让的谈判）Under the rules of GATT,nations will meet periodically to reduce tariffs and nontariff barriers to trade.Since 1947 the GATT organization has served to bring member nations together to negotiate tariff reductions and the opening of markets.Under the auspices（主办）the GATT,the contracting parties have completed eight major rounds,or multilateral negotiating sessions:(1)Geneva,Switzerland,in 1947,(2)Annecy,France,in 1948,(3)Torquay,England,in 1956,(4)Geneva,Switzerland,in 1956,(5)Dillon Round,1960-1961,(6)Kennedy Round,1964-1967,(7)Tokyo Round,1973-1979,(8)Uruguay Round,1986-1994.关贸总协定历次多边贸易谈判情况简表关贸总协定历次多边贸易谈判情况简表关贸总协定历次多边贸易谈判情况简表关贸总协定历次多边贸易谈判情况简表轮次次谈判地点和判地点和时间参加参加方方谈判主要成果判主要成果第一轮瑞士日内瓦1947年4月-10月23达成45 000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5 000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8 700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3 000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4 400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3 000亿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。In the early rounds,countries negotiated on a product-by-product basis by simply presenting lists of tariff reductions that they desired from other countries,who submitted requests for concessions that they wanted in return.The Kennedy Round resulted in even larger across-the-board tariff cuts,particularly in manufactured goods,averaging nearly 40 percent reductions and covering$40 billion in trade.More than 60 nations participated in the Kennedy Round.By the 1970s,GATTs efforts had proven so successful that tariffs ceased to be the worlds greatest barrier to trade in goods.Indeed,without GATT,decades of bilateral negotiations may have been necessary to achieve the reductions that multilateral negotiations reached within a few years.In the Tokyo Round more than 100 participating nations agreed to tariff cuts averaging 34 percent and covering$300 billion in trade,which effectively lowered the average level of tariffs to about 5 percent.During the Uruguay Round,the United States adopted a zero-for-zero tariff reduction policy.Each nations tariff schedules deposited with the WTO reflect the new rates.Many member nations have agreed to negotiate additional market access agreements in future WTO negotiations on a zero-for-zero basis.The World Trade Organization(WTO)On January 1,1995,the World Trade Organization(WTO)replaced the original GATT organization.It provides an umbrella organization that sets the rules by which nations regulate trade in manufactured goods,services(including banking,insurance,tourism and telecommunications),intellectual property,textiles and clothing,and agricultural products.The role of the WTO is to facilitate international cooperation to open markets,provide a forum for future trade negotiations between members,and provide a forum for the settlement of trade disputes.The WTO will have a stature equal to that of the IMF or World Bank,and will cooperate with those agencies on economic matters.The WTOs membership includes those countries that previously belonged to GATT,and will eventually be open to other countries,if accepted by a two-thirds majority vote of the members.Now,WTO has 154 members.Legal Structure of the WTO诸边贸易协定诸边贸易协定（plurilateral trade agreement），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所有重大的决定都是由全体成是由全体成员共同共同作出的作出的在部在部长会会议和和总理理事会会事会会议上，世界上，世界贸易易组织的每一成的每一成员都有一票投票都有一票投票权。除非另有除非另有规定，部定，部长会会议和和总理事会理事会的决定以的决定以简单多数多数票表决通票表决通过。对任何任何协议条款的解条款的解释，都需要成都需要成员的的3/4多数多数通通过一般条款的修改，需成一般条款的修改，需成员的的2/3多数通多数通过。涉。涉及及权利利义务的条款的修的条款的修改，改，对接受修改的成接受修改的成员生效；不涉及生效；不涉及权利利义务条款的修改，条款的修改，对所有的所有的成成员生效生效修改最惠国待遇、关税修改最惠国待遇、关税减减让、WTO决策、修决策、修正需全体成正需全体成员接受接受豁免成豁免成员义务3/4以上以上接受新成接受新成员3/4以上以上争端解决机构在作出争端解决机构在作出决定决定时，按，按协商一致商一致（协商一致，是指除商一致，是指除非有成非有成员正式提出异正式提出异议，否，否则，应视为所所有成有成员一致同意作出一致同意作出决决议）的方式）的方式进行。行。但在通但在通过专家家组或上或上诉机构的机构的报告告时（见第第6章），却采取反向章），却采取反向一致原一致原则，即除非争，即除非争端解决机构所有成端解决机构所有成员一致同意不通一致同意不通过相关相关报告，告，该报告即得以告即得以通通过。专家家组或上或上诉机构的机构的报告告仅对有关有关争争议各方有各方有约束力束力Major principle of GATTMost-favored-nation TreatmentNational TreatmentMost-favored-nation TreatmentThe guiding concept of trade liberalization under GATT is that of nondiscrimination,which is mostly illustrated by Most-favored-nation principle(MFN)(最惠国待遇原则).MFN principles(Article 1 of GATT)require that any trade advantage or privilege granted by one GATT member to the goods of another member should be granted to all.Any tariff,tax,or other restriction on imports should be applied equally to products,without regard to origination.Because the products of all MFN countries are treated equally,products shipped from both economically powerful countries and small countries will be treated the same in the foreign market.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。Unconditional MFN TreatmentConditional MFN TreatmentMFN ExceptionsUnconditional MFN TreatmentUnconditional MFN trade requires that when a nation extends some privilege or right to one of its trading partners,such as a reduced tariff rate,that privilege automatically becomes applicable to all other trading partners.So,if nation A negotiates a reduced tariff rate on a particular product imported from nation B,that new rate becomes applicable to like products imported from MFN nation C and from all nations that have MFN status with the importing country.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。MFN ExceptionsThe GATT provides for trade relationships that may be even more favorable than MFN treatment.These include free-trade areas(e.g.the North American Free Trade Agreement)and common markets(e.g.the European Union).GATT also provides for special trade preferences for developing countries under which their products qualify for better-than-MFN treatment.National TreatmentThe national treatment(国民待遇原则)provisions of GATT are intended to ensure that imported products will not be subjected to discriminatory treatment under the laws of the importing nation.Under Articles III,imported products must not be regulated,taxed,or otherwise treated differently from domestic goods once they enter a nations stream of commerce.GATT Article III:2 provide that imports shall not be subject to internal taxes or charges in excess of those applied to like domestic products.The even broader provisions of Article III:4 state that imported products shall be given treatment no less favorable than that accorded to like products of national origin in respect of all laws,regulations,and requirements affecting their internal sale.This provision has been interpreted as prohibiting discrimination against imports resulting from a wide range of non-tariff barriers to trade,including discriminatory customs procedures,government procurement policies,and product standards.Tariff-based Import RestrictionGATTs founders sought a multilateral approach to the elimination of restrictive trade barriers.They selected a tariff-based approach that had two fundamental goals.First,GATT members were to engage in regular negotiations designed to systematically reduce import duties.Second,tariffs were to be the only form of import protection permitted by GATT.Specifically,GATT prohibited the use of non-tariff barriers,such as quotas and quantitative restrictions to trade.As will be seen later,however,there are numerous exceptions to this policy.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。Prohibition of quantitative restrictions and exceptions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服务产品的流动工程承包，出国打工消费者流动分支机构如银行、保险跨境供应境外消费自然人存在商业存在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15日颁布了有关汽油成分和排放效果的燃料与燃料添加剂规则 改良汽油与普通汽油标准(简称汽油规则)，目的在于企图通过提高汽油的环境质量标准来改善美国污染严重地区空气的环境质量。汽油规则适用于美国汽油提炼商、合成商和进口商。根据该规则，自1995年1月1日起，在美国污染严重的地区只允许销售法定清洁汽油，即改良汽油；在其他地区，只能销售不比在基准年1990年所售汽油清洁度低的汽油，即普通汽油。该规则主要依据1990年基准作为确定符合清洁空气法要求的方法。汽油规则设定了两种基准：一是由任何在1990年营业6个月以上的美国炼油商确立的代表其1990年所产汽油质量的单独基准；二是由美国环境保护局确立的代表1990年美国汽油平均质量的法定基准。法定基准适用于任何在1990年营业不足6个月或新开设的美国炼油商以及所有合成商和进口商。如果某进口商同时又是国外炼油商，当它在1990年进口到美国的汽油中有75的汽油是来自于其在国外的炼油厂时，则应使用与国内炼油商同样的方法为其设定基准(所谓“75规则”)。美国传统的石油贸易国委内瑞拉和巴西分别就美国对改良汽油和普通汽油设置 的标准提起申诉，并声称1995年初生效的美国汽油规则违反了GATrl994第1 条和第3条及贸易技术壁垒协议第2条。专家组裁定美国汽油规则违反了 GATTl994第3条第4款，也不被GATTl994第20条的例外所支持。美国于1996年 2月21日提起上诉。上诉机构对专家组报告关于GATTl994第20条(g)项的解释 作了修正，但认定该条款不适用于本案。上诉机构连同经修正的专家组报告于 1996年5月20日由争端解决机构通过。争端类型其他情形（目前没有）违反性申诉非违反性申诉专家小组2010年2月18日，WTO争端解决机构（DSB）例会正式决定，将中国政府推荐的6名专家列入WTO争端解决专家组指示性名单，该6名专家是李仲周、韩立余、杨国华、鄂德峰、张丽萍、李詠箑。依据WTO关于争端解决规则与程序的谅解的相关规定，这6名专家将供WTO成员选择争端解决专家组成员时参考。此前，2004年2月，张玉卿、曾令良、朱榄叶等3位教授成为第一批列入WTO争端解决机构专家组成员的指示名单的中国籍专家。2006年11月，董世忠和张月娇教授成为第二批列入该名单的中国籍专家。连同本次成功入选的6位专家，目前中国共有11名专家被列入WTO争端解决专家组指示性名单。其中，张月娇女士还于2007年11月被DSB任命为WTO上诉机构成员。WTO争端解决时间表1协商、调解等60天2建立专家小组并任命其成员45天3最终报告提交各方面6个月4最终报告提交WTO各成员3个星期5争端解决机构通过报告（如无上诉）60日6总计（如无上诉）1年7上诉机构报告60-90日8争端解决机构通过上诉机构报告30日9总计（如上诉）1年3个月