英文版國際經(jīng)濟法課程教材WTO章節(jié)

ChapterSixGATTandWTOLaw戰(zhàn)后經(jīng)濟三大支柱關貿(mào)總協(xié)定國際貨幣基金組織世界銀行TheFoundingofGATTAtradebarrierisanyimpediment（阻礙）totradeingoodsorservices.Animporttradebarrierisanyimpediment,directorindirect,totheentranceorsaleofimportedgoodsorservicesexistinginthecountryofimportation.TradeLiberalizationthroughCooperationMostnationshavecometorealizethattradebarriersaredamagestotheinternationaleconomyandultimatelytotheirown.Moreover,theyhaverealizedthatiftheyrestricttheproductsoftheirtradingpartnersinordertoprotectonesegmentorsectoroftheireconomy,thenanothersectorwillsuffer.Therefore,beginningin1934,nationsembarked（著手）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:（談判的）一輪；回合（關稅減讓的談判）UndertherulesofGATT,nationswillmeetperiodicallytoreducetariffsandnontariffbarrierstotrade.Since1947theGATTorganizationhasservedtobringmembernationstogethertonegotiatetariffreductionsandtheopeningofmarkets.Undertheauspices（主辦）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.關貿(mào)總協(xié)定歷次多邊貿(mào)易談判情況簡表輪次談判地點和時間參加方談判主要成果第一輪瑞士日內(nèi)瓦1947年4月-10月23達成45000項商品的關稅減讓，使占應稅進口值54%的商品平均降低關稅35%；關貿(mào)總協(xié)定于1948年1月1日生效。第二輪法國安納西1949年4月-10月33達成近5000項商品的關稅減讓，使占應稅進口值5.6%的商品平均降低關稅35%。第三輪英國托奎1950.9-1951.439達成8700多項商品的關稅減讓，使占應稅進口值11.7%的商品平均降低關稅6%。第四輪瑞士日內(nèi)瓦1956年1月-5月28達成近3000項商品的關稅減讓，使占應稅進口值16%的商品平均降低關稅15%。第五輪瑞士日內(nèi)瓦1960.9-1962.745達成4400項商品的關稅減讓，使占應稅進口值20%的商品平均降低關稅20%。第六輪瑞士日內(nèi)瓦1964.5-1967.654以關稅統(tǒng)一減讓方式就影響世界貿(mào)易額約400億美元的商品達成關稅減讓，平均降低關稅35%；首次涉及非關稅壁壘談判，并通過了第一個反傾銷協(xié)議。第七輪瑞士日內(nèi)瓦1973.9-1979.4102以一攬子關稅減讓方式就影響世界貿(mào)易額約3000億美元的商品達成關稅減讓與約束，關稅水平下降35%；達成多項非關稅壁壘協(xié)議和守則；通過了給予發(fā)展中國家優(yōu)惠待遇的“授權條款”。第八輪瑞士日內(nèi)瓦1986.9-1994.4123達成了28個內(nèi)容廣泛的協(xié)議；貨物貿(mào)易減稅幅度近40%，減稅商品涉及貿(mào)易額高達1.2萬億美元，近20個產(chǎn)品部門實行了零關稅；農(nóng)產(chǎn)品非關稅措施實行關稅化，紡織品的配額限制在10年內(nèi)取消；GATT擴大到服務貿(mào)易、知識產(chǎn)權和與貿(mào)易有關的投資措施協(xié)議；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諸邊貿(mào)易協(xié)定諸邊貿(mào)易協(xié)定（plurilateraltradeagreement），亦稱為“復合貿(mào)易協(xié)定”，不屬于一攬子接受的范疇，其生效與接受從其自身的規(guī)定。諸邊貿(mào)易協(xié)定涉及民用航空器、政府采購、奶制品和牛肉等四個領域。這些協(xié)定中除個別條款進行了調(diào)整或修改外，基本上保持上了東京回合四個守則的原樣。盡管諸邊貿(mào)易協(xié)定在接受方式上沒有與建立世界貿(mào)易組織的協(xié)定和多邊貿(mào)易協(xié)定掛鉤，但它們同樣經(jīng)過烏拉圭回合載入《最后文件》，從而亦構(gòu)成世界貿(mào)易組織法律體系的組成部分。這就意味著凡是總協(xié)定的締約方，即使不接受諸邊貿(mào)易協(xié)定，也可以成為世界貿(mào)易組織的成員。同樣地，不是總協(xié)定的締約方，若申請加入世界貿(mào)易組織，也無須以接受諸邊貿(mào)易協(xié)定為條件。

世貿(mào)組織的決策程序協(xié)商一致優(yōu)先，投票表決第二決策事項不同，投票要求不同爭端解決機構(gòu)通過報告的特殊規(guī)定所有重大的決定都是由全體成員共同作出的在部長會議和總理事會會議上，世界貿(mào)易組織的每一成員都有一票投票權。除非另有規(guī)定，部長會議和總理事會的決定以簡單多數(shù)票表決通過。對任何協(xié)議條款的解釋，都需要成員的3/4多數(shù)通過一般條款的修改，需成員的2/3多數(shù)通過。涉及權利義務的條款的修改，對接受修改的成員生效；不涉及權利義務條款的修改，對所有的成員生效修改最惠國待遇、關稅減讓、WTO決策、修正需全體成員接受豁免成員義務3/4以上接受新成員3/4以上爭端解決機構(gòu)在作出決定時，按協(xié)商一致（協(xié)商一致，是指除非有成員正式提出異議，否則，應視為所有成員一致同意作出決議）的方式進行。但在通過專家組或上訴機構(gòu)的報告時（見第6章），卻采取反向一致原則，即除非爭端解決機構(gòu)所有成員一致同意不通過相關報告，該報告即得以通過。專家組或上訴機構(gòu)的報告僅對有關爭議各方有約束力MajorprincipleofGATTMost-favored-nationTreatmentNationalTreatmentMost-favored-nationTreatmentTheguidingconceptoftradeliberalizationunderGATTisthatofnondiscrimination,whichismostlyillustratedbyMost-favored-nationprinciple(MFN)(最惠國待遇原則).MFNprinciples(Article1ofGATT)requirethatanytradeadvantageorprivilegegrantedbyoneGATTmembertothegoodsofanothermembershouldbegrantedtoall.Anytariff,tax,orotherrestrictiononimportsshouldbeappliedequallytoproducts,withoutregardtoorigination.BecausetheproductsofallMFNcountriesaretreatedequally,productsshippedfrombotheconomicallypowerfulcountriesandsmallcountrieswillbetreatedthesameintheforeignmarket.最惠國待遇原則是國際經(jīng)貿(mào)條約中一項傳統(tǒng)的法律原則。最惠國待遇是指一國在貿(mào)易、航海、關稅、國民法律地位等方面給予另一國的優(yōu)惠待遇不得低于現(xiàn)時或?qū)斫o予任何第三國的優(yōu)惠待遇。該項待遇的給予通常是通過簽訂雙邊貿(mào)易條約并在其中訂入最惠國待遇條款得以進行。享有最惠國待遇的國家為受惠國，給與最惠國待遇的國家為給惠國。UnconditionalMFNTreatmentConditionalMFNTreatmentMFNExceptionsUnconditionalMFNTreatmentUnconditionalMFNtraderequiresthatwhenanationextendssomeprivilegeorrighttooneofitstradingpartners,suchasareducedtariffrate,thatprivilegeautomaticallybecomesapplicabletoallothertradingpartners.So,ifnationAnegotiatesareducedtariffrateonaparticularproductimportedfromnationB,thatnewratebecomesapplicabletolikeproductsimportedfromMFNnationCandfromallnationsthathaveMFNstatuswiththeimportingcountry.國際經(jīng)貿(mào)實踐中,締約國相互給予的這種待遇有兩種不同的形式:一是無條件的最惠國待遇,它是指締約國一方現(xiàn)時或?qū)斫o予締約另一方的任何優(yōu)惠待遇應立即無償?shù)亟o予締約第三方;二是有條件的最惠國待遇,它是指締約方相互給予對方最惠國待遇以對方給予為條件補償。如當某一締約方甲給另一締約方乙提供了一種貿(mào)易上的更為優(yōu)惠的待遇時,其他任何第三方若想要享受甲國給予乙國的這種優(yōu)惠,則必須向甲提供相應的優(yōu)惠作為補償。因此,凡以索取相應的貿(mào)易優(yōu)惠作為條件,將其給予另一國的貿(mào)易優(yōu)惠給予其他任何第三國的,該國實施的便是有條件的最惠國待遇。MFNExceptionsTheGATTprovidesfortraderelationshipsthatmaybeevenmorefavorablethanMFNtreatment.Theseincludefree-tradeareas(e.g.theNorthAmericanFreeTradeAgreement)andcommonmarkets(e.g.theEuropeanUnion).GATTalsoprovidesforspecialtrade"preferences"fordevelopingcountriesunderwhichtheirproductsqualifyforbetter-than-MFNtreatment.NationalTreatmentThenationaltreatment(國民待遇原則)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.世貿(mào)組織對關稅的原則是約束關稅，并不斷削減。各成員在降低關稅談判中作出的關稅減少，通常稱為關稅減讓。各成員對其進口產(chǎn)品作出的關稅減讓，構(gòu)成了該成員的關稅減讓表。各成員在關稅減讓表中公布的稅率是受到約束的，是可以適用的稅率的最高限。除非經(jīng)其他有關規(guī)則允許(如反傾銷稅)，或重新與其他成員談判，否則不得提高關稅稅率。但成員可以實際適用比約束關稅低的關稅。Prohibitionofquantitativerestrictionsandexceptions依關稅與貿(mào)易總協(xié)定的規(guī)定，對進出口產(chǎn)品原則上取消一切數(shù)量限制。對進出口產(chǎn)品采取數(shù)量限制，是指對進出口產(chǎn)品采取除關稅、國內(nèi)稅和其他費用之外的禁止或限制措施。數(shù)量限制與稅費措施相比，缺乏透明性、公正性，它對貿(mào)易的影響也不易在產(chǎn)品價格上直接反映出來。下列情況存在普遍取消數(shù)量限制義務的例外：為防止或緩解出口成員的糧食或其他必需品的嚴重短缺而臨時實施的出口禁止或限制；為實施國際貿(mào)易中的商品歸類、分級和銷售標準或法規(guī)而必須實施的進出口禁止或限制；為了限制國內(nèi)產(chǎn)品數(shù)量或消除國內(nèi)產(chǎn)品的過剩而對農(nóng)產(chǎn)品或漁產(chǎn)品進口而實施的限制；為了保障其對外金融地位和國際收支平衡而對進口產(chǎn)品進行的限制。GATS跨境供應服務產(chǎn)品的流動境外消費消費者流動自然人存在工程承包，出國打工商業(yè)存在分支機構(gòu)如銀行、保險最惠國待遇國民待遇市場準入具體減讓WTO爭端解決機制典型案例分析1963年，美國國會制定了旨在防止和控制美國空氣污染的《清潔空氣法》。根據(jù)1990年美國國會通過的一項有關該法的修正案，美國環(huán)境保護局(EPA)于1993年12月1