世界贸易组织概论(英文部分)

《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 world's trading nations. 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 importers conduct their business. The WTO’s creation on 1 January 1995 marked the biggest reform of international trade since after the Second World War. It also brought to reality—in an updated form—the failed attempt to create an International Trade Organization in 1948.2. GATT: a brief historya. The General 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 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 failure 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 the 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 bring 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 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 andTrade" was signed by 23 countries. These 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 America.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 trade 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 creation 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. WTO—international organization embodied in the results 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 GATT 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 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, including 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 countries having accepted them, the plurilateral trade agreements.b. Membership—139 countries and regionsAfter a period of intensive activity, and a vigorous debate on international trade policy inthe capitals of many countries participating in the negotiations of the Uruguay Round, the Marrakesh Agreement 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 process of acceding to the World Trade Organization. The aim of the WTO is—as clearly indicated in its name—to be universal.c. The secretariat: around 500 staff, headed by a Director-General, based inGenevaProvision is made, in Article VI of the WTO Agreement, for the establishment of a Secretariat and 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-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 institution with a permanent framework and its own secretariat.b. ScopeThe GATT rules applied to trade 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 new agreements were adopted during the Tokyo Round on a plurilateral—that is, selective—basis, causing a fragmentation of the multilateral trading system. The WTO has been adopted, and accepted by its Members, as a single undertaking: the Agreements which constitute the WTO are all multilateral, and therefore involve commitments for the entire membership of the organization.d. Dispute settlementThe WTO dispute settlement system has specific time limits and is therefore faster than the GATT system; it operates more automatically, thus ensuring less blockages than in the old GATT; and it has a permanent appellate body to review findings by disputs settlement panels. There are also more detailed rules on the process of the 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 employment to ensure full employment of their economies,c. Growing volume of real income and effective demand to promote the steadygrowth 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 services,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 needs 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 facilitates 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 Plurilateral 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 implementation 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 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 adherence 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 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 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 Member. 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 day 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 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 Council 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 TRIPs 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 representatives 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 agreementson trade in goods. These include the General Agreement on Tariffs and Trade (GATT) 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 oversees 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 Restrictions, 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. Decision-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 situations 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 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, 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. Most-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 products 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 protection 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 for 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 intellectual 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 services, 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 that Members have inscribed in their schedules on specific commitments in trade in services.4. 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 property rights. Article X of GATT 1994 deals with the publicationand 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 Agreement.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 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 "bound" tariff is a tariff in respect of which there is a legal commitment not to raise it beyond the bound level. The binding of a tariff at a level higher than the tariff actually applied is considered as a legitimate concession. In this case, the concession is the binding itself, that is , the commitment not to raise the tariff beyond that level. The developed countries have normally bound their tariffs at the applied levels. By contrast, and consistently with open market policies, developing countries have adopted commitments on "ceiling bindings", that is , bindings at levels higher than the applied rates. This has allowed developing countries to substantially increase their bound commitments, thus underpinning their open markets policies, while keeping a certain margin for protection in case of need.7. Tariff negotiations: progressive reduction in protectionIn the past, tariff negotiations were launched periodically under the auspices of the GATT. These negotiations served to reduce progressively the level of tariff protection in many countries now Members of the WTO. Tariff negotiations will remain important in the future, particularly in relation to agricultural products, where all non-tariff barriers have been eliminated and substituted by tariffs, in many cases at very high levels.8. Prohibition of quantitative restrictionsAs a general rule, quantitative restrictions are prohibited under the GATT 1994. However, in some cases, such as safeguard action, quantitative restrictions can be introduced under strictly defined criteia.9. Safeguards: emergency import measuresA safeguard measure is an import restriction which can be adopted in emergency circumstances, when imports have increased in such quantities and conditions that they are the cause of serious injury or threat of such injury to a domestic industry producing a like or directly competing product. An agreement on safeguards, setting out conditions and criteria for these actions, is one of the multilateral trade agreements. Measures affecting prices, that is tariffs, are preferable to quantitative restrictions. However, quantitative restrictions can be applied as safeguard measures in specific cases.10. Tariff renegotiations: compensationThe contractual nature of a bound tariff concession lies in the fact that the triff rate cannot be increased beyond the bound level. However, countries would not enter into this kind of commitment without the possibility of revision when the situation of a domestic industry so requires. The GATT 1994 allows for the possibility of renegotiations. A Member desiring to withdraw or modify tariff bindings has to renegotiate them with other interested Members and provide compensation, that is, substantially equivalent tariff concessions on other products.Questions for Discussion and Reflection:1. What does non-discrimination treatment mean?2. Please explain MFN and NT principles.3. Why should WTO member's trade policies be transparent?4. Why should quantitative restrictions be prohibited?5. What does "binding of tariffs" really mean?6. Why should safeguards be taken as one of the WTO principles?Chapter 3 WTO: Dispute Settlement1. The integrated dispute settlement systemThe integrated dispute settlement system is an important part of the multilateral trading system embodied in the WTO. It is based on Articles XX II and XXIII of the GATT 1994, and the rules and procedures further elaborated in the Understanding on Rules and Procedures Governing the Settlement of Disputes (DSU) contained in the WTO Agreement. The rules have evolved on the basis of past practice in GATT 1947.2. Coverage: goods, services and intellectual propertyThe dispute settlement system covers all the multilateral trade agreements, that is, it is applicable to trade in goods, trade in services, and intellectual property issues arising from the TRIPs Agreement. It is also applicable to disputes arising under the plurilateral Government Procurement Agreement. Some of these agreements have dispute settlement provisions that apply only to disputes arising under that specific agreement and that add to or change the rules of the DSU. The dispute settlement system is administered by the Dispute Settlement Body:3. Procedures: strict time-limitsThe dispute settlement process is initiated through a request for consultations made by one Member to another in respect of a specific issue. If consultations fail to resolve a dispute, a Member may ask the DSB to establish a panel, normally consisting of three independent trade experts, to rule on the issue. After hearing the parties, the panel issues a report to the DSB. For the panel, strict time-limits have been agreed so as to achieve the greatest efficiency possible under the system. A large degree of automaticity is involved in this process.4. Adoption of panel reports: the reverse consensusUnder GATT practice, the report of a panel was submitted to the GATT Contracting Parties for adotion. Since the Contracting Parties normally took decisions by consensus, any Party (including the losing Party) could block adoption of a panel report. While this did not occur frequently, it happened from time to time. An innovative formula has been agreed upon in the DSU, whereby a consensus in the negative is required in order not to adopt a panel report. This formula allows for a smoother functioning of the system.5. Appellate body reviewThe WTO dispute settlement mechanism gives the possibility of appeal to either party in a panel proceeding. However, any such appeal must be limited to issues of law covered in thepanel report and the legal interpretations developed by the panel. Appeals are heard by a standing Appellate Body consisting of seven members appointed by the DSB for four year terms. The report of the Appellate Body must be unconditionally accepted by the parties to the dispute, and the report is to be adopted by the DSB unless there is a negative consensus, that is a consensus against adoption.6. Non-compliance with recommendationsThe Dispute Settlement Body keeps under surveillance the implementation of adopted recommendations or rulings, and any outstanding issue remaining in its agenda until its resolution. Timelimits are also established for compliance with recommendations of panel reports. When a party is unable to implement those recommendations within a reasonable period of time, it is obliged to enter into negotiations with the complainant in order to determine mutually acceptable compensation. If these negotiations fail, the Dispute Settlement Body may authorize the complainant party to suspend concessions or obligations against the other party. Compensation and suspension of concessions are, however, interim solutions until such time when the recommendations of the DSB are implemented by the member concerned.Questions for Discussion and Reflection:1. What is dispute settlement mechanism?2. What is reverse consensus?3. Explain the dispute settlement procedures.4. What can be done if a member does not implement Dispute Settlement Body’srecommendations?Chapter 4 WTO: Trade Policy Review Mechanism1. IntroductionThe Trade Policy Review Mechanism (TPRM) was introduced into GATT in 1989 following the Mid-Term Review of the Uruguay Round. The mechanism was confirmed as an integral part of the WTO in Annex 3 of the Marrakesh Agreement establishing the World Trade Organization. Before 1995, trade policy reviews were restricted to trade in goods. In conformity with WTO rules, since 1 January 1995 reviews have also covered new areas like trade in services and intellectual property rights.2. ObjectivesThe purpose of the TPRM is to "contribute to improved adherence by all Members to rules, disciplines and commitments made under the Multilateral Trade Agreements and, where applicable, the Plurilateral Trade Agreements, and hence to the smoother functioning of the multilateral trading system, by achieving greater transparency in, and understanding of, the trade policies and practices of Members^. The review covers the full range of individual Members trade policies and practices and their impact on the functioning of the multilateral trading system. It is not confined to a consideration of the trade policies from the point of view of consistency with WTO rules. The purpose is to enable a collective appreciation and evaluation of these policies and practices. It is not meant to serve as a basis for enforcement of specific obligations or to impose new commitments.3. Trade policy reviewsThe TPRM seeks to achieve its objectives by conducting reviews, over time, of all WTO Members. Through such reviews, Members undertake the regular collective appreciation of the trade policies and practices of trading partners. Also examined is the impact on the multilateral trading system of such policies and practices.The reviews are set against the background of each country's wider economic and developmental needs, policies, objectives, and of its external economic environment.4. Scope of reviewsReviews in the TPRM seek to show the extent to which individual trading entities follow basic WTO principles. Those principles are as follows:—Transparency of trade policies;— Non-discrimination in treatment of trading partners;— Whether their policies contribute to trade liberalization;— The degree of stability and predictability in trade policies;— The pattern of protection and the extent to which tariffs only are used as measures of。