中国矿业大学 文法学院教案 Chapter 8: World Trade organization 通过本章教学,要求同学们了解WTO的发展历史、法律地位 黄教学目的及要求行机制和宏观法律框架,掌握WT基本原则,反倾销法律制度,补贴 决机制。 要求同学们掌握的内容为本章的教学重点,即如下内容: ①WTO基本原则; 教学重点②反倾销制度、补贴与反补贴措施、保障措施 ③技术性贸易壁垒等非关税措施; ④wTO的争端解决机制。 ①反倾销制度、补贴与反补贴措施、保障措施: 教学难点②技术性贸易措施等非关税措施 教学内容及文本演示 课外阅读法条 课堂讨论 ection l General Introduction to Wto ction 2: Major Principles ofWTo 1.WTO第一案 Section 3. GATT Exceptions 2.1998年海龟案 Section 4. Anti-dumping Multilateral Section5 subsidies and countervailing Agreements on Trade measures In G0o Section6. Safeguards 3中国入世第一案 ection 7. Non-tariff measures Section 8. GAtS GATS ection 9. Dispute settlement 本章思考题 1.针对国外的技术性贸易壁垒我国在对外贸易中应采取的措施 2.WTO争端解决机制的不足与完善
1 中 国 矿 业 大 学 文 法 学 院 教 案 Chapter 8：World Trade Organization 教学目的及要求 通过本章教学，要求同学们了解 WTO 的发展历史、法律地位、运 行机制和宏观法律框架，掌握 WTO 基本原则、反倾销法律制度、补贴 与反补贴措施、保障措施和一些重要的非关税措施以及 WTO 的争端解 决机制。 教 学 重 点 要求同学们掌握的内容为本章的教学重点，即如下内容： ①WTO 基本原则； ②反倾销制度、补贴与反补贴措施、保障措施； ③技术性贸易壁垒等非关税措施； ④WTO 的争端解决机制。 教 学 难 点 ①反倾销制度、补贴与反补贴措施、保障措施； ②技术性贸易措施等非关税措施； 教 学 内 容 及 文 本 演 示 课外阅读法条 课 堂 讨 论 Section 1. General Introduction to WTO Section 2: Major Principles of WTO Multilateral Agreements on Trade in Goods 1. WTO 第一案 Section 3. GATT Exceptions 2. 1998 年海龟案 Section 4. Anti-dumping Section5. Subsidies and countervailing measures Section6. Safeguards 3.中国入世第一案 Section 7. Non-tariff measures Section 8. GATS GATS Section 9. Dispute settlement DSU 本章思考题： 1. 针对国外的技术性贸易壁垒我国在对外贸易中应采取的措施。 2. WTO 争端解决机制的不足与完善
Chapter 8 World Trade organization Section General Introduction to wTO .I. A Brief History of GATt> .l. The Differences and Relations Between Wto and gatt> 亚. Nature> Ⅳ. Objectives> .v. Main functions> .V. Structure(Main Organs)> Ⅶ ecision-making Ⅷ. Legal framework> 1. A Brief History of GATT WTo- World Trade organization came into being on 1 January 1995 headquartered in Geneva, Switzerland .GATT- Generalagreement on tariffs and trade. Wtos 'predecessor-- was established on October, 1947 1. A Brief History ofGATT · the second world war .international economic cooperation Bretton Woods" conference ( New Hampshire) World Bank -International Bank for Reconstruction and Development IMF--International Monetary Fund TTO--International Trade organization specialized agencies of the United Nations 1. A Brief History of GaTT A Charter for an International Trade organization (to) was drafted by the us and amended by many other countries. The Charter was intended to provide not only world trade disciplines but also contained rules relating to employment
2 Chapter 8 World Trade Organization Section 1:General Introduction to WTO •Ⅰ. A Brief History of GATT> •Ⅱ.The Differences and Relations Between WTO and GATT> •Ⅲ. Nature > •Ⅳ. Objectives> •Ⅴ. Main functions> •Ⅵ. Structure (Main Organs)> •Ⅶ. Decision-making> •Ⅷ. Legal Framework> Ⅰ. A Brief History of GATT •WTO— World Trade Organization came into being on 1 January 1995. •headquartered in Geneva,Switzerland •GATT--- General Agreement on Tariffs and Trade, WTO’s •predecessor-- was established on October ,1947 I. A Brief History of GATT •the Second World War •international economic cooperation •“ Bretton Woods” conference （New Hampshire） •World Bank --International Bank for Reconstruction and Development •IMF--International Monetary Fund •ITO--International Trade Organization • specialized agencies of the United Nations I. A Brief History of GATT •A Charter for an International Trade Organization (ITO) was drafted by the US and amended by many other countries. •The Charter was intended to provide not only world trade disciplines but also contained rules relating to employment
commodity agreements, restrictive business practices, international investment and services .The rto Charter was finally agreed at a N Conference on Trade and employment in Havana in March 1948(so called “ Havana Charter”) .A long way to go for ratification by legislatures 1. A Brief History ofGATT While the charter was seeking ratifica tion in national legislatures tariff negotiations were opened among the 23 founding gatt "contracting parties" in order to give an early boost to trade liberalization after the second world war-and to begin to correct the large overhang(突出问题) of protectionist (贸易保护的) measures which remained in place from the early 1. A Brief History Of GATT .This first round of negotiations resulted in 45,000 tariff concessions(关税减让) affecting s10 billion- or about one-fifth of world trade .The tariff concessions and the principles and basic rules in the draft ito charter together became known as the general Agreement on Tariffs and Trade and entered into force in January 1948 It was assumed to be a provisional system before To 1. A Brief History of gatT .Although the Ito Charter was finally agreed at a UN Conference on Trade and employment in Havana in March 1948. ratification in national legislatures proved impossible in some .When the United states government announced, in 1950, that it would not seek Congressional ra tification of the havana charter the ito was effectively dead 1. A Brief History ofGATT Despite its provisional nature, the gatt remained the only multilateral instrument govern ing international trade from 1948 until the establishment of the wto Although, in its 47 years, the basic legal text of the gatt remained much as it was in 1948. there were additional
3 commodity agreements, restrictive business practices, international investment and services. •The ITO Charter was finally agreed at a UN Conference on Trade and Employment in Havana in March 1948 (so called “Havana Charter”). •A long way to go for ratification by legislatures I. A Brief History of GATT •While the charter was seeking ratification in national legislatures , tariff negotiations were opened among the 23 founding GATT “contracting parties” in order to give an early boost to trade liberalization after the Second World War - and to begin to correct the large overhang (突出问题）of protectionist (贸易保护的） measures which remained in place from the early 1930s . I. A Brief History of GATT •This first round of negotiations resulted in 45,000 tariff concessions （关税减让）affecting $10 billion - or about one-fifth - of world trade. •The tariff concessions and the principles and basic rules in the draft ITO Charter together became known as the General Agreement on Tariffs and Trade and entered into force in January 1948. •It was assumed to be a provisional system before ITO. I. A Brief History of GATT •Although the ITO Charter was finally agreed at a UN Conference on Trade and Employment in Havana in March 1948, ratification in national legislatures proved impossible in some cases. •When the United States' government announced, in 1950, that it would not seek Congressional ratification of the Havana Charter, the ITO was effectively dead. I. A Brief History of GATT •Despite its provisional nature, the GATT remained the only multilateral instrument governing international trade from 1948 until the establishment of the WTO. •Although, in its 47 years, the basic legal text of the GATT remained much as it was in 1948, there were additional
agreements and continual efforts to reduce tariffs. Much of this was achieved through a series of trade rounds 1. A Brief History ofGATT .There were altogether 8 rounds of negotiations under gatt The last one was the Uruguay[uruguai Round which created a new system-WTO After 8 years of negotia tion, every issue was finally resolved in 1992, and on 15 April 1994, the deal was signed by ministers from most of the 125 participating govern ments at a meeting in Marrakesh马拉克什, Morocco摩洛哥. 1. A Brief History of gATT In accordance with WTO Agreement (Marrakesh Agreement Establishing the World Trade organization), wtO came into being on January 1, 1995. WTO is One of the youngest of the international organizations, and the only global international organization dealing with the ules of trade between nations I. Differences and Relations Between wTo and GaTT A. Five differences .The World Trade organization is not a simple extension of GATT; on the contrary, it completely replaces its predecessor and has a very different character. Among the principal differences are the following l. Differences and Relations Between wtoand gatt .l. The gatt was a set of rules, a multilateral agreement, with no institutional foundation, only a small associated secretariat(th far)which had its origins in the attempt to establish an International Trade organization in the 1940s. .The wto is a permanent institution with its own secretariat
4 agreements and continual efforts to reduce tariffs. Much of this was achieved through a series of "trade rounds". I. A Brief History of GATT •There were altogether 8 rounds of negotiations under GATT. The last one was the Uruguay [′urugwai ]Round which created a new system—WTO . •After 8 years of negotiation, every issue was finally resolved in 1992, and on 15 April 1994, the deal was signed by Ministers from most of the 125 participating governments at a meeting in Marrakesh 马拉克什, Morocco 摩洛哥. I. A Brief History of GATT •In accordance with WTO Agreement (Marrakesh Agreement Establishing the World Trade Organization), WTO came into being on January 1,1995. •WTO is One of the youngest of the international organizations, and the only global international organization dealing with the rules of trade between nations. Ⅱ. Differences and Relations Between WTO and GATT A. Five Differences •The World Trade Organization is not a simple extension of GATT; on the contrary, it completely replaces its predecessor and has a very different character. Among the principal differences are the following: Ⅱ. Differences and Relations Between WTO and GATT •1. The GATT was a set of rules, a multilateral agreement, with no institutional foundation, only a small associated secretariat(秘 书处 ) which had its origins in the attempt to establish an International Trade Organization in the 1940s. •The WTO is a permanent institution with its own secretariat
I. Differences and relations Between wtoand gatt °2. The gatt was applied on a“ provisional basis” even if, after more than forty years, governmen ts chose to treat it as a permanent commitment(商业上的约定) The wTo commitments are full and permanent. l. Differences and relations Between wto and GaTT 3. The gatt rules applied only to trade in goods. .In addition to goods, the wto covers trade in services and trade-related aspects of intellectual property. l. Differences and Relations Between wto and GatT many new agreements had been added of a plurilateral 31 4. While gatt was a multilateral instrument, by the 19 therefore selective CThe agreements which constitute the wto are almost a multilateral and. thus involve commitments for the entire membership Plurilateral I. Differences and Relations Between wto and GATT '5. The wto dispute settlement sy stem is faster, more automatic, and thus much less susceptible(易受影响的) to blockages,than the old Gatt syster mplementation of wto dispute findings(裁决) will also be more easily assured I Differences and relations Beteen wto and GaTT B. Relations 1. As a factual institution--GaTT was replaced by Wto; 2. As an agreement--GaTTlives on as"GATT 1994;> 3. Basic principles are remained
5 Ⅱ. Differences and Relations Between WTO and GATT •2.The GATT was applied on a “provisional basis” even if, after more than forty years, governments chose to treat it as a permanent commitment(商业上的约定). • The WTO commitments are full and permanent. Ⅱ. Differences and Relations Between WTO and GATT •3. The GATT rules applied only to trade in goods. •In addition to goods, the WTO covers trade in services and trade-related aspects of intellectual property. Ⅱ. Differences and Relations Between WTO and GATT •4. While GATT was a multilateral instrument, by the 1980s many new agreements had been added of a plurilateral, and therefore selective. •The agreements which constitute the WTO are almost all multilateral and, thus, involve commitments for the entire membership. Plurilateral Ⅱ. Differences and Relations Between WTO and GATT •5. The WTO dispute settlement system is faster, more automatic, and thus much less susceptible (易受影响的)to blockages, than the old GATT system. The implementation of WTO dispute findings（裁决） will also be more easily assured. Ⅱ. Differences and Relations Between WTO and GATT B. Relations 1. As a factual institution--GATT was replaced by WTO; 2. As an agreement--GATT lives on as “GATT 1994”;> 3. Basic principles are remained
I. Differences and relations Between wtoand gatt OGATT lives on as"GATT 1994", the amended and up-dated version of gatt1947, which is an in tegral(构成整体所需要的 part of the Wto agreement and which continues to provide the key disciplines affecting international trade in goods. lI Nature .The World Trade Organization (wTO) is the international organization dealing with the rul des of trade between nations The WTo agreements are negotiated and signed by the bulk of the world's trading nations and ratified in their parlia ments. They are part of international law Its a rules-based, member-driven organ ization - all decisions are made by the member govern ments, and the rules are the outcome of negotiations among members. .It has international legal personality. The organization and its officials have some rights ofimmunity ⅣV. Objectives 1. To raise standards of living为了提高生活水平 2 To ensure full employment保证充分就业 .3. Growing volume of real income and effective demand .4 Expanding the production of and trade in goods services t 大生产和贸易 .5.Sustainable development and environmental protection tRy 和维护环境,寻求对世界资源的最佳利用,实现可持续发展的目 标, 6 Developing countries保证发展中国家、特别是最不发达国家 “在国际贸易增长中获得与其经济发展需要相当的份额”。 ˉback V Main functions 1. Implemen tation, administration and operation of the covered agreements各项贸易协议的履行、管理和实施 2. Forum for negotiations 发择谈判论坛的作用 3. Dispute settlement 4. Review of national trade policies
6 Ⅱ. Differences and Relations Between WTO and GATT •GATT lives on as “GATT 1994”, the amended and up-dated version of GATT 1947, which is an integral(构成整体所需要的） part of the WTO Agreement and which continues to provide the key disciplines affecting international trade in goods. Ⅲ. Nature •The World Trade Organization (WTO) is the only global international organization dealing with the rules of trade between nations. •The WTO agreements are negotiated and signed by the bulk of the world’s trading nations and ratified in their parliaments. They are part of international law. •It’ s a rules-based, member-driven organization — all decisions are made by the member governments, and the rules are the outcome of negotiations among members. •It has international legal personality. The organization and its officials have some rights of immunity. Ⅳ. Objectives •1.To raise standards of living 为了提高生活水平 •2.To ensure full employment 保证充分就业 •3.Growing volume of real income and effective demand •4.Expanding the production of and trade in goods & services 扩 大生产和贸易 •5.Sustainable development and environmental protection 保护 和维护环境，寻求对世界资源的最佳利用，实现可持续发展的目 标， •6.Developing countries 保证发展中国家、特别是最不发达国家 “在国际贸易增长中获得与其经济发展需要相当的份额”。 •back Ⅴ. Main functions •1.Implementation, administration and operation of the covered agreements 各项贸易协议的履行、管理和实施。 • 2.Forum for negotiations •发挥谈判论坛的作用 • 3.Dispute settlement • 4.Review of national trade policies
5. Coherence in global economic policy-making V Main functions 1. Implemen tation, administration and operation of the covered agreemen ats The 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 implemen tation, ad ministration and operation of the Plurilateral Trade agreements v Main functions 2 Forum for negotiations .The wto provides the forum for negotia tions on multilateral trade relations in matters covered by its various agreement 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. V Main functions 3. Dispute settlement .The WTo administers the 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. V Main functions .4. Review of national trade policies .The 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, discip lines and commitments of the multilateral trading system, and hence to the smoother functioning of the system V Main functions .5.Coherence in global economic policy-making A Ministerial Declaration adopted at the marrakesh ministerial
7 • 5.Coherence in global economic policy-making Ⅴ. Main functions •1.Implementation, administration and operation of the covered agreements •The 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. Ⅴ. Main functions •2.Forum for negotiations •The 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. Ⅴ. Main functions •3.Dispute settlement •The WTO administers the 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. Ⅴ. Main functions •4.Review of national trade policies •The 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. Ⅴ. Main functions •5.Coherence in global economic policy-making •A 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 and with the world bank. back V. Structure(Main Organs Ministerial Conference Dispute Settlement Body Trade Policy review body Councils Council for Trade in goods Council for Trade in Services Council for TRIP Committees and other subsidiary bodies Ministerial Conference .The 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 General Council .The 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. back Dispute Settlement Body cThe general Council acts also as the dispute Settlement body SB), which has its own Chairman and its own rules of procedure, to discharge(ali) the functions assigned to it under the dispute settlement Understanding
8 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 and with the World Bank. back Ⅵ. Structure (Main Organs) • Ministerial Conference • General Council • Dispute Settlement Body • Trade Policy Review Body •Councils • Council for Trade in Goods • Council for Trade in Services • Council for TRIPs •Committees and other subsidiary bodies Ministerial Conference •The 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. General Council •The 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.back Dispute Settlement Body •The General Council acts also as the Dispute Settlement Body (DSB), which has its own Chairman and its own rules of procedure, to discharge（履行）the functions assigned to it under the Dispute Settlement Understanding
Trade policy Review Body cThe general Council meets also as the 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 (RE), as provided for in the Trade Policy Review Mechanism. Councils .Three 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. Council for Trade in Goods . The 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 (GATT)and related Understandings, and twelve other agreements as contained in annex ia to the wto agreement ●back Council for Trade in Services .The Council for Trade in Services oversees the functioning of the general agreement on Trade in Services (GATS). back Council for TRIPs . The council for TRIPs oversees the functioning of the Agreement on Trade-Related Aspects of Intellectual Property Rights(triPs agreement). VI. Decision-making .The 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
9 Trade Policy Review Body •The General Council meets also as the 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 （做法）, as provided for in the Trade Policy Review Mechanism. Councils •Three 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. • Council for Trade in Goods •The 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 (GATT) and related Understandings, and twelve other agreements, as contained in Annex 1A to the WTO Agreement. •back Council for Trade in Services •The Council for Trade in Services oversees the functioning of the General Agreement on Trade in Services (GATS). •back Council for TRIPs •The Council for TRIPs oversees the functioning of the Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPs Agreement). Ⅶ. Decision-making •The 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
V. Decision-makin .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 as the following VI Decision-making 1. At meetings of the minis terial Conference and the general Council each member of the wto shall have one vote. where the european Communities exercise their right to vote, they shall have a number of votes equal to the number of their member States which are members of the wto V. Decision-making .2. Decisions of the Ministerial Conference and the general Council shall be taken by a majority of the votes cast, unless otherwise provided in this agreement or in the relevant (NaE 的) Multilateral trade agreemen部长级会议和总理事会的决定 应以所投票数的简单多数作出,除非本协定或有关多边贸易协定 另有规定。 VI. Decision-makin .3.The ministerial Conference and the general Council shall have the exclusive authority to adopt interpretations of wTo Agreement and of the Multilateral Trade agreements. The decision to adopt an interpretation shall be taken by a three-fourths majority of the Members. WI. Decision-making In exceptional circumstances(在特殊情况下), the ministerial Conference may decide to waive(放弃,免除) an obligation imposed on a Member by WTo Agreement or any of the Multilateral Trade agreements, provided that any such decision shall be taken by three fourths of the members unless otherwise provided for in WTO agreement. ●back YH. Legal framework WTOAgreement (Full Name) . WTO Agreement---Marrakesh Agreement Establishing the World Trade organization Annex 1B gats--General agreement rade in services Annex ic triPs--Trade-Related
10 Ⅶ. Decision-making •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 as the following. Ⅶ. Decision-making •1. At meetings of the Ministerial Conference and the General Council, each Member of the WTO shall have one vote. Where the European Communities exercise their right to vote, they shall have a number of votes equal to the number of their member States which are Members of the WTO. Ⅶ. Decision-making •2. Decisions of the Ministerial Conference and the General Council shall be taken by a majority of the votes cast, unless otherwise provided in this Agreement or in the relevant （相应 的）Multilateral Trade Agreement.部长级会议和总理事会的决定 应以所投票数的简单多数作出，除非本协定或有关多边贸易协定 另有规定。 Ⅶ. Decision-making • 3.The Ministerial Conference and the General Council shall have the exclusive authority to adopt interpretations of WTO Agreement and of the Multilateral Trade Agreements. The decision to adopt an interpretation shall be taken by a three-fourths majority of the Members. Ⅶ. Decision-making •4.In exceptional circumstances(在特殊情况下）, the Ministerial Conference may decide to waive（放弃，免除） an obligation imposed on a Member by WTO Agreement or any of the Multilateral Trade Agreements, provided that any such decision shall be taken by three fourths of the Members unless otherwise provided for in WTO agreement. •back Ⅷ.. Legal Framework WTO Agreement (Full Name) •WTO Agreement---Marrakesh Agreement Establishing the World Trade Organization •Annex 1B GATS---General Agreement on Trade in Services •Annex 1C TRIPS---Trade-Related