国际经济与贸易本科毕业论文外文资料翻译.doc

本 科 生 毕 业 论 文外 文 资 料 翻 译 专 业 国际经济与贸易 班 级 *班 姓 名 指导教师 * 所在学院 现代服务业学院 附 件1.外文资料翻译译文;2.外文原文 一、介 绍电视机、玩具、化妆品、医疗设备、化肥、肉类和奶酪都受制于一些关于其自身特点和生产方式的要求。这些要求的目的可能是保护生命或健康，保护环境，防止欺诈行为，或是为了确保产品的质量。这些可能是由政府制定和执行的强制性要求。然而，更多地时候，这些要求被国家性的标准化组织放大，它们不是强制性的但一般被运用在特定国家的贸易往来中。在这两种情况下，这些要求可能构成强大的贸易壁垒。由于B国家有关产品特性和生产方式的要求与A国家不同，那些根据A国家要求制造出来的电视机和奶酪可能会被禁止或难以进入市场。此外，使用程序来核实产品是否符合某一强制性或自愿性要求可能会阻碍贸易。这种类型的措施一般被称为技术性贸易壁垒。本文阐述了WTO法规中的技术性贸易壁垒。我们必须要区分已经在TBT协议中有所规定的一般范畴的技术性贸易壁垒和特殊类别的技术性贸易壁垒，即在SPS协议中涉及的卫生与植物卫生措施。TBT 协议和SPS协议的条款对国际贸易而言具有非常重要的意义。这些条款至于GATT义务之上，不仅避免歧视或者抵制进口产品以及配额限制，反而能加之某些国际规则于国内产品关于产品特质和生产的规定。二、TBT协议如上所述，有关一般范畴的技术性贸易壁垒的WTO规则被载于“TBT协议”。本节讨论以下内容：TBT协议的适用范围； TBT协议与其他WTO协议的关联，特别是与SPS协议和1994年关贸总协定的联系；关于TBT协议的实质性条款；关于TBT协议制度上和程序上的条款以及对发展中国家成员的特殊条款。（一）TBT协议的适用范围关于TBT协议的适用范围，本部分对实质性的适用范围，即适用于本协定的措施，个人适用范围，即适用于本协议的实体和本协议的时间适用范围进行区分。1、实质性的适用范围TBT协议的规则适用于技术法规、标准和合格评定程序。技术法规的定义为强制执行的规定产品特性或相应加工和生产方法的包括可适用的行政（管理）规定在内的文件。它也可以包括或专门给出适用产品、加工或生产方法的术语、符号、包装、标志或标签要求方面的内容。例如，一项法律要求9伏或以上的电池充电，或一项法律要求酒需要用绿色玻璃瓶进行销售都是适用于TBT协议的技术法规。一项法律要求医药产品的生产要满足关于制作方式和植物清洁的一定要求也是属于TBT协议使用范围内的技术法规。标准的定义为被公认机构批准的，非强制性的，为了通用或反复使用的目的，为产品或其加工和生产方法提供规则、导则或特性的文件。标准可以包括或专门给出适用于产品、加工或生产方法的术语、符号、包装、标志或标签要求方面的内容。与技术法规相反，标准属于自愿性质，意味着服从不是强制性的。自愿标准由欧洲电工标准化委员会设置，类似手机或掌上电脑的标准显而易见是适用于TBT协议的标准。除了技术法规和标准，合格评定程序也属于TBT协议的范围。合格评定程序的定义为直接或间接用来确定是否满足技术法规或标准相应规定的程序。合格评定程序的例子包括抽样、测试和检验程序。适用于技术法规、标准和合格评定程序的TBT协议与产品（包括工业品和农业品），工艺流程及生产方法相关。这是一个有争议的问题，然而，适用于TBT协议的工艺流程和生产方法使用包括与非产品相关的工艺流程及生产方法。这个属于是指工艺流程和生产方法不会影响最终投放市场的产品的特性。在TBT协议谈判中讨论是否应该把这一部分包含在协议范围内。然而，这一讨论没有达成共识。2、个人适用范围虽然TBT协议主要是面向中央政府机构，它明确旨在扩大关于其他机构负责技术法规和标准的建立或合格评定程序的执行这方面的范围。这些包括在TBT协议中的其他机构主要由地方政府机构和非政府机构组成。非中央政府的政府机构（如州、省、郡、镇、市等）及其各部或部门或在所述活动上受这类政府控制的任何机构。在TBT协议中的非政府机构被定义为那些除了中央政府或具有执行技术法规的合法权利的地方政府机构以外的机构。TBT协议扩展了对这些机构的范围，WTO成员的义务是采取措施确保地方政府机构和非政府机构符合TBT协议，或者避免采取措施，这样能鼓励这些不符合TBT协议条款的其他机构的行为。3、时间适用范围在欧共体，引发了在1995年1月1日生效的TBT协议是否适用于技术法规的问题。应用协议的基本条款，陪审团和上诉机构都认为在1995年1月1日前被接受的欧共体条例仍然生效。从而这不能被视为停止存在的情况。所以，结论为在1995年1月1日前被采用的TBT协议适用于技术法规仍然有效。（二）与其他WTO协议的关系1、SPS协议和政府采购协议如上所述，TBT协议的范围取决于措施的类型。大体上，TBT协议适用于定义在TBT协议附件中的技术法规、标准和合格评定程序。然而，为了避免与其他WTO协议重复，TBT协议适用范围的限制有利于其他两部WTO协议，即政府采购协议和SPS协议。这两部协议的适用性都排除了TBT协议的适用性，技术讨论的措施符合这两部协议。2、1994年关税总协定 1994年关税总协定和TBT协议的关系是他们的性质不同以及他们不是以由其他协议适用性引发其中一份协议适用性的排斥性为特性。（三）TBT协议实质性条款TBT协议基本的实质性条款包含了一些能在1994年关税总协定中找到的原则，比如：最惠国待遇，国民待遇原则以及避免成为国际贸易障碍的义务。国民待遇和最惠国待遇适用于技术法规。区别于以上讨论的基本实质性条款，TBT协议还包含了其他一些值得一提的实质性条款。本段简短地讨论了TBT协议中有关对等和共识、产品性能方面的要求，透明度和通知的实质性条款。关于对等和共识，TBT协议要求WTO成员考虑相等地接受其他成员的技术法规。如果他们满意外国技术法国能充分履行本国技术法规所追求的合法目的，那么他们应该，也只能这么做。关于产品性能方面的要求，TBT协议更倾向于成员采用在产品性能方面要求基础上的技术法规。至于标准，TBT协议附件三也规定更倾向于建立在产品性能方面的要求基础上的标准。（四）制度上和程序上的TBT协议条款 除了以上讨论过的实质性条款，TBT协议还包含一些制度上和程序上的条款，包括技术性贸易壁垒委员会和争端处理。技术性贸易壁垒委员会由所有WTO成员和会员的代表在必要时组成。TBT委员会的作用是提供给成员一个关于TBT协议运作和目标过程中出现的任何问题的讨论磋商。它也必须承担该协议实施和操作的年度审查。就影响本协定执行的任何事项进行磋商和争端的解决均应在争端解决机构的主持下进行，并应按照争端解决协定说明和实施细则遵循1994年GATT中条款22和条款23的规定。（五）发展中国家的特殊条款正如其他一些WTO协议，TBT协议考虑到发展中国家的特殊处境和他们在遵守TBT协议义务时可能会遇到的问题。条款包括对发展中国家的技术援助和提供特殊和差别待遇的条款。根据第11条，缔约方应向各发展中国家缔约方提供技术协助，以确保技术法规、标准及合格评定程序的制定和实施不会对各发展中国家缔约方出口的扩大和多样化造成不必要的障碍。在确定技术协助的条款和条件时，应考虑到请求方，特别是最不发达国家缔约方的发展阶段。WTO Rules on Technical Barriers to Trade1. INTRODUCTIONTV sets, toys, cosmetics, medical equipment, fertilisers, meat and cheese are all subject to requirements relating to their characteristics and/or the manner in which they are produced. The purpose of these requirements may be the protection of life or health, the protection of the environment, the prevention of deceptive practices or to ensure the quality of products. These requirements may be mandatory, set and enforced by governments. More often, however, these requirements are rules laid down by national standardisation bodies, which are not mandatory but are nevertheless generally adopted in business transactions in a given country. In both cases, these requirements may constitute formidable barriers to trade. TV sets and cheese made according to the requirements of country A may be banned from, or difficult to market in, country B when the requirements of country B relating to the characteristics or the manner of production are different. Furthermore, procedures used to verify whether a product meets certain mandatory or voluntary requirements may obstruct trade. Measures of this kind are commonly referred to as technical barriers to trade. This paper deals with the WTO law on such barriers. One must distinguish between: the general category of technical barriers to trade, for which rules have been set out in the Agreement on Technical Barriers to Trade, commonly referred to as the TBT Agreement; and a special category of technical barriers to trade, namely sanitary and phytosanitary measures, for which rules are provided in the Agreement on the Application of Sanitary and Phytosanitary Measures, commonly referred to as the SPS Agreement. The rules of the TBT Agreement and the SPS Agreement are of great importance to international trade. As discussed below, these rules go significantly beyond the GATT obligations not to discriminate among or against imported products. They impose certain international disciplines on national regulation regarding products, their characteristics and production. 2. THE TBT AGREEMENTAs noted above, the WTO rules on the general category of technical barriers to trade are set out in the TBT Agreement. This section discusses: the scope of application of the TBT Agreement; the relationship between the TBT Agreement and other WTO agreements, in particular, the SPS Agreement and the GATT 1994; the substantive provisions of the TBT Agreement ;the institutional and procedural provisions of the TBT Agreement; and special provisions for developing country Members. 2.1. Scope of Application of the TBT Agreement With respect to the scope of application of the TBT Agreement, this section distinguishes between the substantive scope of application, i.e., the types of measures to which the agreement applies, the personal scope of application, i.e., the entities to whom rules of the TBT Agreement apply, and the temporal scope of application of the agreement. 2.1.1. Substantive scope of application The rules of the TBT Agreement apply to: technical regulations; standards; and conformity assessment procedures. In Annex 1.1, a technical regulation is defined as:document which lays down product characteristics or their related processes and production methods, including the applicable administrative provisions, with which compliance is mandatory. It may also include or deal exclusively with terminology, symbols, packaging, marking or labelling requirements as they apply to a product, process or production method.For example, a law requiring that batteries of 9 Volts or more be rechargeable, or a law requiring that wine be sold in green glass bottles are technical regulations within the meaning of the TBT Agreement. A law requiring that the production of pharmaceutical products meet certain requirements regarding manufacturing practices and plant cleanliness is also a technical regulation falling within the scope of application of the TBT Agreement.Annex 1.2 of the TBT Agreement defines a standard as: document approved by a recognised body, that provides, for common and repeated use, rules, guidelines or characteristics for products or related processes and production methods, with which compliance is not mandatory. It may also include or deal exclusively with terminology, symbols, packaging, marking or labelling requirements as they apply to a product, process or production method.Contrary to technical regulations, standards are of a voluntary nature, meaning compliance is not mandatory. The voluntary standards set by CENELEC (the European Committee for Electrotechnical Standardisation), such as standards for mobile phones or handheld computers, are clearly standards within the meaning of the TBT Agreement. In addition to technical regulations and standards, conformity assessment procedures also fall within the scope of application of the TBT Agreement. Conformity assessment procedures are defined in Annex 1.3 of the TBT Agreement as: any procedure used, directly or indirectly, to determine that relevant requirements in technical regulations or standards are fulfilled. Examples of conformity assessment procedures include, for example, procedures for sampling, testing and inspection.The TBT Agreement applies to technical regulations, standards and conformity assessment procedures relating to: products (both industrial and agricultural); and processes and production methods (PPMs).It is a subject of much debate, however, whether the processes and production methods, to which the TBT Agreement applies, include the so-called non-product related processes and production methods (NPR-PPMs). This term refers to processes and production methods that do not affect the characteristics of the final product put on the market. During the negotiations on the TBT Agreement, discussion took place on whether this group should be included in the scope of the agreement. This discussion, however, did not result in consensus.2.1.2. Personal scope of application Although the TBT Agreement is mainly addressed to central government bodies, it explicitly aims to extend its application to other bodies responsible for the establishment of technical regulations, standards, or execution of conformity assessment procedures. These other bodies covered by the TBT Agreement primarily consist of local government bodies and non-governmental bodies.Local government bodies are all bodies of government other than the central government, such as provinces, Lnder, cantons or municipalities. They include any organ subject to the control of such a local government in respect of the activity in question.17 Non-governmental bodies in the context of the TBT Agreement are defined as bodies other than central government or local government bodies that have legal power to enforce a technical regulation.18The TBT Agreement extends its application to those other bodies by imposing, on WTO Members, the obligation:to take measures in order to ensure compliance with the TBT Agreement by local government bodies and non-governmental bodies; or to refrain from taking measures that could encourage actions by these other bodies that are inconsistent with the provisions of the TBT Agreement. 2.1.3. Temporal scope of applicationIn EC - Sardines, the issue arose whether the TBT Agreement applied to technical regulations which were already in force on 1 January 1995, i.e., the date on which the TBT Agreement entered into force. Applying this basic provision of treaty law, both the Panel and the Appellate Body held that the EC Regulation, although adopted prior to 1 January 1995, was still in force and thus could not be considered as a situation which has ceased to exist.21 Therefore, it can be concluded that the TBT Agreement applies to technical regulations which, although adopted prior to 1995, are still in force.2.2. Relationship with Other WTO Agreements2.2.1. The SPS Agreement and the Agreement on Government Procurement As mentioned above, the scope of the TBT Agreement is determined by the type of measure. The TBT Agreement applies, in principle, to technical regulations, standards and conformity assessment procedures as defined in Annex 1 of the TBT Agreement. However, to avoid overlap with other WTO Agreements, the scope of application of the TBT Agreement has been limited in favour of two other WTO Agreements, the Agreement on Government Procurement and the SPS Agreement. The applicability of either of these agreements excludes the applicability of the TBT Agreement, even where the measures at issue are found to be in conformity with these agreements.2.2.2. The GATT 1994 The relationship between the GATT 1994 and the TBT Agreement is of a different nature and is not characterised by the exclusion of applicability of one of these agreements triggered by the applicability of the other one.2.2.3. Substantive Provisions of the TBT AgreementThe basic substantive provisions of the TBT Agreement contain several principles that are also found in the GATT 1994, such as: the most-favoured-nation (MFN) treatment obligation, the national treatment obligation and the obligation to refrain from creating unnecessary obstacles to international trade. The national treatment obligation and the MFN treatment obligation thus apply to technical regulations.Apart from the basic substantive provisions discussed in the previous section, the TBT Agreement also contains a number of other substantive provisions which deserve to be mentioned. This section briefly examines the substantive provisions of the TBT Agreement relating to:equivalence and mutual recognition; product requirements in terms of performance; and transparency and notification. The TBT Agreement thus requires WTO Members to consider accepting, as equivalent, the technical regulations of other Members. They should, however, only do so if they are satisfied that the foreign technical regulations adequately fulfil the legitimate objectives pursued by their own technical regulations.The TBT Agreement thus prefers Members to adopt technical regulations on the basis of product requirements in terms of performance. With regard to standards, Annex 3 I of the TBT Agreement provides for the same preference for standards based on product requirements in terms of performance.2.4. Institutional and Procedural Provisions of the TBT Agreement In addition to the substantive provisions discussed above, the TBT Agreement also contains a number of institutional and procedural provisions. This section deals with the provisions on: the TBT Committee; and dispute settlement. This Committee is composed of representatives of all WTO Members and meets when necessary. The function of the TBT Committee is to provide Members with a forum for consultations regarding any matters pertaining to the operation or objectives of the TBT Agreement. It must also undertake an annual review of the implementation and operation of the Agreement (annual reviews).Consultations and the settlement of disputes with respect to any matter affecting the operation of the TBT Agreement shall follow the provisions of Articles XXII and XXIII of the GATT 1994 as elaborated on and applied by the Dispute Settlement Understanding (DSU).2.5. Special Provisions for Developing Countries As with many other WTO agreements, the TBT Agreement takes into account the specific situation of developing country Members and the problems they may encounter in complying with the obligations of the TBT Agreement. This section discusses: technical assistance for developing country Members; and provisions providing for special and differential treatment. Pursuant to Article 11 of the TBT Agreement, Members shall, upon request, advise orprovide technical assistance to the requesting Member, in particular to least-developed country Members. The advice and technical assistance referred to in Article 11 primarily concern assistance in establishing institutions or legal frameworks dealing with the preparation of technical regulations and standards and the development of conformity assessment procedures. 一、技术性贸易壁垒的解决方法 为了解决技术性贸易壁垒，国家已经在国际贸易协议中增加条款，试图使达到合法公共政策的目标和增加国际贸易往来达到一个平衡点。关于技术性贸易壁垒的协议或条款依赖大量的核心原则或自由化技术性贸易壁垒的选择，尽管关于被采用的范围中的每条原则都是可变的。本章简要地介绍了被决策者和监督机关采用的能减轻技术性贸易壁垒的方法，以及概括的阐述已经包括在WTO/TBT协议中的职责和建议。本章节不是为了提供一个对各方法优点和好处的深入分析，而是在评价用于双边、区域和多边自由贸易协议和关税同盟的方法和政策选择的基础上，提供一些背景信息。（一） 核心政策选择第一，协调一致的技术法规、标准和合格评定程序。有关统一标准的相关措施可能意味着一缔约方单方面地接受来自另一方的一套措施和指导，或近似于现有的国际性或区域性的措施和指导。在第二和第三选择的情况下，统一常常意味着参加国际性或区域性的标准化机构。法规和标准的协调一致可以完整或仅限于“本质特性”。贸易方最主要的利益为：公司只需要遵守技术法规、标准和合格评定程序之中的一套法规。此外，统一提高了进口产品和国内产品的兼容性，进一步促进了国际贸易的发展。第二技术法规和标准的共识或对等。为了达到相同的监管目标，当这些各具不同的技术规范被双方认可，认可等同于技术法规和标准为另一缔约方采用。（“对等”是指单边认可；“共识”是指相互认可）。共识能使产品满足任何缔约方的法规和标准，从而使其不受限制地进入其他缔约方的市场。贸易放最重要的利益为：公司不用符合其他缔约方的法规和标准就能进入他们的市场。他们只需要符合一套法规和标准就能进入所有缔约方的市场。第三，合格评定结果共识。范围为：缔约方监管当局认可由其他缔约方的合格评定机构出具的检验报告和证明。一个广泛机制的存在以便于接受一些或全部来自其他缔约方的合格评定结果，包括：信赖供应商的符合标准声明；在来自各个缔约方领土内的合格评定机构中间进行自由安排；关于相互接受合格评定程序的结果的协议，由其他缔约方的合格评定机构承担；符合条件的合格评定机构的认证程序；政府制定的合格评定机构。贸易方的利益为：企业不需要进行多次的产品检验和证明。产品在出口前进行测试和认证，并可以进入其他缔约方的市场，而无需接受重复合格评定。第四，透明度。它的范围为：他们接受的技术法规、标准和合格评定程序之前的通知。被采用的技术法规、标准和合格评定程序的出版。为贸易方设置全国性和地区性的咨询处。要求通知方提供一份说明，解释为何在存在国际标准的地方不适用该国际标准。在制定法规和标准时其他缔约方法人代表的参与。贸易方所收到的好处为：公司都知道他们需要遵守的技术法规、标准和合格评定程序，以便进入其他缔约方的市场。在某些情况下，他们可以发表评论或参与其他缔约方法规和标准的制定。（二） 技术性贸易壁垒的WTO协议关于技术性贸易壁垒的WTO协议扩大和加强了关于技术法规和标准的国际学科的范畴和覆盖面，并且提供了一套全面监管的TBT准则。因为世贸组织要求成员坚持WTO/TBT协议。WTO/TBT协议的目的是为了确保有关产品和加工的技术法规、标准和合格评定程序不给国际贸易造成不必要的阻碍，同时认可国家的权利，让他们采用他们认为合适的产品标准和法规。DO BILATERAL AND REGIONAL APPROACHES FOR REDUCING TECHNICAL BARRIERS TO TRADE CONVERGE TOWARDS THE MULTILATERAL TRADING SYSTEM?1. APPROACHES FOR ADDRESSING TECHNICAL BARRIERS TO TRADEIn order to address TBT, countries have included provisions in international trade agreements that attempt to strike a balance between legitimate public policy objectives and increased international trade flows. These agreements or provisions regarding TBT rely on a number of (compatible) core principles or options to liberalise TBT, though the scope adopted vis-vis each of those principles can vary. This Chapter briefly explains the approaches policymakers and regulators have adopted to reduce technical barriers to trade, and outlines the obligations and recommendations which have been included in the WTO TBT Agreement. This section is not meant to provide an in-depth analysis of the benefits and challenges of each approach, but rather to provide some background information in view of assessing the approaches and policy options used in bilateral, regional and pluri