国际商法第五版第七章ppt课件

.,CHAPTER7,TRADEINGOODS,.,CHAPTER7TRADEINGOODS,Topicsforthischapter:HistoryofContemporaryInternationalTradeLawTheWorldTradeOrganizationThe1994GeneralAgreementonTariffsandTradeMultilateralTradeAgreements,.,HistoryofContemporaryInternationalTradeLaw,Duringthepastsixdecades,therehasbeenamovementawayfromtariffsandquotasandtowardfreetradeamongnations.Therehasbeenashiftawayfromprotectingonesownbusinessestowardmultilateraleffortstoreducetariffsandothertradebarriers.,.,Protectionism,TheUSraisedtariffsonmorethan900itemsin1930andmajortradingnationsreciprocatedwithsimilarincreases.RooseveltadvocatedloweringtariffsaspartofhisrecoveryplanfromtheGreatDepression.Startingin1934,theUSenteredintobilateraltradenegotiationstomutuallylowertariffs.TheendofWWIIledtoanintegratedinternationalsystemtoencouragetradeliberalizationandmultilateraleconomiccooperation.,.,TheBrettonWoodsSystem,.,TheBrettonWoodsSystem,Wassupposedtocreateasystemthatwouldpromotetradeliberalizationandmultilateraleconomiccooperation.Intendedtocreateamultilateralinstitutionalframeworkofrulesandobligationsthroughthreeorganizations:InternationalMonetaryFund(IMF)InternationalBankofReconstructionandDev.(IBRD)InternationalTradeOrganization(ITO)ITOcharterneversubmittedbyPres.TrumantoSenateforconfirmationduetofearthatitwouldbedefeated,harmingU.S.foreignrelations.,.,The1947GeneralAgreementonTariffsandTrade,InsteadoftheITO,thedevelopedmarket-economycountriesenteredintotheGeneralAgreementonTariffsandTrade(GATT)1947,amultilateralagreementthatsetouttherulesunderwhichthecontractingstateswerecommittedtonegotiatereductionsincustomstariffsandotherimpedimentstointernationaltradeingoods.GATT1947cametogovernalmostalloftheworldstrade.,.,MainPrinciplesofGATT1947,Tradediscriminationforbidden.Eachstatehadtoaffordmost-favored-nationstatustoallothercontractingstatesequally;foreigngoodstreatedthesameasdomesticgoodsaccordingtothenationaltreatmentprinciple.Most-favored-nationstatus:WhenaGATTmembernationsetsafavorabletariffrateonaparticulartypeofgoodsimportedfromoneGATTmember,thesametariffratemustbesetonthosegoodsforotherGATTnations.,.,MainPrinciplesofGATT1947,Nationaltreatmentprinciple:Oncegoodsarelegallyimported,theymustbetreatedthesamewayasdomesticgoods.Onlybarriersthatonecontractingstatecouldusetolimittheimportationofgoodsfromanothercontractingstatewerecustomstariffs.Thetraderegulationsofcontractingstateshadtobetransparent.Transparent:traderegulationsGATTmembersmustbepublishedandavailabletomembers.,.,MainPrinciplesofGATT1947,Customsunionsandfreetradeagreementsbetweencontractingstateswereacceptableforliberalizingtradesolongastheydidnotdiscriminateagainstthird-partyGATTstates.GATTstateswereonlyallowedcertainchargesonimportedgoods:ImporttaxequaltointernaltaxesAntidumpingdutiesCountervailingdutiestocounteractforeignexportdutiesFeesandproperchargesforservicesrendered,.,MultilateralTradeNegotiations,ToupdateGATT1947,contractingpartiesparticipatedinmultilateraltradenegotiations(MTNs),whichareknownasrounds.Thefirstfiveroundsweremostlydevotedtoreducingtariffs.Thelastthreecompletedroundsexpandedtohandlenon-tariffmatters.Theeightroundswere:Geneva1947Annecy,France(1949)Torquay,England(1950-1951),.,MultilateralTradeNegotiations,Geneva(1955-1956)DillonRoundGeneva(1961-1962)KennedyRoundGeneva(1964-1967)EstablishedthepracticeofsettinganagendaanddefiningthetechniquesforGATTnegotiations.Declaredacrosstheboardtariffreductions.Alloweddevelopingstatestonotexercisereciprocitywithdevelopedstates.Producedagreementonantidumping.,.,MultilateralTradeNegotiations,TokyoRoundGeneva(1973-1979)Producedseveralspecialagreements(codes)CustomsvaluationSubsidiesandcountervailingmeasuresAntidumpingStandardsImportlicensingGovernmentprocurement,.,MultilateralTradeNegotiations,TokyoRound(continued)Alsoreachedagreementsinthreespecialsectors:CivilaircraftDairyproductsBovinemeatUruguayRoundinfourcities(1986-1994)EstablishedtheWorldTradeOrganization,Meatproductionandexportationhasbeenanissueatmanysessionsofthreedifferentrounds.Photo:KarissaHamblet,.,Ex.7-2ResultsoftheUruguayRound,MultilateralTradeAgreementsbindingonallmembers.PlurilateralTradeAgreementsonlybindingonstateswhoaccept.,.,TheWorldTradeOrganization,TheWTOisanintergovernmentalorganizationresponsiblefor:Implementing,administering,andcarryingouttheWTOAgreementanditsannexes.ActingasaforumforongoingMTNs.Servingasatribunalforresolvingdisputes.ReviewingthetradepoliciesandpracticesofWTOmembers.,,.,TheWTOAgreement,TransformedGATT1947,whichwasatradeaccordservicedbyaprofessionalsecretariat,intoamembershiporganization.Theoriginalmembershipof125in1994hasgrowntomorethan150.WTOwascreatedasaunifiedadministrativeorgantooverseetheUruguayRoundAgreements.Doesnotcreateanewsupranationalorganization.Isguidedbytheprocedures,customarypractices,anddecisionsoftheoldGATT.TheWTOhasnomorepowerthanGATTdidunderpreviousagreements.,.,WTOMembership,TheUkraineenteredtheWTOinFebruary2008,bringingthemembershipto151nations.GATT1947membersandEUmemberswereeligibletobecomeoriginalmembers.AnynewmembermustnegotiateentryintotheWTOandbeapprovedby2/3ofthemembers.MembersmaywithdrawfromtheWTOwithsixmonthsnoticetothedirector-general.,.,StructureoftheWTO,TheWTOhasfivemainorgans:aMinisterialConference,aGeneralCouncil(actsasDisputeSettlementBodyandTradePolicyReviewBody),aCouncilforTradeinGoods,aCouncilforTradeinServices,andaCouncilforTrade-RelatedAspectsofIntellectualPropertyRights.AllmembersbelongtotheMinisterialConferenceandtheGeneralCouncil.TheGeneralCouncilnamesthemembersoftheotherorgans.,.,MinisterialConference,MeetsatleasteveryotheryeartooverseetheoperationoftheWTO.Hasfivestandingcommitteesthatdealwith:tradeanddevelopment;balance-of-paymentrestrictions;budget,finance,andadministration;tradeandenvironment;andregionalagreements.,.,GeneralCouncil,CarriesonfunctionofMinisterialConferencebetweenmeetings.Convenestooperateas:WTODisputeSettlementBodyWTOTradePolicyReviewBodyOverseessubordinatecommitteesandtheimplementationandadministrationofthethreemainWTOagreements:GATT94,GATS,andTRIPS.ArrangeseffectivecooperationwithIGOsandNGOsinmattersofinteresttotheWTO.,.,DecisionMakingWithintheWTO,TheWTOcontinuesthepracticeofdecisionmakingbyconsensusfollowedunderGATT1947.Consensusisthemakingofadecisionbygeneralagreementintheabsenceofanyvoicedobjection.Adecisioncanbemadebysimplemajorityvoteifaconsensusisnotreached.,.,Waivers,Awaiveristherelinquishmentofanobligationowedbyanother.UnderGATT1947,acountrycouldavoidtraderegulationsbygettingawaiver.TheWTOterminatedexistingwaiversin1996.Togetanewwaiver,thememberstatemustdescribethemeasurethatitproposestotake,specifythepolicyobjectivesitseekstoobtain,explainwhyitcannotachievetheseobjectiveswithoutviolatingGATT1994.TheMinisterialConferencemustapprove.,.,The1994GATT,GATT1994istheAnnextotheAgreementEstablishingtheWTOthatsetsouttherulesunderwhichmembersofthatorganizationarecommittedtonegotiatereductionsincustomstariffsandotherimpedimentstointernationaltradeingoods.GATT1947continuestoexistandcountriesmaybemembersofboth.WTOisguidedbythedecisions,procedures,andcustomarypracticesfollowedbythepartiesoftheGATT1947.,.,DirectEffect,Directeffect:theprinciplewherebyatreatymaybeinvokedbyaprivatepersontochallengetheactionsofastatethatispartytothetreaty.SomeGATT1994provisionsaredirectlyeffective.ProvisionsthatprohibitastatefromtakingactioncontrarytotheGeneralAgreementaredirectlyeffective.,WTOheadquartersinGeneva,Switzerland(DrawingcourtesyofM.Nicole,LosAngeles.),.,Case7-1FinanceMinistryv.ManifatturaLaneMarzotto,SPA,PlaintiffsuedFinanceMinistryforimposinganadministrativeservicesdutyonAustralianwoolitimported.ManifatturaclaimedthatthisdutyviolatedGATT1947ArticleIII(1)(b)asitexceededthedutiessetoutintheAgreementsannexesandschedules.FinanceMinistryclaimedArticleIII(1)(b)wasnotdirectlyeffective.,.,Case7-1FinanceMinistryv.ManifatturaLaneMarzotto,SPA,Held:GATTprovisionthatprohibitsGATTmemberfromincreasingdutiesabovetheestablishedlevelswhenmemberaccededtoagreementisdirectlyeffective.ItwaspartofItalianlawandprivatecompanycouldsuetoenforceit.,.,Nondiscrimination,ThemostfundamentalprincipleofGATT.Internationaltradeshouldbeconductedwithoutdiscrimination.Nondiscriminationenforcedthroughmost-favored-nationandnationaltreatmentrules.,.,TheMFNRule,GATTrequireseachmembertoapplyitstariffrulesequallytoallothermembers.Theruledoesnotapplyto:Theuseofmeasurestocounterdumpingandsubsidization.Thecreationofcustomsunionsandfreetradezones.Restrictionsthatprotectpublichealth,safety,welfare,andnationalsecurity.Developedstatesmayalsoadoptmeasuresthatgivepreferencetodevelopingstates.,.,PreferentialTreatmentSchemes,GeneralizedSystemofPreferences(GSP):Allowsdevelopingcountriestoobtaintariffconcessionsfromadevelopedstateonanonreciprocalbasis.South-SouthPreferences:Allowsdevelopingstatestogranttariffpreferencestoeachotherwithouthavingtograntthemfordevelopedstates.ThesepreferenceschemesoperateasexceptionstotheMFNrule.,.,TheNationalTreatmentRule,Onceimportedgoodsarewithintheterritoryofastate,thatstatemusttreatthosegoodsnolessfavorablythanittreatsitsowndomesticgoods.ArticleIIIrequiresthesamenondiscriminatoryrequirementwithrespecttointernaltaxes.,.,Case7-2Japan-TaxesonAlcoholicBeverages,Canada,theEU,andtheUScomplainedthatJapanimposedlowertaxesonlocallyproducedalcoholthanitdidonimportedalcoholicbeverages.GATTArticleIII:1states“Thecontractingpartiesrecognizethatinternaltaxesshouldnotbeimposedtoimportedproductssoastoaffordprotectiontodomesticproduction.”Productsimportedfromcontractingpartyshallnotbesubjecttointernaltaxesinexcessofthoseappliedtolikedomesticproducts.,.,Case7-2Japan-TaxesonAlcoholicBeverages,ThePanelfoundthatshochuandvodkawerelikeproducts,andvodkawasbeingtaxedinexcessofshochu.JapanwasrequestedtobringtheLiquorTaxLawintoconformitywithGATT1994.ThePanelalsoapplieditsfindingtoitswhiskey,brandy,rum,gin,genever,andliqueurs.,.,ProtectionOnlyThroughTariffs,Eachmemberstatemayprotectitsdomesticindustriesonlythroughtheuseoftariffsthatmustbecollectedonlyatthetimeofimportation.Quotasarenotallowed.Exceptionstotheprincipleofprotectionthroughtariffsinclude:ImpositionoftemporaryexportprohibitionstopreventcriticalshortagesUseofrestrictionsrelatedtoapplicationofstandardsforclassifying,grading,ormarkingcommodities,.,ProtectionOnlyThroughTariffs,UseofquantitativerestrictionsonimportofagriculturalandfisheriesproductstostabilizenationalagriculturalmarketsUseofquantitativerestrictionstosafeguardastatesbalanceofpaymentsUseofquantitativerestrictionsbyadevelopingstatetofurtheritseconomicdevelopment.TariffreductionsarerecordedatSchedulesofConcessionsannexedtoGATT.AboundtariffraterepresentsthehighesttariffrateaWTOmembermaysetonimportsfromanotherstate.,.,Transparency,Transparencyistheprinciplethatgovernmentsmustmaketheirrules,regulations,andpracticesopenandaccessibletothepublicandothergovernments.Membersmuststrivetosimplifytheirimportandexportformalities.Theseprinciplesareimportanttothewaycountriesclassifyimportsforimposingduties.TheConventiononNomenclaturefortheClassificationofGoodsinCustomsTariffscreatedtheHarmonizedSystemforclassifyinggoodsforcustomspurposes.,.,RegionalIntegration,GATTencouragesWTOmemberstoparticipatein:Freetradeareasagroupofstatesthathavereducedoreliminatedtariffsamongthemselvesthatmaintaintheirownindividualtariffsindealingwithotherstates.Customsunionsagroupofstatesthathavereducedoreliminatedtariffsamongthemselvesandhavealsoestablishedacommonexternaltariff.GATTrulesapplytothefreetradeareaorcustomsunionasawholeandnottoitsconstituentstates.,.,CommodityArrangements,Commodityarrangementsareintergovernmentalagreementsregulatingtheproductionandsupplyofprimarycommodities.Primarycommoditiesareproductsobtainedbyextraction(e.g.ironore)orharvest(e.g.coffee)thatrequireminimalprocessingbeforebeingused.Oncefounded,theorganizationscreatedbycommodityagreementsoperateindependently.Theynormallyhaveacouncilmadeupofrepresentativesandapermanentsecretariat.Stabilizationprogramssetquotas,buy/sellatagreeduponprices,andfinancebufferstocks.,.,CommoditiesArrangements,MembersmayparticipateincommoditiesagreementsaslongastheyinvolveboththeimportingandexportingstatesandaresubmittedtotheWTOforapproval.AnIntegratedProgramforCommoditieswasproposedbyUNCTADtoprovideacommonfundtounderwritethecostsofmaintainingabufferstockofprimarycommoditiesasawaytostabilizesupplies.Commoditiesprogramsweresetupforcocoa,coffee,rubber,sugar,andtin,buttheCommonFundhasyettobefunded.,.,EscapeClause,ArticleXIXofGATT1994isanescapeclausethatallowsaWTOmemberstatetoescapetemporarilyfromitsGATTobligationswhenthereisasurgeinthenumberofimportscomingfromothermemberstates.Theinjuredstatecanimposeemergencyrestrictivetrademeasures,calledsafeguards.AstateusingtheescapeclausemustnotifyWTO,andnegotiatewithexportingstate,orelsetheexportingstatecanretaliate.,.,Exceptions,GATTunderstoodthatsometimesstatesneedtotakecertainmeasuresasamatterofpublicpolicythatconflictwithGATTsgoalofliberalizingtrade.ThesearesetforthinGATTasGeneralExceptionsandSecurityExceptions.Examplesofgeneralexceptionsincludemeasuresthat:arenecessarytoprotecthuman,animal,tectnationaltreasuresofhistoric,artistic,orarcheologicalvalue.,.,Case7-3USImportProhibitionofCertainShrimpandShrimpProducts,USrequiredU.S.shrimptrawlvesselstouseTEDsinspecifiedareaswheretherewassignificantmortalityofseaturtlesinshrimpharvesting.Alsobannedimportedshrimpharvestedwithcommercialfishingtechnologywhichmayadverselyaffectseaturtles.AppellatepanelfoundthatanimalspeciesareanexhaustiblenaturalresourceunderGATTSectionXX(g),however:,.,Case7-3USImportProhibitionofCertainShrimpandShrimpProducts,Eveniftheturtlesareanexhaustiblenaturalresource,theU.S.measuresmustnotbeappliedinamannerwhichwouldconstituteameansofarbitraryorunjustifiablediscriminationbetweencountrieswherethesameconditionsprevail,orasadisguisedrestriction.WTOpanelheldthattheU.Sruleswerediscriminatoryinthattheywereappliedinarigidmannerwithoutregardtomeasurestakentoprotectturtlesbyothernations.Alsoarbitrarydiscriminationduetonohearing.,.,ExportControlsProtectionofCulturalProperty,Severalinternationalorganizationshavesponsoredconventionstocontrolinternationaltransferofculturalartifacts.Culturalpropertyismovableorimmovablepropertyofgreatimportancetotheculturalheritageofeverypeople.Theconventionsprohibittheftduringarmedconflict,prohibitimport,export,andtransferofownership,andrequirememberstatestotakestepstoreturnproperty.,.,MaintenanceofNationalSecurity,Statesimposerestrictionsonstrategicallyimportantexportsasamatterofnationalsecurity.ThiswasamainfeatureoftheColdWar.In1996,aftertheendoftheColdWar,33countriesapprovedtheWassenaarArrangement.Itcoordinatesnationalpoliciessothattransfersofconventionalarmsanddual-usegoodsandtechnologiestonotcontributetodevelopmentofmilitarycapabilitiesthatundermineinternationalandregionalsecurity.,.,OtherMultilateralExport-ControlPrograms,AustraliaGroup:Concernedwithcurbingtheproliferationofchemicalandbiologicalweapons.ZanggerCommittee:ExportingstateswhowerepartiestotheTreatyonNon-ProliferationofNuclearWeaponsthatseektoharmonizetheirinterpretationsofthetreatysexportprovisions.NuclearSuppliersGroup(NSG):Groupofnuclearsupplierstatesconcernedwithlimitingtheproliferationofnuclearweaponsbymaintainingcontrollistsofnuclearexports.MissileTechnologyControlRegime:Tolimittheproliferationofmissilescapableofdeliveringnuclearwarheads.,.,MultilateralTradeAgreements,Thereare13otherAgreementsonTradeinGoodsannexedtotheWTOAgreement.Theagreementsdealwith:(1)customsvaluation,(2)preshipmentinspection,(3)technicalbarrierstotrade,(4)sanitaryandphytosanitarymeasures,(5)trade-relatedinvestmentmeasures,(6)import-licensingprocedures,(7)subsidiesandcountervailingmeasures,(8)antidumping,and(9)safeguards.Thesectoralagreementscover(1)agricultureand(2)textilesandclothing.Eachagreementisnowaddressedindividually:,.,MultilateralTradeAgreementsCustomsValuation,TheCustomsValuationCodeharmonizesthemethodsusedbyWTOmemberstodeterminethevalueofgoodsthatarechargedatariff.Theprimarymethodofcustomsvaluationistofigurethetransactionvalue.Thisisthecustomsvalueofimportedgoodsthatisbasedonthepriceactuallypaidorpayableforgoodsatthetimetheyweresoldforexport.Ifthiscannotbedetermined,thenfallbackmethodsareused,suchastransactionvalueofsimilaritems,deductivevalue,computedvalue,orderivedvalue.,.,MultilateralTradeAgreementsPreshipmentInspection,TheAgreementonPreshipmentInspectionallowsWTOdevelopingmemberstatestousepreshipmentinspectionstopreventover-andunder-invoicingandfraud.WTOmembersthatusePSImustensurethatcertainconditionsaremet.Examplesinclude:PSIactivitiescarriedoutinnondiscriminatorymannerActivitiesareconductedintransparentmannerInformationreceivedaspartofPSIisconfidential.UnreasonabledelaysareavoidedincarryingoutPSIPriceverificationiscentraltothePSIprocess.,.,MultilateralTradeAgreementsTechnicalBarrierstoTrade,TheTBTAgreementestablishesrulesgoverningthewayWTOmembersdraft,adopt,andapplytechnicalregulationsandstandards.Technicalregulationsaremandatorylawsthatspecifythecharacteristicsofproducts;theprocessesandproductionmethodsforcreatingproducts;andtheterminology,markings,symbols,packaging,orlabelingrequiredforproducts,processes,orproductionmethods.,.,TechnicalBarrierstoTrade,Standardsarevoluntaryguidelinesthatspecifythesamethingastheregulations.Conformityassessmentproceduresincludesampling,testing,andinspectingproducts.,Hazardouschemicallabelsareacceptedasapropertechnicalregulation.,.,MultilateralTradeAgreementsSanitaryandPhytosanitaryMeasures,TheSPSAgreementdefinesthemeasuresthatWTOmemberstatesmaytaketoprotectlifeandhealthofhumans,animals,andplants.Foralmost10years,theUSandseveralothercountriesbattledanEUbanonbiotechfoodsandothergeneticallymodifiedfoodproducts.TheWTOpanelruledthatthebanonsuchfoodslackedthenecessaryscientificprooftobejustifiedundertheSPSAgreement.,.,Case7-4AustraliaMeasuresAffectingImportationofSalmon,Australiaputquarantineonfresh,chilled,orfrozensalmonfromCanadatopreventtheintroductionofanyinfectiousdisease.Australiaallowedherringandliveornamentalfishtobeimported.WTOAppellateBodyruledthatAustraliaviolatedGATTbyadoptingarbitrary