国际商法第五版第七章PPT——ray·august著

7-1,CHAPTER7,TRADEINGOODS,7-2,CHAPTER7TRADEINGOODS,Topicsforthischapter:HistoryofContemporaryInternationalTradeLawTheWorldTradeOrganizationThe1994GeneralAgreementonTariffsandTradeMultilateralTradeAgreements,7-3,HistoryofContemporaryInternationalTradeLaw,Duringthepastsixdecades,therehasbeenamovementawayfromtariffsandquotasandtowardfreetradeamongnations.Therehasbeenashiftawayfromprotectingonesownbusinessestowardmultilateraleffortstoreducetariffsandothertradebarriers.,7-4,Protectionism,TheUSraisedtariffsonmorethan900itemsin1930andmajortradingnationsreciprocatedwithsimilarincreases.RooseveltadvocatedloweringtariffsaspartofhisrecoveryplanfromtheGreatDepression.Startingin1934,theUSenteredintobilateraltradenegotiationstomutuallylowertariffs.TheendofWWIIledtoanintegratedinternationalsystemtoencouragetradeliberalizationandmultilateraleconomiccooperation.,7-5,TheBrettonWoodsSystem,7-6,TheBrettonWoodsSystem,Wassupposedtocreateasystemthatwouldpromotetradeliberalizationandmultilateraleconomiccooperation.Intendedtocreateamultilateralinstitutionalframeworkofrulesandobligationsthroughthreeorganizations:InternationalMonetaryFund(IMF)InternationalBankofReconstructionandDev.(IBRD)InternationalTradeOrganization(ITO)ITOcharterneversubmittedbyPres.TrumantoSenateforconfirmationduetofearthatitwouldbedefeated,harmingU.S.foreignrelations.,7-7,The1947GeneralAgreementonTariffsandTrade,InsteadoftheITO,thedevelopedmarket-economycountriesenteredintotheGeneralAgreementonTariffsandTrade(GATT)1947,amultilateralagreementthatsetouttherulesunderwhichthecontractingstateswerecommittedtonegotiatereductionsincustomstariffsandotherimpedimentstointernationaltradeingoods.GATT1947cametogovernalmostalloftheworldstrade.,7-8,MainPrinciplesofGATT1947,Tradediscriminationforbidden.Eachstatehadtoaffordmost-favored-nationstatustoallothercontractingstatesequally;foreigngoodstreatedthesameasdomesticgoodsaccordingtothenationaltreatmentprinciple.Most-favored-nationstatus:WhenaGATTmembernationsetsafavorabletariffrateonaparticulartypeofgoodsimportedfromoneGATTmember,thesametariffratemustbesetonthosegoodsforotherGATTnations.,7-9,MainPrinciplesofGATT1947,Nationaltreatmentprinciple:Oncegoodsarelegallyimported,theymustbetreatedthesamewayasdomesticgoods.Onlybarriersthatonecontractingstatecouldusetolimittheimportationofgoodsfromanothercontractingstatewerecustomstariffs.Thetraderegulationsofcontractingstateshadtobetransparent.Transparent:traderegulationsGATTmembersmustbepublishedandavailabletomembers.,7-10,MainPrinciplesofGATT1947,Customsunionsandfreetradeagreementsbetweencontractingstateswereacceptableforliberalizingtradesolongastheydidnotdiscriminateagainstthird-partyGATTstates.GATTstateswereonlyallowedcertainchargesonimportedgoods:ImporttaxequaltointernaltaxesAntidumpingdutiesCountervailingdutiestocounteractforeignexportdutiesFeesandproperchargesforservicesrendered,7-11,MultilateralTradeNegotiations,ToupdateGATT1947,contractingpartiesparticipatedinmultilateraltradenegotiations(MTNs),whichareknownasrounds.Thefirstfiveroundsweremostlydevotedtoreducingtariffs.Thelastthreecompletedroundsexpandedtohandlenon-tariffmatters.Theeightroundswere:Geneva1947Annecy,France(1949)Torquay,England(1950-1951),7-12,MultilateralTradeNegotiations,Geneva(1955-1956)DillonRoundGeneva(1961-1962)KennedyRoundGeneva(1964-1967)EstablishedthepracticeofsettinganagendaanddefiningthetechniquesforGATTnegotiations.Declaredacrosstheboardtariffreductions.Alloweddevelopingstatestonotexercisereciprocitywithdevelopedstates.Producedagreementonantidumping.,7-13,MultilateralTradeNegotiations,TokyoRoundGeneva(1973-1979)Producedseveralspecialagreements(codes)CustomsvaluationSubsidiesandcountervailingmeasuresAntidumpingStandardsImportlicensingGovernmentprocurement,7-14,MultilateralTradeNegotiations,TokyoRound(continued)Alsoreachedagreementsinthreespecialsectors:CivilaircraftDairyproductsBovinemeatUruguayRoundinfourcities(1986-1994)EstablishedtheWorldTradeOrganization,Meatproductionandexportationhasbeenanissueatmanysessionsofthreedifferentrounds.Photo:KarissaHamblet,7-15,Ex.7-2ResultsoftheUruguayRound,MultilateralTradeAgreementsbindingonallmembers.PlurilateralTradeAgreementsonlybindingonstateswhoaccept.,7-16,TheWorldTradeOrganization,TheWTOisanintergovernmentalorganizationresponsiblefor:Implementing,administering,andcarryingouttheWTOAgreementanditsannexes.ActingasaforumforongoingMTNs.Servingasatribunalforresolvingdisputes.ReviewingthetradepoliciesandpracticesofWTOmembers.,,7-17,TheWTOAgreement,TransformedGATT1947,whichwasatradeaccordservicedbyaprofessionalsecretariat,intoamembershiporganization.Theoriginalmembershipof125in1994hasgrowntomorethan150.WTOwascreatedasaunifiedadministrativeorgantooverseetheUruguayRoundAgreements.Doesnotcreateanewsupranationalorganization.Isguidedbytheprocedures,customarypractices,anddecisionsoftheoldGATT.TheWTOhasnomorepowerthanGATTdidunderpreviousagreements.,7-18,WTOMembership,TheUkraineenteredtheWTOinFebruary2008,bringingthemembershipto151nations.GATT1947membersandEUmemberswereeligibletobecomeoriginalmembers.AnynewmembermustnegotiateentryintotheWTOandbeapprovedby2/3ofthemembers.MembersmaywithdrawfromtheWTOwithsixmonthsnoticetothedirector-general.,7-19,StructureoftheWTO,TheWTOhasfivemainorgans:aMinisterialConference,aGeneralCouncil(actsasDisputeSettlementBodyandTradePolicyReviewBody),aCouncilforTradeinGoods,aCouncilforTradeinServices,andaCouncilforTrade-RelatedAspectsofIntellectualPropertyRights.AllmembersbelongtotheMinisterialConferenceandtheGeneralCouncil.TheGeneralCouncilnamesthemembersoftheotherorgans.,7-20,MinisterialConference,MeetsatleasteveryotheryeartooverseetheoperationoftheWTO.Hasfivestandingcommitteesthatdealwith:tradeanddevelopment;balance-of-paymentrestrictions;budget,finance,andadministration;tradeandenvironment;andregionalagreements.,7-21,GeneralCouncil,CarriesonfunctionofMinisterialConferencebetweenmeetings.Convenestooperateas:WTODisputeSettlementBodyWTOTradePolicyReviewBodyOverseessubordinatecommitteesandtheimplementationandadministrationofthethreemainWTOagreements:GATT94,GATS,andTRIPS.ArrangeseffectivecooperationwithIGOsandNGOsinmattersofinteresttotheWTO.,7=22,DecisionMakingWithintheWTO,TheWTOcontinuesthepracticeofdecisionmakingbyconsensusfollowedunderGATT1947.Consensusisthemakingofadecisionbygeneralagreementintheabsenceofanyvoicedobjection.Adecisioncanbemadebysimplemajorityvoteifaconsensusisnotreached.,7-23,Waivers,Awaiveristherelinquishmentofanobligationowedbyanother.UnderGATT1947,acountrycouldavoidtraderegulationsbygettingawaiver.TheWTOterminatedexistingwaiversin1996.Togetanewwaiver,thememberstatemustdescribethemeasurethatitproposestotake,specifythepolicyobjectivesitseekstoobtain,explainwhyitcannotachievetheseobjectiveswithoutviolatingGATT1994.TheMinisterialConferencemustapprove.,7-24,The1994GATT,GATT1994istheAnnextotheAgreementEstablishingtheWTOthatsetsouttherulesunderwhichmembersofthatorganizationarecommittedtonegotiatereductionsincustomstariffsandotherimpedimentstointernationaltradeingoods.GATT1947continuestoexistandcountriesmaybemembersofboth.WTOisguidedbythedecisions,procedures,andcustomarypracticesfollowedbythepartiesoftheGATT1947.,7-25,DirectEffect,Directeffect:theprinciplewherebyatreatymaybeinvokedbyaprivatepersontochallengetheactionsofastatethatispartytothetreaty.SomeGATT1994provisionsaredirectlyeffective.ProvisionsthatprohibitastatefromtakingactioncontrarytotheGeneralAgreementaredirectlyeffective.,WTOheadquartersinGeneva,Switzerland(DrawingcourtesyofM.Nicole,LosAngeles.),7-26,Case7-1FinanceMinistryv.ManifatturaLaneMarzotto,SPA,PlaintiffsuedFinanceMinistryforimposinganadministrativeservicesdutyonAustralianwoolitimported.ManifatturaclaimedthatthisdutyviolatedGATT1947ArticleIII(1)(b)asitexceededthedutiessetoutintheAgreementsannexesandschedules.FinanceMinistryclaimedArticleIII(1)(b)wasnotdirectlyeffective.,7-27,Case7-1FinanceMinistryv.ManifatturaLaneMarzotto,SPA,Held:GATTprovisionthatprohibitsGATTmemberfromincreasingdutiesabovetheestablishedlevelswhenmemberaccededtoagreementisdirectlyeffective.ItwaspartofItalianlawandprivatecompanycouldsuetoenforceit.,7-28,Nondiscrimination,ThemostfundamentalprincipleofGATT.Internationaltradeshouldbeconductedwithoutdiscrimination.Nondiscriminationenforcedthroughmost-favored-nationandnationaltreatmentrules.,7-29,TheMFNRule,GATTrequireseachmembertoapplyitstariffrulesequallytoallothermembers.Theruledoesnotapplyto:Theuseofmeasurestocounterdumpingandsubsidization.Thecreationofcustomsunionsandfreetradezones.Restrictionsthatprotectpublichealth,safety,welfare,andnationalsecurity.Developedstatesmayalsoadoptmeasuresthatgivepreferencetodevelopingstates.,7-30,PreferentialTreatmentSchemes,GeneralizedSystemofPreferences(GSP):Allowsdevelopingcountriestoobtaintariffconcessionsfromadevelopedstateonanonreciprocalbasis.South-SouthPreferences:Allowsdevelopingstatestogranttariffpreferencestoeachotherwithouthavingtograntthemfordevelopedstates.ThesepreferenceschemesoperateasexceptionstotheMFNrule.,7-31,TheNationalTreatmentRule,Onceimportedgoodsarewithintheterritoryofastate,thatstatemusttreatthosegoodsnolessfavorablythanittreatsitsowndomesticgoods.ArticleIIIrequiresthesamenondiscriminatoryrequirementwithrespecttointernaltaxes.,7-32,Case7-2Japan-TaxesonAlcoholicBeverages,Canada,theEU,andtheUScomplainedthatJapanimposedlowertaxesonlocallyproducedalcoholthanitdidonimportedalcoholicbeverages.GATTArticleIII:1states“Thecontractingpartiesrecognizethatinternaltaxesshouldnotbeimposedtoimportedproductssoastoaffordprotectiontodomesticproduction.”Productsimportedfromcontractingpartyshallnotbesubjecttointernaltaxesinexcessofthoseappliedtolikedomesticproducts.,7-33,Case7-2Japan-TaxesonAlcoholicBeverages,ThePanelfoundthatshochuandvodkawerelikeproducts,andvodkawasbeingtaxedinexcessofshochu.JapanwasrequestedtobringtheLiquorTaxLawintoconformitywithGATT1994.ThePanelalsoapplieditsfindingtoitswhiskey,brandy,rum,gin,genever,andliqueurs.,7-34,ProtectionOnlyThroughTariffs,Eachmemberstatemayprotectitsdomesticindustriesonlythroughtheuseoftariffsthatmustbecollectedonlyatthetimeofimportation.Quotasarenotallowed.Exceptionstotheprincipleofprotectionthroughtariffsinclude:ImpositionoftemporaryexportprohibitionstopreventcriticalshortagesUseofrestrictionsrelatedtoapplicationofstandardsforclassifying,grading,ormarkingcommodities,7-35,ProtectionOnlyThroughTariffs,UseofquantitativerestrictionsonimportofagriculturalandfisheriesproductstostabilizenationalagriculturalmarketsUseofquantitativerestrictionstosafeguardastatesbalanceofpaymentsUseofquantitativerestrictionsbyadevelopingstatetofurtheritseconomicdevelopment.TariffreductionsarerecordedatSchedulesofConcessionsannexedtoGATT.AboundtariffraterepresentsthehighesttariffrateaWTOmembermaysetonimportsfromanotherstate.,7-36,Transparency,Transparencyistheprinciplethatgovernmentsmustmaketheirrules,regulations,andpracticesopenandaccessibletothepublicandothergovernments.Membersmuststrivetosimplifytheirimportandexportformalities.Theseprinciplesareimportanttothewaycountriesclassifyimportsforimposingduties.TheConventiononNomenclaturefortheClassificationofGoodsinCustomsTariffscreatedtheHarmonizedSystemforclassifyinggoodsforcustomspurposes.,7-37,RegionalIntegration,GATTencouragesWTOmemberstoparticipatein:Freetradeareasagroupofstatesthathavereducedoreliminatedtariffsamongthemselvesthatmaintaintheirownindividualtariffsindealingwithotherstates.Customsunionsagroupofstatesthathavereducedoreliminatedtariffsamongthemselvesandhavealsoestablishedacommonexternaltariff.GATTrulesapplytothefreetradeareaorcustomsunionasawholeandnottoitsconstituentstates.,7-38,CommodityArrangements,Commodityarrangementsareintergovernmentalagreementsregulatingtheproductionandsupplyofprimarycommodities.Primarycommoditiesareproductsobtainedbyextraction(e.g.ironore)orharvest(e.g.coffee)thatrequireminimalprocessingbeforebeingused.Oncefounded,theorganizationscreatedbycommodityagreementsoperateindependently.Theynormallyhaveacouncilmadeupofrepresentativesandapermanentsecretariat.Stabilizationprogramssetquotas,buy/sellatagreeduponprices,andfinancebufferstocks.,7-39,CommoditiesArrangements,MembersmayparticipateincommoditiesagreementsaslongastheyinvolveboththeimportingandexportingstatesandaresubmittedtotheWTOforapproval.AnIntegratedProgramforCommoditieswasproposedbyUNCTADtoprovideacommonfundtounderwritethecostsofmaintainingabufferstockofprimarycommoditiesasawaytostabilizesupplies.Commoditiesprogramsweresetupforcocoa,coffee,rubber,sugar,andtin,buttheCommonFundhasyettobefunded.,7-40,EscapeClause,ArticleXIXofGATT1994isanescapeclausethatallowsaWTOmemberstatetoescapetemporarilyfromitsGATTobligationswhenthereisasurgeinthenumberofimportscomingfromothermemberstates.Theinjuredstatecanimposeemergencyrestrictivetrademeasures,calledsafeguards.AstateusingtheescapeclausemustnotifyWTO,andnegotiatewithexportingstate,orelsetheexportingstatecanretaliate.,7-41,Exceptions,GATTunderstoodthatsometimesstatesneedtotakecertainmeasuresasamatterofpublicpolicythatconflictwithGATTsgoalofliberalizingtrade.ThesearesetforthinGATTasGeneralExceptionsandSecurityExceptions.Examplesofgeneralexceptionsincludemeasuresthat:arenecessarytoprotecthuman,animal,tectnationaltreasuresofhistoric,artistic,orarcheologicalvalue.,7-42,Case7-3USImportProhibitionofCertainShrimpandShrimpProducts,USrequiredU.S.shrimptrawlvesselstouseTEDsinspecifiedareaswheretherewassignificantmortalityofseaturtlesinshrimpharvesting.Alsobannedimportedshrimpharvestedwithcommercialfishingtechnologywhichmayadverselyaffectseaturtles.AppellatepanelfoundthatanimalspeciesareanexhaustiblenaturalresourceunderGATTSectionXX(g),however:,7-43,Case7-3USImportProhibitionofCertainShrimpandShrimpProducts,Eveniftheturtlesareanexhaustiblenaturalresource,theU.S.measuresmustnotbeappliedinamannerwhichwouldconstituteameansofarbitraryorunjustifiablediscriminationbetweencountrieswherethesameconditionsprevail,orasadisguisedrestriction.WTOpanelheldthattheU.Sruleswerediscriminatoryinthattheywereappliedinarigidmannerwithoutregardtomeasurestakentoprotectturtlesbyothernations.Alsoarbitrarydiscriminationduetonohearing.,7-44,ExportControlsProtectionofCulturalProperty,Severalinternationalorganizationshavesponsoredconventionstocontrolinternationaltransferofculturalartifacts.Culturalpropertyismovableorimmovablepropertyofgreatimportancetotheculturalheritageofeverypeople.Theconventionsprohibittheftduringarmedconflict,prohibitimport,export,andtransferofownership,andrequirememberstatestotakestepstoreturnproperty.,7-45,MaintenanceofNationalSecurity,Statesimposerestrictionsonstrategicallyimportantexportsasamatterofnationalsecurity.ThiswasamainfeatureoftheColdWar.In1996,aftertheendoftheColdWar,33countriesapprovedtheWassenaarArrangement.Itcoordinatesnationalpoliciessothattransfersofconventionalarmsanddual-usegoodsandtechnologiestonotcontributetodevelopmentofmilitarycapabilitiesthatundermineinternationalandregionalsecurity.,7-46,OtherMultilateralExport-ControlPrograms,AustraliaGroup:Concernedwithcurbingtheproliferationofchemicalandbiologicalweapons.ZanggerCommittee:ExportingstateswhowerepartiestotheTreatyonNon-ProliferationofNuclearWeaponsthatseektoharmonizetheirinterpretationsofthetreatysexportprovisions.NuclearSuppliersGroup(NSG):Groupofnuclearsupplierstatesconcernedwithlimitingtheproliferationofnuclearweaponsbymaintainingcontrollistsofnuclearexports.MissileTechnologyControlRegime:Tolimittheproliferationofmissilescapableofdeliveringnuclearwarheads.,7-47,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:,7-48,MultilateralTradeAgreementsCustomsValuation,TheCustomsValuationCodeharmonizesthemethodsusedbyWTOmemberstodeterminethevalueofgoodsthatarechargedatariff.Theprimarymethodofcustomsvaluationistofigurethetransactionvalue.Thisisthecustomsvalueofimportedgoodsthatisbasedonthepriceactuallypaidorpayableforgoodsatthetimetheyweresoldforexport.Ifthiscannotbedetermined,thenfallbackmethodsareused,suchastransactionvalueofsimilaritems,deductivevalue,computedvalue,orderivedvalue.,7-49,MultilateralTradeAgreementsPreshipmentInspection,TheAgreementonPreshipmentInspectionallowsWTOdevelopingmemberstatestousepreshipmentinspectionstopreventover-andunder-invoicingandfraud.WTOmembersthatusePSImustensurethatcertainconditionsaremet.Examplesinclude:PSIactivitiescarriedoutinnondiscriminatorymannerActivitiesareconductedintransparentmannerInformationreceivedaspartofPSIisconfidential.UnreasonabledelaysareavoidedincarryingoutPSIPriceverificationiscentraltothePSIprocess.,7-50,MultilateralTradeAgreementsTechnicalBarrierstoTrade,TheTBTAgreementestablishesrulesgoverningthewayWTOmembersdraft,adopt,andapplytechnicalregulationsandstandards.Technicalregulationsaremandatorylawsthatspecifythecharacteristicsofproducts;theprocessesandproductionmethodsforcreatingproducts;andtheterminology,markings,symbols,packaging,orlabelingrequiredforproducts,processes,orproductionmethods.,7-51,TechnicalBarrierstoTrade,Standardsarevoluntaryguidelinesthatspecifythesamethingastheregulations.Conformityassessmentproceduresincludesampling,testing,andinspectingproducts.,Hazardouschemicallabelsareacceptedasapropertechnicalregulation.,7-52,MultilateralTradeAgreementsSanitaryandPhytosanitaryMeasures,TheSPSAgreementdefinesthemeasuresthatWTOmemberstatesmaytaketoprotectlifeandhealthofhumans,animals,andplants.Foralmost10years,theUSandseveralothercountriesbattledanEUbanonbiotechfoodsandothergeneticallymodifiedfoodproducts.TheWTOpanelruledthatthebanonsuchfoodslackedthenecessaryscientificprooftobejustifiedundertheSPSAgreement.,7-53,Case7-4AustraliaMeasuresAffectingImportationofSalmon,Australiaputquarantineonfresh,chilled,orfrozensalmonfromCanadatopreventtheintroduc