WTO概论复习资料

1、1 Historical Persp ective of WTO(1) Havana Charter (WATT 1947) a)b)c)Backgro und: p rotect ionism after WW II, Great Dep ressi on, n eed to establish ITO (I nternatio nal Trade Orga ni zati on);The charter is mainly about trade and commercial p olicies, employment, econo mic activities, econo mic re

2、c on structi on, inv estme nt, restrictive bus in ess p ractice;Failed to meet some countries biirttsrech content of Commercialp olicy survived in GATT 1947, pro visi onal rather tha n legal;LetLTalkabOUtTradePQlicyandTradelSSUesMD, who else?I P relimi nary Kno wledge1 Tariff(1) Specific Tariff (从量关

3、税) Weight, qua ntity, volume(2) Ad Valorem Tariff (从价关税)A p erce ntage of the p rice(3) Compound Tariff (复合关税)A mixture of sp ecific tariff and ad valorem tariff2No n-tariff(1) Quota(2) License (进口许可证)Gen eral lice nse and sp ecific lice nse; usually comb ined with quota, bidd ing(3) Custom Valuatio

4、n(4) Technical Barriers(5) Environment issues(6) GMO ( Genetically Modified Organism ，转基因生物)3VER & VIE(1) VER(Voluntary Export Restriction)(2) VIE(Voluntary Import Expansion)Aimi ng at trade bala nee, either domestic or foreig n.II GATT & Agreeme nts Marrakesh Agreements (establishing WTO)a)The impo

5、rtanee of Uruguay Round on Marrakesh Agreements and the establishme nt of WTO;b)In cludi ng Agreeme nts about trade in commodity, GATS, TRI Ps, DSU(U ndersta nding on Rules and P rocedures Gover ning the Settleme nt of Dis putes), TP RM, P TA( Plurilateral Trade Agreeme nts);精选文档2c)En tered into for

6、ce on 1 Jan. 1995, 128 GATT sig natories;d)160 members si nee 26 Jun. 20142 GATT 1947(1) Basic Prin ci pies of WTONon discrimi natio n(MFN, NT), Graduation Clause Trade Liberalizatio n(tariff, non-tariff, market access) TransparenceFair Comp etiti ona)b)c)d) MFN Clause-Article Ia)b)Most-Favored-Nati

7、 on Treatme nt(MFN): any adva ntage, favor, p rivilege or immun ity gran ted by any con tract ing p arty to any p roduct shall be accorded immediately and uncon diti on ally to the like p roduct of all other con tract ing p arties;Accord the basic princip les, non discrim in ati on, p romote trade l

8、iberalization as it s Multilateral;Exce ptio ns: GSP, FTA, An ti-du mping. safety issues, etc.China s ben efits: doubedged sword;c)d) National Treatment-Article III a)Nati onal Treatme nt on Internal Taxati on and Regulati on: the con tract ing p arties should treat imp orted p roducts and domestic

9、p roducts equally in terms of in ternal taxes an d/or other in ternal charges, laws, regulatio ns, and requireme nts;Exce ptio ns: gover nment p rocureme nt, domestic subsidies, etc. P refere nee P olicy and NT: depending on differe nt in dustries;b)c) Anti-dumping-Article VI a)b)c)Dumping: p roduct

10、s of one country are exp orted to ano ther country at a p rice less tha n the no rmal value, and is causes or threate ns material injury to the importer s inc|ustry“normal value ” is defi ned by the comp arable p rice, in the ordinary course of trade, for the like p roduct for consump tio n in the e

11、xporting coun try; or if domestic p rice not available: the highest comp arable p rice for the like p roduct exp orted to a third coun try, or the cost of the p roduct plus a reas on able additi onal for selli ng and p rofit;Determ inants in dumping: Dumping Margin and Material Injury Rule of Origin

12、(RoO)-Article IXMarks of Origi n: marks, characters, p atter ns, etc. that in dicate the orig inal coun try/regi on of an imp orted p roduct or service;Article 7: con tract ing p arties coop erate to mi ni mize the difficulties, and to p reve nt misre prese nt of the true orig in;Determi ning origi

13、n and whether“ substa ntial tran sformatio nvalue-added, p rocess test, cha nge in tariff classificatio n( CTC);Con troversial issue on trade bala nee: differe nt sta ndards to determ ine orig in and p rocess ing trade;a)b)c)d)精选文档3精选文档4P rotect p ublic morals;P rotect huma n, ani mal or plant life

14、or health;Trade relati ng to gold or silver;Secure comp lia nee with laws or regulati ons con siste nt with the pro visi ons (e.g. i ntellectual prop erty);Prison labor p roducts;Nati onal treasures;Exhaustible resources;In tergover nmen tal commodity agreeme nt that are appro ved;En sure esse ntial

15、 domestic qua ntities;Gen eral or local short supply;(9) State Trading Enterprise-Article XVIICon tracti ng p arties can establish or main tai n state enterp rises, but they shall act in a manner con siste nt with gen eral princip les of non-discrimi natory treatme nt for gover nmen tal measures aff

16、ecti ng trades by p rivate traders;Such enterp rises shall make pu rchases or sales solely in accorda nee with commercial con siderati ons, in clud ing p rice, quality, availability, transpo rtati on, etc.Con tract ing p arties shall not p reve nt enterp rises from acting in accorda nee with the pri

17、ncipl es;a)b)c)e) MFN or not determ ined by the orig in of the p roduct;(6) Admi ni strati on of Trade Regulatio ns-Article Xa)Publicati on: laws, regulati ons, judicial decisi ons and adm ini strative ruli ngs of gen eral app licati on about intern atio nal trade (e.g. custom classificati on and va

18、luati on, rates of duty/taxes, requireme nts, restricti ons, etc.) shall be p ublished promp tly to en able traders become acqua in ted with them;b)Admi nistrati on: con tract ing p arties shall main tai n, or in stitute judicial, arbitral, or admi ni strative p rocedures to deal with custom matters

19、, and admi ni strate laws, regulati ons in a uniform and reas on able way; QRs(Quantitative Restrictions)-Article XIa)Elim in ati on of QRs: exce pt duties, taxes or other charges, con tract ingp arties shall elim in ate restricti ons made effect through quotas, lice nses or other measures.b)Exce pt

20、i ons: food, agriculture or fisheries p roduct. (shortage or surpi us) (8) General Exceptions-Article XXa)b)c)d)e)f)g)h)i)j)(10)Subsidies-Article XVIa)Subsidies in Gen eral: whe n gran ti ng any subsidies, con tract ing p arties shall no tify other p arties in writ ing of the exte nt, n ature, estim

21、ated effect and n ecessity;b)In case of serious p rejudice, the con tract ing party gran ti ng the subsidy shall discuss with other p arties about the p ossibility of limiti ng the subsidizati on;精选文档5s reenter in GATTAn orig inal con tract ing p arty;Suspen ded its eligibility as a con tract ing pa

22、rty in 1950; Taiwa n: observer to GATT in 1965;China s efforts to reenter in 1986;Comp lexity of China s releva nee to ;GATTAgreeme nts about trade in commodity, GATS, TRI Ps,DSU(U ndersta nding on Rules and P rocedures Gover ning the Settleme nt of Dispu tes),TP RMsPTA (PI urilateral Trade Agreeme

23、nts);c)Additional Provisions: parties shall seek to avoid the use of subsidies on the export of p rimary p roducts, or the subsidy shall not in crease the party s equitable share of the world export in that product;(11)I mp leme ntal Mecha nism-Article XXIVa)Territorial Application-Frontier Traffic-

24、Customs Unions-Free Trade Areas, an exce pti on of MFN(12)GS P(Ge neralized System of P refere nee)a)Betwee n devel oped coun tries and devel oping coun tries;b)Non discrim in ati on, un ilateral;(13)History: Chi naa)b)c)d)e)3 GATT 1994(1) The framework of URa)b)c)d) The initiatives of WTOa) Princip

25、 les? Legal instruments under GATT 1947a)Tariff concession;b)P rotocols of accessi on;c)Waiver gran ted un der Article 25 Understanding on Paragraph1(2) Article IIa)Aims at promoting the transparency of the rights and obligations;b)Agreement to record in national schedules“ other duties orcharges (”

26、hich shall be exe mp ted) levied in additi on to the recorded tariff, 精选文档6and to bi nd them at the levels p revaili ng at the date established in the UR P rotocol; Understanding on Article XVIIa)To promote the transparency of state-ading enterprises activities,con tract ing p arties shall report su

27、ch enterp rises to the committee, regardless of whether export has happened or not;b)In crease surveilla nee ofenterp rises activities through stron gerno tificati on and review p rocedures; Understanding on Article XVIIIa) Article 18: for the Balance-of-Payment(BOP) and development of economy, esp

28、ecially for the less devel oped coun tries, tariff p rotecti on精选文档7b)c)d)Clarify and rei nforce the sta ndard and p rocedures for the review of new or enl arged custom unions or FTA and for the evaluati on of their effects on third p arties;Clarify the p rocedure to be followed for achiev ing any n

29、 ecessary compen satory adjustme nt in the eve nt of con tract ing p arties formi ng a customs union seek ing to in crease a bound tariff;The obligatio ns of con tract ing p arties in regard to measures take n by regi onal or local gover nments or authorities within territories are also clarified;b)

30、c)Narrow TBT: p rocess ing and p roduct ion methods related to the characteristics of the p roduct itself;Dilemma on Broad TBT: n eeds for in dustrializati on vs. p ote ntiality toward p rotectio n;This agreeme nt will exte nd and clarify the Agreeme nt on Tech nicalb)and QRs can be imp osed;The sch

31、edule for the restricti on measures on import shall be no tified as soon as p ossible;Con tract ing p arties imposing restrict ions for BOP purp oses shall do so in the least trade-disr up tive manner, and shall favor p rice-based measures, like import surcharges and import dep osits, rather tha n q

32、ua ntitative restricti ons.Agreeme nt is also on p rocedure for con sultati ons by GATT BOP Committee, as well as for no tificatio n.(7) Understanding on Article XXIVa)4Other Agreeme nts(1) Agreement on Technical Barriers to Trade (TBT，技术性贸易壁垒协议) a)c)Barriers to Trade reached in the Tokyo Roun d. It

33、 seeks to en sure that tech ni cal n egotiati ons and sta ndards, as well as testi ng and certificati on p rocedures, do not create unn ecessary obstacles to trade. However, it recog ni zes that coun tries have the right to establish p rotecti on, at levels they con sider approp riate, for exa mple

34、for huma n, ani mal or plan t life or health or the en vir onment, and should not be p reve nted from tak ing measures n ecessary to en sure those levels of p rotect ion are met. The agreeme nt therefore en courages coun tries to use intern ati onal sta ndards where these are approp riate, but it do

35、es not require them to cha nge their levels of p rotect ion as a result of sta ndardizatio n.Inno vative features of the revised agreeme nt are that it covers p rocess ing and p roducti on methods related to the characteristics of the p roduct itself. The coverage of con 精选文档8formity assessme nt p r

36、ocedures is enl arged and the disc ip li nes made more p recise. Notificati on pro visi ons applying to local gover nment and non-gover nmen tal bodies are elaborated in more detail tha n in the Tokyo Round agreeme nt. A Code of Good Practice for the Prep arati on, Adop ti on and App licati on of St

37、an dards by sta ndardiz ing bodies, which is精选文档9Lon g-term objectives: substa ntial p rogressive reducti on in agricultural supp ort;A decisive move towards the objective of in creased market orie ntati on in agricultural trade;Total AMS(Aggregate Measure of Support): covers all support p rovided o

38、n either a p roduct-s pecific or non-p roduct-s pecific basis;Market access-tarifficati on: non-tariff border measures are repl aced by tariffs that pro vide substa ntially same level of p rotectio n; Tariff-quota: un der 10% & outside 80%;Domestic supp ort-amber, blue, gree n box.Amber box: All dom

39、estic support measures considered to distort p roduct ion and trade (with some exce ptio ns) fall into the amber box, which is defi ned in Article 6 of the Agriculture Agreeme nt as all domestic supp orts exce pt those in the blue and gree n boxes. These in clude measures to support p rices, or subs

40、idies directly related to p roduct ion qua ntities. These supp orts are subject to limits:minimis ” minimal supports are allowed (5% of agricultural production for devel oped coun tries, 10% for devel oping coun tries); the 30 WTO members that had larger subsidies tha n the de mini mis levels at the

41、 beg inning of the p ost-Uruguay Round reform p eriod are committed to reduce these subsidies.Blue Box: This is the “ amber box with conditionsonditions desig ned to reduce distorti on. Any support that would no rmally be in the amber box, is pl aced in the blue box if the support also requires farm

42、ersb)c)d)e)f)“deg)open to acce ptance by p rivate sector bodies as well as the p ublic sector, is in cluded as an annex to the agreeme nt.(2) Agreement on the Application of Sanitary and Phytosanitary Measures(SPS,实施动植物卫生检疫措施协议)a) Specific in the protection of human health and ecological balanee, Ag

43、reement on Trade-Related Investment Measures (TRIMs，与贸易有 关的投资措施协议)a) This Agreement, negotiated during the Uruguay Round, applies only to measures that affect trade in goods. Recog nizing that certa in inv estme nt measures can have trade-restrictive and distorti ng effects, it states that no Member

44、 shall apply a measure that is p rohibited by the pro visi ons of GATT Article III (natio nal treatme nt) or Article XI (qua ntitative restricti on s). Exa mp les of incon siste nt measures, as sp elled out in the Annex s Illustrative List, include local content or trade balancing requireme nts. The

45、 Agreeme nt contains tran siti onal arran geme nts allowi ng Members to mai ntai n no tified TRIMs for a limited time following the entry into force of the WTO 。The Agreement also establishes a Committee on TRIMs to mon itor the op erati on and impi eme ntati on of these commitme nts.(4) Agreement o

46、n Agriculture (农业协议)a)to limit p roducti on (details set out in P aragra ph 5 of Article 6 of the Agriculture Agreeme nt). At p rese nt there are no limits on spending on blue box subsidies. In the curre nt n egotiatio ns, 精选文档10some coun tries want to kee p the blue box as it is because they see it

47、 as a crucial means of moving away from distort ing amber box subsidies without caus ing too much hardsh ip. Others wan ted to set limits or reducti on commitme nts, some advocati ng moving these supports into the amber box.h)Gree n Box: In order to qualify, gree n box subsidies must not distort tra

48、de,or at most cause mi nimal distortio n (p aragra ph 1). They have to be gover nment-fun ded (not by chargi ng con sumers higher p rices) and must not invo Ive p rice supp ort.They tend to be p rogrammes that are nottargeted at p articular p roducts, and in clude direct in come supp orts forfarmers

49、 that are not related to (are“ deco up led ” from) curre nt p roducti onlevels or p rices. They also in clude en vir onmen tal p rotect ion and regi onal development programmes.“ Green box ” subsidies are therefore allowedwithout limits, p rovided they comp ly with the p olicy-s pecific criteria set

50、 out in Annex 2.In the curre nt n egotiati ons, some coun tries arguethat some of the subsidies listed in Annex 2 might not meet the criteria of the annex s first paragrapHoecauseof the large amounts paid, or because of the n ature of these subsidies, the trade distorti on they cause might be more t

51、ha n mini mal. Among the subsidies un der discussi on here are: direct p ayme nts to p roducers (p aragra ph 5), i ncludi ng deco upled in come support (p aragra ph 6), and gover nment finan cial support for in come in sura nee and in come safety-net p rogrammes (p aragra ph 7), and other p aragra p

52、hs. Some other coun tries take the opp osite vie that the curre nt criteria are adequate, and might eve n n eed to be made more flexible to take better acco unt of non-trade concerns such asen vir onmen tal p rotect ion and ani mal welfare.i)Export comp etitio n: Members are required to reduce the v

53、alue of mainly direct export subsidiesto a level 36 per cent below the 1986-90 basep eriod level over the six-year imp leme ntati on p eriod, and the qua ntity of subsidized exp orts by 21 per cent over the same p eriod. Agreement on Textiles and Clothing (纺织品与服装协议)a) MFA(Multifibre Arrangement): Up

54、 to the end of the Uruguay Round, textile and clothi ng quotas were n egotiated bilaterally and gover ned by the rules of the Multifibre Arran geme nt (MFA). This p rovided for the app licati on of selective qua ntitative restricti ons whe n surges in imp orts of p articular p roducts caused, or thr

55、eate ned to cause, serious damage to the in dustry of the imp orti ng coun try. The Multifibre Arran geme nt was a major dep arture from the basic GATT rules and p articularly the principle of non-discrim in ati on. On 1 January 1995 it was rep laced by the WTO Agreeme nt on Textiles and Cloth ing w

56、hich sets out a tran siti onal p rocess for the ultimate removal of these quotas.b)ATC(Agreement on Textiles and Clothing) is a transitional instrument built on the follow ing key eleme nts:(a) the p roduct coverage, basically encomp ass ing yarns, fabrics, made-up textile p roducts and cloth ing;(b

57、) a p rogramme for the p rogressive in tegrati on of these textile and clothi ng p roducts into GATT 1994 rules;精选文档11(c) a liberalizatio n p rocess to p rogressively enl arge existi ng quotas (un til they are removed) by in creas ing annual growth rates at each stage;(d) a sp ecial safeguard mecha

58、nism to deal with new cases of serious damage or threat thereof to domestic p roducers duri ng the tran siti on p eriod;(e) establishment of a Textiles Monitoring Body ( “TMB )to sup ervise the imp leme ntati on of the Agreeme nt and en sure that the rules are faithfully followed; and(f) other pro v

59、isi ons, in clud ing rules on circumve ntio n of the quotas, their administration, treatment of non-MFA restrictions, and commitme nts un dertake n elsewhere un der the WTOs agreeme nts and p rocedures affect ing this sector.c)Secure the eve ntual in tegratio n of the textiles and cloth ing sector(M

60、FA)i nto the GATT on the basis of stre ngthe ned GATT rules and disci pli nes General Agreement on Trade in Service (GATS，服务贸易总协定)a)For the purp oses of this Agreeme nt, trade in services is defi ned as the supply of a service:(a) from the territory of one Member into the territory of any other Memb