wto规则中英文教程第三章wto的基本原则.ppt

第三章 WTO的基本原则,Major Principles of WTO,MFN National Treatment Reasonable Trade Protection General Exceptions Transparency Special Preferential Treatment to Developing Countries,一、最惠国待遇原则（Principles of Most-Favoured-Nation Treatment, MFN）,(一)最惠国待遇原则的内涵 The definition of MFN is that, in such matters as customs duties and charges, the method of levying such duties and charges, all rules and formalities, internal taxes or other internal charges and all laws, regulations and requirements, any advantage, favour, privilege or immunity granted by any member to any product originating in or destined for any other country shall be accorded immediately and unconditionally to the like product originating in or destined for the territories of all other members.,“最惠国待遇原则”被定义为，在关税和费用及其课征方法方面，在规章手续、国内税和国内费及所有法令、条例和规定方面，任何成员国对来自或运往其他国家的产品所给予的利益、优惠、特权或豁免，应当立即无条件地给予源自或运往其他所有成员国的相同产品。

这里所谓的“最惠国待遇原则”，是指“一般最惠国待遇原则”，其核心是“一国得益，众国皆得益”(favourate one, favourate all),是WTO的基石最惠国待遇原则”在WTO商品贸易协定、服务贸易协定及有关的知识产权和投资措施协定中均有具体的规定 二)最惠国待遇原则的特殊例外,WTO construes that, it is of desirability of increasing freedom of trade by the development, through voluntary agreements, of closer integration between the economies of the Members. The purpose of a customs union or of a free-trade area is to facilitate trade between the constituent territories and not to raise barriers to the trade of other Members. The formation shall not be prevented of a customs union or of a free-trade area or the adoption of an interim agreement necessary for the formation of a customs union or of a free-trade area.,“WTO认为，通过自愿协定使成员国之间形成经济一体化，是扩大自由贸易所需要的。

成立关税同盟或自由贸易区的目的，是为了促进关税同盟或自由贸易区内各国之间的贸易，但对其他成员国不得增加壁垒不应阻止建立关税同盟或自由贸易区，也不应阻止实施设立关税同盟或自由贸易区的过渡性协定 WTO关于边境贸易(Frontier Trade)、关税同盟(Customs Unions)和自由贸易区(Free-trade Areas)的规则是WTO最惠国待遇原则的例外这也是区域性经济一体化组织在当今世界不断涌现并且它们可以对非成员实施差别待遇（即歧视性待遇）的原因二、国民待遇原则 （Principle of National Treatment）,“国民待遇原则”也是WTO的基石概括起来，针对国内税(Internal Taxation)和其他国内费用（other internal charges）的国民待遇要求主要有以下内容： Internal taxes and other internal charges, and laws, regulations and requirements affecting the internal sale, offering for sale, purchase, transportation, distribution or use of products, and internal quantitative regulations requiring the mixture, processing or use of products in specified amounts or proportions, should not be applied to imported or domestic products so as to afford protection to domestic production.,汉译,国内税和其他国内费用及影响产品的国内销售、供货、购买、运输、分销或使用的法令、条例和要求，以及对产品的成份要求条例，在被适用于进口产品或本国产品时，不应用来对国内生产提供保护。

No Member shall establish or maintain any internal quantitative regulation, which requires, directly or indirectly, that any specified amount or proportion of any product must be supplied from domestic sources or that such amount or proportion must be allocated among external sources of supply. 任何成员国不应制定或使用数量限制条例来直接或间接要求某一产品的特定数量或比例必须由国内供应，或把这种数量或比例在国外供应商之间进行分配小结,国民待遇原则其实质可归结为“爱邻如爱己”（love thy neighbour as thyself）同WTO最惠国待遇原则一样，国民待遇原则也具体体现于下述各协定之中，是WTO成员所必须遵守的对此加拿大诉欧盟扇贝贸易名称案极有说服力1993年3月，欧盟禁止加拿大出口到欧盟的扇贝用“noix de sait jacques”作名称，而只能用“sait jacques”（法文为petoncle,意为小扇贝），大大降低了加拿大扇贝产品在法国市场上的竞争力。

加拿大认为法国的作法违反了WTO最惠国待遇原则（《GATT 1994》第1条）和国民待遇原则（《GATT 1994》第3条）1995年7月19日DSB成立了专家组，1996年7月，加拿大和欧盟通知DSB，称双方已达成协议法国起草了新的条例，放弃对加扇贝产品特殊名称要求三、关税减让原则 Principle of Tariff Concession,WTO要求各成员降低关税壁垒，将非关税措施关税化这一原则即称为关税减让原则 （一）取消数量限制（General Elimination of Quantitative Restriction） WTO提倡关税化，所以关税之外的一切贸易保护措施，包括“数量限制”（Quantitative restriction)都应取消(但特殊情况除外)No prohibitions or restrictions other than duties, taxes or other charges, whether made effective through quotas, import or export licences or other measures, shall be instituted or maintained on the importation of any product or on the exportation or sale for export of any product. 除征收关税、国内税或其他费用以外，WTO成员国不得通过设立或维持配额、进出口许可证或其他措施来禁止或限制产品的进出口。

三项例外,What excepted are: (a) Export prohibitions or restrictions temporarily applied to prevent or relieve critical shortages of foodstuffs or other essential products; (b) Import and export prohibitions or restrictions necessary to the application of standards or regulations for the classification, grading or marketing of commodities in international trade; and (c) Import restrictions on any agricultural or fisheries product，which aim to restrict the quantities or remove a temporary surplus of the like domestic product, etc.,三项例外：,（1）为防止或缓和粮食或其他必需品的严重短缺而临时实施的禁止或限制出口的措施。

（2）为在国际贸易中适用商品归类、分级和销售的标准和规则而有必要实施的进出口禁止或限制措施 （3）对任何农产品和水产品实施的进口限制措施实施这种措施的目的是为了限制国内相同产品的生产或销售量或减少其暂时库存量等 从中看出，上述第2项“例外”（也称“豁免”）是WTO《技术性贸易壁垒协定》的主要法律渊源二）关税减让的依据是减让表(Schedules of Concession),WTO关税减让原则是通过减让表来实施的减让表是各成员国承诺给予其他成员国的优惠及优惠程度的文件依据 减让表实质是成员国提供的优惠表减让表中规定的商品在进入该成员国时，若满足相应的条件和资格要求，即免除超额课征的关税及其他税费Nothing shall prevent any Member from imposing at any time on the importation of any product: (a) a charge equivalent to an internal tax imposed consistently with the national treatment requirement to internal taxes or other internal charges; (b) any anti-dumping or countervailing duty applied consistently with t。