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 2.貿易體系的原則

2,Principles of the Trading System

WTO為貿易政策建立框架,但并不決定或者具體規定結果。換言之,WTO關注的是貿易政策博弈規則的建立。要理解1994年之前的GATT以及之后的WTO,下述5個原則具有特殊的重要性:

 

The WTO established a framework for trade policies; it dose not define or specify outcomes. That is, it is concerned with setting the rules of the trade policy games. Five principles are of particular importance in understanding both the pre-1994 GATT and the WTO.

(1)非歧視原則。非歧視原主要有兩個部分:最惠國規則和國民待遇規則。這兩個規則根植于WTO關于貨物、服務和知識產權的主要規則之中。最惠國規則要求WTO成員必對其他全部WTO成員適用相同的條件,即“給予某一成員國特殊的優惠,也必須同樣地給予其他全部WTO成員國”。國民待遇是指進口物品的待遇不應低于國內生產的物品的待遇。國民待遇(規則)的引人是為了消除貿易中的非關稅壁壘(例如歧視性地針對進口商品的技術標準和安全標準。)

(1)Non-Discrimination. It has two major components:the most favored nation(MFN) rule, and the national treatment policy. Both are embedded in the main WTO rules on goods, services, and intellectual property The MFN rule requires that a WTO member must apply the same conditions on all trade with other WTO members, i.e. “Grant someone a special favor and you have to do the same for all other WTO members.” national treatment means that imported goods should be treated no less favorably than domestically produced goods and was introduced to tackle non-tariff barriers to trade(e.g. Technical standards and security standards discriminating against imported goods).

(2)互惠原則。互惠原則反映出(GATTWTO)限制最惠國規則可 能帶來的搭便車范圍的意愿和獲得更好地進人外國市場的意愿。一個相關的問題是,對于一個參與談判的國家而言,勢必要看到堅持互惠原則可獲得的利益大于從單邊自由化中所獲得的利益;而互惠性讓步正可以實現這種利益。

(2)Reciprocity. It reflects both a desire to limit the scope of free-riding that may arise because of the MFN rule, and a desire to obtain better access to foreign markets. A related point is that for a nation to negotiate, it is necessary that the gain from doing so be greater than the gain available from unilateral liberalization; reciprocal concessions intend to ensure that such gains will materialize.

(3)具有約束力和可強制執行的承諾。WTO成員國在多邊貿易談判及加人WTO之時所作出的關稅承諾,都會體現在關稅減讓表中。關稅減讓表確立“上限約束”:一個國家只有在與其貿易伙伴談判之后才可改變其上限約束稅率,這就意味著它要對其貿易伙伴的貿易損失進行補償。如未得到補償的,提起申訴的國家可以申請啟動 WTO爭端解決程序。

(3)Binding and enforceable commitments.  The tariff commitments made by WTO members in a multilateral trade negotiation and on accession are enumerated in a schedule(list)of concessions. These schedules establish’ceiling bindings”: a country can change its bindings, but only after negotiating with its trading partners, which could mean compensating them for loss of trade. If satisfaction is not obtained, the complaining country may invoke the WTO dispute settlement procedures.

(4)透明度原則。WTO成員國需公布其貿易法規,以便于對影響貿易的行政決定的審查,對其他成員國信需求作出回饋,還可向WTO通告其貿易政策的改變。通過《貿易政策審議機制》發布的定期國別報告(貿易政策審查報告)是對上述國內透明度要求的補充和促進。WTO體系也在努力地提高可預見性和穩定性,不鼓勵使用配額和其他限制進口數量的措施。

(4)Transparency.  The WTO members are required to publish their trade regulations for the review of administrative decisions affecting trade, to respond to requests for information by other members, and to notify changes in trade policies to the WTO. These internal transparency requirements are supplemented and facilitated by periodic country-specific reports(trade policy reviews) through the Trade Policy Review Mechanism(TPRM). The WTO system tries also to improve predictability and stability, discouraging the use of quotas and other measures used to set limits on quantities of imports.

(5)“安全閥”原則。在特定的條件下,政府可以限制貿易。這方面條文有三種類型:利用貿易措施實現非經濟目標的條款;確保“公平競爭”的條款;出于經濟原因而允許干涉貿易的規定。最惠國原則的例外規定了對發展中國家的優惠待遇、地區性自由貿易區和關稅聯盟等情形。

(5)Safety valves.  In specific circumstances, governments are able to restrict trade. There are three types of provisions in this direction: articles allowing for the use of trade measures to attain noneconomic objectives; articles aimed at ensuring” fair competition”;and provisions permitting intervention in trade for economic reasons. Exceptions to the MFN principle also allow for preferential treatment of developing countries, regional free trade areas and customs unions.

 

 

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