Institutional WTO Law and Dispute Settlement

Lecture 1.....................................................................................................2

Lecture 2...................................................................................................18

Lecture 3...................................................................................................37

Lecture 4...................................................................................................67

Lecture 5...................................................................................................82

Lecture 6...................................................................................................94

Lecture 7.................................................................................................116

Lecture 8.................................................................................................141

历年试题................................................................................................164
 Lecture 1

【PPT】OUTLINE
• The World Trade Organisation (WTO): origins and
institutional structure
• Principles of international trade law
• GATT, GATS and TRIPS
• Antidumping measures
• Dispute settlement mechanism in the WTO
• International trade and hot topics
【讲解】
Well, first of all, I have a very brief introduction concerning the what we will do in
these 4 days. And we will talk about the world trade organization that know and is
that the most important international organization dealing with them, trade at the
international level. We will focus on its origins and institutional structure and what
are the powers and the main fields of interest. We will say of the work trade
organization, the WTO then we will focus on the principles of international trade law
that are in the domain treaties which are to the basis of the world trade organization.
So we will focus on 3 main agreements.
Then we will pass a very sensitive issue which is the antidumping and in particular
antigone measures. And then we will go through the instruments for dispute
supplement in the WTO with also specific cases and some references to what are the
practices also to be the national level concerning disputes with regard to trade. And at
the very hand we will also deal with some odd topics so we could say which affect the
trade in very last years, in particular before we 19 pandemic, how this national trade
and how the WTO answered to the facts of the covid pandemic. And on the other one,
climate change, how climate change, environmental issues affect the perception of
trade at international level time.
首先，我有一个非常简短的介绍，关于我们将在这 4 天内做些什么。我们将讨
论一个世界贸易组织，他们知道并且是与他们打交道的最重要的国际组织，在
国际层面上的贸易。我们将重点关注它的起源和制度结构，以及权力和主要的
兴趣领域。我们将说到工作贸易组织，世贸组织，然后我们将重点关注作为国
际贸易组织基础的领域条约中的国际贸易法的原则。所以我们将重点关注三个
主要协议。
然后我们将通过两个字，一个非常敏感的问题，即反倾销措施。然后，我们将
通过世贸组织的争端补充文书，以及具体的案例，以及有关贸易争端的国家一
级的做法。在此同时，我们还将处理一些奇怪的话题，以便我们可以说在去年
影响贸易，特别是在我们新冠大流行之前，这个国家贸易以及世贸组织如何应
对新冠大流行的事实。另一方面，气候变化\环境问题如何影响国际层面上对贸
易的看法。

【讲解】
Here you have also some further readings. For purposes of the exam, okay, you know
that actually what I am saying during our classes is what will be for you has a point of
reference. Hold it. Start. Okay.But in any case, if you are curious about some issues, if
you want to deepen some points, you have also found the readings that can be
interesting. For you to acquire better knowledge about some issues. You will have
also the tutorials, I mean the specific cases that you will deal with and the tutors. And
that's maybe we also mentioned during the class.
在这里，你也有一些进一步的阅读资料。为了考试的目的，好吧，你知道我在
我们课堂上说得对你有参考点。但无论如何，如果你对一些问题感到好奇，如
果你想加深一些观点，你也会发现一些有趣的解读。让你能更好地了解一些问
题。你也会有教程、导师，处理具体案例。也许我们在课上也提到过。

【ppt】EXAM PROCEDURE
• Closed book exam
• Written exam
> Two questions in 1 hour
> Graded with 0-10pts, count each for 50%
And at the end, what is important also for you, that is the exam. it will be a written
exam really close in the 2 questions for the one, in the one hour. And it will be graded
from 0 to 10. And for each section, each answer, the value will be at 50%. Okay.
 【讲解】
最后，对你来说也是重要的，那就是考试。这将是一个笔试中真正接近的两题，
在一个小时内。评分范围从 0 到 10。对于每个部分，每个答案的值将是 50%。

【PPT】Preliminary questions
• Why trade is so important in international relations?
• What topics are covered by trade?
• What should be the objective of an international trade organization?
• What principles are at the basis of international trade?
• Should be some limitations to trade? For what reasons?
【讲解】老师主要讲解了前三个。
问题 1：Why trade is so important in international relations? 为什么贸易在
国际关系中如此重要？
【学生回答】Especially the cross border train as them to the different countries
in the world. And and it's also link to the foreign policy and also link to the economy
and foreign policy. It's really important for every country. So I think this is why trade
is so important in the international relationship.
特别是跨境列车前往世界上不同的国家。它也与外交政策有关，也与经济
和外交政策有关。这对每个国家都很重要。所以，我认为这就是为什么贸易在
国际关系中如此重要的原因。
【学生回答】It's because in the world almost every country will participate in
the international trade. So about it can escape from this relationship. This is why trade
is important for me.
这是因为世界上几乎每个国家都将参与国际贸易。所以它可以摆脱这种关
系。这就是为什么贸易对我来说很重要。
【 老 师 点 评 】 The questions that for sure questions that we will also tackle
during that during these 4 days. In a way or another one, I would just comment what
you said actually when we both said, and it is correct, because as I was saying, the
WTO, we will see it's an internationalization that more or less, overs all the states of
the international community, exactly because the trade is something which even
though in a different way, that's all the states of the world. So is the instrument, as you
were saying, also of foreign policy. And this is one of the most important issues. It is
not just something which has an economic dimension, which is for sure very
important. It is not only an instrument which allows the state to have in either GDP,
because there is an exchange in terms of goods, services, and so on. But it is also an
instrument which is intended to make foreign policy, to also create some connections,
some diplomatic links between and among the states. It is a material instruments of
diplomatic connection. And this is the reason why there are some, in particular, states
or organizations like the European union one, for example, which use this also train,
but it's not the only one, in order to bring other kind of, they use, for example, or
principles in the states the European union trades with. For example, we will see
whether we will time that the European union, for example, uses international trade
agreements or also create a major awareness about environmental choose in third
countries or the necessity to protect the some fundamental rights, like the workers
fundamental rights. So you see that international trade instruments are used to arrive
to another purpose.
在世贸组织，我们将看到这或多或少是一种国际化，覆盖了国际社会的所
有国家，这正是贸易是贯穿于不同国家的方式。正如你所说，外交政策的工具
也是如此。这是最重要的问题之一。WTO 不仅仅是具有经济层面的东西，这无
疑是非常重要的。它不仅是一个允许国家在任何一个 GDP 中拥有的工具，因为
在商品、服务等方面存在交换。但它也是一个旨在制定外交政策、在国家之间
建立一些联系和外交联系的工具。这是外交关系的重要工具.这就是为什么有一
些国家或组织，特别是像欧盟这样的国家或组织也使用这种方式，例如，欧盟
利用国际贸易协定，也建立对第三国环境选择的重大意识，或保护一些基本权
利的必要性，如工人的基本权利。所以你看到国际贸易工具是用来达到另一个
目的。

【问题 2】What topics are covered by trade? 贸易会涉及哪些领域？

We will see that actually nowadays we don't have any more just a reference to
goods typically, but we have also services, for example, and all the issue which are
related like trips, clearly underline some intellectual property, see patterns, for
example, certifications of origin and so on. And then you have sometimes also the
necessity to regulate the movement of individuals as a workers. Again, because they
are part of the product dimension, they are productive, we say and then there are
some, for example, space, civil issues which have bordered line the other topics for
example, sanitary instruments or tools in general which are in is quite important and
sensitive.
 我们会看到，现在我们不仅有更多的商品，但我们也有服务，例如，所有
相关的问题，比如旅行，清楚地强调一些知识产权，看到模式，例如，原产地
证明等等。有时你也有必要规范个人作为一个工人的流动。同样，因为它们是
产品维度的一部分，它们是有效的，我们说，还有一些，例如，空间，民事问
题与其他主题，卫生工具是非常重要和敏感的。
【 问 题 3 】 What should be the objective of an international trade
organization? 一个国际贸易组织的目标应该是什么？
Clearly to have a multilateral have of discussion and improvement of
international trade based on a common principles. And these common principles are
very important for the WTO system and we will see what are these specific principles
we are mentioning. But even so, the world trade organization has the intention to
improve trade as the international level and also to reduce the barriers trade, because
the barriers represent a limitation to this multilateral approach and to the necessity to
look at the trade has an instrument of interaction. We will see that there are also some
limitation to then which are regulated by the WTO. And so they are exceptions to the
general rules that are allowed when they find, when they complies with some specific
criteria.
显然，要有一个多边的讨论和改善国际贸易的共同原则。这些共同的原则
对世贸组织体系非常重要，我们将看到我们提到的这些具体原则是什么。但即
便如此，世界贸易组织仍打算作为国际层面改善贸易，并减少贸易壁垒，因为
贸易壁垒限制了这种多边办法，而且看待贸易的必要性有一种相互作用的工具。
我们将看到，当时受世贸组织的监管也有一些限制。所以他们是一般规则的例
外，当他们发现，当他们符合一些特定的标准时。

【PPT】Before the WTO…

• International Trade Organization (ITO) as specialized UN agency
• To complement the International Monetary Fund and the World Bank (established
by Bretton-Woods Conference)
• A Preparatory Committee was established in February 1946; the founding document
of the ITO was negotiated in Cuba from November 1947 to March 1948 (Havana
Charter)
• But…the ITO treaty was not approved by the US and a few other States and never
went into effect…
• The GATT was the only multilateral instrument governing international trade from
1946 until the WTO was established on 1 January 1995
【讲解】
在世贸组织之前。
国际贸易组织（ITO）作为联合国的专门机构
以补充国际货币基金组织和世界银行（由布雷顿－森林会议设立）
1946 年 2 月成立了一个筹备委员会；伊托条约组织的成立文件于 1947 年 11 月
至 1948 年 3 月在古巴进行谈判（哈瓦那宪章）
但是…ITO 条约没有得到美国和其他几个州的批准，也从未生效。
从 1946 年到 1995 年 1 月 1 日世贸组织成立，关贸总协定是管理国际贸易的唯一
多边文书

【PPT】WTO: establishment
• Result of the Uruguay Round (1986-1994)
• The biggest reform of international trade since the end of
the II World War
• The WTO as an international organization: what implies?
- Based on an international treaty (1994 Marrakesh
Agreement)
- Regulates a specific topic
- Has an institutional structure
【讲解】
Then the issues changed when in 1986 the international community started to think
about the opportunity to create in international organization on trade. So the idea of
international trade organization came back but with a different structure. Clearly you
were in a different period of time. We wear more or less at the end of the cold war and
the interactions, the diplomatic also links between the 2 pollers where different in
comparison to the first one. So it was possible measure dialogue between the different
2 big opposition countries, we could say. And during the this period of time,From
1986-1994, these negotiations lasted 8 years.
在 1986 年，国际社会开始考虑建立国际贸易组织的机会，问题发生了改变。因
此，国际贸易组织的想法又回来了，但结构有所不同。很明显，你是在一个不
同的时期。我们或多或少穿在冷战结束时的互动，外交联系之间的两个投票者
也不同于之前。所以，我们可以说，这可以衡量两大反对国之间的对话。在这
期间，从 1986—1994 年，这些谈判持续了 8 年。
The WTO as an international organization: what implies?
世贸组织作为一个国际组织：这意味着什么？
Based on an international treaty (1994 Marrakesh Agreement)
- Regulates a specific topic
- Has an institutional structure
【老师讲解】
The first one fact that it is based on a treaty which is negotiated and then ratified by.
So the membership of internationalization is the fundamental of the membership. But
is that for sure the find has the belonging to that good internationalization.
第一个事实是，它是基于一项条约，并经过谈判，然后得到批准。因此，会员
资格的国际化是会员资格的基础。但这一发现肯定是属于那种良好的国际化。
In general, international organization deal with the specific topics and have specific
competencies in dealing with some issues.An international organization in general
cannot deal with everything. But they have some specific topics of content.
一般来说，国际组织涉及特定的主题，在处理某些问题时具有特定的能力。一
个国际组织一般不可能处理所有问题。但它们有一些特定的内容主题。
The WTO, it is based on international treaty. Is that the 1994 Marrakesh Agreement.
The agreement you have to take into the, into consideration when you make a
reference to the WTO. Then we will see there are other agreements which compose
the activity of the WTO, but this is the establishing treaty, then regulates a specific
topic that is for sure trade. And we will see, however, what are the, what is the
perimeter of this topic and as also an institutional structure, because clearly the
agreement is the most of the rules which the members to the WTO must comply with
it. But there are some specific institutions which also not only regulate, but also
control whether the members effectively comply with these rules. So the institutional
structure is really important when we are talking about international organization.
作为世贸组织，它是以国际条约为基础的。这是 1994 年的马拉喀什协议。当你
提到世贸组织时，你必须考虑到其中的协议。然后，我们将看到有其他的协议
组成了世贸组织的活动，但这是建立条约，然后规定了一个特定的主题，这肯
定是贸易。然而，我们将看到，这个主题的边界是什么，以及作为一个制度结
构，因为显然，该协议是世贸组织成员的必须遵守的大部分规则。但也有一些
特定的机构不仅监管，而且控制成员是否有效地遵守这些规则。当我们谈论国
际组织时，制度结构非常重要。

【ppt】WTO: recent developments

On 17 June 2022, the 12th Ministerial Conference of the WTO reached a historic
agreement on ending unsustainable fisheries subsidies, after over 20 years of
negotiations.
This is the first ever multilateral agreement focused on sustainability and the first new
WTO agreement since 2013.
The agreement is a crucial step in ensuring that fisheries subsidies pursue
sustainability as their core objective and avoid harming oceans and fish stocks, as
these are indispensable for the livelihoods of coastal communities
around the world.
【讲解】
（PPT 内容翻译）WTO：最近的发展
2022 年 6 月 17 日，世贸组织第 12 届部长级会议经过 20 多年的谈判，就结束不
可持续的渔业补贴达成了历史性协议。
这是第一个关注可持续性的多边协议，也是自 2013 年以来第一个新的世贸组织
协议。
该协议是确保渔业补贴将可持续性作为其核心目标并避免损害海洋和鱼类资源
的关键步骤，因为这些资源对沿海社区的生计是必不可少的
世界各地
（老师补充增加）
The agreement is clearly important because these as you see, is a strictly link to trade
because we are talking about fish stocks and also the live foods of custom
communities and the opportunity for them to trade featuring products. But at the same
time, as I was stressing before, the reason if another complement that is that in the
Protection of environment. So the reason in attempt of balancing environmental
objectives and the purposes with the trade purposes, trade interests so you see that's
the reason, these interesting development also in the WTO.
这项协议显然很重要，因为正如你所看到的，这些都是与贸易的严格联系，因
为我们谈论的是鱼类资源，以及定制社区的活食品，以及他们交易特色产品的
机会。但与此同时，正如我之前强调的，补充是在环境保护方面。所以原因是
试图平衡环境目标和目的与贸易目的、贸易利益，这些有趣的发展也在世贸组
织。

【ppt】WTO: members

Now what is the interesting to come back to membership is exactly to see what are the
members of the WTO. And actually the WTO alongside the united nations is that the
biggest we could say international organization in terms of membership, because it is
composed of 164 for members almost all the states of the world with 25 observers
countries. So this means that these are 25 countries, I'm not properly members of the
WTO, so they're not bound by the WTO. Also that they observe and also trigger the
WTO members to deal with damage.
实际上，世贸组织和联合国并列的是我们可以说得最大的国际组织，因为它由
164 个成员国组成，25 个观察员国。这意味着这是 25 个国家，不受世贸组织的
约束。他们还观察并促使世贸组织成员应对损害。
 【PPT】WTO: membership
• The process of becoming a WTO member is unique to each applicant country, and
the terms of accession are dependent upon the country's stage of economic
development and the current trade regime
• WTO members do not have to be fully independent States; they need only be a
customs territory with full autonomy in the conduct of their external commercial
relations
• Chinas accession negotiations lasted 15 years (2001) and those of Russia 18 years
(2012)
• The EU is a member of the WTO alongside its MSs
• With the exception of the Holy See, observers must start accession negotiations
within five years of becoming observers.
• A number of international intergovernmental organizations have also been granted
observer status to WTO bodies.WTO: membership
•成为世贸组织成员的过程对每个申请国来说都是独特的，加入条件取决于该国
的经济发展阶段和当前的贸易制度
•世贸组织成员不必是完全独立的国家；它们只需要是一个在处理对外商业关系
方面拥有完全自主权的关税区
•中国的入盟谈判持续了 15 年（2001 年），俄罗斯的入盟协商持续了 18 年（20
12 年）
•欧盟与其 MS 一起是世贸组织的成员国
•除罗马教廷外，观察员必须在成为观察员后的五年内开始入盟谈判。
•一些国际政府间组织也被授予世贸组织各机构的观察员地位
【讲解】
此处 ppt 比较详细，基本包含了老师讲的重要内容。补充一下老师另外讲得。
And I think that you will have a specific course concerning the European union,
which will express the fact that the European union has an exclusive competence in
dealing with the trade issues. So this means that all these 27 members, say the of the
European union do not have anymore competence in the dealing with the trade
between the national level, because it is a to the European union to conclude
international agreements with the 3rd countries, that to interact with the WTO and so
on so the member states do not have competencies in this field. This is the reason why
the European union is a full member of the WTO. Clearly also the member states are
members the WTO because indirectly they first of all, they keep the membership that
they were, they got, but at the same time also because they have to implement the
trade policy of the European union.
我认为，你对欧盟有着特别的课程兴趣，欧盟在处理贸易问题方面具有唯一的
能力。这意味着欧盟 27 个成员国没有任何能力处理国家层面之间的贸易，因为
是欧盟与第三国达成国际协议，与世贸组织互动等等，所以成员国在这个领域
没有能力。这就是为什么欧盟会成为世贸组织的正式成员。显然，这些成员国
也是世贸组织的成员，因为他们首先间接地保留了他们所拥有的成员国身份，
但同时也因为他们必须实施欧盟的贸易政策。

成为 WTO 成员的 4 个步骤：4 main phases:

- The applicant has to submit a report or ‘memorandum’ on its trade and economic
policies to be examined by a working party
- The candidates must bring their national laws, regulations and administrative
procedures into conformity with their obligations under the WTO agreements
- Drafting of the terms of membership in the Working Party Report, the draft Protocol
of Accession and the draft Goods and Services Schedules of the candidate
- Decision stage: the General Council or the Ministerial Conference decides on the
application for membership
4 个主要阶段：
－申请人必须提交一份关于其贸易和经济政策的报告或“备忘录”，由工作组
审查
－候选人必须使其国家法律、法规和行政程序符合其在世贸组织协定下的义务
－起草工作组报告的成员条件、加入议定书草案和候选人的货物和服务一览表
草案
－决定阶段：总理事会或部长级会议决定申请

【PPT】WTO: purpose and functions

• Purpose:
‘to facilitate the implementation, administration, and operation as well as to further
the objectives' of the WTO Agreements’
• Functions:
a) Oversee the implementation, administration and operation of the covered
agreements;
b) Provide a forum for negotiations and for settling disputes;
c) Ensure the coherence and transparency of trade policies through surveillance in
global economic policy-making;
d) Provide assistance of developing, least-developed and low-income countries in
transition to adjust to WTO rules and disciplines through technical cooperation and
training
•目的：“促进 WTO 协议的实施、管理和运作，并促进其目标”
•职能：
a）监督所涵盖协议的执行、管理和运营；
b）为谈判和解决争端提供论坛；
c）通过监督全球经济决策，确保贸易政策的一致性和透明度；
d） 通过技术合作和培训，协助转型期发展中国家、最不发达国家和低收入国
家适应世贸组织规则和纪律
【讲解】
The purpose of the WTO is that to facilitate the implementation, administration and
operation as well as the objectives of the WTO agreements. So the WTO is intended
as international organization which has allow the implementation of the agreements.
世贸组织的目的是促进世贸组织协定的执行、管理和运作以及目标。因此，世
贸组织是允许执行协定的国际组织。
So the institutions again that we will see has a 4 different functions.
所以我们将再次看到的机构有 4 个不同的功能。
The first is that to oversee, to control, to verify the implementation, administration
and operation of the covered agreement. This is exactly what is the purpose.
首先是监督、控制、验证所覆盖协议的实施、管理和运作。这也正是其目的。
The second is that WTO is a forum for negotiation. What we have said so far
concerning the last agreement on sustainable fisheries. Negotiated these agreements
are also stable fishery. WTO and also the experts working in the WTO have
facilitated, thanks to diplomatic interactions with sessions of debate and so on, the
members that to conclude new international agreements which really but related to
trade some extent.It is also following for settling disputes because there is a specific
mechanism within the WTO for solving international disputes among the states.
第二，世贸组织是一个谈判的论坛。举例：我们看到目前为止关于可持续渔业
的最后协议。通过谈判达成的这些协议也是为了稳定渔业。世贸组织和在世贸
组织工作的专家，与辩论会议的外交互动，为成员国促成了缔结在一定程度上
与贸易有关的新的国际协定。它也在继续解决争端，因为世贸组织内部有一个
专门的机制来解决国家之间的国际争端。
The third function is to ensure the coherence and transparency of trade policies
through surveillance in global economic policy-making. Each state, each member of
the WTO has to know what are the practices and the trade policies of the other
members of the WTO. Transparency because remember that what is the final
objective facility trade eliminate any kind of barriers to trade. So it is essential that all
the members of the wto know exactly what the others do with regard to trade.
第三个职能是通过监督全球经济决策，确保贸易政策的一致性和透明度。每个
国家，每个世贸组织成员必须知道贸易实践、政策、成员等。透明度是为了最
终的目标设施贸易消除了任何形式的贸易壁垒。因此，世贸组织的所有成员都
必须确切地知道其他成员在贸易方面做了什么。
The forth function is instead to provide systems to developing the list developed, also
knowing country which are in any ending transition also in the performance of
adjustment to the WTO rules and the fundamental principles in the WTO. These
happens in particular thanks to technical cooperation.And the WTO has necessarily to
work in order to reduce the the space between these countries.
第四项职能是为制定清单提供系统，同时了解哪个国家处于任何结束过渡阶段，
并在对世贸组织规则和世贸组织基本原则方面进行调整。这特别是得益于技术
合作。世贸组织必须努力，以减少这些国家之间的空间。

【ppt】WTO: negotiations
Since 1995, the WTO has successfully negotiated a few new agreements (Agreement
on Trade Facilitation – 2013; Amendments to the Agreement on Government
Procurement – 2012; Accession Protocols – including China 2001 e Russia 2012)…
But….the Doha Round of negotiations of 2001 for launching a new multilateral trade
system partially failed.
In 2017, during the WTO Ministerial Conference in Buenos Aires realized that it was
a failure.
自 1995 年以来，世贸组织成功地谈判了几项新协定（贸易便利化协定 -2013 年；
2012 年政府采购协定修正案；加入议定书－包括 2001 年中国和 2012 年俄罗
斯）。
但是…2001 年多哈回合启动新多边贸易体系的谈判部分失败。
2017 年，在布宜诺斯艾利斯举行的世贸组织部长级会议上，人们意识到这是一
次失败。
【讲解】
Nowadays is something that necessarily should be revised in order to be improved.
Because the international organization clearly answers to some specific needs and
interests of that time when it was established. But nowadays, the world has changed.
That some interests have affects we could say affect the members in a different way.
So actually it would be necessary that the WTO was revised and potentially improved.
现在必须修改才能改进。因为国际组织在成立时明确地响应了当时的一些具体
需要和利益。但如今，世界已经改变了。有些利益影响了我们可以说以不同的
方式影响了成员。因此，实际上有必要对世贸组织协定进行修订，并有可能进
行改进。

【PPT】WTO: Trade Policy Review

Publication of the trade policy and practices of all WTO members, with notification to
the WTO Secretariat (not always properly addressed).
For purposes of transparency
Ex. During the 2018 Trade Policy Review of the US, they had to reply to more than
1700 written questions by other WTO members. And some members take the chance
to criticize the increasing recourse to antidumping measures and other practices
protecting the domestic market, like "Buy American".
In July 2019, WTO General Council debated about a Draft Decision on Procedures to
Enhance Transparency and Strengthen Notification Requirements.
However, it was criticized by developing countries because providing administrative
sanctions for WTO Members which fail to meet their notification obligations
公布所有世贸组织成员的贸易政策和做法，并通知世贸组织秘书处（并不总是
得到妥善处理）。
为透明起见
在 2018 年美国贸易政策审查期间，他们不得不回答其他世贸组织成员国的 1700
多个书面问题。一些成员借此机会批评了越来越多的反倾销措施和其他保护国
内市场的做法，比如“购买美国货”。
2019 年 7 月，世贸组织总理事会就关于提高透明度和加强通知要求的程序的决
定草案进行了辩论。
然而，它受到了发展中国家的批评，因为对未履行其通知义务的世贸组织成员
提供了行政制裁。
【讲解】
One of the objective for the WTO should be to improve the transparency in trade
policies of the members of the WTO. How from a practical point of view these
happens? Well, each state or member has to publish their trade policy and practice,
says with a notification to the secretariat of the WTO in order to let the other members
to know what are the practices of trade.
世贸组织的目标之一应该是提高世贸组织成员的贸易政策的透明度。从实际的
角度来看，这是如何发生的？每个国家或每个成员国都必须公布他们的贸易政
策和做法，并通知世贸组织秘书处，以便让其他成员国知道什么是贸易惯例。

For purposes of transparency. In the website of the WTO, you could find for each
state what are the trade policies and practices, all that specific companies, all
practices. You also make references, for example, to the tariffs applies to imports or
exports, so the duties, the potential subsidies or dump measures, anti dump measures
and so on. What are the strategies of the trade policy of that specific member?
为透明起见。在世贸组织的网站上，你可以找到每个州的贸易政策和做法，所
有这些特定的公司，所有的做法。你还会找到，例如，关税，潜在的补贴或倾
倒措施，反倾倒措施等。该特定成员的贸易政策的策略是什么？

For example, 2018 trade policy review, the secretary of the WTO found that the new
has we're not able to be transparent. Actually, they in particular paid to answer to a lot
of written questions from other WTO members concerning their trade practices and so
on. And this happen because actually not only the member states have to present on
the website, they trade policy and practices that they perform, but they should also be
open to potential questions from other members of the WTO because clearly other
WTO members would have some specific questions.
例如，在 2018 年的贸易政策审查中，世贸组织部长发现，新的贸易政策是我们
无法保持透明的。实际上，他们特别回答了其他世贸组织成员关于其贸易行为
等的书面问题。这是因为成员国不仅必须在网站上展示他们的贸易政策和做法，
还应该对世贸组织其他成员的潜在问题保持开放，因为显然其他世贸组织成员
会有一些具体的问题。

In the July 2019, WTO General Council pronounce transparency and strengthen
notification requirements so a way to address the limit of the current system and also
to improve from also procedural point, of view the system of located ancient. But
again this proposal was deeply criticized in particular by developing strings because
providing the administrative sanctions actually for those WTO members, which pain
to meet the notification obligation.
2019 年 7 月，世贸组织总理事会宣布透明度和加强通知要求，以解决当前制度
的限制，并从程序的角度，改善定位古老的制度。但这一提议再次受到了深深
的批评，特别是发展的附加条件，因为实际上为那些世贸组织成员提供了行政
制裁，很难履行通知义务。

【ppt】WTO: topics
GATT: dealt with trade in goods
WTO: also cover trade in services and intellectual property,
and has new procedures for the settlement of disputes.
• General Agreement on Tariffs and Trade (GATT, 1994)
• General Agreement on Trade in Services (GATS)
• Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPS)
关贸总协定：涉及货物
贸易世贸组织：还涉及服务贸易和知识产权，并有解决争端的新程序。
•关税及贸易总协定（GATT，1994）
•服务贸易总协定 (GATS)
•与贸易有关的知识产权协定 (TRIPS)
【讲解】
How that start to look at the main topics that today WTO deals with. The very general
terms, because it will be a topic of the tomorrow lecture.
我们如何开始看待今天世贸组织所处理的主要话题，非常广泛，将是明天讲座
的主题。
【PPT】WTO: legal basis
Agreement Establishing the World Trade Organization
Annex 1
Annex 1A - Multilateral Agreements on Trade in Goods (GATT)
Annex 1B - General Agreement on Trade in Services (GATS)
Annex 1C - Trade-Related Aspects of Intellectual Property Rights (TRIPS)
Annex 2 - Dispute Settlement Understanding
Annex 3 - Trade Policy Review Mechanism
Annex 4 - Plurilateral Trade Agreements
Annex 4(a) - Agreement on Trade in Civil Aircraft
Annex 4(b) - Agreement on Government Procurement
Annex 4(c) - International Dairy Agreement (terminated in 1997)
Annex 4(d) - International Bovine Meat Agreement (terminated in 1997)
建立世界贸易组织的协定
附件 1
附件 1A－货物贸易多边协定
附件 1B－服务贸易总协定
附件 1C－与贸易有关的知识产权问题
附件 2－争端解决谅解
附件 3－贸易政策审查机制
附件 4－诸边贸易协定
附件 4（a）－民用飞机贸易协定
附件 4（b）－政府采购协定
附件 4（c）－国际乳制品协定（于 1997 年终止）
附件 4（d）－国际牛肉协定（于 97 年终止）

Lecture 2

【PPT】
WTO: institutional structure
• Ministerial Conference meets usually every two years
• General Council (normally ambassadors and heads of delegation based in Geneva
but sometimes officials sent from members’ capitals) which meets several times a
year in the Geneva headquarters. The General Council also meets as the Trade Policy
Review Body and the Dispute Settlement Body.
• Goods Council, Services Council and Intellectual Property (TRIPS) Council report
to the General Council.
• Numerous specialized committees, working groups and working parties deal with
the individual agreements and other areas, such as the environment, development,
membership applications and regional trade agreements.
WTO：体制结构
•部长级会议通常每两年举行一次【讲解：行政会议决定世贸组织协议的改进或
更新。世贸组织体系明确各国必须就世贸组织体系的这些潜在更新和潜在修订
达成一致。】
•总理事会（通常是驻日内瓦的大使和代表团团长，有时是从成员国首都派出的
官员），每年在日内瓦总部举行几次会议。总理事会还作为 贸易政策审查机构
和争端解决机构举行会议。【有更多实权】
•商品理事会、服务理事会和知识产权（TRIPS）
理事会向总理事会提交的报告许多专门委员会、工作组和工作组处理个别协定
和其他领域，如环境、发展、成员申请和区域贸易协定。

【PPT】
WTO AND MARKET ACCESS

The trading system should be ...

• Without discrimination;
• Freer — barriers coming down through negotiation;
• Predictable -foreign companies, investors and governmentsshould be confident that
trade barriers (including tariffs and nontariff barriers) should not be raised arbitrarily;
tariff rates and market-opening commitments are “bound” in the WTO;
• More competitive — discouraging “unfair” practices such as export subsidies and
dumping products at below cost to gain market share;
• More beneficial for less developed countries — giving them more time to adjust,
greater flexibility, and special privileges.
交易系统应该是。。。【WTO 机制的主要特点或目标】
•不受歧视；【讲解：基本原则】
•更自由：通过谈判消除障碍；【最后的目标，目前是逐步减少贸易壁垒】
•可预测-外国公司、投资者和政府应确信，不应任意提高贸易壁垒（包括关税
和非关税壁垒）；关税税率和市场开放承诺在世贸组织受到“约束”；【有明
确的规则和限制】
•更具竞争力——阻止“不公平”做法，如出口补贴和以低于成本的价格倾销产
品以获得市场份额；【讲解：让所有成员处于相同的条件下，在相同的产品或
相似的产品上具有竞争力。】
【问：Why dumping is so negative of trade?为什么倾销不利于贸易？
答：It improves the capacity of a specific company to produce some specific products
and so to be apparently more competitive on the market. But it is an alteration of the
classical economic structure and so competition requires that all the, the companies
must be put at the same line of the rates, not privileges for specific companies. 因为
提高了特定公司生产某些特定产品的能力，从而在市场上明显更具竞争力，这
是对传统经济结构的改变。】
•对欠发达国家更有利——给它们更多的调整时间、更大的灵活性和特权。
【 讲解：less developed countries started from another line already. And so we have
to give them more flexibility. Adjustment instruments and also some privileges in
order to reach the same level as the others, for the this race of competition. 发展中国
家已经落后于起跑线】

【PPT】
WTO: Market access
Market access for goods and services from other countries is frequently impeded or
restricted in various ways.
There are two main categories of barriers to market access:
• tariff barriers
• non-tariff barriers
What is the difference?
The category of tariff barriers primarily includes customs duties, i.e. tariffs. Tariff
barriers are particularly relevant for trade in goods; they are of marginal importance
for trade in services. The category of non-tariff barriers includes quantitative
restrictions (such as quotas) and ‘other non-tariff barriers’ (such as lack of
transparency of trade regulation, unfair and arbitrary application of trade regulation,
customs formalities, technical barriers to trade and government procurement
practices).
WTO：市场准入
来自其他国家的商品和服务的市场准入经常以各种方式受到阻碍或限制。【讲
解：目的是限制贸易的自由流动，保护国内市场】
市场准入障碍主要有两类：
•关税壁垒【此处老师提问，学生回答：对于国内外同一类型或同一领域的产品
实行收取不同的税】
•非关税壁垒【 此处老师提问，学生回答： exit limitations or limitations that
specific product, licensed and biological barrier，maybe sps entrance and other thing.
直接禁止或限制特定产品的进出口。许可证和生物屏障，或 sps 贸易壁垒1和其
他技术贸易壁垒的等。】
有什么区别？
关税壁垒的类别主要包括关税，即关税。关税壁垒与货物贸易特别相关；它们
对服务贸易的重要性微乎其微。非关税壁垒类别包括数量限制（如配额）
和“其他非关税壁垒”（如贸易监管缺乏透明度、贸易监管的不公平和任意适
用、海关手续、技术性贸易壁垒和政府采购做法）。【讲解：对于服务贸易，
更多的限制体现在非关税壁垒上，如要求提供服务者提供各种认证。如： a
certification of is preparation, a diploma, a language requirement. 】
【PPT】
WTO: Rules and Principles

1
“SPS”全称为“实施卫生和植物卫生措施协定”卫生与植物卫生措施。规定的根本目的是：促进国际贸易
向着更自由、更公平、非歧视的方向发展。这样一个目标的确立实质是所有成员都认为实施卫生和植物卫
生措施对国际贸易会有一定程度的非关税限制措施，即技术性贸易壁垒性质。实际上各成员方在具体制定
本国动物和植物卫生保护措施时，都或多或少地想利用这一协定的原则条款，采取极大限度地保护本国利
益的行为。即最大限度地利用这些原则条款限制别国产品的进入，促进本国产品的输出。
TBT 是技术性贸易壁垒 《技术性贸易壁垒协议》（简称《TBT 协议》技术性贸易壁垒主要是指货物进口国
家所制定的那些强制性和非强制性的技术法规、标准以及检验商品的合格评定程序所形成的贸易障碍，即
通过颁布法律、法令、条例、规定、建立技术标准、认证制度、检验检疫制度等方式，对外国进口商品制
定苛刻繁琐的技术、卫生检疫、商品包装和标签等标准，从而提高进口产品要求，增加进口难度，最终达
到限制进口的目的。
• Reduction of trade and market access barriers
➢ Promotion of non-discrimination
1. border measures, tariffs, quota, customs regulations, import licensing, certification
2. national regulations and practices that have a protective effect
3. focus on explicit, government imposed trade obstacles
WTO：规则与原则
•减少贸易和市场准入壁垒【WTO 规则和原则的基础】
➢ 促进不歧视
1.边境措施、关税、配额、海关条例、进口许可证、证明
2.具有保护作用的国家法规和做法
3.关注政府强加的明确的贸易障碍
【PPT】
WTO: Rules and Principles
Principles: 1) The most-favoured-nation (MFN) treatment
2) The national treatment
NB. Even if with some specifications, the following rules
and principles apply to GATT, GATS and TRIPS
=> PRINCIPLE OF NOT DISCRIMINATION
WTO：规则与原则
原则：1）最惠国待遇
2） 国民待遇
注：。即使有一些规范，以下规则
以及适用于 GATT、GATS 和 TRIPS 的原则
=>不歧视原则
字幕讲解：尽管有一些具体规定，也有一些差异，但这两项原则适用于我们在
世贸组织基础上制定的所有条约。
【PPT】
WTO: MFN
GATT 1947
Part I, Article I: General Most-Favoured-Nation Treatment (MFN)
1. With respect to customs duties and charges of any kind…, any advantage, favour,
privilege or immunity granted by any contracting party 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 contracting
parties.
WTO：MFN
1947 年关税及贸易协定
第一部分第一条：最惠国待遇
1. 关于任何种类的关税……，任何缔约方对原产于或运往任何其他国家的任何
产品给予的任何优惠、优惠、特权或豁免，应立即无条件给予原产于或送往所
有其他缔约方领土的同类产品。
字幕讲解：也适用于 GATS《服贸总协定》和 TRIPS《与贸易有关的知识产权
协议》。“关于任何种类的关税……，任何缔约方对原产于或运往任何其他国
家的任何产品给予的任何优惠、优惠、特权或豁免，应立即无条件给予原产于
或送往所有其他缔约方领土的同类产品。”这就是最惠国原则的精髓。
Once a privilege/ an advantage is given towards a member of the WTO system. With
regard to a specific product, the same privilege must be accorded, granted also to the
other contracting parties of the WTO system.
一旦给予世贸组织成员一种特殊产品优势，也必须给予世贸组织体系的其他缔
约方同样的特权。
【PPT】
WTO: MFN
Questions:
1) Is the measure at issue of the kind covered by art. 1?
2) Does the measure at issue confer a trade ‘advantage’?
3) Are the relevant products ‘like products’?
4) Is the advantage not granted ‘immediately and unconditionally’ to all like products
concerned?
WTO：MFN
问题：
1） 有争议的措施是否属于第 1 条所涵盖的那种措施？
2） 有争议的措施是否具有贸易“优势”？
3） 相关产品是否“类似产品”？
4） 是否没有“立即无条件”向所有相关的同类产品提供优势？
字幕讲解：
First to verify whether they measure taken by the state, disadvantage, how is written
here, favor, privilege or immunity is covered by article one.
The second question is that whether there is a real advantage coming from that
measure. So it privilege.
Then we have to verify whether the products are really like products because, for
example, you can apply in advantage towards the import of bananas so the same
advantages should be applied also to bananas coming from other. But we're not
talking about just the products which are identical, but also those products which
maybe belong to the same category.A question what is like products, to what extent
we can consider a product like to another one?
1、首先，我们必须核实第一条是否有效地涵盖了国家采取的措施，优惠、特权
或豁免。
2、第二个问题是，这项措施是否有真正的贸易好处，也就是特权。
3、第三个问题是我们必须核实这些产品是类似产品，例如，若给予某国香蕉进
口优势，很明显同样的优势也应该给予其他国家的香蕉。但怎么判断不相同但
可能属于同一类别的产品呢，如苹果是不是像香蕉一样的水果，我们可以在多
大程度上考虑一个产品与另一个产品相似？
4、我们必须回答的第四个问题是，没有立即无条件地将优势授予所有同类产
品？所以这是不合法的。但这立即和无条件是什么意思？
【PPT】
WTO: MFN
1) Is the measure at issue of the kind covered by art. 1?
The measures include customs duties, charges on imports and exports, import and
export prohibitions and quotas,tariff quotas, import licenses, customs
formalities.Internal taxes on products and internal regulation affectingthe sale,
distribution, or use of products.
WTO：MFN
1） 有争议的措施是否属于第 1 条所涵盖的那种措施？
这些措施包括关税、进出口收费、进出口禁令和配额、关税配额、进口许可
证、海关手续。
字幕：
These measures or this kind of measures, when they're creating an advantage should
be granted or imposed depends also on the other countries. 这些措施或此类措施在
创造优势时应该同时给予其他国家。
【PPT】
WTO: MFN
2) Does the measure at issue confer a trade ‘advantage’?
Any measure that creates more favorable competitive opportunities or affects the
commercial relationship between products pf different origin or for different
destinations. Any actual effect…to prove the discriminatory intent is not needed.
WTO：MFN
2） 有争议的措施是否具有贸易“优势”？
任何创造更有利竞争机会或影响不同产地或不同目的地产品之间商业关系的措
施。
任何实际效果……都不需要证明歧视意图。
字幕讲解：
The second, you have an advantage whenever the major creates a more favorable
competitive opportunities or affects the commercial relationship between the countries
in a positive way. The idea is that the measure taken shall be effectively ， should
produce a positive advantage. And in this equation is not needed to prove the intention
to discriminate. The idea is that you have an object give advantage towards a specific
state for a specific product.
第二，只要创造了更有利的竞争机会或以积极的方式影响了国家之间的商业关
系，你就有优势。也就是他们采取的措施应该是有效的，应该产生积极的优
势。在这个等式中，不需要证明歧视，核心是对特定国家的特定的产品给予优
势。
【PPT】
3) Are the relevant products ‘like products’?
There is a relationship between and among those products
in a particular market established according to:
- Physical characteristics of the products
- Consumer tastes and habits regarding the products
- The end use of the products
- The tariff classification of the products
3） 相关产品是否是“类似产品”？
这些产品之间存在关系
在根据以下内容建立的特定市场中：
-产品的物理特性
-消费者对产品的品味和习惯
-产品的最终用途
-产品的关税分类
字幕讲解：
The master of question, you have to consider 4 different requirements for different
criteria that can be useful to verify the relationship between and among the products.
When they are not the identical products.
核心问题——根据判例法，必须考虑 4 种不同标准，这些标准可能有助于验证
产品之间的关系，当它们不是相同的产品时。
First of all, you have to consider the physical characteristics of the products, whether
they can be consider effectively has the same or the like product. For example, there
are different types of bananas in Spain, that you have a specific kind of banana which
is quite little in comparison to the others Importer. They belong in any case to the
same category. So apparently they have a identical physical characteristic.
首先，你必须考虑产品的物理特性，是否可以有效地考虑它们具有相同或相似
的产品。所以我不知道是否。例如，在西班牙有不同类型的香蕉，有一种特定
的香蕉香蕉与其他进口香蕉相比数量很少。它们属于同一类，因为它们有着相
同的物理特征。
Then you have to consider something which is a quite peculiar actually, that is the
consumer perception of that specific products, whether the consumer see that's
products can be considered as like to another one. They can be changeable as well.
然后你必须考虑一些非常特殊的东西，就是消费者对特定产品的感知，消费者
是否认为该产品可以被视为与另一种产品相似。它们是否是可互换的。
Then you have to consider the end use of the products, whether they can be consider
has the same products in terms of usage at the end.
And finally, classification in terms of types of the products because as it was
mentioning, you have some products to which some duties are in any case applied,
whether they belong to the same category clearly they can also be considered to some
extent that can be an issue to be consider has like products.
然后你必须考虑产品的最终用途，考虑他们最终在使用方面是相同的。
最后，根据产品关税类型进行分类，有一些产品适用某些关税，它们属于同一
类别，它们在某种程度上也可以被认为是一个类似产品。
【PPT】
WTO: MFN
4) Is the advantage not granted ‘immediately and unconditionally’ to all like products
concerned?
Immediately means that the advantage shall be extended to all the WTO Members
without delay
Unconditionally means that no further conditions must be imposed.
WTO：MFN
4） 是否没有“立即无条件”向所有相关的同类产品提供优势？
立即意味着应毫不拖延地将优惠扩大到所有 WTO 成员
无条件意味着不必施加任何进一步的条件
字幕讲解：
The last question is concerns these words: immediately and unconditionally. The state
must immediately grant the same advantage to another state, immediately means that
the advantage shall be extended to the WTO without delay. So not by waiting for, for
example, 2 years. When the state adopts a specific regulation, a specific rule
concerning the product, so it should not be accorded, granted just to a state but all the
member states, the WTO at the same time. So the regulation, the rules broad the scope
of application in terms of the addresses object rules.
最后一个问题涉及这些词：立即和无条件。立即：一个国家必须立即给予另一
个国家同样的优势，立即意味着该优势应毫不拖延地扩大到世贸组织，不能是
2 年。当国家通过一项特殊产品的特定的法规时，不应该只给予一个国家，而
是同时给予所有成员国。该规定扩大了适用对象的范围。
The second, the condition is that the measure should be applied to all the WTO
members according to an unconditional definition. So this means that no further
condition must be imposed.
第二，条件是该措施应根据无条件的定义适用于所有世贸组织成员。因此，这
意味着不能强加任何进一步的条件。
This is actually the procedure that is state of the WTO has to follow when it must
comply with this principle, the must favor nation principle. It is the essential
manifestation of the principle, again, of not discrimination.
这是世贸组织成员国在必须遵守最惠国原则时必须遵循的程序，这也是不歧视
原则的基本体现。
【PPT】
WTO: MFN
Grant someone a special favour (such as a lower customs duty rate for one of their
products) and you have to do the same for all other WTO members
It means NOT DISCRIMINATION
But….two States may apply different tariffs, so there is not a perfect overlapping.
WTO：MFN
给予某人特殊优惠（例如降低其产品的关税税率），你必须对所有其他 WTO
成员国也这样做
意思是不歧视
但是……两个国家可能适用不同的关税，因此不存在完美的重叠。
字幕讲解：
These specific principle applies in a different way to the member state of WTO. Why?
Because clearly all the states can decide what kind of advantages grants to the other
member states of the WTO. So you don't have actually a perfect overlapping in terms
of tariff supply. For example, if the United States decides to decides to reduce the
customs duties for importing bananas, from 3 to 2%. Clearly that tariff applies to the
all the WTO system so all of the trading partners of the United States, trading the
banana will be applied with the same tariffs 2%, has customs duties chance and not
anymore 3%, you have an advantage in comparison to the past. But this is valid for
the United States. Japan could decide that the import of bananas is the 3% because
they started from the 4%.
所有国家都可以决定给予世贸组织其他成员国什么样的优势。因此，在关税方
面没有完美的重叠。例如，美国决定将进口香蕉的关税从 3%降低到 2%。关税
适用于所有世贸组织体系，因此美国的所有贸易伙伴将适用关税 2%。但这对美
国来说是有效的，日本可以决定香蕉的进口是 3%，因为它们是从 4%开始的。
Clearly Japan applies the same tariff, reduce the tariff to all the WTO member states.
But you see that the tariffs are not overlapping that for the United States, the 2% of
the value of the product. So for Japan is the 3%. You have in any case an advantage
because in compares to the previous.
显然，日本适用相同的关税，降低对所有世贸组织成员国的关税。但你可以看
到，关税并没有与美国产品价值的 2%重叠。对日本来说是 3%。但是与之前相
比都有优势。
Customs duties both have reduced the tariff but according to a different level so the
customs duties impose home bananas are different around the world. So the principle
of the most favorite nation is based on the principle not discrimination but it has a
relative application because it depends on the state which decides to adopt that
specific advantage you will not have unequal tariff for all the member states of The
WTO .Because it is a something that operate works according to a bilateral
dimension. because the starting point is different. 关税都降低了关税，但根据不同
的水平，因此世界各地对香蕉征收的关税不同。因此，最惠国原则是基于非歧
视原则，但它有相对的适用性，因为它取决于决定采用这种特定优势的国家。
这是一种根据双边层面运作的东西，而各国起点不同。
The idea is that to avoid discrimination easy to reduce the obstacles to the free trade
but still you have obstacles, still you have duties imposed on the products, then we
have a free trade areas and the customs unions which are peculiar examples and
exceptions to the general rules.
WTO 建立的目的为了避免歧视，减少自由贸易的障碍，但仍然存在障碍，仍然
会对产品征收关税，还有自由贸易区和关税同盟是一般规则的特殊例外，如欧
盟内部就没有关税。
【PPT】
WTO: MFN (exceptions)
• Countries can set up a free trade agreement that applies only to goods traded within
the group — discriminating against goods from outside.
• Countries can give developing countries special access to their markets.
• Countries can raise barriers against products that are considered to be traded
unfairly from specific countries.
But…the agreements only permit these exceptions under strict conditions.
WTO：最惠国待遇（例外）
•各国可以建立适用的自由贸易协定
只适用于集团内部交易的商品——歧视来自外部的商品。
•各国可以给予发展中国家进入其市场的特殊机会。
•各国可以提高对来自特定国家的被认为不公平贸易的产品的壁垒。
但是…协议只允许在严格的条件下出现这些例外
字幕讲解：
What are specific exceptions within the general principle ， the most favor national
treatment, it is possible for the states to establish free trade agreements. That clearly
applies only to goods traded within that specific goods of states. What influencer is
that you have a discrimination, actually a major discrimination towards 3 rd countries.
Then you have to include the other agreements with the 3rd countries in order to
reduce the progressively these obstacles and these discriminations.
最惠国待遇的一般原则中的例外情况，各国可以签订自由贸易协定。这显然只
适用于在国家特定商品内交易的商品，对第三个国家有歧视。如在欧盟内部可
以毫无障碍地进行贸易。但在欧盟和中国之间，存在一些障碍，因此存在歧视
的情况，但这是被允许的，所以必须加入与第三国的其他协议，以逐步减少这
些障碍和歧视。
The second exception concerns the developing countries because they have some
specific advantages due to the fact they started from a line which is behind the
others， 第二个例外涉及发展中国家，因为它们有着落后于其他国家的起点，
所以给予它们特殊优势。对发展中国家来说，可以适用最惠国待遇，但不能适
用于其他国家，否则就应该是其他意义上的歧视（实质平等）。
The end of the reason, in any case, the opportunity to limit the application of this
principle when some products are traded in an unfair way by some specific countries,
This principle become sort of countermeasure in case of not compliance with the
general, the general rules are concerning trade.
there are just some strict conditions that must apply to be, to be really justifiable
according to the WTO.
第三是当某些产品被某些特定国家以不公平的方式交易时，不遵守一般规则成
为了一种反措施。
【PPT】
WTO: National treatment
GATT 1947
Article III: National treatment
The products of the territory of any contracting party imported into the territory of
any other contracting party shall be accorded treatment no less favourable than that
accorded to like products of national origin in respect of all laws, regulations and
requirements affecting their internal sale, offering for sale, purchase,transportation,
distribution or use.
WTO：国民待遇
1947 年关税及贸易总协定
第三条国民待遇
在影响任何缔约国领土内销售、许诺销售、购买、运输、分销或使用的所有法
律、法规和要求方面，进口到任何其他缔约国领土的任何缔约国的产品，应给
予不低于给予同类原产国产品的待遇。
【此处念了一遍 PPT】

【PPT】
WTO: National treatment
National treatment only applies once a product, service or item of intellectual property
has entered the market.
Internal taxation and internal regulation
Therefore, charging customs duty on an import is not a violation of national treatment
even if locallyproduced products are not charged an equivalent tax.
WTO：国民待遇
国民待遇只适用于产品、服务或知识产权进入市场的情况。
内部税收和内部监管
因此，对进口产品征收关税并不违反国民待遇，即使当地生产的产品没有征收
同等的税。
字幕讲解：
When the product is already in the country and once he is distributed or sold, especial
tax is applied. Consequence is that these specific product, also service or item of
intellectual property is a discriminated in comparison to the domestic product, the
same domestic product.
当产品已经在国内，一旦分销或销售，就要征收特别的税。结果是与国内产
品、相同的国内产品相比，这些特定产品、服务或知识产权项目受到歧视。
The most of favor national treatment principle, the principle not discrimination is
regards the process of the entering ， the product in the market in internal markets,
physically crossing the borders. These principle the national treatment instead applies
once the product is already demand. Because the reason is the duties or there are some
reduction of obstacles in terms of tariffs of entering but once it is within the state it is
discriminated thanks to internal taxation or other non target barriers. in an indirect
way make this product discriminated in comparison to the domestic one.
最惠国待遇和不歧视原则适用于产品进入市场的过程。当我们谈论产品在国家
内部的流通和流动时，适用国民待遇的原则。在内部市场，有可能因内部税收
或其他非目标壁垒而受到歧视，即以一种间接的方式使该产品与国内产品相比
受到歧视。例如，在欧盟内部提供服务可以自由流动，没有障碍，只需签订合
同，无需任何其他手续。
【举例区分最惠国原则和国民待遇原则】理论上可以像德国人一样在这里服务
就满足最惠国原则。但是被要求提供服务的同时满足语言要求就不是国民待
遇。
无论是产品还是服务，一旦到达目的地就被以不同的方式对待是世贸组织不允
许的。如产品到德国后只能从这些特定的超市出售，是对产品分销的非关税限
制。
【PPT】
WTO: National treatment
Questions:
1) Is the measures at issue an internal tax that applies to foreign products?
2) Are the domestic and foreign products ‘alike’?
3) Are the imported products taxed in excess of the domestic goods?
WTO：国民待遇
问题：
1） 有争议的措施是适用于外国产品的内部税吗？
2） 国内和国外的产品“一样”吗？
3） 进口产品的税收是否高于国内产品？
字幕讲解：
Are they important products tax in excess of the domestic goods whether we're talking
about the internal taxation or treated in a different way when we are talking about
domestic goods.
第一点，无论我们谈论的是国内税收，还是在谈论与国内商品不同的对待方
式，明晰它们是否超过国内商品的重要产品税。
Whether we are talking about a alike product which is not necessarily identical
product but something which is apparently similar to the mean product.
第二点，产品相似性问题根据具体情况对其进行定义的理由评估。【前文讲
过】
【PPT】
WTO AND TRADE LIBERALISATION: EXCEPTIONS
WTO 与贸易自由化：例外情况
WTO: Exceptions
3 exceptions:
• Special benefits for developing countries (Part IV– Trade and development)
• Generalised treatment (art. XXV; art. XIX; art.XX; art. XXI)
• Preferential treatment (art. XXIV)
WTO：例外
3 个例外：
•发展中国家的特殊利益（第四部分——贸易和发展）
•一般处理（第二十五条；第十九条；第二十条；第二十一条）
•优惠待遇（第二十四条）
字幕讲解：
The first one regards the preferential treatment of developing countries with regard in
particular to some specific requirements and conditions. And these special benefits are
included in the part 4 of GATT, which is called trade and development because
exactly there is this double intention to promote, to trade about on the other side also
support the development of developing countries.
The second exceptions are so called generalized treatment and are included in these
articles 25, now 19,20and 21.
一般原则的 3 个例外。
第一个问题涉及发展中国家的优惠待遇，特别是一些具体的要求和条件。而这
些特殊利益被包括在《关贸总协定》的第四部分中，这部分被称为贸易与发
展，因为正是有这种双重意图来促进，贸易在另一方面也支持发展中国家的发
展。
第二种例外情况被称为广义处理，包括在第 25 条、现在的第 19 条、第 20 条和
第 21 条中。
And the last preferential treatment which actually regards that they opportunity to
create free trade areas or customs union, which is in particular in article 204.
最后一个优惠待遇的例外是，建立自由贸易区或关税同盟，这是第 204 条的内
容。
【PPT】
WTO: Exceptions (1)
• Special benefits for developing countries (Part IV– Trade and development)
When developed countries grant trade concessions to developing countries they
should not expect the developing countries to make matching offers in return…
WTO：例外情况（1）
•发展中国家的特殊利益（第四部分——贸易和发展）
当发达国家向发展中国家提供贸易优惠时，他们不应该期望发展中国家提供相
应的优惠…
字幕讲解：
The first concerning special benefits that for developing countries in the part4, and the
basic idea is that when the developed countries grant some trade concessions to
developing countries, they should not expect that developing countries make
matching offers of specific advantages in return. Because the idea is that according
find out purposes of the WTO. The state should work according to another principle
reciprocity, once I give you some advantages, other state or other actors should give
me the same advantage, because otherwise that you are in an unbalanced situation
where I give you a lot of advantages and do not has nothing in return. So this is valid
and is also fair within the WTO system.
第一是关于第四部分中对发展中国家的特殊利益，其基本思想是，当发达国家
向发展中国家提供一些贸易优惠时。他们不应该期望发展中国家提供相应的特
定优势作为回报。这是基于另一个国际交往原则——互惠原则。
For developing countries, these principle does not apply actually because of the same
reasoning already stressed a lot of times , developing countries are not in the position
to give a developed countries at the same advantages.
对于发展中国家来说，这些原则实际上并不适用，因为发展中国家无法给予发
达国家同样的优势。
That is essential that are the developing countries to be advantage in comparison to
developed countries. It is not appropriate to require that developing countries put the
same advantages towards the developed countries .
第二点是，如果发展中国家给了发达国家优势，就使发达国家拥有更快的发展
速度。因此与发达国家相比，发展中国家拥有优势是至关重要的，要求发展中
国家向发达国家提供同样的优势是不合适的。
【PPT】
WTO: Exceptions (1)
Enabling Clause - developed members may give differential and more favourable
treatment to developing countries on a not reciprocal basis (GATT)
It is the WTO legal basis for the Generalized System of Preferences (GSP). Under
the GSP, developed countries offer non-reciprocal preferential treatment (such as zero
or low duties on imports) to products originating in developing countries.
Preference-giving countries unilaterally determine which countries and which
products are included in their schemes.
WTO：例外情况（1）
授权条款-发达成员国可在非互惠基础上给予发展中国家差别待遇和更优惠待遇
（关贸总协定）【减损了最惠国待遇】
它是世界贸易组织普惠制的法律基础。根据普惠制，发达国家对原产于发展中
国家的产品提供非互惠优惠待遇（如零关税或低关税）。
优惠国家单方面决定哪些国家和哪些产品被纳入其计划。
字幕讲解：
This so called in enabling clause that is a one of the most important revision,
improvement of the 1995 worldwide .
这就是所谓的授权条款，是对 1995 年世界范围内最重要的修订、完善之一。
The enabling clause said that the developed member states may give differential and
more favorable treatment to developing countries on not reciprocal basis. So here you
have a 2 points of interest. The first one is what I want to say so far, the fact that
developed members states should not work according to a reciprocal basis, should not
expect that developing countries gave the same advantages. But you have also another
elements, the fact that developed members may give a differential and also more
favorable treatment to developing countries rather than to other developed countries.
So you have either our perspective.
授权条款说，发达成员国可以在非互惠的基础上给予发展中国家差别待遇和更
优惠的待遇。所以这里有两个点，发达国家不应该期望互惠，即发展中国家不
需要给予同样的优势。另一个是发达成员国可能会给予发展中国家更优惠的待
遇。
The first one is that developing countries may take advantages not according to
reciprocal basis. So They can be free rider, freely benefiting the from advantages
without promising something in return. On the other side, the developed countries
system and choose to give more advantages to developing countries and not to the
others.
第一个问题是，发展中国家可以不按互惠原则获取优势。因此，他们可以搭便
车，自由地从优势中获益，而不承诺回报。另一方面，发达国家的制度选择给
予发展中国家更多的优势。
In this case delegating the one of the 2 principles that we mentions about, the most of
favor nation treatment .
在这种情况下，我们减损了最惠国待遇原则。
The enabling the clause represents a delegation to these principle when just applied to
developing countries, it is evident that the definition of a developing countries is a
taken the national level, by taking to consideration the economic status of the country
and also the multiple records we should define the categorize the single states as
developing countries and least developing countries and so on.
授权条款代表了对这些原则的授权，当这些原则仅适用于发展中国家，定义发
展中国家的定义需要考虑一个国家的经济状况和多种记录。
If a country offer some special treatments to the developing country, okay, does it in
require to extend to order develop pain countries?【前句为学生提问，后文为老师
回 答 】 so you are saying that all the advantages, the treatment convert to one
developing countries should have extended also to the other developing the countries.
It is a very good question actually. There is not properly a specific provisioner, but I
would say that when you apply a specific advantage for that specific product to a
developing country, automatically the state grants the same advantage also the other
developing countries. Well, there is not appropriately an obligation without the sure of
this extension, but it is a practice of the states to do this.
当特定产品的特定优势应用于发展中国家时，国家会自动给予其他发展中国家
同样的优势。如果没有明确规定的义务，但这是各国的实践惯例。
Enabling Clause is the WTO legal basis for the Generalized System of Preferences
(GSP). Under the GSP, developed countries offer non-reciprocal preferential
treatment (such as zero or low duties on imports) to products originating in
developing countries.The European union for example, you have a 2 different
categories of generalized system of preferences. Because as I was saying the before,
clearly they enabling clause in the general clause that you find in WTO. But then each
each member of the WTO shall implement these enabling clause by means of specific
legal instruments, regulations. At the European Union Level, the application of this
enabling closer is made by 2 different schemes of generalize the system of
preferences.
授权条款是世界贸易组织普惠制的法律基础。根据普惠制，发达国家对原产于
发展中国家的产品提供非互惠优惠待遇（如零关税或低关税进口）。世贸组织
的每个成员国都应通过具体的法律文书和条例来执行这些授权条款。例如，欧
盟有两类不同的普遍优惠制度，【GSP 和 GSP+】。
GSP 是直接给予优惠。GSP+是对发展中国家设定了某种条件，如欧盟适用授权
条款在进口产品方面给某个国家优势，但需要使用欧元，或者要求该国改善民
主制度。这是欧盟给予一个自愿的机会，不是强加。
【PPT】
WTO: Exceptions (1)
Article IV of the GATS refers, among other things, to strengthening the domestic
services competitiveness of developing countries through access to technology and
improving their access to information networks.
Article XII allows developing countries and countries in transition to restrict trade in
services for reasons of balanceof-payment difficulties.
WTO：例外情况（1）
《服贸总协定》第四条除其他外提到，通过获得技术和改善发展中国家获得信
息网络的机会，加强发展中国家的国内服务竞争力。
第十二条允许发展中国家和转型期国家以国际收支困难为由限制服务贸易。
字幕讲解：
in the GATS you find the same exception, with regard to specifically the access to
technology or the information networks with regard to the provisional services, the
developed countries apply the enabling clause not to by setting specific advantages in
the customs duties or advertise , but with a practical support in the competitiveness
competition issues with regard to the access to technology and other kind of
information networks. And in article 12, some spescific provisions concerning the
opportunity to improve the balance of payments with regards to services of the
developing countries. So it is a different perception in comparison to goods, but the
idea is that to promote the provisional services in the developing countries.
在《服贸总协定》中，你会发现同样的例外，特别是关于临时服务的技术或信
息网络的获取。在第 12 条中，有一些特别规定涉及改善发展中国家服务业国际
收支的机会。
【PPT】
WTO: Exceptions (1)
Article 66 of the TRIPS Agreement provides leastdeveloped countries with a longer
time-frame to implement all the provisions of the TRIPS Agreement and encourages
technology transfer.
Article 67 refers to the provisions of technical assistance.
WTO：例外情况（1）
《TRIPS 协定》第 66 条为最不发达国家提供了更长的执行时间框架《与贸易有
关的知识产权协议》的所有条款，并鼓励技术转让。
第六十七条提及技术援助的规定。
字幕讲解：
Clearly we have a references to again that technology transfer. So it positive that
dimension advantage ， not negative barrier, but to have a positive effect
support.Thanks to the technology transfer and the technical assistance as a setting
article 66/67.
我们再次提到了技术转让。这是不是消极的障碍，而是有积极效果的支持。感
谢技术转让和技术援助作为条款 66\67。
【PPT】
WTO: Exceptions (2)
• Generalised treatment
➢ art. XXV: all the WTO members decide to derogate from a WTO rule (waivers)
➢ art. XIX: temporary restrictions to imports (when there is a so important increase
of imports to create a serious damage to the national industry)
➢ art. XXI: national security interests
WTO：例外情况（2）
•综合条款
第二十五条：所有世贸组织成员决定减损世贸组织规则（豁免）
第十九条：对进口的临时限制（当进口大幅增加，对国家工业造成严重损害
时）
第二十一条：国家安全利益
字幕讲解：
The general exceptions to the most favor nation treatment principle and national
treatment principle, it is this called generalized statement. For example, in 25 GATT,
you find the opportunity for the WTO members to decide to delegate to the WTO.
More entertaining to a WTO rule like the most favored national treatment. They are so
called waivers and typical examples of waivers are those states which decided to
create free trade area or a custom unions. Because as we were saying before we are
delegating the to the general principle or the most favored nation. So it is a irrigation
to a general tool but which is agreed by the WTO members. It is not something which
is gen really laterally applied by a single state. Okay, it is something which is decide
altogether. Then you have after for the article19 which instead provides for the
opportunity to limit the application of these principles in a temporary way. So in a
tariff limit.
广义减损，
【共同决定】例如，在《关贸总协定》第 25 条中，世贸组织成员有机会决定向
世贸组织委派代表共同决定减损。最优惠的国民待遇豁免的典型例子是建立自
由贸易区或关税同盟。正如我们之前所说，把权力下放给一般原则或最惠国。
然后是第 19 条，它提供了以临时方式限制这些原则应用的机会。关税限制也是
如此。
Appreciation where, for example, there is an important increase of the imports of a
specific product that could affect in a negative way the national industry. And so it's
necessary to rebalance the situation. It is not a situational discrimination because it
you are not anymore in a competition, in a competitive, fair, competitive situation
because your national industry is affected by serious damage. Okay? So you are in a
situation of unbalanced that must be rebalance somehow by limiting from a strict,
limited time of you point of view the imports coming from the 3rd countries.
【临时限制】当某一特定产品的进口大幅增加可能会对国家工业产生负面影
响，为了重新平衡局势不是一种歧视，因为你不再处于竞争、公平、竞争的情
境中，因为你的国家产业受到严重损害。正处于一种不平衡的境地，必须以某
种方式重新平衡，从你的角度来看，可以在有限的时间内严格限制来自第三国
的进口。
The WTO, the institutions that we have said being a fundamental for the elaboration,
WTO functions must be informed about the decisions taken by the states when they
are facing some very important problems with regard to the national industry. This
aim is for national security interests when there are some special security interested
that interest which are affected.
【国家安全】当举措是为了国家的安全利益，或与之相关的特殊利益受影响
时。但是必须向世贸组织职能部门通报各国在面临与国家工业有关的一些非常
重要的问题时所做的决定。
【PPT】
WTO: Exceptions (3)
Art. XX GATT
The adoption or enforcement by any contracting party of measures is allowed when it
is:
(a) necessary to protect public morals;
(b) necessary to protect human, animal or plant life or health;
(c) relating to the importations or exportations of gold or silver;
(d) necessary to secure compliance with laws or regulations which are not inconsistent
with the provisions of this Agreement […]
(e) relating to the products of prison labour;
(f) imposed for the protection of national treasures of artistic, historic or
archaeological value;
(g) relating to the conservation of exhaustible natural resources if such measures are
made effective in conjunction with restrictions on domestic production or
consumption;
(h) undertaken in pursuance of obligations under any intergovernmental commodity
agreement […] (i) involving restrictions on exports of domestic materials necessary to
ensure essential quantities of such materials […]
(j) essential to the acquisition or distribution of products in general or local short
supply […]
WTO：例外情况（3）
《关贸总协定》第二十条【最重要】
在下列情况下，允许任何缔约方采取或执行措施：
（a） 保护公共道德是必要的；
（b） 保护人类、动物或植物生命或健康所必需的；
（c） 与黄金或白银的进口或出口有关的；
（d） 确保遵守与本协议条款[…]
（e） 与监狱劳动产品有关；
（f） 为保护具有艺术、历史或考古价值的国家宝藏而强加的；
（g） 如果这些措施在
同时限制国内生产或消费；
（h） 根据任何政府间商品协定[…]项下的义务承担的（i）涉及限制出口必要
的国内材料以确保必要数量的
此类材料[…]
（j） 对采购或分销一般或当地供应短缺的产品至关重要[…]
字幕讲解：
Then we have a one of the most important articles, which is article 20 of the GATT .
So we are talking about the trading rules. Why is so important? Because actually here
you are before a situation where the general principles that we have illustrated so far
can be derogated by state when there are some specific situations, some specific
interest to be protected. That are not the security, national security issues like in these
article, article 21, but are other kind of broader kind of interests, which therefore
allow the state to be contracting party has written here try the measures.
然后我们有一个最重要的条款，那就是关贸总协定第 20 条。所以我们谈论的是
交易规则。为什么这么重要？因为当有一些特定的利益需要保护时，一般原则
可能会被国家减损。可以这不是像本条第 21 条那样的安全、国家安全问题，而
是其他种类更广泛的利益。

【PPT】
WTO: Exceptions (3)
GATT Article XX applies to every article of GATT and has the function of
coordinating the rights of member countries to regulate with the trade liberalization
benefits of other member countries.
NB. GATS Article XIV, which controls trade in services, has provisions similar to
GATT Article XX
WTO：例外情况（3）
GATT 第二十条适用于 GATT 的每一条，具有协调成员国与其他成员国贸易自
由化利益进行调节的权利的功能。
注：《服务贸易总协定》第十四条控制服务贸易，其规定与《服务贸易协定》
第二十条类似。
字幕讲解：
With regard to TRIPS, the situation difference because of the topic covered by the
TRIPS is very peculiar. So in this kind of sections are not include within the TRIPS
that there are other kind of provisions.
由于《与贸易相关的知识产权协议》所涵盖的主题而造成的情况差异是非常特
殊的。因此，在这类条款中不包括 TRIPS 中的其他条款。
【PPT】
WTO: Exceptions (3)
A) Protection of public morals: are broad concepts that vary in time and place
depending on a wide range of factors that include dominant social, cultural, ethical
and religious values.Typically, measures that prohibit import of narcotics or obscene
materials for religious/ethical reasons, etc. fall within this subparagraph.
Ex. import and export of pork and alcoholic beverages, etc. areprohibited in Islamic
countries based on subparagraph (a)
WTO：例外情况（3）
A） 公共道德保护：是一个广泛的概念，根据包括主流社会、文化、伦理和宗
教价值观在内的广泛因素，在时间和地点上有所不同。通常，出于宗教/伦理等
原因禁止进口毒品或淫秽材料的措施属于本分段。
进出口猪肉和酒精饮料等根据（a）项在伊斯兰国家被禁止
字幕：
First one, Protection of public morals it is not easy to define what is public morals.
Morality is something which is a linked to the culture, the traditional, the identity of a
state or of a group of state. So what is here the problem sometimes is to verify
whether in measure they can to protect public morals can be objectively. Recognize
that has ineffective and adequate measure for limiting trade and for delegating to the
WTO rules. It is not easy because each state has different perceptions of what the
public morals is. And sothese 2 settlement body, these are subject which at the end
made the sites about today preparedness, the validity of the measure not found a lot of
problems to verify whether it kind of measure is can be justified or not. According to
active or trend. Typically these are measures for example are accepted when
prohibited import of drugs, or other materials which are not appropriate for religious
or ethical reasons. For example, there are some limitations of imports of pork and
alcoholic beverage because if you know maybe that in the Muslim, Islamic culture,
these products are prohibited for religious issues. So there is also a limitation in the
imported exporter of these products. It was then considered as a just become justified
because we are treating a very sensitive issue, which is a religion.
第一，公共道德的界定并不容易。道德是与文化、传统、国家或群体的身份认
同相关的东西。所以这里的问题是验证国家在适用本条保护公共道德方面是否
能够客观。这些通常措施是可以接受的，例如，禁止进口因宗教或伦理原因不
合适的药物或其他材料时。在穆斯林和伊斯兰文化中对猪肉和酒精饮料的进口
进行限制被认为是正当的，因为这是非常敏感的问题。
【PPT】
WTO: Exceptions (3)
B) Protection of human, animal or plant life or health: Typically, sanitary and
phytosanitary measures, import/export restrictions and domestic regulations for the
purpose of protecting the safety of food and products.
WTO：例外情况（3）
B） 保护人类、动物或植物的生命或健康：通常是为了保护食品和产品的安全
而采取的卫生与植物检疫措施、进出口限制和国内法规。
字幕讲解：
The second exception that is quite interesting is that set in the letter b, the Protection
of human, animal and plant life are health. In this case, for example, it is possible to
include some sanitary or fetal sanitary measures, import, export restrictions or other
kind of limitations intended to protect the safety of food and products. Clearly, then
we receive that there is a text that must be performed by the authority in order to
verify whether these measures effectively comply with the article 20. But the idea
here, the difficulty is again to verify whether specific measure is really intended to
protect the human and the animal and the plant life, and also to verify how that
measure effectively allows to read in terms of products.
第二是保护人类、动物和植物的生命是健康。例如，在这种情况下，可以包括
一些卫生或胎儿卫生措施、进口、出口限制或其他旨在保护食品和产品安全的
限制。核实这些措施是否有效地符合第 20 条，困难在于验证具体措施是否真的
是为了保护人类、动物和植物的生命，以及验证该措施如何有效地从产品的角
度进行解读。
【PPT】
WTO: Exceptions (3)
C) Cases of conservation of exhaustible natural resources: include minerals, non-
living natural resources (coal, oil, natural gas, etc.) as well as environmental resources
such as “clean air” and living resources (shrimps, trees…). Requirements: [1] the
policy objective of the measure of concern is to “conserve limited natural resources”,
[2] the measure is “relating” to the conservation of limited natural resources, and
[3] the measure is implemented alongside restrictions on domestic production or
consumption.
WTO：例外情况（3）
C） 保护可耗尽自然资源的案例：包括矿产、非生物自然资源（煤炭、石油、
天然气等）【最重要】
作为环境资源，如“清洁空气”和生物资源（虾、树…）。
要求：
[1] 关注措施的政策目标是“保护有限的自然资源”，
[2] 这项措施与保护有限的自然资源，以及
[3] 该措施与限制国内生产或消费
字幕讲解：
Since another case that which has a very interesting and release a very interesting
topic, that is the key is a conserving the exhaustible natural resources, which include
most knowledge, we did with the shrimp case and other cases have actually been
wrote before the this, the settlement body in order to challenge the decision of the
states to support the some measures intended to protect these natural resources. The
idea is that the measure should be intended to conserve the limited natural resources,
must be related to the conservation of these resources and must be, this is written
explicitly, be implemented alongside restrictions on domestic production and the
consumption. So the same measure must be applied not only to foreign products, but
also to the domestic products.
这就是关键是保护可耗尽的自然资源，我们对虾的案例和其他案例做了研究。
其理念是，该措施应旨在保护有限的自然资源，必须与保护这些资源有关，并
且必须与限制国内生产和消费同时实施。因此，同样的措施不仅适用于外国产
品，也适用于国内产品。否则就是歧视。【老师最后说这是最重要的例外，会
补充两个案子】

Lecture 3

4.25 lecture 2:

Actually, I have received a question from your colleague about one very interesting point that we
will tackle right now. That is actually something which is very important in the WTO system, that
yesterday I mentioned a lot of time but I couldn't deepen properly. So today it would be the
occasion to start before going on with the second part of what we meet yesterday. And the topic
which we will tackle is the definition of least developed countries and developing countries within
the WTO system. Why it is so important? Because to define what kind of state can be considered
as the least developed country or developing country is essential, in particular, to apply one of the
exceptions to the general rules of the WTO, that we mentioned yesterday, the so-called enabling
clause in favor of developing countries.
事实上，我收到了你的同事提出的一个非常有趣的问题，我们现在就来解决。这实际上是
在世贸组织系统中非常重要的东西，昨天我提到了很多次但我无法适当地深化。因此，今
天将是一个机会，在继续进行我们昨天会议的第二部分之前开始。我们将讨论的主题是世
贸组织系统内最不发达国家和发展中国家的定义。为什么它如此重要？因为定义什么样的
国家可以被认为是最不发达国家或发展中国家是至关重要的，特别是应用我们昨天提到的
世贸组织一般规则的一个例外，即有利于发展中国家的所谓授权条款。

I refresh this point, the enabling clause, which is included in the GATT, first of all, so the general
trade in goods allows developed states to grant some specific benefits and advantages to
developing countries, without taking to consideration or less or in any case by accepting to the
principles that we saw the Most-Favoured-Nation Treatment principle and the National treatment,
but in particular, the most favor national principle. Why? Because the enabling clause, I repeat
what I said yesterday, the enabling clause allows the states to grant these benefits, just developing
countries, and not to extend these benefits to the other developed countries. So, it is essential to
know what kind of countries we're talking about.
授权条款包括在关贸总协定中。首先，GATT 允许发达国家给予发展中国家一些具体的利
益和好处，而不考虑或减少或在任何情况下接受我们看到的最惠国待遇原则和国民待遇的
原则，但特别是最惠国待遇原则。为什么？因为授权条款，我重复我昨天所说的，授权条
款允许国家给予这些利益，只是发展中国家，而不是将这些利益扩大到其他发达国家。所
以，必须知道我们在谈论什么样的国家。

And this is also important for another issue that we will tackle maybe today or maybe tomorrow. It
depends. That is the fact that, anticipated yesterday as well, against the dumping practices. So, the
definition of developing countries within WTO is not very fair, very simple. This because actually
the definition takes into consideration multiple issues, in particular, economic issues, parameters
which are based upon mathematical statistics and mathematical functions. But on the other side, it
is also clear that at the end, there is also a political dimension.
这对另一个问题也很重要，我们可能今天或明天就会解决这个问题。这取决于反对倾销做
法。因此，世贸组织内对发展中国家的定义并不是非常公平，非常简单。这是因为实际上
该定义考虑了多个问题，特别是经济问题，以及基于数学统计和数学函数的参数。但在另
一方面，也很清楚，在最后，也有一个政治层面。

Definition of Least developed countries:

Now, let's start with the easiest group of states, the least developed countries. The least developed
countries are those countries which have very low level of development. And here in this charter
which is taken by the WTO website, you have red states, which are considered properly by the
WTO as the least developed countries. The countries defined as such are in particular some
African countries, in particular, central Africa countries. It is interesting to see that for least
developed countries; the WTO has clearly established this group. We know exactly what kind of
states are part of this specific group. And here in this charter, you have a general idea which
divides the international community of states between the least developed countries and developed
countries in green. But the situation is much more complicated than it is in gray, not WTO
members. So, the gray countries are not members of the WTO. So, they are not considered in this
charter, in the division between least developed countries and developed countries.
[ppt]
Definition of a "developing country" in the WTO
How is the selection made?
There are no WTO definitions of "developed" and "developing" countries. Members announce for
themselves whether they are "developed" or "developing" countries.
Ex. China refers to itself as a developing country
However, other members can challenge the decision of a member to make use of provisions
available to developing countries.
WTO 中 "发展中国家 "的定义
如何进行选择？
世贸组织没有对 "发达 "和 "发展中 "国家的定义。成员国自己宣布它们是 "发达 "还是
"发展中 "国家。
例如。中国称自己为发展中国家
然而，其他成员可以质疑一个成员利用发展中国家可用条款的决定。

[老师原文]
This is a very general definition which does not take into consideration the 3rd group of states,
that are developing countries, so they are put in the middle. But what is interesting is that while
the least developed countries are clearly defined within the WTO, the group of developing
countries is not clearly defined. There is not actually within the WTO system a clear definition of
developed and developing countries. What these implies? Are the members of the WTO
themselves which decides whether they are developed or developing countries? This is what
happens within the WTO. In the WTO, each state decides in which group, developing or
developed countries, belongs. This is the question which came to me, what about a state which
refers to itself as a developing country, like China, and clearly that China more than once also very
recent, has defines itself as a developing country. So, in theory, if we look at the provisions that we
referred today, if we consider China as developing country as itself says, the enabling clause
should apply also to China, because China says I am a developing country. So, the other
developed countries of the WTO should treat me as a developing country, so granting me some
benefits. But it is not so simple, because in the WTO system, the other members can challenge not
from a legal point of view, but from a diplomatic, a peer political point of view, the decision of a
member which defines itself as developing country, by making reference to other kind of
parameters. And this is what happens for example with regard to China, that is a clearly a
challenging topic. What this means actually?
这是一个非常笼统的定义，没有考虑到发展中国家。但有趣的是，虽然最不发达国家在世
贸组织内有明确的定义，但发展中国家却没有明确的定义。实际上，在 WTO 体系中，对
发达国家和发展中国家并没有一个明确的定义。这意味着什么？是世贸组织成员自己决定
他们是发达国家还是发展中国家？这就是世贸组织内发生的事情。在世贸组织中，每个国
家都决定自己属于哪一组，是发展中国家还是发达国家。这就是我想到的问题，一个把自
己称为发展中国家的国家，如中国，显然，中国不止一次在最近把自己定义为发展中国家
因此，从理论上讲，如果我们看一下我们今天提到的条款，如果我们认为中国是发展中国
家，正如它自己所说的那样，授权条款也应该适用于中国，因为中国说我是一个发展中国
家。因此，WTO 的其他发达国家应该把我当作一个发展中国家，所以给予我一些好处。但
是，事情并不那么简单，因为在 WTO 体系中，其他成员可以不从法律的角度，而是从外
交、政治的角度来挑战一个将自己定义为发展中国家的成员的决定，并提及其他类型的参
数。例如，这就是关于中国的情况，这显然是一个具有挑战性的话题。这实际上意味着什
么？

[ppt]
The notion of least developed and developing countries
That a WTO member announces itself as a developing country does not automatically mean that it
will benefit from the unilateral preference schemes of some of the developed country members
such as the Generalized System of Preferences (GSP).
In practice, it is the preference giving country which decides the list of developing countries that
will benefit from the preferences.
This means that preference-giving countries unilaterally determine which countries and which
products are included in their schemes.
最不发达国家和发展中国家的概念
一个 WTO 成员宣布自己是发展中国家，并不自动意味着它将受益于一些发达国家成员的
单边优惠计划，如普遍优惠制（GSP）。
在实践中，是由给惠国决定将受益于优惠政策的发展中国家名单。
这意味着，给惠国单方面决定哪些国家和哪些产品被纳入其计划。

[老师原文]
That a WTO member announces itself as a developing country does not automatically opens the
opportunity for the others to use some instruments, the preferential instruments in favor of that
specific country. Yesterday we made reference to the GSP that we will tackle again later, with
regard to the European union experience. It is a system of Generalized Preferences in favor of
developing countries, but it is the developed country which should grant this kind of preferences,
to decide which countries to grant this kind of preferences. There is not an automatic decision on
the basis of this status the country itself is granted. At the end, the preferences giving country is
that country which decides.
一个世贸组织成员宣布自己是发展中国家，并不自动为其他国提供有利于该特定国家的优
惠工具。昨天我们提到了普惠制，稍后我们将再次讨论这个问题，关于欧盟的经验。这是
一个有利于发展中国家的普遍优惠制度，但应该由发达国家来给予这种优惠，来决定给予
哪些国家这种优惠。没有一个自动的决定是基于国家本身被授予的这种地位。最后，提供
优惠的国家是决定的国家。

And this is the reason why actually this kind of measures like GSP are called from a legal point of
view, unilateral measures. They are not international agreements, not the expression of a common
consent between the parties. In any case, it is the developed countries which takes the decision to
help. There is not an agreement properly stating from a legal point of view.
这就是为什么实际上像普惠制这样的措施从法律角度来看被称为单边措施的原因。它们不
是国际协议，不是缔约方之间共同同意的表达。在任何情况下，都是由发达国家来决定提
供帮助。从法律的角度来看，没有一个协议能正确地说明问题。

[ppt]
Criteria of assessment
For LEAST DEVELOPED countries -> WTO list
For DEVELOPING countries:
a) The World Bank uses gross national income (GNI) per capita and categorizes the world's
economies into four income groups: low, lower-middle, upper-middle and high income. (See
Charter and method of calculation)
NB. The high-income countries, which need to have a GNI per capital above $13,205, are
commonly considered to be developed countries.
b) The United Nations uses an aggregate indicator called the Human Development Index, which
includes but is not limited to income.
评估的标准
对于最不发达的国家 -- -- 世贸组织名单
对于发展中的国家：
a) 世界银行使用人均国民总收入（GNI），将世界经济分为四个收入组别：低收入、中下
收入、中上收入和高收入。(见宪章和计算方法)
NB。高收入国家，需要人均国民总收入超过 13,205 美元，通常被认为是发达国家。
b) 联合国使用一个综合指标，称为人类发展指数，其中包括但不限于收入。

[老师原文]
Now, the question is that the developed countries are autonomous in a stating whether another
state of the WTO either developing country or not. What are the criteria of assessment that the
developed countries take into consideration? Because as we said in the WTO system, there is not
specific definition. So, we have in many cases to take into consideration some technical criteria,
not just the political, diplomatic criteria. We have to rely on the specific mathematical, economic
criteria.
现在的问题是，发达国家可以自主地说明世贸组织的另一个国家是否是发展中国家。发达
国家考虑的评估标准是什么？因为正如我们所说，在 WTO 体系中，没有具体的定义。因
此，在许多情况下，我们必须考虑到一些技术标准，而不仅仅是政治、外交标准。我们必
须依靠具体的数学、经济标准。

What kind of criteria the state can use? Actually, you have 2 different instruments. The first one is
the definition taken by the world bank. The world bank, we mentioned yesterday, it was created by
the Bretton woods agreement with the international monetary fund. And today the world bank is
one of the most important international organization which also tries to foster the development of
the states around the world, through loans, through other kind of instruments that can help the
state to develop. And according to the world bank, the definition of developing country and
developed countries is based upon the gross national income, per capita, for each individual. They
take into consideration the economic production capacity of the individual and categorizes the
world's economies into four income groups based on the income of the individuals: low income
countries, lower-middle income countries, upper-middle income countries and high-income
countries.
国家可以使用什么样的标准？实际上，你有两个不同的工具。第一个是世界银行的定义。
我们昨天提到的世界银行，它是由布雷顿森林协议和国际货币基金组织创建的。今天，世
界银行是最重要的国际组织之一，它也试图通过贷款和其他可以帮助国家发展的工具，来
促进世界各国的发展。根据世界银行的说法，发展中国家和发达国家的定义是基于每个人
的人均国民总收入。他们考虑到个人的经济生产能力，并根据个人的收入将世界经济分为
四个收入群体：低收入国家、中低收入国家、中高收入国家和高收入国家。
So, we are now in the website of the world bank, and you see here what is the classification from
strict point of view of the states of the world. You can see that there are some states in green,
which are considered as high-income countries. The northern America states, the European union
states, Australia and also Saudi Arabia and Oman in particular Uruguay and Chile and also Japan
clearly, and also Japan. others in light green, they have a upper-middle income, so there is a very
important increased in the economic dimension of the state, but they are not yet high-income
countries. And you find the majority of the states in the South America, also some state that in
Africa, in particular the southern Africa and Libya. And then Russia, that is the biggest one, but
also Kazakhstan, but also China. So, China, remember this is an upper-middle income country
according to the world bank. Okay, then you have lower-middle income states that are in particular
India, Iran and so on. Low income which more or less are overlapping the least developed
countries are in particular in a Africa, and also Afghanistan is consider has such.
所以，我们现在是在世界银行的网站上，你在这里看到从严格的角度看世界各国的分类是
什么。你可以看到，有一些国家是绿色的，它们被认为是高收入国家。北美洲国家、欧洲
联盟国家、澳大利亚以及沙特阿拉伯和阿曼，特别是乌拉圭和智利，还有日本，显然也是
如此。其他浅绿色的国家，它们的收入处于中上水平，所以在国家的经济层面有非常重要
的增长，但它们还不是高收入国家。你会发现大多数国家在南美洲，还有一些国家在非洲
特别是南部非洲和利比亚。然后是俄罗斯，这是最大的一个，但也有哈萨克斯坦，但也有
中国。所以，中国，请记住，根据世界银行的统计，这是一个中上收入国家。好的，然后
你有中低收入国家，特别是印度、伊朗等等。低收入国家或多或少与最不发达国家重叠，
特别是在非洲，阿富汗也被认为是这样。

Here you have also division for regions in order to look at the composition of the states by region,
which is quite interesting. But this is, in particular, from a charter point of view, the classification
that we have at the moment with regard to the definition of the world bank. Let’s come back to
look at other documents, which is quite interesting.
在这里，你也有区域划分，以便按区域查看国家的构成，这相当有趣。但特别是，从章程
的角度来看，这就是我们目前在世界银行的定义方面的分类。让我们再来看看其他文件，
这相当有趣。

Here we have the same charter more or less. But what I want to stress is chronological process
which illustrates what happen starting from 1987 until 2021.You see what has been changed
progressively and the lower middle income states have become upper middle income states. And
also high income states, these are in more or less 40 years. in particular the east Asia area how is
the change more than that in the African one, for example, which more or less remained
unfortunately the same, but in the Asian area, the situation has changed a lot and this was quite
interesting to see.
在这里，我们或多或少都有相同的宪章。但我想强调的是按时间顺序排列的过程，它说明
了从 1987 年开始到 2021 年所发生的事情。你看到的是逐步的变化，中低收入国家已经成
为中高收入国家。特别是东亚地区的变化比非洲地区的变化更大，例如，非洲地区不幸地
保持不变，但在亚洲地区，情况发生了很大的变化，这很有趣，可以看到。

There is a specific method of calculation in order to understand whether a state, according to its
gross national income, is a lower middle, a upper middle, or a high income state.
The first parameter, which is the ideal one, is that high income countries must have a gross
national income above $13,205. Those who are below this amount are developing countries,
because they belong to low, lower middle, upper middle more or less, but also about these there
are some differences actually according to what the states said.
第一个参数，也就是理想的参数，高收入国家的国民总收入必须超过 13205 美元。那些低
于这个数额的国家是发展中国家，因为它们或多或少属于低、中下、中上，但关于这些也
有一些差异，实际上根据各国家的说法。

In any case, the idea in this slide is a very difficult method of calculation which is based on
mathematical functions and other kind of methods which are not very easy to understand. So, you
have not just thinking to consideration the general benchmark that is $13,205, there are other
elements which are combined to define whether state belongs to low, lower middle, upper middle
and high income states. So, this is the way the world bank establishes what kind of state.
在任何情况下，这张幻灯片中的想法是一个非常困难的计算方法，它基于数学函数和其他
类型的方法，这不是很容易理解。因此，你不能只考虑一般的基准，即 13,205 美元，还有
其他的因素，这些因素结合在一起，以确定国家是否属于低收入、中低收入、中上收入和
高收入国家。所以，这就是世界银行确定什么样的国家的方式。

But we have also another method of calculation which is based on united nation index, that is the
so-called human development index. Why? Because actually according to the majority also of the
researchers and experts, to take into consideration just the gross national income, apart from the
very complicated methods of calculation, there is a limitation because the country cannot be
judged, defined just according to its gross national income. There are other elements which make
the state developed or not developed. In particular, there are some also social issues that must be
taken to consideration. for example, the level of access to health system, the level of access to
purified water, the level of access to work. There are a lot of issues that must be included within
the notion of developed country.
但我们也有另一种计算方法，它是基于联合国家指数的，也就是所谓的人类发展指数。为
什么呢？因为实际上根据大多数研究人员和专家的意见，仅仅考虑国民总收入，除了非常
复杂的计算方法之外，还有一个局限性，因为不能仅仅根据国民总收入来判断和定义国家
还有其他因素使国家发达或不发达。特别是，还有一些社会问题必须加以考虑。例如，获
得卫生系统的水平，获得纯净水的水平，获得工作的水平。有很多问题必须包括在发达国
家的概念中。

And the human development index exactly establishes what to take into consideration this
situation, not just the gross national income. and if you look at the human development index, in
some situations it is the same as the world bank, but in others it is not so evident. But the idea is
that the countries of the WTO can take into consideration one of these achievements of calculation
in order to verify whether the other countries are developing countries or not. And we will see, for
example, that the European union defines the developing countries, just those countries which
according to the world bank, belong to the low and the lower middle income countries. So, the
upper middle and high income countries clearly are not developing countries, because in the WTO
there are not specific references, it is up to the developed state to choose what kind of instrument
rely on in order to define the kind of country they are trading with.
而人类发展指数恰恰确定了考虑这种情况的内容，而不仅仅是国民总收入。如果你看一下
人类发展指数，在某些情况下，它与世界银行相同，但在其他情况下，它并不那么明显。
但我们的想法是，世贸组织的国家可以考虑这些计算成果之一，以核实其他国家是否是发
展中国家。例如，我们会看到，欧盟对发展中国家的定义，只是那些根据世界银行的规定
属于中低收入国家的国家。因此，中上收入和高收入国家显然不是发展中国家，因为在
WTO 中没有具体的参考标准，而是由发达国家来选择依靠什么样的工具来确定他们的贸易
对象是什么样的国家。
[ppt]
What kind of benefits for developing countries?
Both GATT and the General Agreement on Trade in Services (GATS) allow developing countries
some preferential treatment.
Other measures concerning developing countries in the WTO agreements include:
 Extra time for developing countries to fulfil their commitments (in many of the
WTO agreements)
 provisions designed to increase developing countries trading opportunities
through greater market access (e.g. in textiles, services, technical barriers to trade)
发展中国家能得到什么样的好处？
关贸总协定》和《服务贸易总协定》（GATS）都允许发展中国家享受一些优惠待遇。
世贸组织协议中涉及发展中国家的其他措施包括：
 给予发展中国家履行其承诺的额外时间（在许多世贸组织协议中）
 旨在通过更大的市场准入增加发展中国家的贸易机会的规定（例如在纺织品、服务、技
术性贸易壁垒方面）。

[老师原文]
Let's focus on what kind of advantage the WTO allow to developing countries. Because yesterday
we said that there is enabling clause but there are also other kind of measures that developed
countries can taking favor of developing countries. For example, the opportunity to give extra time
for developing countries to fulfill their commitments with regard to the WTO agreement. The
process of negotiation for accessing the WTO implies in the second case the necessity that this
state once has produced its first record on the status of the national law on trade and has to
progressively to comply with the WTO rules. So, it must adapt its national rule to the WTO
system. Well, for developing countries, this time frame is longer than that to the developed
countries. The idea is that for developing countries, it is much more difficult to comply with its
national system to the WTO requirement. So, the WTO gives extra time to developing countries.
让我们把注意力集中在世贸组织允许发展中国家获得什么样的好处。因为昨天我们说过，
有授权条款，但也有其他类型的措施，发达国家可以采取有利于发展中国家的措施。例如
有机会给发展中国家额外的时间来履行他们对 WTO 协议的承诺。在第二种情况下，加入
WTO 的谈判过程意味着这个国家必须在国家贸易法的地位上产生第一个记录，并且必须逐
步遵守 WTO 规则。因此，它必须使其国家规则适应 WTO 体系。那么，对于发展中国家来
说，这个时间框架比发达国家要长。这个想法是，对发展中国家来说，要使其国家制度符
合世贸组织的要求要困难得多。因此，WTO 给了发展中国家额外的时间。

Second measure is the increase of the trading opportunities to greater market access. Then in
particular with regard to some specific goods which are textiles, but also with regard to services,
technical issues which allow the state to be much more engaged in the process of evolution,
adaptation with regard to the provision of trade. With regard to textiles, it is interesting that when
the China started its process of access to the WTO, it was given to China a greater market access
exactly the textiles. So, the goods coming from China were advantage in comparison to others,
because there was a specific agreement with regards to textiles those produce in China, in
particular.
第二项措施是增加贸易机会，扩大市场准入。特别是在一些特定的商品方面，如纺织品，
但也包括服务和技术问题，这使得国家能够更多地参与到贸易的演变和调整过程中。关于
纺织品，有趣的是，当中国开始加入世贸组织的过程中，它被赋予了更大的市场准入，正
是纺织品。因此，与其他国家相比，来自中国的货物是有优势的，因为在中国生产的纺织
品方面，有一个具体的协议，特别是。

[ppt]
What kind of benefits for developing countries?
 provisions requiring WTO members to safeguard the interests of developing
countries when adopting some domestic or international measures (e.g. in anti-
dumping, safeguards, technical barriers to trade)
 provisions for various means of helping developing countries (e.g. to deal with
commitments on animal and plant health standards, technical standards, and in
strengthening their domestic telecommunications sectors).
对发展中国家有什么样的好处？
 要求 WTO 成员在采取一些国内或国际措施时，保障发展中国家的利益（如
反倾销、保障措施、技术性贸易壁垒）的条款。
 关于帮助发展中国家的各种手段的规定（例如，处理关于动植物健康标准、
技术标准的承诺，以及加强其国内电信部门）。

[老师原文]
Other kind of measures in favor of developing countries concerning those provisions requiring the
WTO members to safeguard the interests of developing countries when adopting some domestic
or international measure and in this case, I'm thinking about the anti-damping and the safeguards
and other kind of barriers to trade. we will see that is still an issue of dispute between the US and
China, in particular the issue of anti-dumping. And in any case, dumping practices like subsidies
practices are instruments of supporting the national economy and this kind of practices are
generally applied by developing countries because the state is in charge to support the national
economy to have an important and progressive development of the economy of this state.
其他有利于发展中国家的措施涉及那些要求世贸组织成员在采取一些国内或国际措施时保
障发展中国家利益的规定，在这种情况下，我想到的是反倾销和保障措施以及其他类型的
贸易壁垒。我们将看到，这仍然是美国和中国之间的一个争议问题，特别是反倾销问题。
在任何情况下，像补贴做法一样的倾销做法是支持国民经济的工具，这种做法一般由发展
中国家采用，因为国家负责支持国民经济，使这个国家的经济有一个重要和进步的发展。

But this also represent an alteration of competition at the international level. So, the opportunity to
grant dumping or subsidies can be allowed just developing countries because there is a process of
development. But for developed countries, dumping and other kind of domestic protection
measures cannot be allowed. Developing countries represent an exception to these general anti-
dumping rules.
但这也代表了国际层面的竞争的改变。因此，可以允许发展中国家有机会进行倾销或补贴
因为它们有一个发展的过程。但对发达国家来说，倾销和其他类型的国内保护措施是不允
许的。发展中国家是这些一般反倾销规则的一个例外。

The fourth measure that can be adopted, the adoption of various means of instrument for helping
developing countries that we saw yesterday. Do you remember that there was the intention and the
practice of developed states to help the developing countries from a technical point of view by
giving the support to developing countries also in this process of development, for example in the
field of information, telecommunication and other kind of services like digital ones which are
important in order to align developing countries to develop states.
可以采取的第四项措施是，采取我们昨天看到的帮助发展中国家的各种手段的工具。你是
否记得，发达国家打算从技术角度帮助发展中国家，在这个发展过程中向发展中国家提供
支持，例如在信息、电信和其他类型的服务领域，如数字服务，这对使发展中国家向发达
国家看齐很重要。

In order to understand how better these instruments of support developing countries are made by
the international community, in particular by the developed state, let's take EU system as an
example, I mentioned yesterday but that today we will depend more properly.
为了了解国际社会，特别是发达国家如何更好地支持发展中国家，让我们以欧盟体系为例
我昨天提到过，但今天我们将深化。

[ppt]
THE EU Systems of Preferences
3 different schemes of preferences:
1) EBA -> Everything but Arms (47 countries)
2) GSP -> Standard Generalised Scheme of Preferences (11 countries)
3) GSP+ -> Generalised Scheme of Preferences + (8 countries)
Set in Regulation (EU) No 978/2012 of the European Parliament and of the Council of 25 October
2012 applying a scheme of generalised tariff preferences and repealing Council Regulation (EC)
No 732/2008 (OJ L 303, 31.10.2012).
欧盟的优惠制度
3 种不同的优惠计划：
1) EBA -> 除武器外的一切（47 个国家）。
2) 普惠制 -> 标准普惠制(11 个国家)
3) 普惠制+ -> 普遍优惠制+ (8 个国家)
欧洲议会和理事会 2012 年 10 月 25 日第 978/2012 号条例规定，适用普遍关税优惠计划并废
除理事会条例(EC)第 732/2008 号(OJ L 303, 31.10.2012)。

[老师原文]
It is also important in order to understand the point that trigger actually these reflection on
developing states. The situation of China, in particular has China is the scene from the other states
of the WTO and from developed country. Actually, EU is a member of the WTO itself as
international organization which has an exclusive competence in this field. You have 3 different
schemes of preferences. So, 3 different kind of instruments the European union may use in order
to support the developing countries with regard to trade.
为了理解引发这些对发展中国家的反思的要点也很重要。中国的情况，特别是中国与世贸
组织其他国家和发达国家的情况是不同的。实际上，欧盟是 WTO 的成员，它是一个在这
个领域有专属权限的国际组织。你有三种不同的优惠计划。因此，欧盟可以使用 3 种不同
的工具，以支持发展中国家的贸易。

First, the so called EBA, that is an acronym for everything but arms which has 47 countries
nowadays, developing countries or least developed countries.
Second, you have the GSP, the generalized scheme of preferences which has a standard nature.
And it is that granted to 11 countries nowadays.
Third, the GSP plus, which counts for 8 developing countries.
首先，所谓的 EBA，这是除武器之外的一切的缩写，现在有 47 个国家，发展中国家或最
不发达国家。
第二，你有普惠制，即具有标准性质的普遍优惠计划。现在有 11 个国家被授予普惠制。
第三，普惠制附加计划，它包括 8 个发展中国家。

These 3 different schemes have been set in 2012 by this regulation: Regulation (EU) No 978/2012
of the European Parliament and of the Council of 25 October 2012 applying a scheme of
generalised tariff preferences and repealing Council Regulation (EC) No 732/2008 (OJ L 303,
31.10.2012). The regulation applies in the same way in all the member states. It's like it was a law
of the state.
这 3 个不同的计划已在 2012 年由该条例确定： 欧洲议会和理事会 2012 年 10 月 25 日第
978/2012 号条例适用于普遍关税优惠计划，并废除理事会条例（EC）第 732/2008 号（OJ L
303，31.10.2012）。该条例以同样的方式适用于所有成员国。这就像它是一个国家的法律。

Here we have another chapter which illustrates what and how these 3 different schemes are
applied around the world. the EBA is applied in particular least developed countries. The light
blue countries those in Africa for example. The standard GSP beneficiaries instead are those that
we have classified before has a lower middle income by the world bank. So, we have India, some
states in the pacific, 11 states. The GSP+ beneficiaries are 8 states, there are Philippines, the
Mongolia, Pakistan and so on. This is the situation one year ago. The situation is the same also
today. But today there are some revisions under discussion about this kind of regulation. But in
any case, this system remains the same.
在这里，我们还有一章说明了这三种不同的计划在世界各地的应用情况和方式。EBA 尤其
适用于最不发达国家。例如，浅蓝色的国家是非洲的国家。而标准普惠制的受益者是那些
我们之前被世界银行列为中低收入的国家。因此，我们有印度，太平洋地区的一些国家 ，
11 个国家。普惠制+受益国是 8 个国家，还有菲律宾、蒙古、巴基斯坦等等。这就是一年
前的情况。今天的情况也是如此。但今天有一些关于这种规定的修订正在讨论中。但无论
如何，这个系统仍然是一样的。

[PPT]
THE EU EBA
Beneficiaries: EBA is a special arrangement for LDC's as classified by the United Nations.
Duty reduction: This arrangement allows duty-free and quota-free access for all products (around
7,200), originating in LDC's, except for arms and ammunition.
Graduation: Different from Standard GSP and GSP+, LDC's are not excluded from the scheme if
they benefit from other preferential arrangements and graduation mechanism for individual
products does not apply.
LDC's leave the arrangement when they lose their status as 'Least Developed Country' as defined
by the United Nations, but only after a three-year transition period.
受益者： EBA 是为联合国划分的最不发达国家做出的特殊安排。
关税减免： 这项安排允许原产于最不发达国家的所有产品（约 7200 种）免关税和免配额
进入，但武器和弹药除外。
分级： 与标准普惠制和普惠制+不同的是，如果最不发达国家受益于其他优惠安排，它们
不会被排除在该计划之外，而且个别产品的分级机制也不适用。
当最不发达国家失去联合国定义的 "最不发达国家 "地位时，它们将退出该安排，但必须
经过三年的过渡期。

[老师原文]
Now, what is the EBA system? EBA is a special scheme which applies to the Least Developed
Country. LDC has classified by the united nations according to the human development index that
we mentioned before, what kind of duties the states which import products from these countries
must respect. This arrangement allows duty-free and quota-free access for all products (around
7,200), originating in LDC's, except for arms and ammunition. All the products coming from LDC
should be applied with the duty free, so no duties, no customs, when they enter the borders of the
European union, the European countries. But arms and ammunition are not included in these
advantages.
现在，什么是 EBA 系统？EBA 是一个适用于最不发达国家的特殊计划。最不发达国家由
联合国根据我们之前提到的人类发展指数进行分类，从这些国家进口产品的国家必须尊重
什么样的关税。这一安排允许所有来自最不发达国家的产品（约 7200 种）免关税和免配额
进入，但武器和弹药除外。所有来自最不发达国家的产品在进入欧盟和欧洲国家的边界时
都应适用免税，因此没有关税，没有关税。但是，武器和弹药并不包括在这些优惠中。

It is a very important kind of advantage because actually you have not duties imposed upon these
products. And it is evident that this is a very important derogation, the most favored nation
principle, because here you don't have duty. So, in the other circumstances, in a classical situation
of trade between the developed countries, according to the most favored nation principle, you
should apply this rule also to the others. But in this case, we're confronting with least developed
countries. So, the exception of the most general principle favor nation principle applies. So, you
have advantages in favor of the least developed countries which are not extended to developed
countries, but they are just for least developed countries are set by the European union according
to the human development index.
这是一种非常重要的优势，因为实际上你没有对这些产品征收关税。很明显，这是一个对
最惠国待遇原则非常重要的减损，因为这里你没有关税。因此，在其他情况下，在发达国
家之间的经典贸易情况下，根据最惠国待遇原则，你也应该对其他国家适用这一规则。但
在这种情况下，我们面对的是最不发达国家。因此，这是例外情况。因此，你有有利于最
不发达国家的优势，这些优势并没有扩展到发达国家，但它们只是针对最不发达国家，是
由欧盟根据人类发展指数设定的。

Clearly here you have to take into consideration the fact that if the LDC countries are part of other
preferential agreements, because maybe they are part to regional organizations, which have
concluded agreement with the European union. This does not mean that the EBA scheme does not
apply. EBA still apply, because it is a way to increase the process of development of these
countries.
显然，在这里你必须考虑到这样一个事实，即如果最不发达国家是其他优惠协议的一部分
因为他们可能是区域组织的一部分，而这些组织已经与欧盟达成了协议。这并不意味着
EBA 计划不适用。EBA 仍然适用，因为它是促进这些国家发展进程的一种方式。

And look at this point, the least developed countries are defined as such until the united nations
and the human development index said that they are least developed countries. Even though the
status changed, in order to have formal change in the EBA system, it should have at least for 3
years. Okay, if the next year the united nations which will establish that Angola in is not anymore,
a least developed country, it is not sufficient to exclude Angola from the EBA system. It could be
excluded just in case the united nations say that Angola is not anymore, the least developed
countries for 3 years. Next year 2024, 2025, 2026. So, just in 2027, the status of Angola within the
European union could change from an EBA system to another one.
看看这一点，最不发达国家是这样定义的，直到联合国和人类发展指数说他们是最不发达
国家。即使地位改变了，为了在 EBA 系统中正式改变，它应该至少有三年的时间。好吧，
如果明年联合国将确定安哥拉不再是一个最不发达国家，这并不足以将安哥拉排除在 EBA
体系之外。如果联合国说安哥拉在 3 年内不再是最不发达国家，它就可以被排除在外。明
年是 2024 年、2025 年、2026 年。因此，就在 2027 年，安哥拉在欧盟中的地位可能会从
EBA 体系变为另一个体系。
[ppt]
THE EU GSP
Beneficiaries: The General GSP targets developing countries that are classified by the World Bank
as lower or lower-middle income countries and do not have a preferential access to the EU market
through another arrangement.
Duty Reduction: General GSP beneficiary countries can benefit from duty suspension for non-
sensitive products and duty reductions (3.5 percentage points) for sensitive products across
approximately 66 per cent of all EU tariff lines.
受益者： 普通普惠制的目标是被世界银行列为较低或中低收入国家的发展中国家，并且没
有通过其他安排获得进入欧盟市场的优惠机会。
关税减免： 一般普惠制受益国可以从非敏感产品的关税暂停和敏感产品的关税减免（3.5
个百分点）中受益，这些产品涉及欧盟所有关税项目的大约 66%。

[老师原话]
This is what we have said the fact that generally speaking, the least developed countries have
defined by the united nations are also those countries which according to the world bank, are
classified as a low or lower-middle income.

What happens with regard to the GSP? The GSP is not based on the human development index but
upon what the world bank says about its classification of states. So, you see that the general GSP
scheme applies to lower-middle income states. There is a difference in comparison to the EBA,
which do not have any kind of other preferential access with the European union by means of
other international agreements.

What kind of advantages these states have? They have a duty suspension for non-sensitive
products and duty reductions generally 3.5% for sensitive products, about 66% of all the tariff
line. In comparison to the EBA where you had the duty free, so no duties on products, in this case,
there are some duties but there are some reductions in comparison to the duties apply to the
products coming from other developed countries.
[ppt]
THE EU GSP
Graduation Mechanism
a) A beneficiary country ceases to benefit from preferential market access for a specific product
group if EU imports of such products become too competitive and exceed the threshold of 57% for
three consecutive years. The list of graduated product sections is reviewed by the EU every three
years.
b) A beneficiary country graduates from the arrangement if it benefits from other preferential
market access with the EU of is classified by the World Bank as high- or upper-middle income
country in three consecutive years.
渐进机制
a) 如果欧盟对某一特定产品组的进口竞争力过强，并连续三年超过 57%的门槛，则受益国
不再享受优惠的市场准入。欧盟每三年对毕业产品部分的清单进行审查。
b) 如果受益国受益于与欧盟的其他优惠市场准入，或连续三年被世界银行列为高收入或中
上收入国家，则从该安排毕业。

[老师原话]
Here you have a special graduation mechanism where the beneficiary country stops to benefit
from this kind of instrument if the import within the European union of that specific products
become too competitive and the import is other than 57% for three consecutive years. So, the idea
is that where some products coming from developing countries are becoming too competitive for
the domestic market, thanks to these advantages which the European union has granted, the
beneficiary country can be defined has not allowed to be in this kind of scheme anymore. But this
happens after a review every 3 years. Otherwise, it is possible for a beneficiary country to not
anymore belonging to this kind of scheme, whether it concludes for example other kind of
agreements or preferential market access instruments, since it becomes a high or upper-middle
income countries.
这里有一个特殊的毕业机制，如果该特定产品在欧盟内部的进口变得太有竞争力，并且连
续三年的进口量超过 57%，那么受益国就不再从这种工具中受益。因此，我们的想法是，
如果来自发展中国家的一些产品对国内市场来说变得太有竞争力，由于欧盟给予的这些优
势，受益国可以被定义为不再被允许参与这种计划。但这是在每三年一次的审查之后发生
的。否则，受益国有可能不再属于这种计划，无论它是否缔结了其他类型的协议或优惠的
市场准入工具，因为它已成为高收入或中上收入国家。

[ppt]
THE EU GSP+
Beneficiaries: The GSP+ is the special incentive arrangement for Sustainable Development and
Good Governance that supports vulnerable developing countries that ratified 27 international
conventions on human rights, labor rights, environmental protection and climate change, and good
governance.
Criteria: GSP+ eligible countries must be considered vulnerable due to a lack of export
diversification and insufficient integration within the international trading system. In order to meet
the vulnerability criterion, the ratio of the beneficiary's GSP-covered imports relative to the GSP-
covered imports of all countries must be lower than 7.4%. Likewise, the seven largest sections of
GSP-covered imports must exceed a threshold of 75% of total GSP imports over a three-year
period to fulfil the diversification criterion.
受益者： 普惠制+是可持续发展和善治的特别激励安排，支持批准了 27 个关于人权、劳工
权利、环境保护和气候变化以及善治的国际公约的弱势发展中国家。
标准： 符合普惠制条件的国家必须被认为是脆弱的，因为缺乏出口多样化和在国际贸易体
系中的一体化不足。为了满足脆弱性标准，受益国普惠制范围内的进口相对于所有国家普
惠制范围内的进口的比率必须低于 7.4%。同样，普惠制涵盖的七个最大部分的进口必须在
三年内超过普惠制总进口的 75%的门槛，以满足多样化标准。

[老师原话]
GSP plus is a new version of the generalized system of preferences, because it is a way to support
some other issues which are important for the European union like, human rights, labor rights,
environment protection, climate change, good governance. In comparison to the GSP, which
applies in the automatic way by the European union, this means that once developing country is
defined as such by the world bank is a lower-middle income or low income country, this country is
automatically set within the GSP program of the European union. but for the GSP plus system,
there is something more because here the developing country can apply for this scheme. So, it is
not just the decision of the European union but also the developing country can ask to be part of
this special scheme, because there is a commitment of the state itself to comply with some specific
targets set by the EU. As I said, human rights, labor rights, environmental Protection, good
governance. So, it is a voluntary scheme for the beneficiary state.
普惠制+是普惠制的一个新版本，因为它是支持其他一些对欧盟很重要的问题的一种方式，
如人权、劳工权利、环境保护、气候变化、善治。与普惠制相比，欧盟自动适用普惠制，
这意味着一旦发展中国家被世界银行定义为中低收入国家或低收入国家，这个国家就自动
被纳入欧盟的普惠制计划。因此，这不仅仅是欧盟的决定，发展中国家也可以要求成为这
一特殊计划的一部分，因为国家本身承诺遵守欧盟规定的一些具体目标。正如我所说，人
权、劳工权利、环境保护、善政。因此，这是一个受益国的自愿计划。

The European union before supposing this opportunity to the state, clearly verifies whether it meet
some criteria. And these criteria have actually a double nature. On the one hand that is based on
the vulnerability.
在向国家提供这个机会之前，欧盟明确核实它是否符合一些标准。而这些标准实际上具有
双重性质。一方面，它是基于脆弱性。

[ppt]
THE EU GSP+
Additional criteria
1) positive conditionality: ratifying, maintaining ratification, effectively implementing and
complying with reporting requirements for 27 international conventions on human rights, labour
rights, the environment and good governance;
2) economic vulnerability: lack of export diversification (the seven largest GSP sections of a
country's GSP-eligible imports into the EU represent more than 75% in value of its total GSP-
eligible imports, and its imports into the EU of GSP-eligible products represent less than 7.4% of
the total GSP-eligible imports into the Union from all beneficiaries).
附加标准
1) 积极条件：批准、维持批准、有效执行和遵守 27 项关于人权、劳工权利、环境和善治的
国际公约的报告要求;
2）经济脆弱性：缺乏出口多样化（一个国家符合普惠制条件的七个最大的普惠制部分占其
符合普惠制条件的进口总额的 75%以上，而且其符合普惠制条件的产品在欧盟的进口总额
中占所有受益国符合普惠制条件的进口总额的 7.4%以下）。

[老师原话]
The first one is the so-called positive conditionality. So, the fact that state is committed engaged in
ratifying or maintaining rectification or implementing 27 international conventions which are
clearly listed by the European union on human rights, labor rights, the environment and good
governance. For example, in the last years, the European union has included in these 27
international conventions also the Paris agreement.
第一个是所谓的积极条件。因此，国家承诺参与批准或保持纠正或实施欧盟明确列出的关
于人权、劳工权利、环境和善治的 27 项国际公约的事实。例如，在过去的几年里，欧盟在
这 27 个国际公约中也包括了《巴黎协定》。

Paris agreement has been adopted in 2015 by the majority of the states of the international
community, the state should assume in order to fight climate change. In particular, the Paris
agreement requires that the state reduce their level of waste in general and gas emissions in order
to reduce the general temperature of the word of 1.5 degree. It is a very optimistic perspective that
we have not be reached unfortunately. The so-called climate neutrality which means that there is
not anymore imbalance situation between gases emissions, pollution and capacity of the nature to
rebalance situation thanks to emission of the oxygen. And in the Paris agreement, so the states
tried to engaged in this long-term objective, there are some obligations in terms of performance of
states which should release record on their activities for reducing gas emissions and pollutions, so
you have some obligations in this agreement. The European union, in particular, in the GSP plus
scheme requires state which decides to belong with this kind of scheme to rectify and, to
implement the Paris agreement. So, it is a very strict commitment, a very strict obligation that the
European union asks the states which want to benefit from this GSP plus system.
巴黎协议已于 2015 年被国际社会的大多数国家通过，国家应承担以应对气候变化。特别是 ，
巴黎协议要求国家减少其一般的废物和气体排放水平，以减少 1.5 度的总体温度。这是一
个非常乐观的观点，但不幸的是我们还没有达到。所谓的气候中立意味着气体排放、污染
和自然界由于氧气的排放而重新平衡的能力之间不再存在不平衡的情况。在巴黎协议中，
为了使各国努力实现这一长期目标，在各国的表现方面有一些义务，它们应该公布其减少
气体排放和污染的活动记录，所以你在这个协议中有一些义务。特别是欧盟，在普惠制 +
计划中，要求决定加入这种计划的国家纠正和实施巴黎协议。因此，这是一个非常严格的
承诺，一个非常严格的义务，欧盟要求那些想从普惠制加分制度中受益的国家。

The same is for other kind of international conventions like labor rights. International labor
organization where a lot of treaties have been adopted concerning the labor rights of the
individuals. For example, one of the most important international conventions is about minor
workers. Because one problem at international level, some state is using minors for working, the
protection of minors is something which is very important within universal human rights
declaration. So, in this convention, it stresses the necessity to regulate works in the state without
exploiting minors in the field of work. And again, this kind of convention is one of the 27
international conventions that the EU asks the beneficiary state to ratify or to implement, to
comply with in order to benefiting from the GSP Plus scheme.
其他类型的国际公约也是如此，如劳工权利。国际劳工组织通过了许多关于个人劳动权利
的条约。例如，最重要的国际公约之一是关于未成年工人的公约。因为在国际上有一个问
题，一些国家利用未成年人工作，保护未成年人是世界人权宣言中非常重要的东西。因此
在这个公约中，它强调了在国家中规范工作的必要性，不在工作领域中剥削未成年人。而
且，这种公约是欧盟要求受益国批准或实施的 27 项国际公约之一，以从普惠制附加计划中
受益。
The second criteria which is used for defining whether a state can be eligible for the GSP plus is
the economic vulnerability. There are some specific elements having an economic connotation
which are included in the European union elaborations.
用来界定一个国家是否有资格获得普惠制加分的第二个标准是经济脆弱性。有一些具有经
济内涵的具体要素被纳入欧盟的阐述中。

[ppt]
THE EU GSP+
Duty reduction: GSP+ countries can benefit from complete duty suspensions for products across
approximately 66% of all EU tariff lines, including sensitive products.
Graduation:
The graduation mechanism that applies to specific product groups of Standard GSP countries,
does not apply to GSP+ beneficiaries.
A beneficiary country leaves the arrangement when it obtains an agreement for preferential market
access or exceeds the World Bank's definition of a low- or lower- middle income country in three
consecutive years.
关税减免： 普惠制+国家可以从欧盟所有关税项目中约 66%的产品的完全停税中受益，包
括敏感产品。
分级： 适用于标准普惠制国家特定产品组的分级机制，不适用于普惠制+受益国。
当一个受益国获得优惠市场准入协议或连续三年超过世界银行对低收入或中低收入国家的
定义时，它就会退出该安排。

[老师原文]
What kind of benefit these countries have? Because so far, we have talked about actually just
commitment, those states which decide to join the GSP plus have to comply, have to ratify
international agreements and so on. But you have actually some benefits clearly, otherwise this
scheme would not work. What kind of advantages we have? There is a complete duty suspension
for products of almost the 66% of all the kind of products of the European union imports. So, you
have unique the between the GSP scheme and the EBA, because here you have a complete duty
suspension. You have a situation where you have a duty free for the majority of the products
coming from these countries. But in general, you have a very important benefit in terms of imports
and not duties apply.
这些国家有什么样的好处？因为到目前为止，我们谈到的实际上只是承诺，那些决定加入
普惠制的国家必须遵守，必须批准国际协议，等等。但你实际上显然有一些好处，否则这
个计划就不会起作用。我们有什么样的好处？几乎所有欧盟进口产品中的 66%的产品可以
完全免征关税。因此，在普惠制计划和 EBA 之间，你有独特的优势，因为这里你有一个完
全的关税豁免。你有一种情况，你对来自这些国家的大多数产品都是免税的。但总的来说
你在进口方面有一个非常重要的好处，不适用关税。

Clearly, also in this case, you have a system for leaving the GSP plus. For example, when state
obtains a agreement like in the GSP with the EU or when the world bank definition of low and
lower middle income country changes, as before.
显然，在这种情况下，你也有一个脱离普惠制的制度。例如，当国家与欧盟达成普惠制协
议时，或者当世界银行对中低等收入国家的定义发生变化时，就像以前一样。

[老师原文]
The EBA beneficiaries’ countries, African countries can export their products without any duty.
Then you have GSP standard beneficiaries, like India. We don't have a preferential agreement with
India at the moment and so this program applies. So, there are some products which arrive from
India to the European union with a reduction of duty applies. Once India maybe defined by the
world bank, not anymore as a low income state but a upper middle state, India will stop to benefit
from GSP standard scheme. Or whether the European union decides to conclude an international
agreement on trade with India. GSP plus beneficiaries, like Mongolia, Pakistan, they have
voluntary decide to be part of GSP plus scheme and so to comply with the 27 international
conventions, which the European union requires to be ratified and implemented. And on the other
side, Mongolia’s product can enter the European union without duties applied. The same as for
India, whether Mongolia will become a upper middle state according to the world bank, it will not
anymore benefit from the GSP plus.
EBA 的受益国，非洲国家可以在没有任何关税的情况下出口他们的产品。然后你有普惠制
标准受益国，如印度。我们目前与印度没有优惠协议，所以这个方案适用。因此，有一些
产品从印度到达欧盟时，适用减免关税。一旦印度被世界银行定义为不再是低收入国家而
是中上收入国家，印度将停止享受普惠制标准计划。或者欧盟是否决定与印度缔结一项国
际贸易协定。普惠制附加计划的受益者，如蒙古、巴基斯坦，他们必须自愿决定成为普惠
制附加计划的一部分，因此要遵守欧盟要求批准和实施的 27 项国际公约。另一方面，蒙古
国的产品可以在不征收关税的情况下进入欧盟。就像印度一样，根据世界银行的数据，蒙
古国是否会成为中上等国家，它将不会再从普惠制+中受益。

[ppt]
THE EU GSP+
Monitoring
Upholding the GSP+ status, especially regarding to effective implementation and compliance with
reporting obligations of the 27 conventions is managed by EU monitoring. The EU engages in a
dialogue with authorities and stakeholders in beneficiary countries and arranges frequent
monitoring missions to GSP+ beneficiary countries. The monitoring is reported on every second
year in a report to the European Parliament and the Council. Reports by ILO and UN as well as
the exchange with civil society organisations are important elements of the monitoring.
监测
维护普惠制+地位，特别是在有效实施和遵守 27 个公约的报告义务方面，由欧盟监测管理。
欧盟与受益国的当局和利益相关者进行对话，并经常安排监测团前往普惠制+受益国。每
两年向欧洲议会和理事会提交一份报告，汇报监测情况。国际劳工组织和联合国的报告以
及与民间社会组织的交流是监测的重要内容。

[老师原文]
In order to clearly verify all these issues, there is also a strict monitoring process by the European
union. This is valid for sure for the EBA countries, for GSP in terms of the definition of belonging
to one or more groups, but it is even more important for the GSP plus. Because clearly here, the
European union has to monitor, verify whether these states are effectively respecting and
complying with the requirements set by the GSP plus scheme. So, there is the necessity to record
what the beneficiary state are doing and what kind of measures they adopt to comply with the
international conventions and the requirements, the commitments set by the scheme. These
monitoring allows the interaction with other subjects, the international labor organization, the
united nations, which have to monitor also the human development index, but also civil society
organizations or non-governmental organizations which work on the field in those specific state,
which are important to give also in objective vision of the situation of the country. Because clearly
if you interact just with the government, maybe you can have distorted information, not
transparent information because for this state is important to be part of the GSP plus program, to
receive some benefits. It is important that there are other actors which interact with the population
to give information about the process of compliance of these states with international
requirements. Because clearly whether the states beneficiaries of the GSP plus scheme that do not
comply with the what are the criteria of the GSP plus scheme, the European union can decide to
stop the GSP plus scheme, because there are not anymore the conditions to grant this kind of
benefit, advantages like duty suspension.
为了明确核实所有这些问题，欧盟也有一个严格的监督过程。这对于 EBA 国家来说肯定是
有效的，对于普惠制来说，属于一个或多个集团的定义是有效的，但对于普惠制附加条款
来说，这甚至更为重要。因为很明显，在这里，欧盟必须监督、核实这些国家是否有效地
尊重和遵守普惠制附加方案所规定的要求。因此，有必要记录受益国正在做什么，他们采
取什么样的措施来遵守国际公约和要求，以及该计划规定的承诺。这些监测允许与其他主
体互动，如国际劳工组织、联合国，它们也必须监测人类发展指数，还有在这些特定国家
实地工作的民间社会组织或非政府组织，它们对于提供国家情况的客观看法也很重要。因
为很明显，如果你只与政府互动，你可能会得到扭曲的信息，不透明的信息，因为对这个
国家来说，重要的是成为 GSP+计划的一部分，得到一些好处。重要的是，还有其他行为
者与民众互动，提供有关这些州符合国际要求的过程的信息。因为很明显，如果普惠制加
值计划的受益国不遵守普惠制加值计划的标准，欧盟可以决定停止普惠制加值计划，因为
现在已经没有条件给予这种好处，比如暂停征税的好处。

[ppt]
Preferences may be temporarily withdrawn if one or more of the following cases applies to a
beneficiary country:
1) Serious and systematic violation of core human rights and labour rights
conventions
2) Export goods are made by prison labour
3) Serious shortcomings in customs controls with regard to the export or transit of
drugs
4) Failure to comply with international conventions on antiterrorism and money
laundering
5) Serious and systematic unfair trading practices
6) Serious and systematic infringements of the objectives adopted by regional
fishery organisations or any international arrangements to which the EU is a
party.

[老师原文]
These are for example the situations where the European union can temporarily withdraw from
some specific benefits granted to the states of the GSP plus scheme, temporarily. Because
European union has in any case give time to the state, to comply or in any case that to give them
some explanations about the situation in the country. So, they can be temporary at first. Then when
the European union will not have good answers from the beneficiary state, clearly European union
can terminate the instrument for that specific state.
例如，在这种情况下，欧盟可以暂时取消给予普惠制国家的一些特定利益，暂时取消。因
为欧盟在任何情况下都要给国家时间来遵守，或者在任何情况下给他们一些关于国家情况
的解释。因此，一开始它们可能是暂时的。然后，当欧盟没有从受益国得到很好的答复时
显然欧盟可以终止对该特定国家的文书。

第 六 点 ： the idea is that the European union has its specific intention to protect the sea, in
particular, but also to regulate how fishing is made and how the fisheries also products are traded
between the regional organizations, which are closed to the European union and EU itself. So,
there are some multiple issues which are linked to the fact that the European union has particular
intention to the fishery policy.
第六点：欧盟有其特定的意图，特别是保护海洋，但也监管如何捕鱼，以及渔业产品如何
在区域组织之间进行交易。因此，有一些多重问题与欧盟对渔业政策的特别意图有关。

[ppt]
Since 2014, when the current regulation entered into force, withdrawal has been enacted by the
EU once - in 2020 against Cambodia, an EBA beneficiary - for certain products, because of
breaches of human and labour rights. GSP+ preferences were reinstated for Sri Lanka (which had
lost them in 2010) in 2017 after the country brought its legislation into line with international
norms.
自 2014 年现行法规生效以来，欧盟已经颁布了一次退出的规定--在 2020 年针对柬埔寨，一
个《欧洲经济条例》的受益国--某些产品，因为违反了人权和劳工权利。2017 年，在斯里
兰卡将其立法与国际规范接轨后，该国恢复了普惠制+优惠（该国于 2010 年失去了这些优
惠）。

[老师原文]
Here you have the just an example of suspension that we had concerning the instrument that we
mentioned so far. Since 2014, withdrawal has been enacted by EU just once, so the suspension has
happened against the Cambodia in the 2020. It was an EBA beneficiary state because there are
serious breaches of human and labor right. So, it was decided by the European union to stop this
kind of preferences towards Cambodia. GSP+ preferences were reinstated for Sri Lanka (which
had lost them in 2010) in 2017 after the country developed its national legislation in compliance
with the international norms in particular with regard to labor rights, because in 2010, Sri Lanka
had serious problems concerning the labor rights and it was decided by the European union to stop
the GSP plus scheme against the Sri Lanka. But at the end, it was a temporary suspension, 7 years
which was restarted in 2017, thanks to the changes which Sri Lanka included in its own
legislation. So, this more or less works.
这里有一个例子，就是我们到目前为止提到的关于文书的暂停。自 2014 年以来，欧盟只颁
布了一次，所以在 2020 年对柬埔寨进行了暂停。它是一个 EBA 的受益国，因为它严重侵
犯了人权和劳动权。因此，欧盟决定停止对柬埔寨的这种优惠政策。2017 年，在斯里兰卡
制定了符合国际规范的国家立法，特别是在劳工权利方面，恢复了对斯里兰卡的普惠制 +
优惠（该国在 2010 年失去了这些优惠），因为在 2010 年，斯里兰卡在劳工权利方面有严
重的问题，欧盟决定停止对斯里兰卡的普惠制+计划。但最后，由于斯里兰卡在自己的立
法中进行了修改，这是一个暂时性的暂停，为期 7 年，并在 2017 年重新开始实施。因此，
这或多或少是可行的。

[ppt]
WTO complaints against the EU GSP
In the history of the EU GSP scheme, two complaints have been brought against it in the WTO
framework, both invoking non-compliance with the provisions of Article 1 of GATT and the
Enabling Clause.
The first complaint, brought by Thailand in 2001, stopped in the consultation stage in 2002.
The second complaint, brought by India in 2002, ushered in a dispute settlement procedure. In
2004, the WTO appellate body concluded that the GSP scheme, more precisely the tariff
advantages under the Drug Arrangements - which were part of the scheme at the time and limited
to certain developing countries - was in breach of the WTO rules.
The EU reformed its GSP in 2005 to bring it into line with the panel's conclusions; however, some
legal experts have argued that, given the general phrasing of WTO rules, some other aspects of the
EU GSP would still not be fully immune to challenges.
世贸组织对欧盟普惠制的投诉
在欧盟普惠制的历史上，在 WTO 框架内对其提出了两起投诉，都是以不符合 GATT 第 1 条
和授权条款的规定为由。
第一项投诉是由泰国在 2001 年提出的，在 2002 年的磋商阶段停止。
印度在 2002 年提出的第二项投诉，迎来了争端解决程序。2004 年，WTO 上诉机构得出结
论，普惠制计划，更确切地说，药物安排下的关税优惠 --当时是该计划的一部分，仅限于
某些发展中国家--违反了 WTO 规则。
欧盟在 2005 年对其普惠制进行了改革，使其符合该小组的结论；然而，一些法律专家认为 ，
鉴于世贸组织规则的一般措辞，欧盟普惠制的一些其他方面仍不能完全免于挑战。

[老师原文]
Just to conclude this part, we have to say just to be transparent that in the history of the GSP
scheme, the European union that has been challenged by some states with regard to this kind of
schemes which I recommend you, they are clearly justified within the WTO system because
they're an example of application of the enabling clause, but these strict link also with some other
criteria and these strict conditionality which are at the basis of the GSP in general have been
criticized by some states. In particular, Thailand in2001, but actually the action was terminated in
the consultation, and in particular the second one by India which decided to start a dispute
settlement procedure before the WTO appellate body. In particular with regard to the tariff
advantages on the drug arrangement, which according to India was actually a breach of the WTO
rules.
在结束这一部分时，我们不得不说，在普惠制计划的历史上，欧洲联盟在这种计划方面受
到了一些国家的质疑，我建议你们，在 WTO 体系内，这些计划显然是合理的，因为它们
是应用授权条款的一个例子，但这些严格的联系也与其他一些标准和这些严格的条件，是
普惠制的一般基础，受到了一些国家的批评。特别是泰国在 2001 年，但实际上该行动在磋
商中被终止，特别是印度的第二次行动，它决定在世贸组织上诉机构启动争端解决程序。
特别是关于药品安排的关税优势，印度认为这实际上是违反了世贸组织的规则。

[ppt]
Complaint by India
On 5 March 2002, India requested consultations with the EC concerning the conditions under
which the EC accords tariff preferences to developing countries under its current scheme of
generalized tariff preferences ("GSP scheme").
India considered that the tariff preferences accorded by the EC under the special arrangements, (i)
for combating drug production and trafficking and (li) for the protection of labour rights and the
environment, create undue difficulties for India's exports to the EC, including for those under the
general arrangements of the EC's GSP scheme, and nullify or impair the benefits accruing to India
under the most favoured nation provisions of Article I:1 of the GATT 1994 and paragraphs 2(a),
3(a) and 3(c) of the Enabling Clause.
印度提出的申诉
2002 年 3 月 5 日，印度要求与欧共体就欧共体在其现行的普遍关税优惠计划（"普惠制计
划"）下向发展中国家提供关税优惠的条件进行磋商。
印度认为，欧共体根据特别安排给予的关税优惠，(i)打击毒品生产和贩运以及(li)保护劳工
权利和环境，给印度对欧共体的出口，包括根据欧共体普惠制计划的一般安排的出口造成
了 不 适 当 的 困 难 ， 并 使 印 度 根 据 1994 年 《 关 贸 总 协 定 》 第 I ： 1 条 和 授 权 条 款 第
2（a）、3（a）和 3（c）款的最惠国条款所获得的利益失效或受损。

[老师原文]
This was the situation. India considered that the tariff preferences under these special
arrangements did not comply with the WTO system, which actually is much more general in terms
of what kind of measures can be adopted for defining enabling clause. So, India thought this kind
of special arrangements and the strict criteria for combating drug production, trafficking and the
Protection of labor rights and environment, represented a very important difficulty for India to
export products to the European community, because it was European community at the time not
European union. And so actually these practices, the conditionality between the exportation and on
the other side the compliance with some specific arrangements represented an obstacle for India to
trade towards the European union. Not the benefit, not an advantage because at the end India had
some limitations in the exports.
情况就是这样。印度认为，这些特别安排下的关税优惠不符合世贸组织的制度，而世贸组
织的制度在界定授权条款方面可以采取什么样的措施，实际上更为普遍。因此，印度认为
这种特殊安排和打击毒品生产、贩运以及保护劳工权利和环境的严格标准，对印度向欧洲
共同体出口产品是一个非常重要的困难，因为当时是欧洲共同体而不是欧洲联盟。因此，
实际上这些做法，出口和遵守一些具体安排之间的条件是印度对欧盟贸易的一个障碍。不
是好处，不是优势，因为最后印度在出口方面有一些限制。

And actually, in this specific situation, the WTO appellate body agreed with India, because it was
the position of the European union was too strict in this case. there were too much conditions. And
indeed in 2005, the European union changed partially its perspective in order to rephrase this
condition, in order to be in line with the WTO system, and not to create more obstacles to the
foreign product exportation. The GSP regulation has been adopted in 2012, which has been a very
important revision of the system.
[ppt]
WTO complaints against the EU GSP
On 1 December 2003, the Panel found that:
(i) India has demonstrated that the tariff preferences under the Special Arrangements to Combat
Drug Production and Trafficking (the "Drug Arrangements") provided in the EC's GSP scheme are
inconsistent with Article I: 1 of GATT 1994;
(i i) the EC has failed to demonstrate that the Drug Arrangements are justified under paragraph
2(a) of the Enabling Clause, which requires that the GSP benefits be provided on a "non-
discriminatory" basis; and
(i i i) the EC has failed to demonstrate that the Drug Arrangements are justified under Article
XX(b) of GATT 1994 since the measure is not "necessary" for the protection of human life or
health in the EC, nor is it in conformity with the Chapeau of Article XX.
WTO 对欧盟普惠制的投诉
2003 年 12 月 1 日，专家组认为：
(i) 印度已经证明，欧共体普惠制计划中提供的打击毒品生产和贩运的特别安排（"毒品安
排"）下的关税优惠不符合《1994 年关贸总协定》第一条： 1994 年《关贸总协定》第 1 条；
(i i)欧共体未能证明，根据授权条款第 2(a)段，毒品安排是合理的，该条款要求普惠制利益
应在 "非歧视 "基础上提供；以及
(i i i)欧共体未能证明根据 1994 年《关贸总协定》第二十条(b)款的规定，药品安排是合理
的，因为该措施对于保护欧共体的人类生命或健康不是 "必要的"，也不符合第二十条的起
首条款。

[老师原文]
Here you have the explanation of the panel which maybe interesting to come back to when we
have may major idea of what the panel does because we have still to think about the dispute
settlement mechanism. So, maybe we will come back on that.
这里有小组的解释，当我们对小组的工作有了主要的想法时，也许会有兴趣再来讨论，因
为我们仍然要考虑争端解决机制。所以，也许我们会再来讨论这个问题。

Lecture 4

WTO AND TRADE LIBERALISATION: EXCEPTIONS 世贸组织和贸易自由化的

例外
3 exceptions:
•Special benefits for developing countries (Part IV– Trade and development)
•Generalised treatment (art. XXV; art. XIX; art. XX; art. XXI)
•Preferential treatment (art. XXIV)
•-对发展中国家的特殊利益（第四部分 - 贸易和发展)
•-一般化待遇(第二十五条；第十九条；第二十条；第二十一条)
•-优惠待遇(第二十四条)
【本节课讲 Generalised treatment 和 Preferential treatment】

【首先接上节课关于中国是否属于发展中国家的问题，根据世界银行及欧盟标
准，中国不属于发展中国家。】
【根据世界银行对于发展中国家的评估标准，因为被认为是中上收入国家（世
界银行使用人均国民总收入（GNI），将世界经济分为四个收入组别：低收入、
中下收入、中上收入和高收入】 China is not included in the states of the world
bank t of low and low and middle income. It is considered upper-middle state with
regard to income definition.
【尽管欧盟一开始把中国视作发展中国家与之交易，但根据欧盟标准，中国不
属于发展中国家】So what does apply evidence that could be European union. China
is not developing country even though China first we sell as the developing country.
Because the criteria the European union has find developing country are those that we
mentioned. The world bank and the European union decide in an arbitrary way. It is
true that developing countries are those belonging to the groups of low income and
low-middle income.
【欧盟普通普惠制（GSP）的受益者是被世界银行列为较低或中低收入国家的
发展中国家，它们没有通过其他安排获得进入欧盟市场的优惠】 China for the
European union purposes does not benefit at the moment the from a beneficiary the
GSP or the GSP plug because it is not the developing country European Union.
【世贸组织对"发达"和"发展中"国家没有定义。成员国自己宣布它们是"发达"还
是"发展中"国家。例如：中国称自己为发展中国家】 WTO does not properly
define what kind of state should be considered has a developing state or not, for the
policy of the WTO system. States do not find a common line, common ground on the
opportunity to define within the WTO system who are developing and develop
countries.
【（对于 WTO 给出发达、发展中国家的统一标准）这一局限很难克服和改变，
多边贸易体系加剧了的国家间的各种矛盾】 Clearly we will not never overcome
this limitation, but at the moment we're in that in this condition that not easily can be
changed. Also because there are some crisis, really important crisis in the multilateral
system trade that multilateral level and the conflicts about state that are increasing, the
disputes are increasing at international level also indicate.

【接上节课，讲一般规则的第二个例外：Generalised treatment 一般化待遇】

【ppt】
 Generalised treatment
art. XXV: all the WTO members decide to derogate from a WTO rule (waivers)
art. XIX: temporary restrictions to imports (when there is a so important increase of
imports to create a serious damage to the national industry)
art. XXI: national security interests
第二十五条：所有世贸组织成员决定减损一项世贸组织规则（豁免）。
第十九条：对进口的临时限制（当进口大量增加，对国家工业造成严重损害
时）。
第二十一条：国家安全利益

【ppt】
 Art. XX GATT2
The adoption or enforcement by any contracting party of measures is allowed when it
is:
(a)necessary to protect public morals;
(b)necessary to protect human, animal or plant life or health;
(c)relating to the importations or exportations of gold or silver;
(d)necessary to secure compliance with laws or regulations which are not inconsistent
with the provisions of this Agreement […]
(e)relating to the products of prison labour;
(f)imposed for the protection of national treasures of artistic, historic or
archaeological value;
(g)relating to the conservation of exhaustible natural resources if such measures are
made effective in conjunction with restrictions on domestic production or
consumption;
(h)undertaken in pursuance of obligations under any intergovernmental commodity
agreement […]
(i)involving restrictions on exports of domestic materials necessary to ensure essential
quantities of such materials […]
(j)essential to the acquisition or distribution of products in general or local short
supply […]
【字幕讲解】
In the article 20 of the GATT, you find a list of situations where the measures adopted
by this conditions that can be justified whether there are intended to promote one of
these issues. The measures which limit the trade or the assess to the market, but they
are justified because these kind of sensitive issues are much more important for trade
and trade itself so they must be protected.

【PPT 跳过没讲】
 GATT Article XX applies to every article of GATT and has the function of
coordinating the rights of member countries to regulate with the trade
liberalization benefits of other member countries.
 NB. GATS Article XIV, which controls trade in services, has provisions similar to
GATT Article XX
2
GATT 第 20 条：在下列情况下，允许任何缔约方采取或执行措施：
(a)为保护公共道德所必需；
(b)为保护人类、动物或植物的生命或健康所必需；
(c)与黄金或白银的进口或出口有关；
(d)为确保遵守与本协定规定不相抵触的法律或条例所必需的[...]
(e)与监狱劳工的产品有关的；
(f)为保护具有艺术、历史或考古价值的国宝而实施的；
(g)与保护可耗尽的自然资源有关的，如果这种措施与对国内生产或消费的限制一起生效的话
(h) 为履行任何政府间商品协定规定的义务而采取的[......] 。
(i) 涉及限制国内材料的出口，以确保此类材料的必要数量[...] 。
(j) 对获取或分配普遍或当地短缺的产品至关重要[...]
【PPT】
 A) Protection of public morals: are broad concepts that vary in time and place
depending on a wide range of factors that include dominant social, cultural,
ethical and religious values. Typically, measures that prohibit import of narcotics
or obscene materials for religious/ethical reasons, etc. fall within this
subparagraph.
 Ex. import and export of pork and alcoholic beverages, etc. are prohibited in
Islamic countries based on subparagraph (a).
 A) 保护公共道德：是一个宽泛的概念，在不同的时间和地点会有所不同，
取决于各种因素，包括主导的社会、文化、伦理和宗教价值观。通常情况
下，出于宗教/伦理原因禁止进口麻醉品或淫秽材料等的措施都属于这一项。
 例如，伊斯兰国家根据（a）项禁止猪肉和酒精饮料等的进出口。

【PPT】
 B) Protection of human, animal or plant life or health: Typically, sanitary and
phytosanitary measures, import/export restrictions and domestic regulations for
the purpose of protecting the safety of food and products.
 保护人类、动物或植物的生命或健康：通常情况下，卫生和植物检疫措施、
进口/出口限制和国内法规的目的是保护食品和产品的安全。
【字幕讲解】
We made the reference to the Protection of human, animal and plant life or health.
Think about for for products that can dangerous for human health, it is possible that
I've been proved to be dangerous. It is possible for the state to decide to limit that of
this product in its market in order to protect the health of citizen.

【PPT】
 Cases of conservation of exhaustible natural resources: include minerals,
non-living natural resources (coal, oil, natural gas, etc.) as well as environmental
resources such as “clean air” and living resources (shrimps, trees…).
 Requirements:
[1] the policy objective of the measure of concern is to “conserve limited natural
resources”,
[2] the measure is “relating” to the conservation of limited natural resources, and
[3] the measure is implemented alongside restrictions on domestic production or
consumption
 C）保护可耗尽自然资源的案例：包括矿物、非生物自然资源（煤、石油、
天然气等）以及环境资源，如"清洁空气"和生物资源（虾、树...）。
 要求：
[1]关注措施的政策目标是"保护有限的自然资源",
[2]该措施与保护有限的自然资源"有关"，并且
[3]该措施与对国内生产或消费的限制同时实施。
【字幕讲解】
Actually here we said that the case law of the WTO system of these large sorts
definition of this category. At the moment all the natural resources have been included
in these list. You have coal, oil, natural gas, like other kind of environmental
resources, clean air is considered as a natural resource to be protected. So the state can
adopt measures protect clean air.

【例：为了保护环境，国家可以被允许限制柴油车的进口或生产】
For example if we ever reached the intention to have climate neutrality within the
European union. This state for example could be allowed to limit the import of diesel
cars or the production, because these are air-polluting, so for the purposes of the
protection of the environment, the states can decide to stop the import order of
polluters products.
【注意第三点要求，该限制措施应与对国内生产或消费的限制同时实施】
The measures adopted to protect natural resources must be in any case implemented
alongside restrictions on domestic production or consumption.
This means that whether state decide begin to stop the import of diesel cars they at the
same time must stop the production of diesel cars within the state. You should have no
discrimination between the importer diesel cars and produced internally.

【PPT】
 Art. XX GATT
Chapeau:
Subject to the requirement that such measures are not applied in a manner which
would constitute a means of arbitrary or unjustifiable discrimination between
countries where the same conditions prevail, or a disguised restriction on
international trade, nothing in this Agreement shall be construed to prevent
 起首部分：
在要求这些措施的适用方式不构成对条件相同的国家的任意或不合理的歧视，
或对国际贸易的变相限制的前提下，本协定的任何内容都不得解释为阻止。
【字幕讲解】
【为 GATT 第 20 条某一目的采取的限制措施不是自动适用的，国家要论证该措
施其可以被合理化】
It means that this state in order to adopt a measure limiting the market accession of
foreign trade, product according to those specific justifications, must comply with
other kind of requirements. So the state cannot simply say the measure that adopting
is intended to protect natural resources. So it is automatically fair, justified for the
WTO system.
【在引用第 20 条的具体排除事由之前，要首先证明该措施符合 Chapeau 的要
求】
The Chapeau of Art. XX GATT, it is like a preliminary definition and indeed more
important. If you look at article 20 before you have the Chapeau. This means that all
the single list of justifications muse comply with this general require that is at the top
of article 20.
【条件一：不会构成"在条件相同的国家之间进行任意或不合理的歧视的手
段"】
Before with regard to natural resources, the fact that they wanted to apply kind of
measures must demonstrate at the end that these measures are not intended to create
discrimination against the products coming from other member state of WTO.
This kind of measures should not be means of arbitrary, so discretionary and
unjustifiable discrimination against what kind of countries where the conditions are
prevailing.
【条件二：不会构成"对国际贸易的变相限制"】
So not discrimination against the products coming from others countries, not
restriction in general of international restriction, this is the objective that is important.
The restriction must not be disguised, it must not be just intended to restrict
international trade. It must be intended for protection of one of those fundamentally
right, which are listed in the in article 20.

【补充自 WTO 官网】

 GATT Article XX on General Exceptions consists of two cumulative
requirements. For a GATT-inconsistent environmental measure to be justified
under Article XX, a member must perform a two-tier analysis proving:
 First, that its measure falls under at least one of the exceptions (e.g. paragraphs
(b) to (g), two of the ten exceptions under Article XX) and, then,
 that the measure satisfies the requirements of the introductory paragraph (the
“chapeau” of Article XX), i.e. that it is not applied in a manner which would
constitute “a means of arbitrary or unjustifiable discrimination between countries
where the same conditions prevail”, and is not “a disguised restriction on
international trade”.
 关贸总协定关于一般例外的第二十条由两个累计条款组成要求。
根据第 20 条，成员必须进行两级分析证明3：
（1）首先，其措施至少属于其中一种例外（例如（b）至（g）款，第二十条规
定的十项例外中的两项）以及
（2）该措施符合引言段（第 XX 条的"起首部分"）的要求，即其适用方式不会
构成"在条件相同的国家之间进行任意或不合理的歧视的手段"，并且不是 "对
国际贸易的变相限制"。

【PPT：某一措施是否能被合理化的论证步骤】
 The burden of proof under GATT Article XX is, in principle, on the
member countries that introduced the measures of concern.
。

3
https://www.wto.org/english/tratop_e/envir_e/envt_rules_exceptions_e.htm
【字幕讲解】
关贸总协定第二十条规定的举证责任原则上是由援引相关措施的成员国承担。
【举例：欧盟国家援引保护人类健康条款,限制进口来自美国的转基因肉制品】
Because actually the invocation of article 20 as an exception to the general rules is
made to the last rule. For example, in a situation where the European union decides to
restrict the import of GMOS meats from the US because the meat coming from US is
characterized by a level of GM rules -- genetically modified organism. Since the
United States that uses a lot GMOs in their production, this artificial, synthetic meat
product may have negative impact to citizens’ health. The justification of the
European union is based upon “the Protection of human health”.
【欧盟需要证明这一措施不构成歧视、不变相限制国际贸易】 The European
union must demonstrate that this measure does not intended to discrimination and is
not intended to disguised the international trade.

What is the process of this evaluation which the European union has to
demonstrate:【欧盟的证明步骤】
【第一步：欧盟限制进口转基因肉制品构成为 WTO 规则的违反，这一步不考
虑 Justification】
First of all, we have to verify whether theory there is a violation of the WTO, whether
the European union has limited the import of GMOs meat from the US. Clearly the
because the European union is limiting trade, it constitute a violation of WTO rules.
Because it is a limitation of the trade at the international level.
【第二步：该限制措施是否有合理理由】
Now, the question is that why the European union has adopted this kind of provisions,
can the justification proposed by the European union that to be fair according to the
WTO system. The European union within the one of the different categories listed
enough in article 20 (b). we can answer. Yes. Because it is intended to protect the
human health in EU
【第三步：是否符合 the Chapeau of the GATT 的要求】
Is this measure intended to create discrimination and to restrict in an unfair way to
international trade or it is just limited to be protect human health.
TO demonstrate what is behind the decision of EU, if there is another intention to
damage the US, the intention to create discrimination against the US or not.
【证明采取该限制措施的真实意图，不是在于对美国的转基因肉制品施加贸易
歧视，如证明没有进口了其他有同样使用转基因技术的潜在风险的国家的产
品】
Whether the European union prove demonstrate that's actually the measures apply the
not only to the US but to the all potentially the state, which import for the GMO's
product and that this decision is not intended to restrict the in a general way trade. It is
justifiable under GATT. Where the measure can be justify on the GATT so it's
consistent instead, if it found that saying that the European union treated the US
discriminatory way, for example the measure could not be justified under the GATT
and it is not consistent with WTO.
【PPT 论证必要性的三个标准】
 Is the measure necessary to reach the policy objectives?
3 criteria:
[1]importance of the policy objectives of the measures (significance of the
advantages),
[2]trade-restrictive effect of the measures (significance of the disadvantages),
[3]contribution of the measures to the achievement of the policy objectives
(quantitatively or qualitatively demonstrating substantial contribution).
【字幕讲解】
Sometimes the information provided by the state are not transparent. Sometimes the
state try to find some treaty solutions to save their own market. It is not the always so
evident to find the reasoning which are behind the decision of the state.
【因为很多时候难以证明一个决定背后的真正原因，需要回答该措施对达到目
标是否必要，有时候这种必要性并不明显】
So the first question we have to answer in order to understand the whether the
measure is consistent with the Chapeau particular with article 20. Is the measure
necessity to reach the objective? Because sometimes the it could not be so evidence
the necessity to use that specific measure.
【以限制转基因产品的进口为例，也许这种必要性是明显的因为转基因产品在
国内是禁止的，为了与国内政策一直这种禁止使必要的。但有时这种必要性是
不明显的，因为国家可以采取除限制进口外的其他措施。】
In the GMO production coming from the US, maybe this question quite evident. So
clearly I am planning I am stopping the import of those are specific product sir is
necessary for sure, because in our domestic system they are not allowed and so I
decided to apply a coherent approach and before it is necessary to ban the also the
import of GMOs products. But sometimes the necessity is not so evident because
maybe the state would adapt with the other kind of measures rather than banning from
imports.
【因此，有必要从三个标准维度衡量采取一项特定措施是否具有必要性】
Once that’s specific measures so necessary in order to evaluate the necessary of the
measure, we have to look at 3 criteria：
(1) The importance of the policy objectives of the measures (significance of the
advantages),
[What kind of advantages this measure can bring up for the purpose of the final
interest justified and protected.]
(2) trade-restrictive effect of the measures (significance of the disadvantages)
[What kind of disadvantages this measure may bring, with comparison to the
advantages]
So these first 2 criteria are based upon the advantages and disadvantage of the
measure in order to verify whether they can be balance more or less.
(3) contribution of the measures to the achievement of the policy objectives
(quantitatively or qualitatively demonstrating substantial contribution).
Is this measure effectively contributing to reach that specific interest, both from a
quantitative and a qualitative point of view. Or is something which could be reached
also in another way. The question for the GMOs meat imported by the US, is these
decision taking by the European union so fundamental to reach the health action of
human beings in Europe?

【PPT】

【字幕讲解】
This is the process for verifying the necessity of the measure.
【初步确定必要性→是否存在贸易限制更小能够实现目标的替代措施】
Whether these 3 criteria are met without any problem. the requirements of the next
step, it is whether these 3 criteria are not a fully met. So maybe one of the 3 criteria is
not met currently, we pass the towards the cycle about the this action concerning the
output if adopt alternative measures.
【受限制措施影响的控诉国可以证明有其他替代方案】
Maybe you could find another solution, another opportunity that for avoiding the
trade. There is a comparison of the alternative measures proposed by who they
complainant party. So the party affected by the measure addresses other potential
solutions in order to make clear that they think measures actually could to find other
kind of alternative.
【由被诉国证明不存在其他替代措施】
In this dialogue between the complainant country and the respondent country, maybe
it appears that no other kind of solutions could be found. In this case, again, the
requirement of this necessity has been met because no other opportunities were found.
Here the respondent country, they come to which has a set they measure must be good
incentive into demonstrating why other measures were not present.
【在控诉国指出还有其他替代措施后，这种情况下，由被诉国证明替代方案符
合必要性标准。】
In case instead, the complainant country demonstrate that alternative where present
the necessity criteria falls. Because it has been demonstrated that other kind of
measures to be adopted.

【PPT】
【表格例举的案例，展示限制措施的每一步要求是否被满足，以及最后是否能
够被合理化】

【案例：美国采取了一些限制赌博服务的措施并以公共道德为由合理化其限制
措 施 】 The US had adopted some measures limiting gambling service. The US the
justified this limitation on the basis of “the protection of public morals” -- Article 20
B of the GATTS. It was by problematic who demonstrate the prohibition of cross
border gambling could be included the in the definition of public morals.

【第一步：违反了第十六条关于跨境服务的条款】
First of all, article 16 which allows the cross-boarding of service has been violated.
【第二步：关于是否满足 policy objective, necessity, chapeau】
The first one the importance of the policy objective are these measures actually
intended to reach the policy objective itself.
【关于本案是否满足必要性条件,专家组与上诉机构的结论不同】
The interesting point of this case is that the first judgment of the panel, which is that
the lower court was against the necessity of the measure while the appellate body was
said that it falls under the necessity. This shows that The decision of the necessity of
measure is not evident. It is something which not so clear to be that to be assess. And
these problems there have been confirmed also in other case like the US gasoline,
where actually it was said that necessity does not fall under. Actually since the
necessity was not proven by the US, the measure will not consistent with the WTO
goals.
After necessity issues we have verify whether the chapeau issues are met. Whether
fall under or not the chapeau, if yes,it is not consistent.
【 提 到 了 US-Gasoline 案 件 不 满 足 chapeau 的 要 求 ， 属 于 discriminatory and
intended actually to restrict trade】
【PPT 第三个例外：优惠待遇】
 Preferential treatment (art. XXIV)
3. The provisions of this Agreement shall not be construed to prevent:
(a)Advantages accorded by any contracting party to adjacent countries in
order to facilitate frontier traffic;
(b)Advantages accorded to the trade with the Free Territory of Trieste4 by countries
contiguous to that territory, provided that such advantages are not in conflict with the
Treaties of Peace arising out of the Second World War.
 Preferential treatments among the members of specific regional areas without
requiring to extend the main benefits to the other WTO members.
 Ex. European Union, NAFTA5, ASEAN, Mercosur…
-优惠待遇(第二十四条)
3. 本协定的规定不应解释为阻止
(a) 任何缔约方为便利边境交通而给予邻近国家的优惠；
(b) 毗连的里雅斯特自由领土的国家给予该领土的贸易的好处，只要这种好处不
与第二次世界大战产生的和平条约相冲突。
特定区域成员之间的优惠待遇，而不要求将主要利益扩大到其他世贸组织成员。
例如。欧盟、北美自由贸易区、东盟、南方共同市场...
【字幕讲解】
（WTO 规则确定了国际贸易的基本框架、原则，但也接受各国订立特殊协议以
减少贸易障碍）
WTO represents the general framework which establishes that they mean that
objective, the international trade that should pursue it says the what the principles
4
自由的里雅斯特领土，前地区，伊斯特拉西部，南欧，周围和包括的里雅斯特市。它于 1945 年被南斯拉
夫占领。联合国于 1947 年将其确立为自由领土。（该条规定已经意义不大）
5
The North American Free Trade Agreement (NAFTA) was implemented to promote trade between the U.S.,
Canada, and Mexico. The agreement, which eliminated most tariffs on trade between the three countries, went
into effect on Jan. 1, 1994. Numerous tariffs—particularly those related to agricultural products, textiles, and
automobiles—were gradually phased out between Jan. 1, 1994, and Jan. 1, 2008.
General rules should be obeyed on.
But at the same time, the WTO accept the fact that the state of the WTO decide of
concluding the special agreements among themselves or actually improving the trade
at the national level. We have international agreements on trade among state which are
intended need to reduce the barriers to trade.
（在属于同一集团的国家之间达成。例如，发展中国家决定缔结国际协议，以
降低关税。）
These agreements: first, intended between the countries belonging to the same group.
For example, developing countries decides to conclude in international agreement in
order to reduce the tariffs. At the same time, the WTO allows the constitution of
regional reality integration also from an economic and trading.
（第 24 条 a 款，给予邻近国家的优惠待遇）
Article 24(a) Advantages accorded by any contracting party to adjacent countries in
order to facilitate frontier traffic. [So in this case, we are talking about the opportunity
for closer state to conclude the agreements to help trade in goods at the frontier
levels.]
举 例 ： You know that these are organizations of regional integration of different
levels because the European union in not just economic European international
organization, but it is also a political union. But NAFTA is merely integration within
the economic dimension.

【PPT 优惠待遇一：Custom Union】

 Art. XXIV, 8(a) GATT
A customs union shall be understood to mean the substitution of a single customs
territory for two or more customs territories, so that
(i) duties and other restrictive regulations of commerce are eliminated with
respect to substantially all the trade between the constituent territories of the union or
at least with respect to substantially all the trade in products originating in such
territories, and,
(ii) subject to the provisions of paragraph 9, substantially the same duties and other
regulations of commerce are applied by each of the members of the union to the trade
of territories not included in the union;
 Example:
European Union and Turkey
【字幕讲解】6
When we are before a custom union duties on regulations of commerce are
eliminated. We have the same duties and other regulations extend to the territories that
not include you.
For example, we have a customs union between the European union and Turkey. You
know that Turkey is not a part of EU, but we have a custom union.
【关税联盟成员之间取消关税，对外建立统一关税】
In general terms like the product moving among the members of the customs union
6
关税同盟是指两个或两个以上国家缔结协定,建立统一的关境，在统一关境内缔约国相互间减让或取消关
税，对从关境以外的国家或地区的商品进口则实行共同的关税税率和外贸政策。关税同盟的主要特征是：
成员国相互之间不仅取消了贸易壁垒，实行自由贸易，还建立了共同对外关税。
are free to pay to without the duties import, but they have a common external tariff for
the products are coming from third countries.
【WTO 只是提供了可以建立关税同盟的一般规定，具体要看所签订关税同盟协
议的内容、条件】
At the same time is then after to the single agreement establishing the union up which
specifies them on what are the condition in the case of European union and Turkey,
for example agricultural product coming from Turkey are subjected to less duties, but
they are not exempted from custom duties. So it depends actually upon the then that
the single agreements concluded by states.

【PPT 优惠待遇二：Free Trade Area】

 Art. XXIV, 8 (b) GATT
“A free-trade area shall be understood to mean a group of two or more customs
territories in which the duties and other restrictive regulations of commerce are
eliminated on substantially all the trade between the constituent territories in products
originating in such territories.”【自由贸易区应被理解为由两个或更多的关税区组
成的集团，在该集团中，各组成地区之间对原产于这些地区的产品的所有贸易
都取消了关税和其他限制性商业条例】
 Examples:
NAFTA, EFTA, ASEAN FTA (more examples here)
【字幕讲解】
WTO objectives are promoted and also reached thanks to the conclusion of these
specific agreements. The free trade areas are subjected to the conclusion of
international agreement.

【PPT】
 Case:
State A and State B have an FTA – tariff applied 0%
State B and State C have an FTA – tariff applied 2%
State A and State C do not have an FTA, so they follow the WTO rules in terms of
tariffs (5%).
 Question:
Can a good which enters in State B from State C gain access to the market of State A?
NO.
【字幕讲解】
【本案是多个国家间互相订立自由贸易协定，而与没有订立自由贸易协定的国
家间适用 WTO 关税规则。】
In this case, state A and state B, which have a FTA, clearly according to the WTO in
theory should be to eliminate but in practice it is difficult to have always that
complete elimination.（实践中的自由贸易协定很少有完全消除关税的情况）
And in another situation, State B and C which have another free trade agreement
where applies 2% tariffs. State A and C do not have FTA and they apply the rules set
by the WTO which is 5%.
Question: 从 C 国进入 B 国的商品能否进入 A 国的市场而不被征收任何关税？
Answer: NO. 因为 B 国知道商品是从 C 国流入的而不是本国的。
【欧盟与中国没有签订综合性的自由贸易协定，只有针对特定产品签订的双边
协定，所以 WTO 的关税规则在二者间适用。】The European union do not have
FTA with China but have a bilateral agreements with regard to specific products, but
not a comprehensive which regards all the products. So, the tariffs rule of the WTO
apply. Remember that whether we don't have a free trade area, we are under the WTO
system.
【WTO 确定了多层级的关税规则，也确定了 red line。但各国可以签订 FTA，
关税联盟协议以降低、消除关税。】
The WTO rules the set multiple level duty to be applied but the state cannot go above
this red line because the WTO objective is to protect international traded in the
objective of liberalization. But it is possible for state to go below this red line set by
concluding FTA agreement.

【PPT: The EU case】

 Like the GATT (and later the WTO), the EU was itself originally designed to
remove customs barriers and promote trade between its Member States.
 The EU single market was partly inspired by GATT principles and practices. The
Union has always been among the main promoters of effective international trade
based on the rule of law.
 Such a system helps ensure that its businesses enjoy fair market access abroad,
and thus supports economic growth, both domestically and in third countries,
particularly less developed ones.

【PPT: The EU case】

 The EU’s common commercial policy is one of the areas in which the Union as
such has full and exclusive competency.
 In other words, the EU operates as a single actor at the WTO and is represented
by the Commission rather than by the Member States. The Commission
negotiates trade agreements and defends the EU’s interests before the WTO
Dispute Settlement Body on behalf of all 27 Member States.
 The Commission regularly consults and reports to the Council and Parliament on
the content and strategy for the multilateral discussions. Under the Lisbon Treaty,
the Council and Parliament are co-legislators with an equal say on international
trade matters.
【字幕讲解】
Treaty of the European Union Article 21, said the EU want to promote international
trade according to their principles and their practice with WTO.
The European union has an exclusive competence in the field of trade. The European
commission has as the full power in external action and conclude this free trade
agreements. And the European parliament and the council have a very prominent
power in verify monitoring implementation of these agreements.
 Lecture 5

4.26 第 1-2 节
将主要讨论国际层面上有关知识产权和“服务”的概念，例如实体服务与
数字服务之间的区别。

【PPT】
GATT （关贸总协定）
·1. Main goal
- To “help trade flow as freely as possible” in goods.
- The Goods Council, a group comprised of representatives from all signatory
countries, is further comprised of 10 sub-groups dealing with specific subjects, such
as agriculture and antidumping measures.
1.主要目标
-在商品中“尽可能自由地帮助贸易流动”。
-货物理事会是一个由来自所有签署国的代表组成的小组，还由 10 个小组
组成，涉及农业和反倾销措施等具体问题。

【教授原话（因为内容较多所以此部分是根据重点内容进行摘录）】
It comes from 1947 and which has represented the first agreement dealing with
trade at an international level. （它始于 1947 年，是第一个处理国际一级贸易的协
定。）
try to limit the discretion of the states in imposing restrictions in the trade of
goods.（试图限制各州在限制货物贸易方面的自由裁量权。）

【补充及小结】
GATT 有两个含义：一是指一个国际协议，其中包含了从事国际贸易所应
遵守的规则；一是指后来建立的用以支持该协议的国际组织。该协议的文本可
以比作法律，而该组织就像将议会和法庭合二为一的机构一样。
GATT 作为国际组织已不存在，取而代之的是 WTO。但 GATT 作为协议仍然存
在，但已不再是国际贸易的主要规则，而且已被更新。
经过修改，GATT 已成为新的 WTO 协议的一部分。更新后的 GATT 与《服
务贸易总协定》（GATS）和《与贸易有关的知识产权协议》（TRIPS）并列，
WTO 使三者并入一个单一的组织，形成一套单一的规则，并使用单一的争端解
决机制。
GATT 与 WTO 的主要区别是：
（1）GATT 是临时性的。GATT 从未得到成员国立法机构的批准，其中也没有
建立组织条款。WTO 及其协议是永久性的。作为一个国际组织，WTO 具有良
好的法律基础，因其成员已经批准 WTO 协议，而且协议本身规定了 WTO 如何
运作。
（2）WTO 拥有“成员”，GATT 拥有“缔约国”，这就说明了这样一个事实 ，
即从正式角度讲 GATT 只是一个法律文本。
（3）GATT 处理货物贸易，WTO 还涉及服务贸易和知识产权。
（4）WTO 争端解决机制与原 GATT 体制相比，速度更快、更主动，做出的裁
决不会受到阻挠

【PPT】
GATS （贸易服务总协定）
·Food for thought:
·1. In your opinion, why was the GATS necessary?
·2. How does the purpose of the GATS fit with your national development
objectives?
开胃小菜：
1.在你看来，为什么国民关贸总协定是必要的？
2.关贸总协定的目的如何符合你的国家发展目标？

【教授原话】
Is the general agreement on trading services（是关于交易服务的通用协议）
The trade of services were different from some trade agreements（服务贸易不
同于其他一些贸易协定）
On the commercial not the administrative service（关于商业的，而不是行政
服务）
Why services so important? Because I think it's related to the global production
and employment（为什么服务如此重要？因为这与全球的生产和就业有关）
It is one of the most nowadays important sectors of intervention in the economic
sphere（是当今经济领域中最重要的干预部门之一）
举例：中国朋友请你在德国为他进行法律辩护，但不同国家之间关于提供
服务的规定与限制有所不同。虽然这会存在一些（语言、资格等）困难，但是
it is not something which is out of the world. But not from using the outside reward. It
could happen in a framework, in international community under development, under
an increasing interaction among states and the mobility of individuals, it is also
essential to regulate the provision of services（它不是世界外的东西。但并不是来
自于使用外部的奖励。它可以在一个框架内发生，在正在发展中的国际社会，
在国家之间日益增加的互动和个人的流动下，提供服务也必须规范服务的提
供），所以对服务跨国提供进行规范是必要的。

【补充及小结】
GATS 是 General Agreement on Trade in Services 的简称，是为服务贸易总协
定。GATS(服务贸易总协定)作为 WTO 协定不可分割的一部分，其对服务贸易
的定义已被各国普遍接受。
GATS 是 1982 年美国在 GATT 部长级会议上提出进行多边服务贸易谈判的
建议，1986 年的“乌拉圭回合”谈判将服务贸易纳入谈判议题。直到 1993 年
12 月“乌拉圭回合”谈判结束时，《服务贸易总协定》达成，于 1995 年正式生
效。
GATS 的重要性主要在于，其为一系列长期困扰诸国的问题提供了一个
general 的标准，例如“水”是否可以被视为货物？提供服务的位置应当以什么
方式进行预测和确定？国际范围内的临时服务可以被预期为免费提供吗？
当今世界，跨国服务已经不仅仅存在于公司之间，个人服务者已经成为一
个不容忽视的主体。

【PPT】
·1. What is the main purpose of the GATS?
- Creating a credible and reliable system of international trade rules; ensuring fair
and equitable treatment of all participants (principle of non-discrimination);
stimulating economic activity through guaranteed policy bindings; and promoting
trade and development through progressive liberalization.
- NB. While services currently account for over two-thirds of global production
and employment, they represent no more than 25 per cent of total trade.
- However, they also serve as crucial inputs into the production of goods and,
consequently, when assessed in value-added terms, services account for about 50 per
cent of world trade.
1.关贸总协定的主要目的是什么？
-建立一个可信和可靠的国际贸易规则制度；确保所有参与者得到公平和公
平的待遇（不歧视原则）；通过有保障的政策约束刺激经济活动；通过逐步自
由化促进贸易和发展。
- NB.虽然服务目前占全球生产和就业的三分之二以上，但它们不超过贸易
总额的 25%。
-但是，它们也是商品生产的关键投入，因此，如果按增值条件计算，服务
约占世界贸易的 50%。

【教授原话】
Services actually represent over 2/3 of the global production and employment.
2/3 is a very big amount, but they do not represent more than 25% of the total trade.
（服务实际上占全球生产和就业人数的 2/3 以上。2/3 是一个非常大的数额，但
跨国服务并不超过总贸易的 25%。）
但是上文说的服务既包括国内服务也包括跨国服务，所以跨国服务的比重
is lower than 25%. Why exactly? Because whether services represent very huge
amount of economic production at the internal level, the opportunities to trade and
provide services in other states of the international community are not the same.
Because there are limitations in the provision of services in other countries.（…低于
25%。究竟为什么？因为服务是否在内部层面代表着巨大的经济生产，在国际
社会其他国家的贸易和提供服务的机会是不一样的。因为在其他国家提供服务
有限制。）
The idea behind the GATS is to create a credible and the available system of
international trade with regard to services. （ 此 处 读 了 PPT 原 话 ： Creating a
credible and reliable system of international trade rules; ensuring fair and equitable
treatment of all participants (principle of non-discrimination); stimulating economic
activity through guaranteed policy bindings; and promoting trade and development
through progressive liberalization.）（关贸总协定背后的想法是建立一个可信的、
可用的服务国际贸易体系。建立一个可信和可靠的国际贸易规则体系；确保所
有参与者得到公平和公平的待遇（不歧视原则）；通过有保障的政策约束刺激
经济活动；通过逐步自由化促进贸易和发展。）
There are services clearly which have an output in terms of products. Product
services, which have enough. For example, again, digital services, which are not
limited to the provision of service, but which at the end create also an output, the
product, the digital product, okay?（教授举例微信，此时不仅是一种跨国数字服
务 ， 同 时 也 形 成 了 一 种 数 字 产 品 的 输 出 ） So you see that the sometimes the
services are not just independent. From an economic point of view, that can be also
related to the final production of a good.

【补充及小结】
GATS 的目的在于建立一个可信和可靠的国际贸易规则制度；确保所有参
与者得到公平和公平的待遇（不歧视原则）；通过有保障的政策约束刺激经济
活动；通过逐步自由化促进贸易和发展。
虽然服务目前占全球生产和就业的三分之二以上，但跨国服务不超过贸易
总额的 25%。但是，它们也是商品生产的关键投入，因此，按价值计算，服务
约占世界贸易的 50%。

【PPT】
·2. What services are covered?
- The GATS applies in principle to all service sectors, with two exceptions.
- a) Article I (3) of the GATS excludes “services supplied in the exercise of
governmental authority”. These are services that are supplied neither on a commercial
basis nor in competition with other suppliers. Cases in point are social security
schemes and any other public service, such as health or education, that is provided at
non-market conditions.
- Typical examples may include police, fire protection, monetary policy
operations, mandatory social security, and tax and customs administration.
- b) The Annex on Air Transport Services exempts from coverage measures
affecting air traffic rights and services directly related to the exercise of such rights.
2.包括什么服务？
-关贸总协定原则上适用于所有服务部门，但有两个例外。
- a)《服贸总协定》第 1(3)条不包括“行使政府权力所提供的服务”。这些
服务既不是以商业为基础提供的，也不是与其他供应商竞争提供的。适当的例
子是社会保障计划和在非市场条件下提供的任何其他公共服务，如保健或教育。
-典型的例子可能包括警察、消防、货币政策运作、强制性社会保障，以及
税收和海关管理。
- b)关于航空运输服务的附件免除了影响航空交通权利和与行使这些权利直
接相关的服务的覆盖措施。

【教授原话】
It is not international standing by either division or community for the purposes
of protecting the 1/4. It is not the production of something, but is the provision of a
specific activity for the purposes of protecting the public order. But from border has
protected by we start. But public the border has protected by police, so social security,
sorry, security services are regulated by the government in general.（警察提供的社
会安全保障服务并不受 GATS 的规制，因为这些服务既不是以商业为基础提供
的，也不是与其他供应商竞争提供的，而是视为保护公共秩序才提供的特定活
动）
And in this case, it is not actually possible to think about the opportunity that
foreign individuals are included in a theoretical way within the national police for
exam. So it is a limitation actually because it is not for due that it is not for granted
that all the citizens are loyal with their own country. But the citizenship itself
represent a strict link from a legal point of view, but also from a sensitive point of
view between the individual and the state. This could not be the case for a foreign
individual who is not the citizen of that country, because this clearly is the main
requirement, is not citizen of the country and therefore cannot actually guaranteed
loyalty, whether we are talking about sensitive and national security reasons（同时外
国人也很难进入另一个国家的警察系统之中，所以这实际上是一种限制，所有
的公民都忠于自己的国家。但从法律的角度来看，公民身份本身代表着一种严
格的联系，但也从个人和国家之间敏感的角度出发。不是该国公民，就不能真
正保证忠诚，无论谈论的是敏感还是国家安全的话题）
The WTO establishes as always a regular. A red liner, okay, so it is possible for
you according to the WTO, to put a limitation with regard to public services in
general, so hand educational security and on but then you can do what you want.
（WTO 为国际社会设立了一条红线，对跨国公共服务进行限制，如社会安全与
教育等方面）
So the states can limit the opportunity for 3rd country nationals to provide
services in the field of a health, of education and security, police or other kind of
issues that we have already mentioned.（因此，各州可以限制第三国国民在卫生、
教育和安全、警察或我们已经提到的其他问题等领域提供服务的机会。）
为什么需要对 education 进行限制？一方面，因为教育更多的要依靠本国社
会文化背景，在这一点上外国人处于天然的劣势地位，另一方面，education is
not properly something that can be traded。同时，the acquiring the of knowledge, so
the construction of the people，即教育的目的在于通过获取知识来进行人的“建
设”，而非促进经济发展，不具有直接的经济效益。即便存在个人为了获得经
济利益而提供跨国教育服务的情形，但这种情况过于间接，所以总的来说教育
并 不 是 什 么 可 以 用 来 交 易 的 东 西 。 （ Even if there are individuals providing
transnational education services for financial gain, this situation is so indirect that, in
general, education is not something that can be traded for.）
And then this is another interesting one. Check but there is a here, yes, a national
public interest to be protected. The fact. During the covid pandemic, it was quite
evident, for example. And health is something which is related to public security as
well, more or less, because health is something which can be quite easily linked to the
subsidy also to protect the society, the individuals, those belonging to the set. So fast
with the site people. Good luck.（这是另一个有趣的问题。例如，在新冠状病毒
大流行期间，健康或多或少也与公共安全有关，因为健康很容易与补贴联系在
一起，也可以保护社会、个人和那些属于这个群体的人。）
Why are we, for example, like, where you, without being and you have
contractors. While in Italy, for example, is pretty like in China because we have this
double system, the public system where you go freely and also, for example, to take
surgery and without paying nothing. You have some taxes at the end when you have
to pay taxes in general to the state, but with a little amount, there is not an obligation
to have an insurance and that you have also the access private to private l system.（保
险：在意大利，和中国很像，因为我们有双重系统，公共系统，你可以自由地
去做手术，不付任何费用。但你必须向国家交税时，但只有一点点，这时就没
有义务去买保险，你也有私人的私人系统。同时，在欧洲大陆上不同国家之间
还存在着不同的健康医疗保险体系，如德国和意大利）
Here you find yes typical examples of so called governmental services that
cannot be considered within. They got some that are police, fire Protection, monetary
policy operation as well. Mandatory social security, tax and customs administration as
well.（政府服务的典型例子：警察、消防、货币政策以及强制性的社会保障、
税收和海关管理等。这些不能被 GATS 纳入考虑）
This second exception with regard to the opportunity to free providing services
within the WTO, either air traffic rights and services. Legal system which is regulated
by another international convention because clearly air traffic rights and services are
quite sensitive.（航空交通和服务则是第二种例外→第一个例外是公共服务。有
关航空的法律制度是由另一项国际公约规定的，因为显然空中交通权利和服务
相当敏感。）
为了证明航空领域的敏感性，教授举例恐怖主义时期美国与欧洲对于航空
乘客个人信息的不同态度：For example, we had a lot of disputes with the United
States in the period of terrorism because the us for security user wanted to trace all the
passengers data coming also from you. People who want support. But in Europe, we
have a strict regulation concerning data transfer, personal data transfer, clearly fancy
keep data and so there was a very important clash within the us because we want to
protect our customer's data, flying it towards the us.

【补充及小结】
关贸总协定原则上适用于所有服务部门，但有 两个例外：1.《服贸总协
定》第 1(3)条不包括“行使政府权力所提供的服务”。这些服务既不是以商业
为基础提供的，也不是与其他供应商竞争提供的。例如社会保障计划和在非市
场条件下提供的任何其他公共服务，如保健或教育。典型的例子有警察、消防、
货币政策运作、强制性社会保障，以及税收和海关管理等；2.关于航空运输服
务的附件免除了影响航空交通权利和与行使这些权利直接相关的服务的覆盖措
施。

【PPT】
❑ Business services (including professional services and computer services)
❑ Communication services
❑ Construction and related engineering services
❑ Distribution services
❑ Educational services
❑ Environmental services
❑ Financial services (including insurance and banking)
❑ Health-related and social services
❑ Tourism and travel-related services
❑ Recreational, cultural and sporting services
❑ Transport services
❑ Other services not included elsewhere
❑商务服务（包括专业服务和计算机服务）
❑通信服务
❑建筑及相关工程服务
❑分发服务
❑教育服务
❑环境服务
❑金融服务（包括保险和银行业务）
❑健康相关和社会服务
❑旅游及旅游相关服务
 ❑的娱乐、文化和体育服务
❑传输服务
❑不包括在其他地方的其他服务

【教授原话】
what kind of services are covered within the docks? Like business of services
clearly, which includes professional services and also computer services. Well, we
mean that software, for example, and not only clearly adverts, so not only the product,
but also this digital product in general.（商业服务，其中包括专业服务和计算机服
务。例如，我们的意思是软件，不仅是清晰的广告，还有这个数字产品）
and then we have communication services with the services, everything is
correct. When we have communication services, regular services, the internet and so
on, the construction, on the engineering services, this is quite fair.（通信服务）
So the architect who provides for service in the building of a bridge, for example,
okay, the bridge clearly is the output, but the service is that the activity of engineer or
of the architecture.（建筑及相关工程服务）
Distribution of the distribution services so those services linked to the ways of
distributing goods.（分销服务）
In particular here you have educational services but not intended as we were
saying for clearly you're here in the field of services, which are it to education for
example services linked to publishing books, okay, or other kind of products that can
be lead to education that which are not in the provision appropriately of education.
（教育服务。和上文所说例外中的教育服务不同，此处是指明显处于服务领域
的教育，如出版书籍）
And then you have environment. Then you have environmental services. For
those people are important. So those services which are actually. We need the
Protection of environment working. Related to the Protection of the environment or,
in any case, to issues which can add an impact over the environment.（环境服务，此
时服务是商品本身的生产链）
Then you have a financial services which are included, international services
clearly within the gaps, including insurance and banking. Then you have, again,
health related and social services, but no. Okay, so. Pulling it in this specific topic but
has for education they are intended as a supporting services to help to the health
system.（金融服务，包括保险和银行。健康和社会服务。与上述教育服务类似，
这里的保险服务、健康和社会服务是作为“支持服务”来帮助金融系统和卫生
系统的）
Then you have, this is a very interesting point, tourism and travel related
services. And we will see that, what that will be done, and. This is important because
we will see that the provision of services, well, better the GATS as a scope of
application, which is broader than what you can think about. （旅游及与旅游相关的
服务）
then you have surfaces for recreational, cultural, sporting activities.（娱乐、文
化、体育服务）
Transport services and also other services, which are not actually included in
business. （运输服务和其他）

【补充及小结】
GATS 参照《联合国中心产品分类系统》将服务贸易划分为 12 个部门,并在
此基础上又进一步细分出 160 多个分部门或独立的服务活动。12 个大的服务贸
易部门是:商业服务(包括专门服务和计算机服务)、通讯服务、建筑和相关工程
服务、分销服务、教育服务、环境服务、金融服务(包括银行和保险服务)、兵
促纸与健康相关的服务和社会服务、旅游与旅游相关服务，娱乐、文化和体育
服务、运输服务、其它未包括的服务,但是 GATS 不包括政府为实施职能的服务。
值得注意的是,上述四种提供方式的分类并非基于服务贸易部门的划分 ,事实上,
许多服务贸易部门都可能同时涉及以上几种提供方式。

【PPT】
·3. What modalities of supply are covered?
- Cross-border supply is defined to cover services flows from the territory of one
member into the territory of another member (e.g. banking or architectural services
transmitted via telecommunications or mail);
- Consumption abroad refers to situations where a service consumer (e.g. tourist
or patient) moves into another member's territory to obtain a service;
- Commercial presence implies that a service supplier of one member establishes
a territorial presence, including through ownership or lease of premises, in another
member's territory to provide a service (e.g. domestic subsidiaries of foreign
insurance companies or hotel chains); and
- Presence of natural persons consists of persons of one member entering the
territory of another member to supply a service (e.g. accountants, doctors or teachers).
The Annex on Movement of Natural Persons specifies, however, that members remain
free to operate measures regarding citizenship, residence or access to the employment
market on a permanent basis.
Examples of the four Modes of Supply
·Mode 1: Cross-border
- A user in country A receives services from abroad through its
telecommunications or postal infrastructure. Such supplies may include consultancy
or market research reports, tele-medical advice, distance training, or architectural
drawings.
·Mode 2: Consumption abroad
- Nationals of A have moved abroad as tourists, students, or patients to consume
the respective services.
·Mode 3: Commercial presence
- The service is provided within A by a locally-established affiliate, subsidiary, or
representative office of a foreign-owned and — controlled company (bank, hotel
group, construction company, etc.).
·Mode 4: Movement of natural persons
- A foreign national provides a service within A as an independent supplier (e.g.,
consultant, health worker) or employee of a service supplier (e.g. consultancy firm,
hospital, construction company).
3.包括哪种供应方式？
-跨境供应的定义是涵盖从一个成员的领土进入另一个成员的领土的服务流
动（例如，通过电信或邮件传送的银行或建筑服务）；
-国外消费是指服务消费者（如游客或病人）进入其他成员的区域以获得服
务的情况；
-商业存在意味着一名成员的服务供应商在另一成员的领土内建立领土存在，
包括通过所有权或租赁房屋，以提供服务（例如，外国保险公司或连锁酒店的
国内子公司）；和
-自然人的存在包括一名成员进入另一名成员的领土以提供服务的人（如会
计师、医生或教师）。但是，《关于自然人流动的附件》明确规定，各成员仍
然可以自由地永久采取有关公民身份、居住或进入就业市场的措施。
四种供应模式的例子
模式 1：跨境
-在 A 国的用户通过其电信或邮政基础设施从国外接收服务。此类用品可能
包括咨询或市场研究报告、远程医疗咨询、远程培训或建筑图纸。
模式 2：国外消费
 -A 地区的国民以游客、学生或病人的身份移居国外，享受各自的服务。
模式 3：商业存在
-该服务由当地设立的外资控股公司（银行、酒店集团、建筑公司等）的本
地附属公司、子公司或代表处提供。
模式 4：自然人的活动
-外国人作为独立供应商（如顾问、卫生工作者）或服务供应商（如咨询公
司、医院、建筑公司）的雇员在 A 范围内提供服务。

【补充及小结】
一国的法人或自然人在其境内或进入他国境内提供服务的贸易行为。按照
WTO 于 1994 年签署的《服务贸易总协定》，服务贸易有四种提供方式。
跨境交付(Cross-border supply)：指服务提供者从一成员的境内向另一成员
境内的消费者提供服务。这种服务贸易方式强调服务提供者和消费者在地理上
的界限,跨越国境和边界的只是服务本身,它与一般的货物贸易方式非常相似。如
在美国的律师为在中国的客户提供法律咨询服务。这种形式泪只杠弃仅是服务
本身跨越国界，没有人员，物质的流动。（例如在 A 国的用户通过其电信或邮
政基础设施从国外接收服务。此类用品可能包括咨询或市场研究报告、远程医
疗咨询、远程培训或建筑图纸。）
境外消费(Consumption abroad )：指服务的提供者在一成员境内向来自另一
成员的消费者提供服务,即服务消费者移动到提供者境内糠夜享用服务。如中国
公民到美国旅游或求学。（例如 A 地区的国民以游客、学生或病人的身份移居
国外，享受各自的服务。）
商业存在(Commercial Presence)：指一成员的兆白酷服务提供者在另一成员
境内设立商业机构,为其境内的消费者提供服务,商业机构包括法人和非法人的分
支机构或代表处。商业存在实际上就是一国服务提供者到东道国去设立外商投
资企业,进行就地生产就地销售服务。商业存在可以由东道国人员组成,也可由外
国人参与,但这些外国人应以自然人流动方式提供服务。例如,一成员的银行或保
险公司到另一成员境内开设分行或保险公司,提供金融、保险服务。（例如服务
由当地设立的外资控股公司的本地附属公司、子公司或代表处提供，典型的有
银行、酒店集团、建筑公司等。）
自然人流动(Presence of natural persons)：指一成员的服务提供者以自然人
身份进入另一成员境内提供服务。与商业存在不同的是,它不涉及投资行为,如境
外劳务服务等。（例如外国人作为独立供应商，如顾问、卫生工作者，或服务
供应商，如咨询公司、医院、建筑公司等的雇员在另一国范围内提供服务。）
非歧视原则（principle of nondiscrimination）：是指在 WTO 管辖的领域内，
各成员应公正、公平、平等地一视同仁地对待其他成员的包括货物、服务、服
务提供者或企业、投资、知识产权所有者或持有者等在内的与贸易有关的主体
和客体。在 WTO 中，非歧视原则主要是通过最惠国待遇和国民待遇来实现的。
在非歧视原则下，各成员国秉着互惠原则，对等的进行双边减让谈判，互惠得
到的好处通过最惠国待遇无条件地适用于所有成员，使双边的互惠成为多边互
惠，使一成员对各成员的进口产品均无歧视。国民待遇保障了互惠的好处不受
减损，使进口产品和国内产品同样在一国国内不受歧视。最惠国待遇的目的是
一成员平等地对待其他任何成员，在不同成员之间实施非歧视待遇。国民待遇
的目的是平等对待外国和本国的贸易活动主体和客体，实施非歧视待遇。
非歧视原则要求各成员无论在给予优惠待遇方面，还是按规定实施贸易限
制方面，都应对所有其他成员一视同仁，即“最惠国待遇”。
不应在本国和外国的产品、服务、服务提供者或企业造成歧视，要给予他
们“国民待遇”。

Lecture 6

PPT
Examples of the four Modes of Supply
Mode 1: Cross-border
A user in country A receives services from abroad through its telecommunications or
postal infrastructure. Such supplies may include consultancy or market research
reports, tele-medical advice, distance training, or architectural drawings.
Mode 2: Consumption abroad
Nationals of A have moved abroad as tourists, students, or patients to consume the
respective services.
Mode 3: Commercial presence
The service is provided within A by a locally-established affiliate, subsidiary, or
representative office of a foreign-owned and — controlled company (bank, hotel
group, construction company, etc.).
Mode 4: Movement of natural persons
A foreign national provides a service within A as an independent supplier (e.g.,
consultant, health worker) or employee of a service supplier (e.g. consultancy firm,
hospital, construction company)
四种供应模式的例子
模式 1：跨国界
A 国的一个用户通过其电信或邮政基础设施接受来自国外的服务。这种供应可
能包括咨询或市场研究报告、远程医疗咨询、远程培训或建筑图纸。
模式 2：国外消费
A 国国民作为游客、学生或病人移居国外，消费相应的服务。
模式 3：商业存在
该服务是由外国拥有和控制的公司（银行、酒店集团、建筑公司等）在当地设
立的分支机构、子公司或代表处在 A 国境内提供。
模式 4：自然人的流动
外国公民作为独立的供应商（如顾问、卫生工作者）或服务供应商（如咨询公
司、医院、建筑公司）的雇员在 A 国境内提供服务。
We were talking about the 3rd mode of supply of services. And very briefly I was
saying that actually this situation you have an overlapping between the
provisional services and we could say the establishment, because in this situation,
for example, a bank can decide to open an affiliate, another branch in a state
different from its own state. These can also appear with regards to hotel groups.
Chain hotels for example, it is not just located in a state, but thanks to these rules are
concerning the free provisional services. It is possible for hotel groups also open other
kind of subsidiaries in other states of WTO system. You can also choose to have a
representative of your group in another state. Also, this is important for companies,
not only for bank typically provide for financial services, but also for companies. This
is covered by GATS, because it is a more or less a service. Because at the end hotel,
bank, other kind of companies provide services.
我们在讨论第三种服务供应模式。我简单地说，实际上这种情况下，你有一个
临时服务和企业之间的重叠，因为在这种情况下，例如，一家银行可以决定开
设一个分支机构，在一个与自己国家不同的国家开设另一个分支机构。这些也
可以出现在酒店集团方面。例如，连锁酒店，它不仅仅是位于一个州，但由于
这些规则涉及到免费的临时服务。酒店集团也有可能在 WTO 体系的其他国家
开设其他类型的子公司。你也可以选择在另一个国家设立集团的代表。此外，
这对公司也很重要，不仅是银行通常提供的金融服务，而且也是公司的服务。
这是《服务贸易总协定》所涵盖的，因为它是一种或多或少的服务。因为在最
后，酒店、银行、其他类型的公司都提供服务。
The 4th situation, does not refers to legal persons like bank companies, but to
natural persons providing for services. So in this case we are in the opposite
situation of the 2nd situation where I recall you was the receiver of the services to
move. In this case that we have the classical situation more or less more intuitive, that
is the movement of the provider of services which moves across the border and
exercises it's competencies. He or she is a clearly an independent supplier in this
situation, so is a self employer individual, can be a consultant, can be a lawyer, can be
another kind of professional who moves towards another state for consulting issues,
purposes, other kind of consultation and activities and jobs.
第四种情况，不是指银行公司这样的法人，而是指提供服务的自然人。因此，
在这种情况下，我们处于与第二种情况相反的情况，我记得你是服务的接受者
要移动。在这种情况下，我们有经典的情况，或多或少更直观，那就是服务提
供者的移动，它跨越边界，行使它的能力。在这种情况下，他或她显然是一个
独立的供应商，所以是一个自雇的个人，可以是一个顾问，可以是一个律师，
可以是另一种专业人员，为咨询问题、目的、其他类型的咨询和活动及工作而
移动到另一个国家。
PPT
GATS
4. What are the basic obligations under the GATS?
MFN treatment (art. II): members are held to extend immediately and
unconditionally to services or services suppliers of all other members “treatment no
less favourable than that accorded to like services and services suppliers of any other
country”.
Transparency (art. III): GATS members are required, among other things, to publish
all measures of general application and establish national enquiry points mandated to
respond to other members' information requests. Other generally applicable
obligations include the
establishment of administrative review and appeals procedures and disciplines on the
operation of monopolies and exclusive suppliers
4. 服务贸易总协定》的基本义务是什么？
最惠国待遇（第二条）：成员国必须立即无条件地对所有其他成员国的服务或
服务供应商提供 "不低于给予任何其他国家的类似服务和服务供应商的待遇"。
透明度（第三条）： 服贸总协定》的成员，除其他事项外，必须公布所有普遍
适用的措施，并建立国家调查点，负责回应其他成员的信息要求。其他普遍适
用的义务包括 建立行政审查和上诉程序，对垄断和独家供应商的运作进行约束
So here you have the four different situations wherein GATS applies. What does this
means in concrete terms? That actually these four situations must, take into
consideration to basic obligations, which are actually referred to the states of the
WTO.
因此，这里有四种适用《服务贸易总协定》的不同情况。这具体意味着什么？
实际上，这四种情况必须考虑到基本的义务，这实际上是指世贸组织的国家。
First of all, you have as always the most favor national treatment and also the
national treatment principle, which are set in Article 2 of the GATS. And what is
written here clearly referred to the services. “members are held to extend immediately
and unconditionally to services or services suppliers of all other members “treatment
no less favourable than that accorded to like services and services suppliers of any
other country”.
首先，你有一如既往的最惠国待遇和国民待遇原则，这些都是《服务贸易总协
定》第 2 条中规定的。这里所写的内容明确提到了服务。"成员国应立即无条件
地给予所有其他成员国的服务或服务供应商 "不低于给予任何其他国家的类似
服务和服务供应商的待遇"。
So here you have a reference to the most favor nation principle. But with regard to
services. So again you have some requirements. First of all there must be an equal
treatment among services or services suppliers coming from 3rd countries. So
this means state b cannot treat them in a different way, the services provided from
Stage C and State D. We will see what potential limitations can be, but for example,
as I was seen before concerning the Chinese tourists, state A cannot impose the
limitation on the tourist guide companies, for example, location in State A to supply
tourists services to Chinese individual and not to Russian individuals. Okay. It is a
very bad example, but just to let you know what is implies, what of discrimination
implies.
因此，这里你有一个关于最惠国待遇原则的参考。但在服务方面。所以你又有
一些要求。首先，来自第三国的服务或服务供应商之间必须有一个平等的待遇。
因此，这意味着 B 国不能以不同的方式对待来自 C 阶段和 D 国的服务。我们将
看到潜在的限制是什么，但例如，正如我之前看到的关于中国游客，A 国不能
对导游公司施加限制，例如，位于 A 国的导游公司向中国个人而不是俄罗斯个
人提供旅游服务。这是一个非常糟糕的例子，但只是为了让你知道这意味着什
么，意味着什么歧视。
Moreover, there is not just these condition, but also as we saw with regard to rules,
the fact that this kind of treatment must be extended, if favorable and not
limiting, treatment must be extended to all the countries, so the 4th country B
and country C immediately. Without not lay and unconditional, so no further
condition you can impose upon services coming from State B in comparison to
services coming from State C. Similarly, no further requirements can be added for
providers coming from different states.
此外，不仅有这些条件，而且正如我们在规则方面所看到的，这种待遇必须扩
大，如果有利和不限制，待遇必须扩大到所有国家，所以第四个国家 B 和国家
C 立即。如果没有不设限和无条件，那么你就不能对来自 B 国的服务与来自 C
国的服务进行进一步的条件比较。同样，对来自不同国家的提供者也不能增加
进一步的要求。
At the same time, there is another kind of principle that is always the principle of
national treatment. National treatment is a much more complicated to be clearly,
how can I say, respected, because in this situation is very difficult to not impose some
specific requirements in comparison to the requirements requested to the national
provider services. But we will come back.
同时，还有另一种原则，就是国民待遇原则。国民待遇是一个更复杂的问题，
我怎么说呢，要尊重国民待遇，因为在这种情况下，很难不对国家提供者服务
的要求施加一些具体的要求。但我们会回来的。
The 2nd basic obligation is instead that of transparency. In particular, in Article 3,
this is quite different from what happens in GAT you don't have that kind of
requirement. In particular because you have the requirement on transparency. When
you talk about the trade, I recall you right, the trade records of the state, but it is a
general obligation which clearly is extended also to services. But with regard to
goods, the trading goods, you don't have an obligation of transparency properly.
While with regard to services, you have an obligation of transparency.
第二项基本义务是透明度。特别是在第 3 条，这与 GAT 中的情况完全不同，你
没有这种要求。特别是由于你有关于透明度的要求。当你谈到贸易时，我记得
你说的没错，国家的贸易记录，但这是一个一般的义务，显然也延伸到服务。
但是对于货物，贸易货物，你没有适当的透明度义务。而在服务方面，你有透
明度的义务。
What these implies that GATS members are requires to publish in their website or in
any case to make evident all the measures of general application and establish
national inquiry points to respond to other Members States information requests.
Other generally applicable obligations include the establishment of administrative
review and appeals procedures and disciplines on the operation of monopolies and
exclusive suppliers.
这些意味着《服务贸易总协定》成员需要在其网站上公布或在任何情况下公开
所有普遍适用的措施，并建立国家调查点以回应其他成员国的信息要求。其他
普遍适用的义务包括建立行政审查和上诉程序，以及对垄断和独家供应商的运
作进行约束。
Let's look at the single sentences in a separated way. 1St of all according to Article
3 you have a issue of transparency. The publication on the general who's the
concerning the services that can be provided in the state. What are in any case the
condition because the idea that can be conditions for providing services, for
example, language requirements or other kind of requests of certification about
professional qualification, these are allowed. It is a way for guarantee coherence
also in the provisional services. The point I told you is this kind of measures
cannot have a discriminatory intent. You cannot create a discrimination among
3rd countries. So treat countries in different ways and requiring different level of
certification, for example, or other kind of limitations that creates discrimination. But
it is possible to establish some requirements, some criteria, that the provider of
services or in any case receive services in the country must follow.
让我们分开来看一下这些单句。首先，根据第 3 条，你有一个透明度的问题。
在国家提供的服务方面，一般是由谁来公布。在任何情况下，提供服务的条件
是什么，例如，语言要求或其他类型的专业资格认证要求，这些都是允许的。
这也是保证临时服务的一致性的一种方式。我告诉你的一点是，这种措施不能
有歧视性的意图。你不能在第三国之间制造歧视。因此，以不同的方式对待各
国，要求不同的认证水平，例如，或其他类型的限制，造成歧视。但可以制定
一些要求，一些标准，让服务提供者或在任何情况下接受服务的国家必须遵守。
But the general principle of transparency requires that they are published.
Because if you come from China, you must know what Italy for example requires.
And it is also a way to allow WTO system to monitor what happens in the WTO
member states. Clearly it is essential that the potential limitations are transparent in
order to be in case also contested by the other states. So, public publication of the
general rules.
但是透明度的一般原则要求它们被公布。因为如果你来自中国，你必须知道比
如说意大利的要求。这也是允许 WTO 系统监测 WTO 成员国所发生的事情的一
种方式。显然，潜在的限制必须是透明的，以便其他国家也能提出异议。因此，
公开发表一般规则。
The 2nd obligation with regard of transparency is national enquiry points. That
before complement the publication of this information on the website because it is
possible that not always states that can publish everything on the website or that they
updated very simply. I recall you again, that the leve of development or the single
states of the WTO is different. So also internet connection, the opportunity that there
is a constant update of the information is not for granted. It means that where it is
not possible to have all the information published, you must have in any case
some contact points at the national level that can answer the requests coming
from certain countries. So, this means that if I am a bank or an auto company who
wants to open a subsidiaries in another member state of the WTO. Clearly it must
have all the information necessary to know what is the procedure for opening. This
new bank. But if it's not possible, there must be a contact point at the national level.
关于透明度的第二项义务是国家调查点。这是对在网站上公布这些信息的补充，
因为有可能并不是所有的国家都能在网站上公布所有的信息，或者他们的更新
非常简单。我再次提醒你，世贸组织的发展水平或单一国家是不同的。因此，
互联网的连接，以及不断更新信息的机会，也不是理所当然的。这意味着，在
不可能公布所有信息的地方，你必须在国家层面有一些联络点，可以回答来自
某些国家的请求。因此，这意味着，如果我是一家银行或一家汽车公司，想在
世贸组织的另一个成员国开设子公司。显然，它必须拥有所有必要的信息，以
了解开设的程序是什么。这家新银行。但如果不可能，在国家层面必须有一个
联络点。
So these are the 1st complement, the complementary to manifestation of transparency.
Then you have also in the same article circumstances another reference to actually
appoint monopolies. So monopoly is a company, for example, in the private system
which has the majority of the shares of the market in that specific topic. So this means
that, for example, here. You have the sector of energy, which is one of the most
classical ones. A monopoly is the situation where you have a company which controls,
for example, the 85% of the market and you have the 15%, which is the regulated by,
managed by other companies.
因此，这些是第一种补充，是对透明度表现的补充。然后，在同一条款中，你
还提到了另一个实际任命垄断者的情况。因此，垄断是一个公司，例如，在私
人系统中，在该特定主题的市场上拥有大部分的股份。因此，这意味着，例如，
在这里。你有能源部门，这是最经典的部门之一。垄断的情况是，你有一个公
司控制，例如，85%的市场，你有 15%，这是由其他公司管理的。
Here we are in the energy sector, for example, okay, we're in a system of provisional
services because we're providing the service energy, the product, but the provision of
this service is a service. Problems related to these situation. So a situation where you
have a single company which controls the 85% of the market. What are the problems
linked to this. Monopolies affect competition. Clearly the company as the majority of
the market and for the size everything more or less, because the others, the remaining
15% which maybe is not neither occupied by just one company, but multiple ones do
not have the strength to be competitive in comparison to a broad and a large company.
So you have alteration of competition which I recall you one of the basis of the WTO
as well of these in general vision of an interacting system of trade.
在这里，我们在能源部门，例如，好吧，我们是在一个临时服务系统中，因为
我们提供的是服务能源，产品，但提供的这个服务是一种服务。与这些情况有
关的问题。因此，在这种情况下，你有一个单一的公司，控制了 85%的市场。
与此相关的问题是什么。垄断影响竞争。显然，这家公司作为市场的大多数，
其规模或多或少，因为其他的，剩下的 15%，也许不是由一家公司占据，而是
多家公司，与一家广泛的大公司相比，没有实力去竞争。
因此，你有竞争的改变，我记得你是 WTO 的基础之一，也是贸易互动系统的
一般愿景。
Okay so the problem is the competition both at the internal level, but also the external.
Because if you have this kind of situation, no other energy suppliers from abroad can
enter the market. It would be no sense because there is already a company which
controls more or less the one market in that specific field. A problem both at internal
level because does not allow competition within the state itself, but also at the
external level. Because do not allow the entering of new provider services coming
from abroad. This is the very superficial definition of monopolies.
好了，所以问题是在内部层面的竞争，但也有外部的竞争。因为如果你有这种
情况，没有其他来自国外的能源供应商可以进入市场。这将是没有意义的，因
为已经有一家公司或多或少地控制了这个特定领域的市场。这既是一个内部问
题，因为不允许国家内部的竞争，也是一个外部问题。因为不允许来自国外的
新供应商进入。这是对垄断的非常肤浅的定义。
So actually what WTO system requires in this sentence is that the state do their
best to regulate this kind of situations. So by reducing, for example, the
opportunity to have monopolies within the state itself or in a three case, also
abolished within the European Union, these are not allowed. You cannot have
monopolies within the states, properly said. So clearly, yes, there are some companies
that maybe are bigger than others, it is there, but you must adopt regulations in order
to allow competition, in any case and to reduce the power of just one company.
因此，实际上 WTO 体系在这句话中所要求的是，国家要尽最大努力来规范这
种情况。因此，通过减少，例如，在国家本身内部有垄断的机会，或者在三种
情况下，在欧盟内部也被废除，这些是不允许的。你不能在国家内部有垄断，
正确地说。所以很明显，是的，有一些公司可能比其他公司大，它是存在的，
但你必须采取法规，以便允许竞争，在任何情况下，减少只是一个公司的权力。
This is also what happens with regard to exclusive suppliers of service. That is
another kind of monopoly.
这也是服务的独家供应商的情况。这是另一种垄断。

PPT
4. What restrictions cannot be allowed?

❑ the number of service suppliers

❑ the value of service transactions or assets

❑ the number of operations or quantity of output

❑ the number of natural persons supplying a service

❑ the type of legal entity or joint venture

❑ the participation of foreign capital

4. 哪些限制是不能允许的？

❑ 服务供应商的数量

❑ 服务交易或资产的价值

❑ 业务的数量或产出的数量

❑ 提供服务的自然人的数量

❑ 法律实体或合资企业的类型

❑ 外国资本的参与情况

So by coming to more concrete issues, what can be the potential restrictions that
the states could impose within the notion of movement of services and that are
allowed within the WTO? Because clearly they are intended to restrict the trade of
services. For example. You could have a situation where state A sets a number of
service suppliers in a specific sector.
那么，说到更具体的问题，在服务流动的概念中，各国可以施加哪些潜在的限
制，而这些限制在世贸组织中是允许的？因为它们显然是为了限制服务贸易。
比如说。你可以有这样一种情况：国家 A 在一个特定的部门设定了一些服务供
应商。
For example in the service are concerning the delivery of Amazon We're in provision.
The topic delivery of products. This is a service because these companies are
providing the service to deliver products. You can also think about food delivery. We
in this field. Here we have Amazon, then you have Aliexpress, EHL, Hermes. We
have collected four different deliver services, these are located from a legal point of
view, they are based in different countries in the world, okay, the legal seat is different
and they provide the services in this situation. Well, the 1st major database state could
adopt for restrict the opportunity for these or others delivery subjects. Could be to say
I allow in my country just 2 services of suppliers. This would mean maybe, but the
choice, the casual that these EHL and Hermes cannot provide for services in the city.
Amazon Aliexpress because they're the 1st two can be allowed. Okay, this is clearly a
restriction of the opportunity to supply to deliver some services. It is not allowed.
Then you can have, a situation whether there is not a quota which is referred to
properly those who can provide the service but it is an indirect restriction because you
put a well defined value of the service transactions or asset. For example in my
country can provide the services in terms of delivery services just those companies
which deliver more than 2000 product certificate. Maybe Hermes would be out
because the value of their supplier does not reach this quota. This value. It is a
limitation. The same is for the number of operations.To deliveries before you had the
value amount 5000 value amount. Here the number of deliveries so 200 deliveries per
day. In this state again you would not have Aliexpress and Hermes. It is a limitation in
the provisional services.
例如，在服务是关于交付的亚马逊我们在提供。产品交付的主题。这是一个服
务，因为这些公司提供的服务是交付产品。你也可以考虑食品交付。我们在这
个领域。这里我们有亚马逊，然后你有 Aliexpress，EHL，爱马仕。我们已经收
集了四个不同的交付服务，这些从法律的角度来看，他们位于世界不同的国家，
好吧，法律席位是不同的，他们在这种情况下提供服务。那么，第一大数据库
国家可以通过限制这些或其他交付主体的机会。可以说，我只允许在我的国家
有两个供应商的服务。这可能意味着，但选择，这些 EHL 和 Hermes 不能在城
市提供服务的休闲。亚马逊 Aliexpress 因为他们是前两个可以被允许的。好吧，
这显然是限制了提供一些服务的机会。它是不允许的。然后，你可以有一个情
况，是否有一个配额，这是指适当的那些谁可以提供服务，但它是一个间接的
限制，因为你把服务交易或资产的一个明确的价值。例如，在我的国家，只有
那些交付超过 2000 个产品证书的公司可以提供服务。也许爱马仕会被淘汰，因
为他们的供应商的价值没有达到这个配额。这个价值。这是一个限制。同样的，
对于操作的数量。交付之前，你有价值量 5000 价值量。这里的交货数量所以每
天 200 次交货。在这种状态下，你又不会有 Aliexpress 和 Hermes。这是临时服
务中的一个限制。
Then you can have the limitation potentially in situation where the state adopt
measures, setting a specific limit in terms of number of natural persons
supplying a service. For example. Supplier of the service, and architect is a natural
person is not a company. This state can say, I establish it that I can accept foreign
architects just in terms of 200 architects per year. So it is not possible that either
number of architects to provide the service in stateA. This is a limitation because you
cannot put this kind of amount, this kind of portal. This would be a effective
discrimination against another state. Even worse would be whether you go to this kind
of limitation for architects coming from state B, while not for architects comes from
state C. You would have in this situation a discrimination against the suppliers of
services, but even more a discrimination because state A would apply a different
measure for suppliers coming from different countries.
那么，在国家采取措施，对提供服务的自然人的数量设定具体限制的情况下，
你可以有潜在的限制。比如说。服务的提供者，建筑师是一个自然人，而不是
一个公司。这个国家可以说，我规定我可以接受外国建筑师，只是每年 200 名
建筑师。因此，无论是哪种数量的建筑师，都不可能在 A 国提供服务。这是一
个限制，因为你不能把这样的数量，这样的门户。这将是对另一国的有效歧视。
更糟糕的是，如果你对来自 B 国的建筑师实行这种限制，而对来自 C 国的建筑
师则不实行这种限制，那么在这种情况下，你就会对服务的供应商产生歧视，
但更多的是歧视，因为 A 国会对来自不同国家的供应商实行不同的措施。
Now a very important brackets actually reality, you have some situations which
are discriminatory. Why? Because and we come back to what we say yesterday,
when state conclude a free trade agreement. So state A has to do the agreement
with state C. Maybe in this free trade agreement they do not cover just the trading
goods. But also in services and they have establish that there are no kind of limits in
the supplier services, not maybe in terms of amount, but maybe in terms of
certification required. For example, you could have a situation where state A do not
ask for specific professional requirements to C for their own provider services.
Because in the frequent agreement is written that the parties, the two contracted
parties agree this specific situation, this specific advantage but you can add a situation
where state D you have maybe another agreement, but the requirements are different.
现在一个非常重要的括号实际上是现实，你有一些情况是歧视性的。为什么呢？
因为我们回到我们昨天所说的，当国家缔结一个自由贸易协定。所以 A 国必须
与 C 国达成协议。也许在这个自由贸易协定中，他们并不只包括货物贸易。他
们还规定，在供应商的服务方面没有任何限制，也许不是在数量方面，而是在
所需的认证方面。例如，你可能会遇到这样的情况：A 国不要求 C 国对自己的
供应商服务有具体的专业要求。因为在频繁的协议中写明，双方，合同双方同
意这种特定的情况，这种特定的优势，但你可以增加一种情况，即 D 国也许有
另一个协议，但要求是不同的。
In practice, you have some different situations, because the free trade
agreements at the end allow the opportunity to have a discriminatory situation
because they're negotiated among the parties. This is what happens in concrete
terms. So actually you will have maybe a situation where state A treats state C maybe
better than state D, but this is because they have negotiated free trade agreement, there
is a constant among the parties.
The problem is when, and this is what the WTO spikes against. A situation where you
don't have agreements and the state A unilaterally decides that state C is better than
State B. And adopts discriminatory measures against the state C, whereas state B,
there are some advantages.
在实践中，你有一些不同的情况，因为自由贸易协定在最后允许有机会出现歧
视性的情况，因为它们是在各方之间谈判的。这就是具体发生的情况。因此，
实际上你可能会有这样的情况，A 国对待 C 国可能比 D 国更好，但这是因为他
们已经谈判了自由贸易协定，各方之间有一个常数。
问题是当，这也是 WTO 所反对的。在没有协议的情况下，A 国单方面决定 C
国比 B 国更好，并对 C 国采取歧视性措施，而 B 国则有一些优势。
Let's come back to the examples. Another kind of measure that could be adopted
by the states, but which is not allowed by WTO is a type of the legal entity or the
joint venture, for example, these can related to the companies. The state A would
decide unilaterally, that for example, hotel groups that I can accept branch of this kind
of hotel. Just whether it has already 500 hotels in the world or whether it plans to open
500 hotels in my country. It is a limitation that cannot be really accepted. Or it can
say, I accept these company which and this is the participation of foreign capital as
well. Just whether for financial services in particular, if these subject provides me at
least 1 billion euros. So the potential situations where the provisional services can be
limited are multiple. The states could adopt different and also subtle ways to limit the
provisional services. And as I was saying before, it is much more tricky than for
goods. Because for goods it is quite evident when there is a limitation in access the
market or some kind of internal taxation which creates a situation of discrimination
against foreign products. But with regard to services that could be much more
dedicate requirements and that maybe are not so evident at first and must be
investigated with a validity attention.
让我们再来看看这些例子。另一种可以由国家采取，但不被 WTO 允许的措施
是一种法律实体或合资企业，例如，这些可以与公司有关。国家 A 将单方面决
定，例如，酒店集团，我可以接受这种酒店的分支机构。无论它在世界范围内
已经有 500 家酒店，还是它计划在我的国家开设 500 家酒店。这是一个不能真
正接受的限制。或者它可以说，我接受这些公司，这也是外国资本的参与。特
别是对于金融服务来说，如果这些主体为我提供了至少 10 亿欧元。因此，临时
服务可以被限制的潜在情况是多方面的。各国可以采取不同的也是微妙的方式
来限制临时服务。正如我之前所说的，这比货物要棘手得多。因为对于货物来
说，当市场准入受到限制或某种内部征税造成对外国产品的歧视时，这是很明
显的。但对于服务来说，可能会有更多的专门要求，也许一开始并不那么明显，
必须以有效的注意力进行调查。

PPT
Food for Thought: Imagine that your country intended to schedule the following
services: telecommunications, banking, and rail transport.
I. What could be an example of a market access restriction in these sectors?
II. What could be an example of a national treatment restriction?
Possible reply:
I. Existence of exclusive or monopoly operators. Prescribed forms of legal
incorporation (e.g. joint stock companies). Quantitative restrictions on presence of
natural persons.
II. Restrictions on foreigners’ participation in company boards. Prohibition of foreign
land ownership. Discriminatory minimum capital or minimum reserve requirements.
思考的食物： 假设你的国家打算安排以下服务：电信、银行和铁路运输。
I. 这些部门的市场准入限制的例子可能是什么？
II. 什么可能是国民待遇限制的例子？
可能的回答：
I. 独家或垄断经营者的存在。规定的法定成立形式（如股份有限公司）。对自
然人存在的数量限制。
II. 对外国人参与公司董事会的限制。禁止外国土地所有权。歧视性的最低资本
或最低储备要求。
Imagine that your country intend to schedule the following services,
telecommunications, banking and rail transport. So we're here in a situation where
you can have service that moves from A to B. Okay, 1st question. What could be an
example of market access restriction. What do you imagine what according to what
we assess so far, and what kind of measures the state could adopt in order to limit the
provision of services?
想象一下，你的国家打算安排以下服务，电信、银行和铁路运输。因此，我们
现在的情况是，你可以有从 A 到 B 的服务。什么可能是市场准入限制的一个例
子。根据我们到目前为止的评估，你认为国家可以采取什么样的措施来限制服
务的提供？
[本段为老师和同学讨论，不是十分清晰 ]Telecommunications in China. So my
question is very general. So do you think that is a branch of it is a violation of the
WTO because this kind of limitation. But I don't have an answer actually, because I
have acquired these information right now. So I don't know whether there are some
disputes. There is an overlapping between telecommunications and security reasons.
And so it is managed properly by the government, generally speaking. Okay. Well, or
at least by companies which are supervised by the government okay. It would be
interesting actually to verify whether there were some disputes about this.I don't
know, may, there may be coming from 3rd countries in order to evaluate what were
the reasons behind the justification. So for the communication. Okay. Rail transport,
you said that there is a fundamentally is state company.
[本段为老师和同学讨论，不是十分清晰]中国的电信。所以我的问题是很笼统
的。所以你认为这是一个分支，它是一个违反世贸组织的行为，因为这种限制。
但是我实际上没有答案，因为我现在已经获得了这些信息。所以我不知道是否
有一些争议。电信和安全原因之间有重叠。因此，一般来说，它是由政府妥善
管理的。好的。好的，或者至少是由政府监督的公司来管理的。我不知道，可
能会有来自第三国的争议，以便评估这些理由背后的原因是什么。所以，为了
沟通。好的。铁路运输，你说有一个根本上是国有公司。
So maybe we make also and an investigation on potentially some restrictions which
regarded to, well, telecommunications, maybe more because yes, apart from the
reasons that you mentioned, it would be interesting, as I said to verify whether there
were some limitations. In any case, I would say that just to upgrade our conversation,
it is quite interesting also to see that we're within, we're studying the WTO system.
But actually what is interesting is that reality is very often different from these general
rules that we have, because at the end, the states have their own national interests to
be protected their national culture and also system. It is not easy also to have the same
perspective concerning these are quite also delicate issue.
因此，也许我们也会对潜在的一些限制进行调查，这些限制被认为是，嗯，电
信，也许更多，因为是的，除了你提到的原因，这将是有趣的，正如我所说的，
核实是否有一些限制。在任何情况下，我想说，只是为了提升我们的对话，看
到我们在，我们在研究 WTO 系统，这也是非常有趣的。但实际上有趣的是，
现实往往与我们的这些一般规则不同，因为最终，各国都有自己的国家利益需
要保护，他们的国家文化和制度。在这些相当微妙的问题上，要有相同的观点
也是不容易的。
As ever been in the history of human beings trade has always be part of the
relationship between the states. But at the end, it is interesting to see how it is so
difficult actually to regulate from a substantial point of view. So it is not so evident
either.
So what would be an example of national treatment restrictions because maybe if you
think about the fact that there are some companies coming from what's supervised by
these states and there are some restrictions in the foreign capitals, for example, there
is also a restriction in terms of national treatment. So here you have some examples
but that are quite general.
在人类历史上，贸易一直是国家之间关系的一部分。但在最后，有趣的是，从
实质性的角度来看，它实际上是很难监管的。所以它也不是那么明显的。
那么什么是国民待遇限制的例子，因为也许如果你考虑到有一些公司来自于这
些国家监督的东西，在外国首都有一些限制，例如，在国民待遇方面也有限制。
所以在这里你有一些例子，但这是很普遍的。

PPT
5. Are there some possible derogations?
GATS allows groups of members to enter into economic integration agreements or to
mutually recognize regulatory standards, certificates and the like if certain conditions
are met.
Moreover:
• protect public morals or maintain public order;
• protect human, animal or plant life or health; or
• secure compliance with laws or regulations not inconsistent with the Agreement
including, among other things, measures necessary to prevent deceptive or fraudulent
practices.
5. 是否有一些可能的减损？
服贸总协定》允许成员集团签订经济一体化协议，或在满足某些条件的情况下
相互承认监管标准、证书等。
此外：
- 保护公共道德或维护公共秩序；
- 保护人类、动物或植物的生命或健康；或
- 确保遵守与本协议不相抵触的法律或法规，除其他外，包括防止欺骗性或欺诈
性做法的必要措施。

What can be potentially the measures that state could adopt but that potentially
are not in line with WTO system? What are the possible delegations to the
general obligations of GATS? Clearly we make reference to the necessity to protect
public morals and maintain the public order as we have said. Protecting human and
animal plant life health and that is what we mentioned before with regards to the
covid pandemic. That in any case to be precise was different situation because there
was a situation of pandemic that was defined as such by the world health organization.
And so you had in common definition at an international level about this kind of
emergency. So it was in any case it treated in a different way in comparison to other
situations where the state, in any case, the size on a case by case basis, whether some
issues can represent a serious damage to health. For example, the situation of Covid
was a little bit different. Then clearly you have always the reference to other kind of
regulations, adopted maybe by the states or in any case by the regional dimension
which could be potentially consistent with GATS. When we are talking about
fraudulent practices and other issues which regards in particular financial services.
And what is interesting, for example with regard to the public order, what can be in
your opinion one of the most Important threat to public order coming from other
countries?
国家可以采取哪些潜在的措施，但这些措施有可能不符合 WTO 体系？对《服
务贸易总协定》的一般义务有哪些可能的授权？显然，我们提到了保护公共道
德和维护公共秩序的必要性，正如我们所说。保护人类和动物的生命健康，这
就是我们之前提到的关于大肠杆菌大流行的问题。准确地说，那是一种不同的
情况，因为有一种大流行病的情况，被世界卫生组织定义为如此。所以你在国
际层面上对这种紧急情况有一个共同的定义。因此，在任何情况下，它都是以
不同的方式处理的，与其他情况相比，国家在任何情况下都是根据个案的大小
来决定一些问题是否会对健康造成严重损害。例如，Covid 的情况就有一点不
同。显然，你总是会提到其他类型的法规，这些法规可能由各国或在任何情况
下由区域层面通过，可能与《服务贸易总协定》相一致。当我们谈论欺诈行为
和其他特别涉及金融服务的问题时。有趣的是，例如在公共秩序方面，你认为
来自其他国家的对公共秩序最重要的威胁之一是什么？
What kind of examples can be interesting has a way to explain how public order
could be potentially threat? I mentioned these before when I was talking about
traffic and the data Protection. One of the most troubles of the US in particular.
Which is behind the fact that they want to trace personal data in our trafficking. What
is exactly? Terrorism is an issue of public security. Terrorism apart from internal
terrorism, which is an internal issue, but we in particular in the western
countries is a very important fact, for public security.
什么样的例子可以有趣地解释公共秩序如何受到潜在的威胁？我之前在谈论交
通和数据保护的时候提到过这些。尤其是美国最麻烦的事情之一。这背后是他
们想在我们的交通中追踪个人数据的事实。到底是什么呢？恐怖主义是一个公
共安全的问题。恐怖主义除了是内部的恐怖主义，这是一个内部问题，但是我
们特别是在西方国家是一个非常重要的事实，对于公共安全。
Do you know what are personal sanctions, smart sanctions against the terrorist?
Do you know when you want to stop, for example, or to limit the opportunity for
some individuals to create problems around the world? Okay? Like against the
terrorists, there are some measures that the states can adopt to limit their
capacities to create damages. The 1st example can be the limitation of the
movement of these individuals with this stop of the passports. It is quite evident
effectively. But you have also other kind of instruments that can limit the capacity of a
terrorist to, for example, create bombs, create weapons or to properly live. Bank
accounts are essential to live. Well, for terrorists as well, bank accounts are essential
because they can buy not only for the clearly and daily lives, but also some for
example again that components or for creating weapon. States and these as being set
actually by the United Nations and the UN Security Council. So these states use to
limit financial services against the terrorist. This means in a technical term that
you have a rules when an individual is deemed to be a terrorist, for the United
Nations, the state must decide to freeze the personal assets which are located in
the bank. What is the consequence of for our purposes is that we are limiting the
financial services.
你知道什么是个人制裁，对恐怖分子的聪明制裁吗？你知道什么时候你想阻止，
比如说，或限制一些人在世界各地制造问题的机会吗？好吗？就像对付恐怖分
子一样，国家可以采取一些措施来限制他们制造损害的能力。第一个例子是限
制这些人的行动，停止发放护照。这是很明显的效果。但你也有其他类型的工
具，可以限制恐怖分子的能力，例如，制造炸弹、制造武器或适当的生活。银
行账户对于生活来说是必不可少的。那么，对于恐怖分子来说，银行账户也是
必不可少的，因为他们不仅可以购买明显的日常生活用品，而且还可以购买一
些例如部件或用于制造武器。国家和这些实际上是由联合国和联合国安全理事
会制定的。因此，这些国家用来限制针对恐怖分子的金融服务。这意味着在技
术上，你有一个规则，当一个人被认为是恐怖分子，对联合国来说，国家必须
决定冻结在银行的个人资产。对我们来说，这样做的后果是，我们正在限制金
融服务。
To us, clearly, a specific individual, they're clearly allowed, not because of the
GATS, but because the United Nations. Which are over everything. But in any case,
apart from who decides, the most important issue is that it is an example of public
order threat, which then justifies, for example, the stop of some financial services.
And in this case, you are not stopping financial services in general, so there is not
actually a situation of discrimination or a situation of putting financial trade. Because
just of some individuals. But in any case, it is a situation of limitation in the
provisional financial services. This was just a bracket to enlarge the view.
对我们来说，显然，一个具体的个人，他们显然被允许，不是因为《服务贸易
总协定》，而是因为联合国。这是在一切之上。但无论如何，除了谁来决定，
最重要的问题是，这是一个公共秩序威胁的例子，然后证明，例如，停止一些
金融服务的理由。而在这种情况下，你并没有停止一般的金融服务，所以实际
上不存在歧视的情况，也不存在把金融贸易的情况。因为只是对一些个人。但
无论如何，这是对临时金融服务的一种限制情况。这只是一个括号，以扩大视
野。

PPT
 TRIPS
1. What are intellectual property rights?
(i) Copyright and rights related to copyright: the rights of authors of literary and
artistic works (such as books and other writings, musical compositions, paintings,
sculpture, computer programs and films) are protected by copyright, for a minimum
period of 50 years after the death of the author. Also protected through copyright and
related (sometimes referred to as “neighbouring”) rights are the rights of performers
(e.g. actors, singers and musicians), producers of phonograms (sound recordings) and
broadcasting organizations.
(ii) Industrial property: Protection of distinctive signs, in particular trademarks
(which distinguish the goods or services of one undertaking from those of other
undertakings) and geographical indications; other types of industrial property are
protected primarily to stimulate innovation, design and the creation of technology.
In this category fall inventions (protected by patents), industrial designs and trade
secrets
TRIPS
1. 什么是知识产权？
(i) 版权和与版权有关的权利：文学和艺术作品（如书籍和其他著作、音乐作品 、
绘画、雕塑、计算机程序和电影）作者的权利受版权保护，在作者死后至少
有 50 年的时间。通过版权和相关（有时称为 "邻接"）权利保护的还有表演
者（如演员、歌手和音乐家）、录音制品（声音记录）制作者和广播组织的
权利。
(ii) 工业产权： 保护独特的标志，特别是商标（将一个企业的商品或服务与其
他企业的商品或服务区分开来）和地理标志；保护其他类型的工业产权主要
是为了刺激创新、设计和技术的创造。在这个类别中，有发明（受专利保
护）、工业设计和商业秘密。

This agreement that is essential and is of WTO system. It is concerning intellectual

property.
There is difference between groups which are related.
The 1st the notion of copyright and all the rights linked to copyright. What is a
Copyright? Well, actually copyright is something which allows individuals in
general, but not only. To trade something, some products, of generally speaking,
literally or artistic value. So the idea is that if I write book, I am the author of that
specific book. I have copyright of that. So this also means that you cannot copy my
book and say this is mine because I wrote for the 1st time that book, and so you
cannot to do this, this is valid for books, other writings, musical compositions,
paintings, sculpture, computer programs as well. And films. They are protected for a
minimum period of 50 years after the death of the author. Because it cannot be
thinkable that if I die, my book is not anymore mine. In any case it is protected by
copyrights issues. There are also other kind of situations where copyright applies,
which are quite limited actually. But they are interested because there is sometimes
also an overlapping concerning the provisional services, for example, because there
are some performers like actors, singers, musicians who are actually protected by
copyright. As well as this happen for broadcasting organizations this is actually one of
the reasons why if you want to watch a movie, you should pass through the official
channels. They certificate to some extent of copyright and have been allowed by the
author to spread that specific movie.
这个协议是必不可少的，是世贸组织系统的。它是关于知识产权的。
各组之间存在着差异，它们是相关的。
第一组是版权的概念和与版权有关的所有权利。什么是版权？实际上，版权是
一种允许个人在一般情况下，但不仅仅是个人。交易一些东西，一些产品，一
般说来，字面意思或艺术价值。因此，这个想法是，如果我写了一本书，我就
是这本书的作者。我有这方面的版权。所以这也意味着，你不能复制我的书，
说这是我的，因为我第一次写了这本书，所以你不能这样做，这对书籍、其他
著作、音乐作品、绘画、雕塑、计算机程序都有效。还有电影。它们在作者死
后至少有 50 年的保护期。因为无法想象，如果我死了，我的书就不再属于我了。
在任何情况下，它都受到版权问题的保护。还有其他一些适用于版权的情况，
这些情况实际上是相当有限的。但他们很感兴趣，因为有时也有关于临时服务
的重叠，例如，因为有一些表演者，如演员、歌手、音乐家，实际上是受版权
保护的。对于广播组织来说，这也是为什么如果你想看一部电影，你应该通过
官方渠道的原因之一。他们在一定程度上拥有版权证书，并被作者允许传播该
特定电影。
ChatGPT. What do they do? AI internet artificial intelligence. They're both actually
artificial intelligence programs .They're just examples. Okay, because we have
different programs like these with different functions. These are again examples now,
what is one of the most problematic point concerning this kind of artificial
intelligence. Apart from data protection like Italian, which is crazy issue. What are the
problems concerning copyright. Because you give an input to ChatGPT but at the end
creates the image, the picture, anything by taking up all the information from the
website and collects and so on. So the question is that who has the copyright of this
product? Because actually it is potentially, a product. ChatGPT is an app, is a
software, which has been elaborated by engineers, by a group that is organized.
ChatGPT is not the author of the book, even though you give the inputs to ChatGPT
to write the book. Now the question is if I want to sell this book. Who is the copyright
owner. In this moment it is not a regulated issue. I'm not the owner of the book. Even
I give GPT the inputs. So the owner potentially could be the creator of GPT. Is it fair?
Is it possible actually? Well, they're open questions. It is one of the multiple problems
lead to interpretation intelligence because then there are also issues concerning data
protection and so on. Copyright is something which is quite problematic, quite
challenges. Because we don't know what kind of subjects that can invoke a right of
copyright.
ChatGPT. 他们是做什么的？AI 互联网人工智能。它们实际上都是人工智能程序.
它们只是例子。好的，因为我们有不同的程序，像这样的程序有不同的功能。
现在这些又是例子，关于这种人工智能的最有问题的一点是什么。除了像意大
利的数据保护，这是个疯狂的问题。关于版权的问题是什么。因为你给了
ChatGPT 一个输入，但在最后创造了图像，图片，通过从网站上收集所有的信
息，等等。因此，问题是，谁拥有这个产品的版权？因为实际上，它有可能是
一个产品。ChatGPT 是一个应用程序，是一个软件，它是由工程师和一个有组
织的团体精心设计的。ChatGPT 不是这本书的作者，尽管你给 ChatGPT 写书提
供了投入。现在的问题是，如果我想出售这本书。谁是版权所有者。在这个时
候，这不是一个规范的问题。我不是这本书的所有者。甚至我给 GPT 的投入。
因此，所有者有可能是 GPT 的创造者。这公平吗？它实际上可能吗？嗯，这些
都是开放的问题。这是导致解释智能的多种问题之一，因为还有关于数据保护
等问题。版权是一个相当有问题的东西，相当有挑战。因为我们不知道什么样
的主体可以援引版权的权利。
In any case there is this point concerning copyright. Because we will in any case
arrived where a point where maybe the artificial intelligence will not just be trained
yet but we produce something thanks to these also input.
在任何情况下，都有关于版权的这一点。因为我们将在任何情况下到达一个点，
也许人工智能将不只是被训练，但我们产生的东西，由于这些也输入。
The 2nd point concerning TRIPS is intellectual property with regard to the
industrial dimension because you have a copyright which is related to the
individuals generally but industrial property is something which is related to
trademarks for example and the geographical implications as well, which can be
considered as an example of industrial property and the trademarks are also
related to innovations, the creation of technology and so on. It is also sensitive
because you can have trade secrets for example, with regard to technology is
quite evident. Copyright is a thing, is specific the product that's has been already
produced. It is linked to the individual who has actually produced that specific
topic or that specific product. Industrial property is that something which has a
long term perspective. Something which has a much more sensitive issues to be
protected.
关于《与贸易有关的知识产权协议》的第二点是关于工业方面的知识产权，因
为你有一个版权，它一般与个人有关，但工业产权是与例如商标和地理含义有
关的东西，它可以被认为是工业产权的一个例子，商标也与创新、技术的创造
等有关。它也很敏感，因为你可以有商业秘密，例如，关于技术是很明显的。
版权是一个东西，是具体的已经生产的产品。它与实际生产该特定主题或该特
定产品的个人有关。工业产权是一种具有长期前景的东西。有更多敏感问题需
要保护的东西。

PPT
The areas covered by the TRIPS Agreement

❑ Copyright and related rights

❑ Trademarks, including service marks

❑ Geographical indications

❑ Industrial designs

❑ Patents

❑ Layout-designs (topographies) of integrated circuits

❑ Undisclosed information, including trade secrets

NB. Patents, industrial designs, integrated circuit designs, geographical indications

and trademarks have to be registered in order to receive protection. The registration
includes a description of what is being protected — the invention, design, brandname,
logo, etc — and this description is public information.
Copyright and trade secrets are protected automatically according to specified
conditions. They do not have to be registered, and therefore there is no need to
disclose, for example, how copyrighted computer software is constructed.
TRIPS 协议所涵盖的领域

❑ 版权和相关权利

❑ 商标，包括服务标志

❑ 地理标志

❑ 工业品外观设计

❑ 专利权

❑ 集成电路的布局设计（拓扑） ❑ 集成电路的布局设计（拓扑）。

❑ 未披露的信息，包括商业秘密

NB. 专利、工业品外观设计、集成电路设计、地理标志和商标必须注册，才能
得到保护。注册包括对受保护内容的描述--发明、设计、品牌名称、标志等--该
描述是公共信息。
版权和商业秘密根据特定条件自动受到保护。它们不需要注册，因此没有必要
披露，例如，受版权保护的计算机软件是如何构建的。

The slide underlines what are the areas covered by the agreement more than
copyrights and industrial properties. So we have patents as well, layout designs,
information concerning trade secrets and also service marks and geographical
indications. Therefore you must read in conjunction with the GAT. Because
geographical indication can be all supplied to products, goods, which then are
regulated by the GAT agreement. So they are issues which interact. To be expressed
that patents, industrial designs, geographical indications must be registered in order to
have and to receive protection.
But with regard to copyright and the trade secrets, they are protected
automatically. So this means that if I write a book, my book is already protected by
copyright. I do not to register my book and myself has the owner as the author of that
specific book. Because it's something which happens in an automatic way.
该幻灯片强调了协议所涵盖的领域，而不仅仅是版权和工业产权。因此，我们
也有专利、布局设计、有关商业秘密的信息以及服务商标和地理标志。因此，
你必须结合 GAT 来阅读。因为地理标志可以全部提供给产品、商品，然后由
《反倾销协定》来管理。因此，它们是相互影响的问题。也就是说，专利、工
业品外观设计、地理标志必须进行注册，以便获得保护。
但是，关于版权和商业秘密，它们是自动受到保护的。因此，这意味着如果我
写了一本书，我的书就已经受到了版权保护。我不需要注册我的书，我自己就
可以作为该特定书籍的作者拥有版权。因为这是一种自动发生的事情。

Lecture 7

4.27 第一节
PPT03-16:

2. What is the purpose of the TRIPS?

The Agreement provides ample room for members to strike a balance between the
long-term benefits of incentivizing innovation and the possible short-term costs of
limiting access to creations of the mind.

Sets minimum standards in the international rules governing intellectual property,

including patents on medicines.

Members can reduce short term costs through various mechanisms allowed under
TRIPS provisions, such as exclusions or exceptions to intellectual property rights.

TRIPS 的目的：
为成员国提供了充足的空间，以在激励创新的长期利益和限制获取心智创造的
可能短期成本之间取得平衡。
在管理知识产权的国际规则中设定最低标准，包括药品专利。
成员国可以通过 TRIPS 条款允许的各种机制，例如知识产权的排除或例外，来

降低短期成本。

教授讲解：
（注：因字幕难以逐字逐句听全，故英文有众多缺漏，直接使用中文进行意
译！）
第一个问题：为什么要有这个 TRIPS？因为这涉及到著作权或工业产权等等物品

的国际交易。这在特定领域如新能源、新逻辑架构等特别领域尤其重要。比如，
我们不会接受此类软件的交易，因为它是我开发出来的。主要的事务是我们公
司不允许在未经允许的情况下交易知识产权，但是对贸易的限制并不是我们的
根本目的。我们需要平衡保护版权和市场发展这两者。我们既需要激励创新，
又需要保持行业间的激烈竞争，尤其是新能源问题。所以 TRIPS 不是为了关闭

市场，而是试图找到一个合适的交易规则。
TRIPS 对于一个热门问题可能是至关重要的，比如最近很火的新冠疫苗问题。开

发者很可能会关闭对新冠疫苗技术的交易，因为这是他们的研发成果。但是这
会导致一些非议，因为其他人认为这是一种“good copy”（善意利用），如果是
这样那么开发者就会遭受经济损失。所以你可以看到 TRIPS 对于一些敏感问题

至关重要，应用于平衡贸易、经济利益乃至生命健康等其他重要权利。

PPT03-17:

The TRIPS Agreement sets:

❑ how general provisions and basic principles of the multilateral trading system
apply to international intellectual property
❑ what the minimum standards of protection are for intellectual property rights that
members should provide
❑ which procedures members should provide for the enforcement of those rights in
their own territories
❑ how to settle disputes on intellectual property between members of the WTO
❑ special transitional arrangements for the implementation of TRIPS provisions
TRIPS 协定规定：
❑ 多边贸易的一般规定和适用于国际知识产权系统的基本原则
❑ 成员国应提供的对知识产权的最低保护标准
❑ 成员国应规定哪些程序使主体实现那些在自己领土上的权利
❑ 如何解决 WTO 成员国之间的知识产权纠纷
❑ 实施 TRIPS 的特别过渡安排

教授讲解（主要是念 PPT）：
关于第二点：这意味着有个保护红线，是保护知识产权的最低标准。成员国可
以提供更高标准但不能更低。这是为了创造一个共同的应有的知识产权环境。
关于第三点：各国保护知识产权的程序不同，比如印度购买著作权是不需要登
记的，而购买工业产权则需要登记。（因为注册制度的缺漏）其他有一些国家
的保护力度更弱，在互联网时代表现得尤其明显。

PPT03-18:

Example:
Article 28 of the TRIPS Agreement provides that a patent must give its holder the
right to prevent third parties from making, using, offering for sale, selling and
importing a patented product (or a product produced by a patented process) without
its consent.
例：TRIPS 第 28 条规定，专利持有人应阻止第三方在未经其同意的情况下制造、

使用、出售、销售和进口专利产品（或通过专利方法生产的产品）。

教授讲解：
这是关于最低保护标准的一个例子。侵犯知识产权的情况有很多种，making,
using, offering for sale, selling and importing 只是列举出来的四种最典型、最基本、

最应当被阻止的情况，不能由本条推出未经允许适用知识产权的其他行为是未
被禁止的。

PPT03-19:

Copyright
❑ The TRIPS Agreement ensures that computer programs will be protected as
literary works under the Berne Convention and outlines how databases must be
protected under copyright;
❑ It also expands international copyright rules to cover rental rights. Authors of
computer programs and producers of sound recordings must have the right to
prohibit the commercial rental of their works to the public. A similar exclusive right
applies to films where commercial rental has led to widespread copying, affecting
copyright-owners’ potential earnings from their films; and
❑ It says performers must also have the right to prevent unauthorized recording,
reproduction and broadcast of live performances (bootlegging) for no less than 50
years. Producers of sound recordings must have the right to prevent the
unauthorized reproduction of recordings for a period of 50 years.
关于著作权：
TRIPS 将计算机程序作为伯尔尼公约下的文学作品进行保护，并概述了数据库必

须收到版权保护。
扩大了国际版权规则，以涵盖租赁权。计算机程序的作者和录音制作者有权禁
止将其作品商业出租给公众。类似的排他性权利适用于商业租赁导致广泛复制
而影响版权所有者从其电影中获得的潜在收入的电影。
表演者还必须有权在不少于 50 年的时间内防止未经授权的现场表演（盗版）的
录制、复制和广播。录音制作者必须有权在 50 年内防止未经授权复制录音。

教授讲解：
这是最重要的关于知识产权的保护规定之一。
关于第一点，有两点较为重要：①与传统创作模式（人类智力凝结为一个
tangible 有形物）不同，现代（如微信）输出的都是一堆代码，这同样是很有技
术含量的。②伯尔尼公约不是 WTO 的组成部分，并在 WTO 之前就产生了效力。
这就产生了一个相互影响（cross utilization, cross interaction）。在本条中是伯尔
尼公约影响了 TRIPS（后诞生的无法影响之前诞生的），具体表现为：
关于第二点，对计算机程序的使用授权是参照了录像、电影
（recording、movies）著作权保护模式的，如创作者可以保护其经济利益、消

费者可以买或者租用计算机程序等等。但是核心依然是创作者有权阻止侵权行
为。
关于第三点：教授举了个例子，就是去听音乐会的时候，现场会有提示禁止录
音录像，你也不能把未经授权的录音录像放上 YouTube， 否则会使音乐家遭受

损失。

PPT03-20:

Geographical indications
A name or indication associated with a place is sometimes used to identify
a product (“Champagne”, “Scotch Whiskey”, “Tequila”, "Darjeeling" and
“Roquefort” cheese)

Using the indication when the product was made elsewhere or when it does
not have the usual characteristics can mislead consumers, and can lead to
unfair competition.

NB. For wines and spirits, the TRIPS Agreement provides higher levels of
protection, i.e. even where there is no danger of the public being misled.
The TRIPS Agreement provides for further negotiations in the WTO to
establish a multilateral system of notification and registration of
geographical indications for wines, which was subsequently extended to
include spirits.

地理标志
与一个地方相关的名称或标志有时被用来识别一种产品（“香槟”、“苏格兰
威士忌”、“龙舌兰”、“大吉岭”和“罗克福”奶酪）。
当产品在其他地方生产或不具有通常特征时使用指示可能会误导消费者，并可
能导致不公平竞争。
注：。对于葡萄酒和烈酒，TRIPS 提供了更高级别的保护，即使在没有公众被误
导的危险的情况下。TRIPS 要求在世贸组织进一步谈判，建立葡萄酒地理标志通

知和登记的多边制度，该制度后来扩大到包括烈酒。

教授讲解：
地理标志导致了很多争议。地理标志作为一种商标（ trademark），使某种产品

独一无二，特别是当这个产品的名字直接就是地理标志的时候。香槟、苏格兰
威士忌等等是典型例子。这些商标应用于国际贸易的时候能够取得商业优势，
于是就有了冒充的可能，比如英德的消费者可能在广告的误导下误以为一个商
品是产自意大利的进而购买。TRIPS 试图解决这个问题。这需要建立地理标志清
单名录和保护机制（creating a documentation and some procedures which actually
can allow the notification and the registration）。

PPT03-21:
Pharmaceutical products
During the WTO’s Uruguay Round of trade negotiations, a number of developing
countries expressed serious concerns about proposed rules for
more extensive patent protection on pharmaceutical products.

NB. The conclusion of the TRIPS is linked to the adoption of the Agreement on
Agricolture and that on Textiles and Clothes. The patent’s owner (pharma company)
has the right to obtain a patent in any WTO MS and to trade it in an exclusive way.
Consequence: high prices.

TRIPS has limited the importation of generic products (voluntary patent)

医药产品
在世贸组织乌拉圭回合贸易谈判期间，一些发展中国家对医药产品的专利保护
提出了担忧。
注：TRIPS 和农业协定、纺织品服装协定有关。
专利所有人（制药公司）有权在任何 WTO 成员国获得专利并独家交易。结果是

高价格。
TRIPS 限制了仿制药进口（自愿专利）。

教授讲解：
在乌拉圭回合谈判中，医药产品是一个非常奇怪（odd）的话题。
发展中国家非常害怕这方面的规定，因为设定一个全球统一的标准和第 28 条那
样的保护规定后（见第 19 张 PPT），发达国家将可以凭借自己的体量优势、科
技树领先地位以及 TRIPS 的防窃取机制取得医药产品的优势地位，而真正面临

严重健康问题的发展中国家却无法自己研发新冠疫苗等药品，只能从发达国家
处高价购买。这是一个严重的问题。
但是发展中国家最终还是以农业协定、纺织品服装协定为交换条件通过了 TRIPS

对医药产品的保护条款，因为发展中国家的优势在于原材料和初级加工，农业
和 轻 工 业 对 发 展 中 国 家 实 在 太 重 要 ， 因 此 这 是 一 个 交 易 （ a sort of
exchange）。TRIPS 对仿制药（generic products）进行了非常严厉的限制，有罚

款等措施。这对于价格更低和依赖于仿制药的发展中国家并不公平，因此：

PPT03-22:
How TRIPS applies to the developing countries?

Allowed extra time to implement the applicable changes to their national laws, in
two tiers of transition according to their level of development.

The transition period for developing countries expired in 2005, but extended to 2013,
and until 1 January 2016 for pharmaceutical patents, with the possibility of further
extension.

TRIPS 如何适用于发展中国家？
允许有额外的时间根据其发展水平在两个过渡阶段实施对其国家法律的适用修
改。
发展中国家的过渡期于 2005 年到期，但延长至 2013 年，药物专利的过渡期延
长至 2016 年 1 月 1 日，并有可能进一步延长。

教授讲解：
注意原本给发展中国家的过渡期是 10 年（1995-2005），后来延长至 2013 年，
接近 20 年，因此对医药产品保护的过渡期也可能延长。

PPT03-23:

Doha Declaration on TRIPS and public health

Adopted by the WTO Ministerial Conference of 2001 in Doha on November 14, 2001.

It reaffirmed flexibility of TRIPS member States in circumventing patent rights for

better access to essential medicines.

Par. 4: “We agree that the TRIPS Agreement does not and should not prevent
Members from taking measures to protect public health. Accordingly, while
reiterating our commitment to the TRIPS Agreement, we affirm that the Agreement
can and should be interpreted and implemented in a manner supportive of WTO
Members’ right to protect public health and, in particular, to promote access to
medicines for all.”

关于 TRIPS 与公共健康的多哈宣言
2001 年 11 月 14 日在多哈举行的 2001 年 WTO 部长级会议通过。
它重申了 TRIPS 成员国在规避专利权以更好地获得基本药物方面的灵活性。
第 4 段：“我们同意，TRIPS 没有也不应该阻止成员国采取措施保护公众健康。
因此，在重申我们对 TRIPS 的承诺的同时，我们申明，该协议的解释和实施可
以而且应该支持 WTO 成员国保护公众健康的权利，特别是促进所有人获得药品

的权利。”

教授讲解：
这是第一份关于医药产品和发展中国家问题的特别宣言。
1994 年 TRIPS 签订生效后，由于发展中国家健康状况和自身实力所导致的客观
困难，TRIPS 关于医药产品的保护面临着一系列挑战。发展中国家无法像发达国

家那样承诺给予医药产品足够的知识产权保护。在多哈回合谈判中知识产权保
护和公共健康的平衡成为讨论话题的重中之重。这份宣言，首先允许以更灵活
的方式解释 TRIPS 关于医药产品的规定，这是直接（direct）使 TRIPS 与公共健
康相平衡的方式；其次宣言第四段明确指出 TRIPS 不应成为阻碍保护公共健康

的障碍。中心意思就是要找到保护经济利益和保护公众健康之间的平衡。如果
一味保护知识产权，那么每个人都是受害人（victim）。这意味着对 TRIPS 进行
解释时不能压过保护生命的国内法。比如：TRIPS 并不能阻止某成员国颁布法律
采取限制国内流动的防疫措施。这是间接（indirect）平衡的方式。

（此处老师在黑板上画图，但是不知图的内容，应该是关于法律渊源位阶效力
的，也听不清同学回答）
同学补充：中国的国际法模式是，国际条约一经全国人大常委会认证，便与其
他主要法律一样具有同层次的法律效力。（本人对国际法不了解不知道是不是
这样……）
PPT03-24:

Par. 6. “We recognize that WTO members with insufficient or no manufacturing

capacities in the pharmaceutical sector could face difficulties in making effective use
of compulsory licensing under the TRIPS Agreement. We instruct the Council for
TRIPS to find an expeditious solution to this problem and to report to the General
Council before the end of 2002.”

The new Article 31bis of the TRIPS Agreement gives full legal effect to this system and
allows low-cost generic medicines to be produced and exported under a compulsory
licence exclusively for the purpose of serving the needs of countries that cannot
manufacture those products themselves.

第 6 段。“我们认识到，制药部门生产能力不足或没有生产能力的 WTO 成员国

在有效利用 TRIPS 规定的强制许可方面可能面临困难。我们指示 TRIPS 理事会迅
速找到解决这一问题的办法，并在 2002 年底前向总理事会提出报告。”
新的 TRIPS 第 31 条之二赋予了这一制度充分的法律效力，并允许在强制性许可

证下生产和出口低成本仿制药，其目的是满足那些自己无法生产这些产品的国
家的需要。

教授讲解：
第 6 段第一句指出了发展中国家在药品生产方面是有困难的。因此第二句明确
要求 TRIPS 委员会找到一个新方案以解决这个问题，这句话并不是一句空话
（decoration）。于是，TRIPS 第 31 条给予了发展中国家花费更少进口仿制药的

权利。仿制药许可证制度既降低了发展中国家进口药品的成本，又使得其医药
产品交易更为顺滑（smoothly）（因为许可证至少是有法可依了，否则更加缺
乏监管）。这不是一个虚文（camouflage）。
然而，这并没有终结对医药产品专利保护这一问题的讨论，并在新冠疫苗中成
为热点。在新冠疫情中包括中国在内有能力研发疫苗的国家都在向世界出口疫
苗。
（老师和同学交流中国疫苗话题）

ANTI-DUMPING, SUBSIDIES, SAFEGUARDS（新话题）

PPT03-26:
❖ actions taken against dumping (selling at an unfairly low price)
❖ subsidies and special “countervailing” duties to offset the subsidies
❖ emergency measures to limit imports temporarily, designed to “safeguard”
domestic industries.

❖ 针对倾销采取的行动（以不公平的低价出售）
❖ 补贴和抵消补贴的特殊“反补贴”税
❖ 临时限制进口的紧急措施，旨在“保护”国内产业。

教授讲解：这是倾销、补贴和反补贴、贸易保护措施的定义。
倾销：以不合理低价大量出售产品。
补贴：国家的帮助是销售者以更低价格在另一国家销售产品的重要因素。
“safeguard”：在特定情况下采取的特定措施，旨在保护国内生产者，有些被允

许有些不被允许。
PPT03-27:

Anti-dumping actions
The WTO agreement allows governments to act against dumping where there is
genuine (“material”) injury to the competing domestic industry.

GATT (Article 6) allows countries to take action against dumping. The Anti-Dumping
Agreement clarifies and expands Article 6, and the two operate together.

反倾销措施
世贸组织的协议允许各国政府在竞争的国内产业受到真正（“实质性”）损害
的情况下采取行动反对倾销。
GATT（第 6 条）允许各国对倾销采取行动。《反倾销协定》对第六条作了明确

和扩展，二者共同运作。

教授讲解：
当一个国家早收到了有证据支持的、具体的实质性伤害（a real supported, a
concrete material injury）时，为保护国内产业，可以采取反倾销行动。因此，

这一伤害的认定是重难点。
（此处教授在黑板上画图）
要证明伤害和倾销行为有真正的联系（link），而不是其他因素造成伤害。各国
对此的认定制度有所差异，比如 EU 规定有 4 种情况可以认定为有联系并采取反

倾销措施。
GATT 第 6 条和反倾销协定的规定是一般（general reference）和具体（specifies
and extends）的关系，两者共同适用。

PPT03-28:

Anti-dumping actions
1. How to calculate a product’s “normal value”?

❖ The price in the exporter’s domestic market; or

❖ The price charged by the exporter in another country;
or
❖ A calculation based on the combination of the exporter’s production costs, other
expenses and normal profit margins.

NB. If for some reason, the domestic price is not available, other methods which may
be used include comparing export prices to the country of the investigating authority
and a third country.

反倾销措施

1.如何计算产品的“正常价值”？
❖ 出口商国内市场的价格；或
❖ 出口商在另一个国家收取的价格；
或
❖ 根据出口商的生产成本、其他费用和正常利润率的组合进行的计算。

注：如果由于某种原因无法获得国内价格，可以使用的其他方法包括将出口价
格与调查机构所在国和第三国进行比较。

教授讲解：
（此处在黑板上有图）
Normal price 不等于 Normal value，无法直接去市场对比得出，只能进行估算。
首先是和出口商的国内市场价格进行对比。这种方式是最简单（easier）、高效
（sufficient）的，然而实践中却不一定能依靠于此，因为你需要对出口商的国
内市场进行外部调查（external evaluation）。
第 二 种 方 法 实 际 上 是 把 这 个 问 题 拆 成 了 两 个 问 题 （ double issues ） ： 倾 销
dumping 和歧视 discrimination。
第三种方法则是综合生产成本、其他费用和正常利润率进行考虑。这种方式是
最有问题的（the most problematic formal calculation），因为你只对这些因素有
非常弱的认识（very decadent knowledge about these element）；同时你还需要

去询问出口商所在国家的政府或第三国政府，因为这些信息往往并不会在国际
市场上公示。

PPT03-???:

When there are no sales of the like product in the ordinary course of trade in the
domestic market of the exporting country or when because of the particular market
situation or the low volume of the sales in the domestic market of the exporting
country, such sales do not permit a proper comparison, the margin of dumping shall
be determined by comparison with a comparable price of the like product when
exported to an appropriate third country, provided that this price is representative or
with the cost of production in the country of origin plus a reasonable amount for
administrative selling, and general costs and for-profits. (ADA, 2.2)

当在出口国国内市场的正常贸易过程中没有同类产品的销售时，或者由于出口
国国内的特定市场状况或销售量低，这种销售不允许进行适当的比较，倾销幅
度应通过与出口到适当第三国的同类产品的可比价格进行比较来确定，条件是
该价格具有代表性，或与原产国的生产成本加上合理的行政销售金额、一般成
本和利润相比较。

教授讲解：
这是另一种比较方法，相似产品比较。很难界定“相似”（like），比如苹果和

香蕉很难说他们相似还是不相似。

PPT03-29:

2. How to establish the injury for the national industry?

❖ A detailed investigation has to be conducted by evaluating all relevant economic

factors that have a bearing on the state of the industry in question.
2.如何确立对国内产业的损害？
❖ 必须通过评估与相关行业状况有关的所有相关经济因素进行详细调查。

教授讲解：
这主要是为了确认没有其他因素造成国内产业损害。

PPT03-30:

Subsidies
1. What kind of subsidies exist?
• Prohibited: subsidies that require recipients to meet certain export targets, or to
use domestic goods instead of imported goods. They are prohibited because they are
specifically designed to distort international trade, and are therefore likely to hurt
other countries’ trade. If the dispute settlement procedure confirms that the subsidy
is prohibited, it must be withdrawn immediately.
• Actionable: in this category the complaining country has to show that the subsidy
has an adverse effect on its interests. The agreement defines three types of damage
they can cause: a) hurt a domestic industry in an importing country; b) hurt rival
exporters from another country when the two compete in third markets; c) hurt
exporters trying to compete in the subsidizing country’s domestic market.

补贴
1.补贴类型
•禁止：要求参与者达到某些出口目标，或使用国内商品代替进口商品的补贴。

它们被禁止，因为它们是专门为扰乱国际贸易而设计的，因此可能会损害其他
国家的贸易。如果争议解决程序确认补贴被禁止，则必须立即撤销。
•可采取行动：在这一类别中，投诉国必须证明补贴对其利益产生了不利影响。
该协议定义了它们可能造成的三种损害：a）损害进口国的国内产业；b） 当两
国在第三市场竞争时，损害了来自另一个国家的竞争对手出口商； c） 损害了

试图在补贴国国内市场竞争的出口商。

教授讲解：
设定目标等补贴类型是绝对禁止的。
可采取行动类型的补贴则更难以定义，因为和倾销一样它需要证明损害后果是
又补贴导致的而不是自身国内产业问题引起的。

PPT03-31:
2. What about subsidies in developing countries?
• Subsidies may play an important role in developing countries and in the
transformation of centrally-planned economies to market economies.
• Least-developed countries and developing countries with less than $1,000 per
capita GNP are exempted from disciplines on prohibited export subsidies.
• Least-developed countries must eliminate import-substitution subsidies (i.e.
subsidies designed to help domestic production and avoid importing) by 2003 — for
other developing countries the deadline was 2000.
• Developing countries also receive preferential treatment if their exports are subject
to countervailing duty investigations.
• For transition economies, prohibited subsidies had to be phased out by 2002.

2.发展中国家的补贴？
•补贴可能在发展中国家和中央计划经济向市场经济的转变中发挥重要作用。
•最不发达国家和人均国民生产总值低于 1000 美元的发展中国家不受禁止出口
补贴的约束。
•最不发达国家必须在 2003 年之前取消进口替代补贴（即旨在帮助国内生产和
避免进口的补贴）——对其他发展中国家来说，截止日期是 2000 年。
•如果发展中国家的出口受到反补贴税调查，它们也会得到优惠待遇。
•对于转型经济体，必须在 2002 年之前逐步取消被禁止的补贴。

教授讲解：
发展中国家更需要补贴以发展经济，因此补贴更常见于发展中国家。
因此，对于发展中国家，WTO 有着特殊待遇。最不发达国家不受出口补贴的约

束且进口补贴约束生效时间延后。发起补贴调查时也会偏向于发展中国家。

Lecture 8

【4.27 第二节】

Topic 1:What the general principles of DSM?

【ppt】

背景信息：
❑ Disputes in the WTO are essentially about broken promises.
A dispute arises when one country adopts a trade policy measure or takes some
action that one or more fellow-WTO members considers to be breaking
the WTO agreements, or to be a failure to live up to obligations.
❑ WTO members have agreed that if they believe fellow-members are
violating trade rules, they will use the multilateral system of settling
disputes instead of taking action unilaterally.
❑ A third group of countries can declare that they have an interest in the
case and enjoy some rights.
❑ That means abiding by the agreed procedures, and respecting judgements.
1. Exclusive jurisdiction
Article 23 of the DSU not only excludes unilateral action, it also precludes
the use of other fora for the resolution of a WTO-related dispute.
2. Compulsory nature
The dispute settlement system is compulsory. All WTO Members are subject
to it, as they have all signed and ratified the WTO Agreement as a single
undertaking, of which the DSU is a part. Therefore, unlike other systems of
international dispute resolution, there is no need for the parties to a dispute
to accept the jurisdiction of the WTO dispute settlement system in a separate
declaration or agreement. This consent to accept the jurisdiction of the WTO
dispute settlement system is already contained in a Member’s accession to
the WTO.

Ps:

1.Although much of the procedure does resemble a court or tribunal, the

preferred solution is for the countries concerned to discuss their problems
and settle the dispute by themselves.

2.The first stage is therefore consultations between the governments

concerned, and even when the case has progressed to other stages,
consultation and mediation are still always possible (art. 3.7).

【教授原话】（已删减）
The dispute settlement mechanism has three different objectives. Firstly, it aims to
settle disputes among member states to verify their compliance with WTO provisions.
Secondly, it has the power to clarify the rights and obligations of member states
through interpretation. Interpretation is an important function of the authoritative
body as it provides a common understanding of specific rules, preventing each
member from applying rules according to their own interpretation and intentions.
Lastly, the third objective of the dispute settlement mechanism is to safeguard the
rights and obligations of WTO member states. This serves as an indirect instrument to
protect the interests of developing countries in particular.
In summary, the dispute settlement mechanism plays a crucial role within the WTO
system. It not only resolves disputes among member states but also ensures fairness
and compliance in trade through the interpretation of rules and the protection of
rights.
（争端解决机制具有三个不同的目标。首先，它旨在解决成员国之间的争端，
以验证各国是否遵守世贸组织的规定。其次，它具有通过解释来澄清成员国的
权利和义务的权力。因为解释是权威机构的重要职责之一，它提供了对特定规
则的共同解释，避免了各成员国根据自己的理解和意图来应用规则的情况。最
后，争端解决机制的第三个目标是保护世贸组织成员国的权利和义务。这是一
种间接的保护措施，通过解决争端来维护特别是发展中国家的权益。
总之，争端解决机制在世贸组织系统中具有重要作用，它不仅解决成员国之间
的争端，还通过解释规定、维护权益等方式确保了贸易中的公平和合规性。）

关于：争端补充机制的主要原则和运作方式。以下是对字幕内容的总结：
Let's first establish the main principles that form the basis of the Dispute Settlement
Mechanism (DSM). The DSM is utilized when a country adopts a trade policy
measure or takes unilateral actions that go against the WTO system. It relies on a
clear, supranational, and multilateral system for resolving disputes among states.

Arbitration is the key instrument used for solving disputes in various sectors and
agreements. Arbitrators, chosen by the parties involved, make decisions on a case-by-
case basis. The intention is to have a general system with a multi-level character,
addressing disputes among different member states.

The procedure for accessing and participating in the dispute settlement process differs
from other procedures. The involvement of third parties in the procedure is explicitly
stated in the understanding of the settlement.

Now, let's focus on the principles that underpin the DSM. First, there is exclusive
jurisdiction, as outlined in Article 23 of the Understanding on Rules and Procedures
Governing the Settlement of Disputes (DSU). This principle excludes unilateral
actions and the use of other fora for resolving WTO-related issues. This means that
the DSM must always be activated when there is a dispute among states, preventing
unilateral actions outside the WTO system.

Additionally, the DSM is compulsory for all WTO member states once they have
signed and ratified the DSU agreement. Unlike other international systems, there is no
need for parties to accept the jurisdiction of the DSM on a case-by-case basis or
through specific agreements.

Before resorting to the DSM, parties are encouraged to seek a common solution
through diplomatic means and consultations. This aligns with the diplomatic approach
to dispute resolution that emerged after World War II. Paragraph 7 of the
Understanding emphasizes the importance of consultation and negotiation before
initiating legal actions before the WTO.

In most cases, disputes are resolved within the WTO system through the DSM, but
only after diplomatic efforts have been exhausted.

（让我们首先确立构成争端解决机制（DSM）基础的主要原则。当一个国家采取
贸易政策措施或采取违背世界贸易组织（WTO）体系的单边行动时，DSM 被用来
解决争端。它依赖于一个明确的超国家和多边体系，用于解决国家之间的争
端。仲裁是解决各个领域和协议争端的关键工具。仲裁员由涉及各方选择，并
根据具体情况作出决定。目的是建立一个具有多层次特征的普遍制度，解决不
同成员国之间的争端。争端解决程序的获取和参与方式与其他程序有所不同。
第三方的参与在争端解决的理解中明确规定。
现在，让我们专注于构成 DSM 的原则。首先，有排他性管辖权，正如《关于
规则和程序的理解》第 23 条所述。该原则排除了单边行动和使用其他论坛解决
与 WTO 相关问题的可能。这意味着只有在国家之间存在争端时，才会激活 DSM，
防止超出 WTO 体系的单边行动。
 此外，一旦 WTO 成员国签署并批准了 DSU 协议，DSM 对所有 WTO 成员国具有强
制性。与其他国际体系不同，各方无需根据具体案件或特定协议接受 DSM 的管
辖权。
在诉诸 DSM 之前，各方被鼓励通过外交手段和磋商寻求共同解决方案。这与
二战后出现的外交解决争端的方法相一致。《理解》第 7 款强调在向 WTO 提起
法律诉讼之前进行磋商和谈判的重要性。在大多数情况下，争端在 WTO 体系内
通过 DSM 得以解决，但只有在外交努力耗尽后才会采取法律行动。）

【重点内容小结】
独占管辖权：根据《解决争端理解协定》第 23 条，争端补充机制具有独占管辖
权，排除了单方行动和其他论坛解决世贸组织相关问题的可能性。这意味着在
涉及成员国之间的争端时，必须通过世贸组织的争端解决机制来解决，而不允
许采取单方面的行动。

强制性：所有世贸组织成员国一旦签署并批准世贸组织协议，都必须接受争端
补充机制的强制性。与其他国际框架中的一些机制不同，参与方不需要根据具
体情况、声明或特定协议接受世贸组织争端解决机制的管辖权。一旦批准了相
应的协议，自动适用争端补充机制，无需其他形式的手续。

协商与谈判：在涉及国际纠纷时，通常需要通过协商和外交手段寻求共同解决
方案，而不是立即激活世贸组织的争端解决机制。这符合二战后解决争端的国
际惯例，首先通过外交手段解决，然后逐级升级至不同层级的解决方式。《解
决争端理解协定》第 7 段第 3 款强调了在诉诸争端解决机制之前，必须依靠协
商和谈判，尽管在大多数情况下，最终还是需要通过世贸组织的争端解决机制
来解决争端。

总之，争端补充机制基于独占管辖权和强制性原则，旨在通过协商和外交手段
解决争端，而不是采取单方面行动。只有在协商不成功的情况下，才会诉诸世
贸组织的争端解决机制。

Topic 2. Who may activate the DSM?

【ppt】
• The only participants in the dispute settlement system are the Member
governments of the WTO, which can take part either as parties or as
third parties.
NB. The WTO Secretariat, WTO observer countries, other international
organizations, and regional or local governments are not entitled to initiate dispute
settlement proceedings in the WTO.
• Private individuals or companies do not have direct access to the dispute
settlement system, even if directly and adversely affected by the measures
allegedly violating the WTO Agreement.
• The same is true of other non-governmental organizations with a general
interest in a matter before the dispute settlement system.

【教授原话】（已删减）

Let's discuss the procedure for activating the dispute settlement mechanism. The
primary actors who can initiate a dispute are the members of the World Trade
Organization (WTO). Regional organizations, representing their respective members,
can also start an action or represent a party before the dispute settlement body.
However, other actors, such as international organizations, local governments, and
NGOs, do not have the authority to initiate a dispute unless they are members in the
process of joining the WTO.

Private individuals or companies also do not have direct access to the dispute
settlement mechanism. Although they may be directly affected by measures taken by
countries, the WTO agreements do not grant them the right to challenge provisions or
start an action within the WTO system. They may seek redress at the domestic level or
request their government's support in addressing their concerns.

Similarly, non-governmental organizations face limitations in initiating disputes, as

only WTO members have access to the mechanism. Although NGOs operate in the
interest of promoting common issues such as environmental protection and labor
rights, they cannot directly activate the dispute settlement mechanism.

The scope of the dispute settlement mechanism encompasses the evaluation of

member behaviors with respect to all agreements within the WTO framework. This
includes agreements signed and ratified by some, but not all, WTO member states.
Each agreement may have specific rules and procedures tailored to its particular
issues. Urgent measures and special procedures may be established for specific
agreements, but ultimately, reliance on the WTO system is necessary for resolving
disputes arising from bilateral or plurilateral trade agreements.

（让我们讨论一下激活争端解决机制的程序。能够发起争端的主要参与者是世
界贸易组织（WTO）的成员。地区组织代表其成员，也可以发起行动或代表争端
解决机构前的一方。然而，其他参与者，如国际组织、地方政府和非政府组
织，在没有加入 WTO 的情况下没有权力发起争端，除非他们正在加入 WTO 的过
程中。

私人个体或公司也没有直接进入争端解决机制的权利。尽管他们可能直接受到
各国采取的措施的影响，但 WTO 协议并未赋予他们挑战条款或在 WTO 体系内发
起诉讼的权利。他们可以在国内层面寻求救济，或请求政府支持解决问题。

同样，非政府组织在发起争端方面也面临限制，因为只有 WTO 成员才能进入争

端解决机制。尽管非政府组织在促进环境保护和劳工权益等共同问题上发挥作
用，但它们无法直接激活争端解决机制。

争端解决机制的范围包括对成员行为在 WTO 框架内的所有协议进行评估。这包

括由一些 WTO 成员签署和批准的协议，但并非所有成员都参与其中。每个协议
可能有特定的规则和程序，以适应其特定问题。对于特定协议，可能会建立紧
急措施和特殊程序，但最终，依靠 WTO 体系来解决双边或多边贸易协议引发的
争端是必要的。）

Topic 3. Substantive scope of the dispute settlement system

• The DSM applies to all disputes brought under the WTO Agreements
listed in Appendix 1 of the DSU (Article 1.1 of the DSU), including the socalled
Plurilateral Trade Agreements.

The applicability of the DSU to those Plurilateral Trade Agreements is subject to

the adoption of a decision by the parties to each of these agreements setting out the
terms for the application of the DSU to the individual agreement, including any
special and additional rules or procedures.
纠纷解决机制（DSM）适用于在《纠纷解决机制规则》（DSU）附录 1 中列出
的 WTO 协议下提起的所有争端（DSU 的第 1.1 条），包括所谓的多边贸易协
议。

注意：DSU 适用于这些多边贸易协议，需要各协议各方通过一项决定，确定适
用 DSU 的条款，包括任何特殊和额外的规则或程序

Topic 4 . What WTO bodies are involved in the DSM?

【ppt】
1. The Dispute Settlement Body (DSB)
Composed of representatives of all WTO Members (governmental representatives
and diplomatic delegates) and thus receive instructions from their capitals on the
positions to take and the statements to make in the DSB. As such, the DSB is a
political body.
The DSB has the authority to establish panels, adopt panel and Appellate Body
reports, maintain surveillance of implementation of rulings and recommendations
and authorize the suspension of obligations under the covered agreements.
The general rule is for the DSB to take decisions by consensus (Article 2.4 of the
DSU); when the DSB establishes panels, when it adopts panel and Appellate Body
reports and when it authorizes retaliation, the DSB must approve the decision by
negative consensus.
2. The Director-General and the WTO Secretariat
The Director-General of the WTO may, acting in an ex officio capacity, offer his/her
good offices, conciliation or mediation with a view to assisting Members to settle a
dispute (Article 5.6 of the DSU).
The staff of the WTO Secretariat, which reports to the Director-General, assists
Members in respect of dispute settlement at their request (Article 27.2 of the DSU),
conducts special training courses (Article 27.3 of the DSU) and provides additional
legal advice and assistance to developing country Members in matters relating to
dispute settlement within the parameters of impartiality called for by Article 27.2 of
the DSU.
3. Panels
Panels are the quasi-judicial bodies, in a way tribunals, in charge of adjudicating
disputes between Members in the first instance. They are normally composed of
three, and exceptionally five, experts selected on an ad hoc basis.

The panel composed for a specific dispute must review the factual and legal aspects
of the case and submit a report to the DSB in which it expresses its conclusions as to
whether the claims of the complainant are well founded and the measures or actions
being challenged are WTO-inconsistent.

If the panel finds that the claims are indeed well founded and that there have been
breaches by a Member of WTO obligations, it makes a recommendation for
implementation by the respondent (Articles 11 and 19 of the DSU).
4. Appellate Body
The Appellate Body is a permanent body of seven members entrusted with the task
of reviewing the legal aspects of the reports issued by panels. The Appellate Body is
thus the second and final stage in the adjudicatory part of the dispute settlement
system.
It has the function of correcting possible legal errors committed by panels. In
doing so, the Appellate Body also provides consistency of decisions, which is in line
with the central goal of the dispute settlement system to provide security and
predictability to the multilateral trading system (Article 3.2 of the DSU).
If a party files an appeal against a panel report, the Appellate Body reviews the
challenged legal issues and may uphold, reverse or modify the panel’s findings
(Article 17.13 of the DSU).
The seven Appellate Body members must be broadly representative of the
membership of the WTO (Article 17.3 of the DSU), although they do not act as
representatives of their own countries but rather they represent the WTO membership
as a whole.
Problem: at the moment the Appellate Body is frozen: as of May 2016, the US is
blocking the timely reconstitution of the full composition of the second-instance
panel of judges, on the basis that the decisions of the Appellate Body are very
political and not legal.
At the moment, no compromise has been found….

【教授原话】（已删减）
What bodies are involved in the DSM? Firstly, we have the Dispute Settlement Body
(DSB), which consists of representatives from all the WTO member states. It is
important to note that the DSB is part of the General Council, which assumes the
functions of the dispute settlement system at an institutional level. The General
Council is comprised of government officials and diplomats who receive instructions
from their respective states. They play a crucial role in the procedural aspects of the
dispute settlement process.

The initial stage of the dispute settlement procedure carries a political significance as
the decisions made by the Dispute Settlement Body reflect the political interests and
motivations of the member states. These decisions are driven by the content and
provisions of the agreements and aim to address and resolve trade disputes in a fair
and impartial manner.

（涉及到 DSM 的机构有哪些？首先，我们有争端解决机构（DSB），它由所有

WTO 成员国的代表组成。需要注意的是，DSB 是总理事会的一部分，总理事会承
担着争端解决体系的职能。总理事会由政府官员和外交人员组成，他们接收各
自国家的指示。他们在争端解决过程的程序方面发挥着重要作用。

争端解决程序的初始阶段具有政治意义，因为争端解决机构的决定反映了成员
国的政治利益和动机。这些决定是基于协议的内容和规定，旨在公正、公平地
解决贸易争端。）

The Dispute Settlement Mechanism (DSM) involves several bodies. Firstly, there are
two subsidiary bodies composed of representatives from all WTO member states. The
General Council, which also serves as the dispute settlement body, consists of
government and diplomatic officials who receive instructions from their respective
states. These bodies oversee the implementation of rulings and recommendations. The
DSM also grants the authority to suspend obligations and agreements.

When a WTO member intends to suspend specific commitments due to special

interests, they must notify the Dispute Settlement Body. For instance, safeguards may
be employed to protect the domestic market in emergency situations. The Dispute
Settlement Body, with a political connotation, ultimately decides on such proposals.
Consensus plays a crucial role in decision-making, meaning that if all members agree,
there is no problem. However, this reliance on consensus can be a limitation, causing
potential issues.

Another participant in the dispute settlement mechanism is the Director-General of the

WTO Secretariat. Their role involves facilitating reconciliation and mediation among
states. They provide assistance, ensure adherence to procedures, and offer legal
advice. Developing countries, in particular, receive support in areas such as
transparency and impartiality.

Once conciliation and mediation efforts fail, the process moves forward to the next
stage. Panels are established to address both factual and legal aspects of the case.
These panels, similar to arbitrators, consist of three or five members selected on an ad
hoc basis. Their evaluation leads to recommendations for implementation if the
complaint is found valid. Compliance with WTO rules is then assessed, and the
responding party may receive specific recommendations.

If disputes persist, the Appellate Body, consisting of seven members, reviews the legal
aspects of the case. It focuses solely on legal points and has the authority to correct
potential misinterpretations made by the panels. The Appellate Body ensures
consistency in interpreting the basic principles of the WTO system, promoting a
coherent interpretation of rules.

However, the current problem lies in the functioning of the Appellate Body. Its
composition has faced obstacles, with the US blocking its reconstruction in 2016.
Consequently, the Appellate Body is not functioning, leading to legal issues in
ongoing disputes and hindering the comprehensive interpretation of the WTO system.
This imbalance within the WTO system poses a significant challenge, as crucial topics
remain unaddressed by member states.

Efforts are being made to resolve this diplomatic dispute and reactivate the Appellate
Body, but the situation remains unresolved. The multilateral trade system is currently
in jeopardy, with various countries holding differing interests and visions regarding
the WTO.
（在调查组和争端解决机构确认裁决和建议实施方面，裁决和争端解决机构起
着重要作用。它还授权中止义务和协议。例如，当一个国家认为满足了暂停世
贸组织规定的特定条款的情况时，该国必须通知意图，以便出于某些特殊利益
而暂停特定承诺。例如，在紧急情况下，采取必要的保障措施以保护国内市
场。争端解决机构对这些提案最终做出决定。争端解决机构的决策通常是通过
一致同意达成的。所以实际上并不存在问题，因为如果所有成员都同意，就没
有问题。然而，有趣的是，补充机构在决定采取行动、采纳决议和授权诉讼时
必须成立小组。因此，实际上有机会采取反制措施，因为可能存在严重违反规
定的情况。世贸组织特别是争端解决机构的决定是通过否定共识来作出的。你
知道什么是否定共识吗？如果应达成一致意见，但如果存在问题，那么有可能
自动放弃。这实际上是一种保障机制，但另一方面，它显然是一个非常重要的
限制，有时也可能引发问题。这就是需要补充的方式和内容。

现在，争端解决机制中还有另一个参与者，即世贸组织秘书处的总干事，他们
旨在在国家之间的和解和调解过程中提供帮助。总干事和世贸组织秘书处的角
色在争端解决之前非常关键，因为我们正在讨论关于调解和争端调解的问题，
特别是有关培训课程的法律支持。

尤其是对于特定发展中国家的成员来说，透明度、公正性等概念可能并不那么
明显，所以这些国家得到了大力支持。一旦我们明白无法解决争端并根据调解
和争端解决的经典阶段进行调解，我们会迈出一步，并且有特别明确的普通委
员会开始介入。文件，模式实际上是非常类似于仲裁员的司法工作者，旨在解
决争端。一般由三人或五人组成，以解决复杂的案件为基础进行选择。

这就是我说你拥有一个仲裁员体系的原因，对吧？因为仲裁就是这样运作的，
包括数量方面，但实际上你还有一个小组，这个小组负责审查案件的事实和法
律方面。所以争端不仅涉及法律问题，对于解决争端非常重要的还有事实。因
此，一旦小组做出评估，它可以向争端解决机构提交报告，阐明其结论以及投
诉方提出的问题是否合理。

对于其他国家来说，伙伴国的主要选择是遵守世贸组织规则，清楚地指出了具
体执行建议的要点。如果伙伴国发现事实确凿，它将提出具体的执行建议。因
此，不仅仅是最终记录，我们应该强调的是，伴随着 WTO 一致性或不一致性的
事实，还会有特定的建议文件。在时间维度和最后期限等方面，这也是具体
的。从第 11 条到第 19 条，我们只是要理解所有这些事情。但是只有在法律行
动之前或在判决而不是小组决定的情况下，这才存在一些问题。小组的决定将
由当事方之一提交给所谓的上诉机构，这是这个程序的最后一个阶段，它由 7
名成员组成，主要负责审查案件的法律方面。因此，它不需要审查事实问题，
而是集中关注法律问题。这是上诉程序中的缺陷，因此是这个争端解决程序的
最后阶段。由于不涉及事实问题，它可以首先纠正可能由小组在法律问题上的
错误理解或不正确解释。争端解决机构由理事会预先确定的成员组成，以保证
对世贸体系基本原则的解释的一致性。这也是争端解决谅解的目标之一，以确
保对语言和规则的一致解释。

争端解决机构的努力是由争端解决机构实施的，它在使多边贸易体系可预测方
面起着重要作用。争端解决机构发布最终报告，可以维持、修改或撤销结果的
最终发现。因此，最终，各方必须考虑争端解决机构在报告中提出的意见。

关于争端解决机构的其他补充，还有一些特殊情况，例如当事方不同意执行
时，可能会出现一些问题。但总的来说，争端解决机构是世贸组织重要的机
构，其目的是解决成员之间的争端，以确保贸易体系的稳定和可预测性）

【第二小节】

Topic 5: How are disputes settled?

• First stage: consultation (up to 60 days). Before taking any other actions the
countries in dispute have to talk to each other to see if they can settle their
differences by themselves. If that fails, they can also ask the WTO directorgeneral to
mediate or try to help in any other way.
• Second stage: the panel (up to 45 days for a panel to be appointed, plus 6
months for the panel to conclude). If consultations fail, the complaining country
can ask for a panel to be appointed. The panel’s final report should normally be
given to the parties to the dispute within six months. In cases of urgency,
including those concerning perishable goods, the deadline is shortened to three
months.
• Appeal: either side can appeal a panel’s ruling. The appeal can uphold, modify or
reverse the panel’s legal findings and conclusions. Normally appeals should not
last more than 60 days, with an absolute maximum of 90 days.

【教授原话】（已删减）
Okay, so perhaps in the near future, we could consider initiating a new round of
negotiations, possibly to update the WTO 10. Apart from that, let's briefly discuss
some temporary issues related to three different states and their various strategies for
settlement. These situations may require temporary restrictions and deadlines. The
first stage is the consultation stage, which lasts for up to 60 days and is designed to
address the intention to resolve the matter. It follows an aviation process. Then we
have the second stage for the partner, which takes place within 45 days after the first
stage is initiated. Generally, a decision is reached within six months. So there is a six-
month period starting from the completion of the partner stage. The first list of
involved bills is typically decided upon within 60 days, or two to three months
maximum (90 days).

（好的，也许在不久的将来，我们还可以进行新一轮的谈判，可能是为了更新
《世界贸易组织》的第十个版本。除此之外，让我们简要了解一些关于三个不
同国家的临时问题和解决策略的情况。这些情况可能需要一些临时限制和期
限。第一阶段是咨询阶段，持续时间最长为 60 天，旨在解决解决问题的意愿，
按照航空业务流程进行。然后，我们有合作方的第二阶段，从第一阶段开始计
算，持续 45 天。一般来说，在六个月内做出决定。因此，从合作方阶段完成之
日起，有六个月的时间。通常在 60 天内（最长为 90 天）决定涉及账单的第一
个清单，或者最多需要两个到三个月时间。）
 DSM: case studies

【ppt】

案例一：United States – Import Prohibition of Certain Shrimp and Shrimp Products

(US – SHRIMP)

Measure at issue: US import prohibition of shrimp and shrimp products

from non-certified countries.

Product at issue: Shrimp and shrimp products from the complainant

countries

Findings:
1) GATT Art. XI (prohibition on quantitative restrictions):
The Panel found that the US prohibition violated Art. XI.
2) GATT Art. XX(g) (general exceptions – exhaustible natural resources):
The Appellate Body held that the import ban could not be justified under Art. XX
because the ban constituted “arbitrary and unjustifiable” discrimination under the
chapeau of Art. XX.
Why? The measure was “unjustifiably” discriminatory because of its intended and
actual coercive effect on the specific policy decisions made by foreign governments
that were Members of the WTO. The measure also constituted “arbitrary”
discrimination because of the rigidity and inflexibility in its application, and the lack
of transparency and procedural fairness in the administration of trade regulations.

案 例 二 ： China – Measures Related to the Exportation of Various Raw Materials

(CHINA – RAW MATERIALS)

Measure at issue: Export restraints imposed on the different raw materials: (i)
export duties; (ii) export quotas; (iii) export quotas management (iv) minimum
export price requirements; (v) export licensing requirements; and (vi)
administration and publication of trade regulations. The complainants identified 40
specific Chinese measures in connection with their claims.

Product at issue: Certain forms of bauxite, coke, fluorspar, magnesium,

manganese, silicon carbide, silicon metal, yellow phosphorous, and zinc

Findings:
1)China’s Accession Protocol, para. 11.3 (elimination of export taxes and charges):
China must bring its export duty and export quota measures into conformity with its
WTO obligations.
2)GATT Art. XX (general exceptions): There is no basis in China’s Accession
Protocol to allow the application of Art. XX to China’s obligations under para.11.3 of
the Protocol.
3)GATT Art. XI:2(a) (prohibition on quantitative restrictions –authorization of
temporary export restrictions): China had not demonstrated that its export quota on
refractory-grade bauxite was “temporarily applied” to either prevent or relieve a
“critical shortage”, within the meaning of Art. XI:2(a).

【教授课堂原话】（已删减）
Today, we had the opportunity to discuss the Shrimp case that you mentioned in your
tutorial. In that case, we discussed the structure and analysis of the final decision. Did
you find anything interesting? Perhaps it is related to the later case, the Dolphin
Trainer case. There were two different decisions in this case. The WTO thought the
American measures were unjustified, while the dolphin training case was considered
justified. It shows a trend of the WTO prioritizing the protection of endangered
species and other factors. It's really important.

It was interesting because you analyzed how the WTO interprets the agreement in a
concrete way. We previously discussed the necessity cases, but now you have a
general overview of not only the specific exception under Article 20 but also the
agreement itself. Then we have the case of raw materials, which involves China and
the European Union. It relates to measures set by the European Union against raw
materials. It raises the issue of China's accession to the WTO and its transition
towards compliance with WTO rules. This case also touches upon the definition of
non-market economy within the WTO system.

(这里还有一些案例研究，旨在回顾我们到目前为止所讨论的内容。我们涵盖了
例外情况和程序，而 Shrimp 案例是案例之一。你们认为这个案例有趣吗？在你
们的意见中，这些案例是否合理？它们实际上涉及到需要保护自然资源等问
题。
今天，我们有机会讨论您在教学中提到的 Shrimp 案例。在这个案例中，我们讨
论了最终决定的结构和分析。您发现了什么有趣的事情吗？也许与之后的
Dolphin Trainer 案例相关。在这个案例中，有两个不同的决定。世界贸易组
织认为美国的措施是不合理的，而海豚培训案例被认为是合理的。这显示了世
界贸易组织在保护濒危物种和其他因素方面的倾向。这非常重要。

这个案例也有趣，因为它分析了世界贸易组织如何具体解释协议。我们之前讨
论了必要性案例，但现在您对不仅适用于第 20 条的具体例外情况，而且适用于
协议本身有了一个总体概述，这非常有意思。然后，我们有原材料的案例，这
是涉及中国和欧盟的另一个有趣案例。这个案例涉及到欧盟对原材料采取的措
施。它再次涉及到中国加入世界贸易组织的问题，特别是中国向符合世界贸易
组织规则的过渡过程。这个案例还涉及到世界贸易组织体系内非市场经济的定
义问题。)

时事热点问题
（一）、 WTO and the COVID-19 pandemic

【ppt】

Trade plays an important role in ensuring the availability and affordability of vital
medicines, medical products, and health care services, particularly among its most
vulnerable members.

WTO rules provide broad space for members to adopt trade measures deemed
necessary to protect public health and public welfare (including import and export
bans, quantitative restrictions on imports and exports, and non-automatic import
licensing). These measures should be applied in a manner that does not discriminate
between WTO members and should not constitute a disguised restriction on
international trade.

The Agreement on Sanitary and Phytosanitary Measures (SPS) establishes that

members have the right to restrict trade by taking SPS measures necessary for the
protection of human, animal or plant life or health.
These measures should only be applied to the extent necessary to achieve their
objectives, be based on scientific principles and be supported by scientific evidence.
In situations where relevant scientific evidence is insufficient, members may
provisionally adopt SPS measures on the basis of available pertinent information.

Some WTO members have proposed initiatives calling for restraint in the imposition
of any new export restrictions on essential medical goods necessary to combat
COVID-19, including vaccines, and to eliminate unnecessary existing restrictions.
Others have endorsed a proposal calling for the temporary lifting of intellectual
property rights on medicines and medical products essential to combat COVID-19.
The EU case…..
A ministerial declaration on the WTO response to the pandemic and preparedness for
future pandemics was also adopted, together with a waiver of certain intellectual
property obligations in relation to COVID-19 vaccines.

【教授原话】（已删减）

Well, the COVID-19 pandemic has stressed various aspects. It highlighted the
difficulty of accessing vital medicines and not just vaccines, but also basic medical
supplies and healthcare services, especially for vulnerable members and states. This
had a significant impact on global trade and the rules of the World Trade Organization
(WTO). States adopted measures to address not only the health issues caused by the
pandemic but also the resulting economic consequences.

The pandemic led to restrictions on individual mobility, causing disruptions in

industrial production and economic challenges in many countries. Cross-border
services were halted because service providers couldn't travel, and recipients couldn't
receive them. The impact on trade due to the COVID-19 pandemic extended beyond
health issues to encompass economic ones. For example, within the European Union,
there were cases where exports of masks and other personal protective equipment
were halted due to the need to protect European citizens. This was not limited to the
EU but also affected other countries internationally. It's an example of how the
COVID-19 pandemic limited trade, even in essential goods.

The Agreement on the Application of Sanitary and Phytosanitary Measures (SPS

Agreement) played a crucial role in this situation. It specifically outlines the rights of
states when dealing with health problems. In the context of pharmaceutical issues, the
agreement emphasizes the need to improve trade regarding sanitary and phytosanitary
measures. However, there are also exceptions related to the protection of human,
animal, and plant life and health, as outlined in Article 20 of the General Agreement
on Tariffs and Trade (GATT).

It's important to strike a balance between the right to protect individuals' health and
the necessity to safeguard public health. Objective principles based on scientific
evidence should guide states in their decision-making, avoiding arbitrary discretion.
When scientific evidence is not available, pertinent information can be used as a
reference, but this carries the risk of introducing discretionary elements into the
limitation of sanitary and phytosanitary measures. Nevertheless, the SPS Agreement
played a significant role during the pandemic, leading to multiple disputes among
states at the WTO level.

（新冠疫情在多个方面都产生了压力。它也强调了有时候很难获得关键药物，
不仅仅是疫苗，还有基本药物和医疗服务。这尤其在弱势成员和脆弱国家中表
现得更为明显。显然，这对世界贸易产生了影响，也对世贸组织规则产生了影
响。各国采取了一些措施来应对新冠疫情带来的健康问题，以及从经济角度来
看疫情带来的后果。

疫情导致个人流动受限，导致工业生产中断，并在世界许多国家引发了经济问
题。跨境服务停止了，因为服务提供者无法出行，接收者也无法接受服务。新
冠疫情对贸易产生了重要的影响，不仅仅限于健康问题，还包括经济问题。例
如，在欧盟内部，出于保护欧洲公民的需要，出口口罩和其他个人防护设备的
限制出现了。这不仅仅是欧盟的情况，也影响了其他国际国家。这个例子展示
了新冠疫情如何限制了贸易，甚至是基本物资的贸易。

《卫生与植物卫生措施协议》在这种情况下起到了重要作用。该协议具体强调
了国家在处理健康问题时的权利。在药品问题上，协议强调了在卫生和植物卫
生措施方面改进贸易的必要性。然而，在涉及保护人类、动物和植物生命和健
康的情况下，也存在一些例外，正如《关税和贸易总协定》第 20 条中所规定的
那样。

在保护个人健康的权利和维护公共健康的必要性之间要取得平衡。决策应该基
于科学证据，避免武断的决定。当没有科学证据可用时，可以参考相关信息，
但这也会增加决策中存在武断因素的风险。尽管如此，《卫生与植物卫生措施
协议》在疫情期间发挥了重要作用，引发了世贸组织层面的多起争端。）

【小结】
贸易在确保重要药品、医疗产品和医疗服务的可得性和可负担性方面发挥着重
要作用，尤其是在最弱势成员之间。WTO 规则为成员国采取保护公共卫生和公
共福利所需的贸易措施提供了广泛的空间（包括进口和出口禁令、进出口数量
限制和非自动进口许可）。这些措施应以不歧视 WTO 成员为原则，并且不应构
成对国际贸易的掩盖性限制。
《动植物卫生与植物检疫措施协议》（SPS 协议）确立了成员国在保护人类、
动物或植物生命健康方面采取必要的 SPS 措施的权利。这些措施应仅在必要范
围内适用于实现其目标，基于科学原则，并有科学证据支持。在相关科学证据
不足的情况下，成员国可以根据可获得的相关信息临时采取 SPS 措施。
一些 WTO 成员国提出了倡导克制在抗击 COVID-19 所需的重要医疗物品，包括疫
苗方面实施任何新的出口限制的倡议，并消除不必要的现有限制。其他国家支
持了一项提案，呼吁暂时放宽与抗击 COVID-19 所需的药品和医疗产品相关的知
识产权。欧盟的案例……
此外，还通过了一份关于 WTO 应对疫情和未来疫情准备的部长宣言，以及关于
解除与 COVID-19 疫苗相关的某些知识产权义务的豁免。
 （二）WTO and climate change

【ppt】

1. How does trade affect greenhouse gas emissions?

The impact of trade liberalization may be divided into three independent effects:
scale, composition and technique:

a. The “scale” effect refers to the impact on greenhouse gas emissions from the
increased output or economic activity resulting from freer trade. The general
presumption is that trade opening will increase economic activity and hence energy
use.
b. The “composition” effect refers to the way that trade liberalization changes the mix
of a country’s production towards those products where it has a comparative
advantage. The effect on greenhouse gas emissions will depend on the sectors in
which a country has comparative advantage.
c. The “technique” effect refers to the production of goods and services generates less
greenhouse gas emissions.

2.Activities of the WTO and the challenge of climate change

During the Doha Round, Members went further in their pledge to pursue a sustainable
development path by launching the first ever multilateral trade and environment
negotiations.
a) Liberalizing environmental goods
WTO members are working to eliminate trade barriers in the goods and services that
can benefit the environment (wind and hydropower turbines, solar water heaters,
tanks for the production of biogas, and landfill liners for methane collection).

Environmental goods can cover a number of key technologies that may contribute
positively to the fight against climate change. Reducing or eliminating import tariffs
and non-tariff barriers in these types of products will reduce their price and make
them more accessible.

b) Liberalizing environmental services

Services such as “cleaning of exhaust gases” and “nature and landscape protection
services” are directly relevant to climate change mitigation measures and have been
included in the GATS.
c) Negotiations on MEAs/WTO relationship
WTO members must ensure a harmonious co-existence between WTO rules and
specific trade obligations in various agreements that have been negotiated
multilaterally to protect the environment.

The rules of the WTO and the UN Framework Convention on Climate

Change (UNFCCC) do not operate in isolation.

3. Climate change issues in WTO's regular work

The Committee on Technical Barriers to Trade (TBT Committee)

The TBT Committee provides an important forum to discuss technical regulations
adopted by governments to mitigate climate change. In recent years, a number of
product standards and labelling requirements targeted at energy efficiency or
emissions control were notified.
Examples of regulations include: fuel economy standards for cars; ecodesign
requirements for energy-using products; energy efficiency programmes for consumer
products and emission limit values for diesel engines.

The Committee on Trade and Environment (CTE)

The Committee serves as an incubator for ideas to advance the trade and environment
agenda and is the main gateway should members decide to explore further the
linkages between climate change and trade.

4. Climate change and the potential relevance of WTO rules

A number of WTO rules may be relevant to measures aimed at mitigating climate
change.
• disciplines on tariffs (border measures), essentially prohibiting members from
collecting tariffs at levels greater than that provided for in their WTO scheduled
consolidation.
• a general prohibition against border quotas.
• a general non-discrimination principle, consisting of the most-favourednation and
national treatment principles.
• rules on subsidies.
• rules on trade-related intellectual property rights. These rules are relevant for the
development and transfer of climate-friendly technologies and know-how.

【教授原话】（已删减）
Now, let's discuss the second problematic emergency: climate change. Trade is closely
linked to greenhouse gas emissions, considering three factors: scale, composition, and
technique. Trading processes themselves contribute to greenhouse gas emissions, but
there can also be an indirect positive relationship between trade and emissions when it
involves the development of environmentally friendly products. On the other hand,
negative techniques used for trading purposes can increase emissions. Therefore, trade
and climate change are interconnected and not mutually exclusive concepts.
现在，让我们讨论第二个问题紧急情况：气候变化。贸易与温室气体排放密切
相关，涉及三个因素：规模、组成和技术。贸易过程本身会产生温室气体排
放，但贸易和排放之间也存在间接的积极关系。贸易可以促进开发针对减少排
放的特定产品，这是一种积极的关系。另一方面，为了贸易目的，采用的负面
技术可能增加温室气体排放。因此，贸易与气候变化是相互关联的概念，而不
是完全独立的。

The issue of climate change was evident during discussions among WTO members. In
terms of trade, efforts were made to address issues that could positively impact the
environment, such as the liberalization of environmental goods. This included goods
like wind turbines, hydro power turbines, solar water heaters, and biogas, which are
products with potential environmental benefits. WTO members believed that these
goods should be traded under favorable conditions to promote the intentions of
individual states and improve both imports and exports. It's worth noting that
environmental goods and services are closely linked to technological innovation and
intellectual property rights, particularly patents.

Similar considerations apply to environmental services, with the aim of liberalizing

them and establishing a legal connection between multilateral environmental
agreements (MEAs) and WTO rules. Currently, MEAs and the WTO system are
separate entities, as the WTO is not directly involved in multilateral environmental
agreements. However, it is important to ensure consistency and positive interaction
between these frameworks, including trade obligations, particularly in relation to the
United Nations Framework Convention on Climate Change and the Paris Agreement.

The WTO has addressed climate change through the establishment of committees,
such as the Technical Barriers to Trade Committee, which focuses on fuel economy
standards, design requirements, and energy efficiency. Additionally, the Committee on
Trade and Environment aims to raise awareness among WTO members about the
positive relationship between trade and environmental protection. These committees
work towards improving the legal interaction among different international
instruments.

One relevant topic is the discussion on carbon taxes and carbon pricing within the
WTO system and the European Union. Some countries are considering adopting a
specific tax on carbon emissions. Under this approach, products would be subject to
duties based on the amount of carbon dioxide emitted during their production. Lower
emissions would result in lower duties. However, there are concerns that this practice
could be considered discriminatory within the WTO framework, as it directly limits
trade. Developing countries, which may have less advanced production systems and
higher emissions, could face limitations and higher duties on their products. The
compatibility of such taxes with WTO rules is still under discussion.
（气候变化问题在 WTO 成员开始讨论气候变化挑战时变得非常明显。特别是关
于贸易，他们试图通过强调自由化环境商品的必要性，创建衡量为环境带来益
处的贸易努力，如风力、水力涡轮机、太阳能热水器、生物气体和其他可再生
能源产品等。这些产品在潜在上有利于环境，根据 WTO 成员的观点，这些产品
应该处于更好的贸易条件下，以增加国际社会的意愿，改善进口和出口。同
时，环境商品或服务与技术创新密切相关。因此，有必要对规则进行全面修
订，以促进环境商品的推广，并在协调和共同的环境目标下允许这类商品的贸
易。

对于服务业而言，也存在类似的看法，即明确自由化环境服务，并试图从法律
上创建一个街道连接多层环境协议（所谓的 MIAs）与 WTO 规则之间的联系。目
前从形式上看，它们是分开的，因为 WTO 显然没有纳入多边环境协议。另一方
面，多边环境协议确实涉及贸易，但它们不是 WTO 体系的一部分。相反，有必
要在不同国际层面的这些价值待遇之间有一致和积极的互动，也涉及到贸易义
务，尤其是与《联合国气候变化框架公约》以及我们在 2015 年提到的《巴黎公
约》相关的内容。

WTO 在应对气候变化方面的工作已经取得了一些进展，其中一部分归功于成立
了一些委员会，我们已经看到了它们，首先是贸易壁垒技术性措施委员会，该
委员会也考虑到燃油经济标准、经济设计要求、能源效益等问题。还有贸易与
环境的专门委员会，旨在提高 WTO 成员对贸易与环境保护之间潜在积极关系的
意识。因此，这种委员会还应努力改善不同国际层面上不同法律工具之间的相
互作用。这里有一份宪章，实际上是我们到目前为止所学内容的补充。是的，
我们确实已经看到了这些。最后，我要提到一些研究，涉及到碳排放税、碳定
价的问题，因为这是 WTO 体系中正在讨论的问题。在欧盟内部也在讨论这个问
题。也许它会在未来三年内被采纳并开始生效。各个国家正试图推动采用一种
特定的碳税。这意味着采取这种措施的国家将根据所排放的二氧化碳和温室气
体排放对产品征收关税。较低的碳排放，意味着生产过程中产生的温室气体较
少，将征收的关税较低。这种做法的后果是实际上限制了贸易，因为实际上是
根据产品的生产过程对其加价。

现在有人说这种做法可能违反 WTO 规则，因为它直接限制了贸易。例如，考虑

那些在发展中国家生产的商品，它们也许在技术发展水平上并不需要，可能没
有采取适当的生产系统来限制温室气体的使用和排放。在这种情况下，可能会
对来自发展中国家的产品征收关税。这个问题仍在讨论中，所以我们将看到这
种税收是否在 WTO 体系的框架内被视为歧视性的。）

【小结】
1.贸易如何影响温室气体排放？
贸易自由化的影响可以分为三个独立的效应：规模效应、组成效应和技术效
应：
a. "规模"效应指的是自由贸易带来的增加产出或经济活动对温室气体排放的影
响。一般的假设是贸易开放将增加经济活动，从而增加能源使用。
b. "组成"效应指的是贸易自由化改变了一个国家生产的产品组合，使其更倾向
于具有比较优势的产品。对温室气体排放的影响将取决于国家具有比较优势的
部门。
c. "技术"效应指的是生产商品和服务所产生的温室气体排放较少。

2.WTO 的活动与应对气候变化的挑战
在多哈回合期间，成员国进一步承诺通过启动首个多边贸易与环境谈判追求可
持续发展道路。
a) 自由化环境产品
WTO 成员国正在努力消除环境产品和服务中的贸易壁垒（如风力和水力涡轮
机、太阳能热水器、生产沼气的储罐和甲烷收集的填埋垫等）。
环境产品可以涵盖许多关键技术，可以积极应对气候变化。降低或消除这些产
品的进口关税和非关税壁垒将降低它们的价格并使其更易获得。
b) 自由化环境服务
诸如“废气清洁”和“自然与景观保护服务”等服务与气候变化缓解措施直接
相关，并已纳入 GATS（关于服务贸易的总协定）。
c) 关于多边环境协议（MEA）与 WTO 关系的谈判
WTO 成员国必须确保 WTO 规则与为保护环境而进行的各项协议中的具体贸易义务
之间的和谐共存。

3.WTO 的常规工作中的气候变化问题

技术性贸易壁垒委员会（TBT 委员会）
TBT 委员会提供了一个重要的论坛，讨论各国政府采取的技术性法规以缓解气
候变化。近年来，许多针对能源效率或排放控制的产品标准和标签要求已得到
通报。
一些法规的例子包括：汽车燃油经济标准；能源使用产品的生态设计要求；消
费品的能源效率计划和柴油发动机的排放限值。

贸易与环境委员会（CTE）
该委员会作为促进贸易与环境议程的创新基地，并且如果成员国决定进一步探
索气候变化与贸易之间的联系，将成为主要的入口。

4. 气候变化与 WTO 规则的潜在相关性

WTO 的一些规则可能与旨在减缓气候变化的措施相关。
•关税（边境措施）的规定，基本上禁止成员国收取超过其 WTO 日程中规定的水
平的关税。
•普遍禁止边境配额的原则。
•最惠国待遇和国民待遇原则构成的普遍非歧视原则。
•有关补贴的规定。
•与贸易有关的知识产权规则。这些规则与发展和转让与气候友好的技术和知识
相关。
总结：可以认为，即使碳税在 GATT 下被认为是歧视性的，但 GATT 第 XX 条中包
含的例外情况可以适用，因此碳税符合 WTO 的规定。
PS:

（三）Carbon pricing
【ppt】
Carbon pricing is often seen as an important instrument to accelerate a low-carbon
transition by incentivizing firms and individuals to reduce their carbon emissions or
pay for their carbon emissions.
Why?
Carbon pricing is a market-based instrument that sets a price on carbon dioxide (CO2)
or equivalent GHG emissions. The carbon price reflects the additional cost on the
environment and the society of emitting an extra unit of GHG (e.g., ton of CO2 or
equivalent GHG).

Carbon pricing can be imposed implicitly through the compliance costs of price-based
regulations (e.g., fossil fuel prices or renewable energy subsidies) or explicitly by
specifying a price directly on carbon emissions. Explicit carbon pricing can take two
main forms: carbon tax and emissions trading scheme.

Under an emission trading system (sometimes referred to as “cap and trade” or

“allowance trading”), the regulator sets a maximum quantity of GHG allowed to be
emitted in a given year (i.e., cap) and issues allowances (or permits) to emit GHG to
match the cap on total emissions. Operators must hold allowances for every ton of
GHG they emit.

In order to avoid considering this tax as a discriminatory measure under the GATT,
the Carbon Tax must be imposed in an equivalent way on products produced
domestically and/or imported from abroad. Moreover, the CBAM would be more
acceptable if applied on a product and not a process in order to not be referred to as
hidden taxes, inadmissible for WTO rules.

In order not to be discriminatory, the Carbon Tax must be consistent with three
clauses: the most- favored-nation-clause (GATT, Art.1) , the national treatment
provision (GATT, Article III), and quantitative restrictions in (GATT, Article XI).
Otherwise exceptions to the applications of these three measures above are listed in
Article XX GATT.

In the US-Gasoline decision, the WTO panel and the Appellate Body have assessed
that clean air is an exhaustible natural resource that could be exhausted as a result of
pollutants like those emitted through the consumption of gasoline.

This decision, together with the exceptions in art. XX of GATT led to conclude that
the Carbon Adjustment Mechanism complies with the WTO dispositions and
therefore can be applied as a measure to overcome problems related to carbon
emissions and environmental concerns.

Summing up, it can be argued that even if the carbon tax is considered discriminatory
under the GATT, the exceptions contained in Article XX can be applied and so the
Carbon Tax complies with the WTO dispositions.

教授没有专门详细提及此部分，因此对 ppt 内容进行了总结翻译：

碳定价被视为推动低碳转型的重要工具，通过激励企业和个人减少碳排放或为
其碳排放付费。

原因是：
碳定价可以通过价格型法规的合规成本（如化石燃料价格或可再生能源补贴）
隐含地实施，也可以通过直接规定碳排放价格来明确实施。明确的碳定价主要
有两种形式：碳税和排放交易方案。

在排放交易体系（有时称为“限额与交易”或“配额交易”）下，监管机构设
定了每年允许排放的温室气体最大数量（即限额），并发放用于匹配总排放限
额的温室气体排放许可证（或配额）。运营商必须为每吨温室气体排放持有相
应的排放许可证。

为了避免将此税收视为 GATT 下的歧视性措施，碳税必须以等价的方式对国内生

产的产品和进口产品征收。此外，如果 CBAM 适用于产品而非过程，将更容易被
接受，以避免被视为不可接受的隐性税收，违反 WTO 规则。

为了避免歧视性，碳税必须符合三个条款：最惠国条款（GATT 第 1 条）、国民
待遇规定（GATT 第 III 条）以及数量限制（GATT 第 XI 条）。否则，对这三项
措施的应用的例外情况在 GATT 第 XX 条中列出。

在美国-汽油案的裁决中，WTO 小组和上诉机构认为，清洁空气是一种可枯竭的
自然资源，可能会因为像汽油消耗所排放的污染物而枯竭。

这一裁决以及 GATT 第 XX 条中的例外情况导致得出结论，碳调整机制符合 WTO

的规定，因此可以作为一项措施来应对碳排放和环境问题相关的问题。

总结起来，可以认为，即使碳税被认为是 GATT 下的歧视性措施，GATT 第 XX 条

中包含的例外情况可以适用，因此碳税符合 WTO 的规定。
 历年试题

2015-2016
Title of Course: WTO Law
Name of Lecturer: Prof. Yenkong Ngangjoh Hodu
Answer any TWO Questions Please, write legibly. All questions Carry Equal Marks

Question 1) Countries A, B, C, D, E, F, are all WTO Members. Countries A, B, C, D

are developing and LDCs from Africa and Asia. But, countries E and F are classified
as developed countries in the WTO. In 2004, country E entered into a Preferential
Trade Agreements with countries A, B, C and D allowing them each within a period
of 10 years to export 1million tonnes of apple duty-free into country E. Country F
which is also an apple exporter, has just realised that its apple can no longer compete
in country E’s market because of the cheap apple from countries A, B, C and D.
Country F is now intending to file a claim against country E to the WTO. Among
other things, 1) country F complains that the said agreement is inconsistent with the
obligations of E under the WTO, 2) Country F further calls for the WTO’s DG to
suspend country E from the WTO if the latter fails to repeal its measures. Discuss the
practical and legal issues raised by this question.

Question 2) PT Rau is a multinational company that exports Bananas and Oranges

with the head quarter in Siwa-a developing country Member of the WTO. Due to the
consistent influx of PT Rau’s products into Lina Republic, another Member of the
WTO and a major importer of PT Rau’s bananas and oranges, the former has recently
invoked its rights under GATT Article XIX & Safeguard Agreement, thereby,
completely limiting the import of PT Rau’s products into Lina Republic to 50% of the
previous import. However, PT Rau has discovered that the said quotas do not apply to
three of its competitors exporting the same products into Lina Republic. In view of
this situation, the managing director of PT Rau has struggled to no avail to persuade
Siwa which enjoys a very good diplomatic relation with Lina Republic to invoke the
WTO dispute settlement procedure. PT Rau has therefore decided to take the case on
its own to the WTO and seek your advice.
Question 3) The Republic of Zenawi, has had an observer status in the WTO since
January 2010. In June 2012, it decided to start its accession process. As a Technical
adviser at the Ministry of Trade of the Republic of Zenawi, your boss, the Minister of
Trade is preparing to bring up the issue in the next Ministerial conference slated for
December 2016 to be held in Honolulu-Hawaii. He would like your country to join
the WTO, but be exempted from signing up to the Agreement on SCM. As a Technical
adviser on WTO issues at your Ministry, he has asked you to prepare a memo
advising him on this issue. Additionally, he has asked you to advise him on which of
the accession procedures your country should choose.
Question 4) Discuss the extent to which the proliferation of free trade agreement
threatens the proper functioning of the world trading system.
Good Luck
Prof. Y. N. Hodu
有 WTO+Law+Best+Exam 可以参考下
2016-2017
Title of Course: WTO Law
Name of Lecturer: Prof. Dominik Steiger and Prof. Jelena Bäumler

Instructions: Please write legibly. The first question counts for 70%, the second
question counts for 30%.

Question 1:
Cura, a Member of the WTO, is a proud producer of some of the finest tea in the
world. Cura's people also love to drink tea and due to its considerable size, Cura is
thus also an important tea market. Recently, tea producers in Cura came under
pressure due to large imports of tea from Intaka that offers its tea for an attractive
price and is able to sell well in Cura. The government of Cura undertook scientific
tests of the tea from Intaka and found the tea to be highly contaminated with
pesticides. Because of the high concentration the tea can pose severe health risks,
especially to the elderly, pregnant and unhealthy persons. Against this backdrop, Cura
decides to impose an import ban on tea from Intaka. Only those producers from Intaka
that are able to show a certificate that their tea is free of pesticides and which is
provided by the government of Cura may import tea from Intake into Cura. However,
the certificate is quite costly to obtain and no other foreign tea producer has to follow
this procedure.
Intaka is furious about this measure and argues that it violates several of Cura's WTO
obligations, especially because it suspects that the real goal is to protect Cura's tea
producers. After fruitless consultations, Intaka invokes the dispute settlement system
of the WTO. Will Intaka win the dispute?

Question 2:
Please explain the dispute settlement system of the WTO, especially
a) Who can access the DSB?
b) What stages need to be distinguished?
c) Which powers does the Appellate Body possess?
d)How is compliance ensured?
Model answers:
Question 1
Intaka will win the dispute, if Cura violated its WTO obligations and cannot justify
this breach by an exception provided in the WTO agreements.
I. Violation of Art. I:1 and XI:1 GATT 94
By prohibiting tea imports from Intaka except if a certain permit is provided, Cura
could be in violation of its obligation under Art. I:1 and XI:1 GATT 94.
1. Art. XI:1 GATT 94
The ban on tea from Intaka except if a certain certificate is provided could constitute a
restriction in violation of Art. XI:1 GATT 94. According to this provisions no
restrictions other than duties, taxes or other charges shall be instituted or maintained
by any contracting party on the importation of products into the territory of any other
contracting party. Generally, Art. XI:1 GATT applies to any measure that restricts the
importation irrespective of any particular trade effect.
The permit is required in order to be able to import tea from Intaka into Cura. It is
also a non-tariff barrier to trade and thus generally falls under Art. XI:1 GATT. As the
GATT 94 is generally build on the premise that non-tariff barriers to trade shall be
abandoned and only duties shall be in place, Cura is in violation of Art. XI:1 GATT
94.
2. Art. I:1 GATT 94
The requirement of a certain permit for tea from Intaka only, could also violate Cura’s
obligation under the most-favoured nation clause. According to Art. I:1 GATT 94 all
rules and formalities in connection with importation, any advantage granted by any
contracting party to any product shall be accorded immediately and unconditionally to
the like product originating in or destined for the territories of all other contracting
parties. In short, Art. I:1 GATT 94 requires from its Members to treat like products
equally.
Only Intaka needs to provide the respective permit. Tea from other Members may be
imported without such a permit. Hence, the advantage to import tea without
permission is not applied to tea from Intaka. However, the obligation only applies in
case of like products. Cura might argue that tea from Intaka is unlike tea from other
origins due to the higher concentration of pesticides. The term “like” is not defined
anywhere in the GATT 94 and must be interpreted according to the respective context.
It is contentious, whether reference to the process and production method (PPM)
allows the distinction between two otherwise like products.
However, in the case at hand, Cura may not rely on the fact that Intaka’s tea has
higher pesticides as the permit is not dependent on the level of pesticides but on the
origin of the tea from Intaka. Thus, tea from other Members that may contain similar
levels of pesticides are not required to present a permit and are treated
advantageously. Therefore, Cura is not treating tea equally, but accords different
treatment to teas according to its origin in violation of its obligations under Art. I:1
GATT 94.
II. Art. XX GATT
Cura may be able to rely on the exception of Art. XX GATT 94 in order to justify the
permit for tea from Intaka. According to this provision a Member may not be deemed
to be in violation of its GATT obligations if a certain measure is adopted and enforced
for one of the purposes set out in lit a-j and adheres to the chapeau under paragraph 1
of Art. XX.
Cura argues that it only imposes the permit to tea from Intaka due to the high level of
pesticides found in tea from Intaka. As this poses a health risk to vulnerable persons,
Cura could rely on its right to adopt measures necessary to protect human health (lit.
b). Art. XX lit. b GATT 94 allows measures in order to protect human health, which
aim is clearly met by Cura that tested the tea with high level of pesticides. It could be
discussed whether the ban except for those teas with a permit is indeed necessary.
However, any other measure such as labelling tea from Intaka might not equally
protect customers that tend to overlook information on the product.
Additionally, Cura must meet the requirements of the chapeau of Article XX:1,
namely that the measure is not arbitrarily discriminatory and does not pose a
disguised restriction on international trade. Cura only requires the permit for tea from
Intaka. Thus, similarly contaminated tea from other Members is not required the
obtain the same permit. The measure thus discriminates Intaka with the requirement
being dependent on the origin and not on the level of pesticides. Hence the measure
cannot be justified under Art. XX:1 GATT.
Conclusion: Intaka has good chances to win the dispute as Cura is in violation of its
obligations under Art. I:1 and Art. XI:1 GATT 94 and cannot justify the measure
against Intaka according to Art. XX:1 GATT 94.

Question 2
The dispute settlement system is often described as the crown of the WTO.
a) It is a mandatory system to settle disputes between Members of the WTO (Arts. 1
and 3 DSU). Private Persons or states outside the WTO cannot refer to the dispute
settlement system.
b) Usually, four stages are distinguished: 1. Members need to try to reconcile their
dispute by recourse to consultations (Art. 3 DSU); 2. in case of failure, a panel will be
set up, usually constituted of three arbitrators (Art. 6 DSU); 3. a party may appeal the
panel findings in front of the Appellate Body (Art.
17 DSU). Finally and 4., the findings will be enforced, either by way of negotiations,
a subsequent panel or arbitration proceeding or by way of compensation and
suspension of concessions in case the rulings are not implemented (Arts. 21 and 22
DSU). All stages need to be followed by a
strict time frame according to the respective provision of the dispute settlement
understanding (DSU).
c) The Appellate Body may hear arguments about a misinterpretation of the law by a
panel (Art. 17.6 DSU). It cannot enter into the stage of fact finding again. The
Appellate Body may thus uphold, modify or reverse legal findings and conclusions of
the panel (Art. 17.13 DSU).
d) A respondent that has been found to be in violation of any of its WTO obligations is
under the obligation to promptly bring its measures into compliance with the WTO
agreements. Damages are generally not awarded to the winning party. In case the
parties to the dispute disagree as to whether the responding party has indeed complied
with its obligations within a reasonable period of time, it is possible to resort to a
(usually the original) panel that shall circulate a report within 90 days (Art. 21.5
DSU). If the ruling is not implemented the winning party may negotiate compensation
or otherwise is allowed to unilaterally suspend concessions in line with the principles
and procedures laid out in Art. 22.3 DSU. Generally, such suspension shall be
equivalent to the level of nullification or impairment; cross-retaliation is generally
possible. A dispute about the level of suspension can be referred to arbitration (Art.
22.6 DSU), in which case a single arbitrator may determine whether the level of
suspension is equivalent. Any suspension of concession shall only be upheld as long
as it is necessary.
Resit Examination 2016-2017
Instructions: Please write legibly. The first question counts for 60%, the second
question counts for 40%.

Question 1:
Erania is a WTO Member since the early days. In recent years the coffee consumption
increased rapidly, especially of Arabica coffee from WTO Member Coffenia. Erania’s
neighbouring country Norania however produces Robusta and Liberica coffee. In
order to support their neighbouring friends, Erania imposes a duty of 17% ad valorem
on Arabica coffee, while the duty on other coffee bean types remains at 2% ad
valorem. In its schedule of commitment, Erania has obligated itself to impose customs
on coffee no higher than 5%. Neither the schedule of commitment of Erania nor the
World Customs Organisation provide for different categorizations of coffee beans.
Erania still argues that consumers know the different types of coffee beans and choose
accordingly, which shows that the coffee beans are indeed different. Erania also points
to the fact that Robusta contains nearly double the amount of caffeine (2.7 %)
compared to Arabica (1.5%) and only half the concentration of sugar than Robusta.
Furthermore, green beans of Robusta is about half the price of Arabica green beans on
the commodity market.
Coffenia is furious about the different duties imposed by Erania. It is of the opinion
that all coffee beans should be treated equally no matter the bean. This is underscored
by the fact that Robusta and Arabica are mixed together in Italian style blends. As
Erania is an important export market and Coffenia is afraid the higher duties will lead
to disadvantageous for its coffee on Erania’s market, Coffenia wants to know from
you as the chief legal adviser in the ministry of economic affairs whether the different
duties violate Erania’s obligations under the GATT and what Coffenia could do in
order to ensure that Erania brings its customs system in compliance with the GATT.

Question 2:
Please discuss the differences and similarities between the GATT and the GATS along
the following questions: What is their scope of application? How to distinguish
between goods and services? What are the differences with regard to the obligations
under the GATT and GATS with regard to general and specific obligations? Further,
please explain briefly a schedule of commitment under the GATS. Do both
agreements provide for exceptions? And finally: can a Member bring a complaint of a
violation of GATT or GATS to the attention of the DSB?
2017-2018
 This is a True or False exam. For each question you are permitted only one answer
(True OR False). Indicate your choice on the attached answer sheet.
 You are allowed to use an un-annotated copy of the WTO Agreements.
 You must answer all the following questions. Note that each question is worth 2
points.
 Feel free to clarify or justify your answer to any of the questions in case of doubt
(e.g. you do not understand the question; you feel your answer needs clarification; or
you consider it impossible to answer the question with ‘True’ or ‘False’). You should
do this on the rightmost column of the answer sheet, or if you need more space, on the
back of the answer sheet indicating the question number. In case of an incorrect
answer, this clarification or justification, if correct, may be worth 2 points.
 You must use the answer sheet provided.
 This is a one-hour exam. Use the time available wisely. Read the questions very
carefully before answering them. Note the use of italics.

1. The most important and broadest of all multilateral trade agreements is the GATT
1994.
(1) True (2) False
2. Most important among the other sources of WTO law is WTO case law.
(a) True (b) False
3. The WTO law is not an integral part of international law; it is an independent body
of legal rules.
(a) True (b) False
4. Measures covered by Article I:1 of the GATT 1994 (the MFN treatment obligation)
cover only border measures.
(a) True (b) False
5. In a WTO dispute, panelists may be nationals of the parties unless the parties agree
otherwise.
(a) True (b) False
6. The GATT 1994 provides a definition of the concept of ‘like products’.
(a) True (b) False
7. The WTO Agreement is silent in regard to suspension and expulsion.
(1) True (2) False
8. Contributions to the WTO budget are determined on the basis of a Member’s Gross
Domestic Product (GDP).
(a) True (b) False
9. The term ‘like products’ as understood in Article III:2, first sentence, must be
interpreted narrowly.
(a) True (b) False
10. A customs duty, or tariff, on imports is a financial charge or a tax on goods, due
because of their importation.
(a) True (b) False
11. The only services not covered by the GATS are ‘services supplied in the exercise
of governmental authority’.
(a) True (b) False
12. A tariff concession, or a tariff binding, is a commitment not to raise the customs
duty on a certain product above an agreed level.
(a) True (b) False
13. Panels are ad hoc bodies established to adjudicate a dispute and dissolved once
they have done so.
(a) True (b) False
14. A product that is ‘like’ under Article III:2 of the GATT 1994 is also ‘like’ under
Article III:4 thereof, but a product that is ‘like’ under Article III:4 is not necessarily
‘like’ under Article III:2.
(a) True (b) False
15. Dispute settlement proceedings must always start with consultations.
(a) True (b) False
16. The Appellate Body may uphold, modify or reverse the legal findings and
conclusions of a panel.
(a) True (b) False
17. The national treatment obligation prohibits discrimination between foreign good,
services and service suppliers and domestic goods, services and services suppliers.
(a) True (b) False
18. Factors taken into account to determine the nature and extent of the competitive
relationship between and among products are limited to the physical characteristics of
the products and the tariff classification of the products.
(a) True (b) False
19. The prohibition of discrimination in Article II:1 of the GATS covers de jure as
well as de facto discrimination.
(a) True (b) False
20. The term ‘trade in services’ is defined as a supply of a service in one of the three
modes of supply: cross border, commercial presence and the presence of natural
person.
(a) True (b) False
21. In addition to the protection of the life or health of humans, animals or plants,
Article XX (b) of the GATT 1994 also covers environmental policy measures.
(a) True (b) False
22. The security exceptions of Article XXI of the GATT 1994 leave no discretion to
WTO Members.
(1) True (2) False
23. Customs duties and quantitative restrictions, whether on imports or exports, are
not prohibited under WTO law.
(1) True (2) False
24. Ad valorem duties are based on a unit of quantity such as weight (kg), length (m),
area (m2), volume (m3 or l) or numbers (pieces, pairs, dozens or packs) of that
product.
(1) True (2) False
25. The chapeau of Article XX of the GATT 1994 is identical to and the chapeau of
Article XIV of the GATS.
(1) True (2) False

Note: If you consider any of the propositions in questions 1-25 above confusing
and/or impossible to qualify as ‘true’ or ‘false’, feel free to explain on the right side of
your answer why this is the case. If you need more space you may use the back of the
answer sheet. Then please clearly indicate the number of the question(s) concerned. A
correct true/false answer is worth two points. No answer results in zero points for that
question.
Resit Examination 2017-2018
Title of Course: WTO Law
Name of Lecturer: Prof. Ardit Memeti

1. The GATT 1947 was a multilateral agreement on the reduction of tariffs and did not
establish an international organization for trade in 1948.
(1) True (2) False
2. Between the late 40s and the early 90s, the GATT was quite successful in reducing
customs duties of developed countries on industrial products.
(a) True (b) False
3. Most WTO Members grand direct effect in their national legislation to WTO law.
(a) True
(b) False
4. The terms ‘country’ or ‘countries’ as used in the WTO law are to be understood to
include only states.
(a) True (b) False
5. In a WTO dispute, the Members of the Appellate Body division hearing an appeal
may be nationals of either of the parties or of any third party to the dispute.
(a) True (b) False
6. The ‘Quad’ is composed of the United States, the European Union, China, Brazil
and India.
(a) True (b) False
7. Under Article XI:1 of the GATT 1994, WTO Members are not prohibited to apply
export duties and export quotas on their products.
(1) True (2) False
8. The primary purpose of the WTO dispute settlement system is to secure a positive
solution to a dispute through adjudication.
(a) True (b) False
9. The decisions of the Dispute Settlement Body are always taken by consensus. (a)
True
(b) False
10. The terms ‘like services’ and ‘like service suppliers’ raise less complicated
conceptual questions than the terms ‘like products’ in the GATT 1994.
(a) True (b) False
11. The prohibition of discrimination in Article II:1 of the GATS covers only de facto
discrimination.
(a) True (b) False
12. For the WTO dispute settlement to be activated, the respondent in a dispute must
accept the jurisdiction of the WTO system to settle the dispute at hand.
(a) True (b) False
13. WTO Members may appeal findings of law and legal interpretations in the Panel
Report, but not findings of fact.
(a) True (b) False
14.A product that is ‘like’ under Article III:2 of the GATT 1994 is also ‘like’ under
Article III:4 thereof, but a product that is ‘like’ under Article III:4 is not necessarily
‘like’ under Article III:2.
(a) True (b) False
15. Measures taken by non-governmental bodies can fall within the scope of
application of the GATS.
(a) True (b) False
16. Under the GATS, there are three modes of supply of services: cross-border supply;
commercial presence and presence of natural persons.
(a) True (b) False
17. Abuse of the general and security exceptions contained in Articles XX and XXI of
the GATT 1994 is prevented by means of the requirements contained in the chapeau
of each of those exceptions provisions.
(a) True (b) False
18. The list of societal values and interests in Article XX of the GATT 1994 is not
exhaustive, but merely illustrative.
(a) True (b) False
19. Measures under the exceptions of Article XX of the GATT should first meet the
requirements of the chapeau of Article XX.
(a) True (b) False
20. The Enabling Clause allows developing-country Members to grant preferential
tariff treatment to imports from developed countries and deviate from the MFN
treatment obligation.
(a) True (b) False
21. Safeguard measures are allowed when a surge in imports causes or threatens to
cause serious injury to the domestic industry.
(a) True (b) False
22. The security exceptions of Article XXI of the GATT 1994 do not leave a lot of
discretion to WTO Members.
(1) True (2) False
23. The principal purpose of the MFN treatment obligation is to ensure that internal
measures do not afford protection to domestic production.
(1) True (2) False
24. Compound or mixed customs duties are based on a unit of quantity such as weight
(kg), length (m), area (m2), volume (m3 or l) or numbers (pieces, pairs, dozens or
packs) of that product.
(1) True (2) False
25. In practice, all regional trade agreements comply with WTO law.
(1) True (2) False
2018-2019
Title of Course: WTO Law
Name of Lecturer: Prof. Piotr Szwedo

Questions:
1. Please indicate the main phases of dispute settlement procedure under WTO law. Is
it a judicial procedure? How decisions are enforced? Are the WTO dispute settlement
and enforcement mechanisms effective? What are the current challenges with its
functioning?
2. What are the particularities of trade in exhaustible natural resources under WTO
law? Do states have any capacity to regulate their export of petroleum, water and
“rare earths”.

Please indicate the main phases of dispute settlement procedure under WTO
law. Is it a judicial procedure? How decisions are enforced? Are the WTO
dispute settlement and enforcement mechanisms effective? What are the current
challenges with its functioning?

The full and correct answers should comprise the elements enumerated below.

Main dispute phases of dispute settlement procedures are the following:

1. Consultations – 60-days, possibility of mediation by Director General

2. Appointment of a panel – 45 days
2.1. Panelists
2.1.1. “well-qualified governmental and/or non-governmental individuals,
including
2.1.2. persons who have served on or presented a case to a panel,
2.1.3. served as a representative of a Member or of a contracting party to
GATT 1947 or as a representative to the Council or Committee of any
covered agreement or its predecessor agreement,
2.1.4. or in the Secretariat,
2.1.5. taught or published on international trade law or policy, or
2.1.6. served as a senior trade policy official of a Member.”
2.1.7. Not a citizen of a state-party to a dispute or a third party
2.2. Panel – 3 or exceptionally 5 members
2.2.1. Designed by parties or Director General
2.2.2. Independent from their governments
2.2.3. Paid from WTO budget
3. Procedure before the panel
 3.1. Oral hearing
3.2. Rebuttals
3.3. Third parties participation
4. Report
4.1. Final report circulating to the 2 parties to the dispute and in 3 weeks to all
WTO members; the panel may suggest how the measure could be made in
conformity with the WTO law
4.2. The report becomes DSB’s ruling within 60 days unless consensus rejects it
5. Appeal
5.1. Appellate Body – a permanent “world trade court”: the composition
5.1.1. 7 members – geographical differentiation
5.1.2. “The Appellate Body shall comprise persons of recognized authority,
with demonstrated expertise in law, international trade and the subject
matter of the covered agreements generally. They shall be unaffiliated
with any government. The Appellate Body membership shall be broadly
representative of membership in the WTO.”
5.1.3. Right to appeal – only parties to the dispute, not third parties
5.1.4. Only legal analysis
5.1.5. Report in 60, max 90 days
5.1.6. DSB adopts report in 30 days

Enforcement of decisions:

1. Implementation
1.1. Reasonable period of time if not practicable – possible arbitration
1.2. Verification of measures - art. 21.5 DSU
1.3. Negotiation on compensation if a country fails to implement
2. Retaliation
2.1. “Suspension of concessions”
2.2. Amount – arbitration art. 22.6 DSU
2.3. Cross-retaliation – arbitration
2.3.1. Lack of effective possibility to coerce on in the same sector or
agreement
2.3.2. Disproportion of economic potentials
2.3.3. TRIPS as an object of retaliation and difficulties of application

Are the WTO dispute settlement and enforcement mechanisms effective?

The mechanism is generally effective. Increasing number of cases as a prove states’

trust in the system and its efficiency. The enforcement mechanism is less effective.

What are the current challenges with WTO dispute settlement system?
1. Transparency of panel system – role of secretariat and experts
2. ‘Sanction deficit’ and the enforcement system
3. Appellate Body crisis provoked by lack of appointments.

Possible remedies/reforms are the following:

1. Roster of permanent panelists

2. Appellate Body – more members, longer term of office
3. Preventive retaliations
4. Retroactive calculation of retaliation
5. Possibility to sell the right to retaliate
6. Collective retaliation
7. Financial compensation

What are the particularities of trade in exhaustible natural resources under

WTO law? Do states have any capacity to regulate their export of petroleum,
water and “rare earths”?

States have the capacity to regulate their trade in natural resources but should not
use quotas: quantitative import/export restrictions as instruments of trade policies
(art. XI of the GATT). An exception related to “exhaustible natural resources” is
allowed but under strict conditions of art. XX of the GATT (chapeau and para. g).

Art. XI of the GATT provides: “No prohibitions or restrictions other than duties, taxes
or other charges, whether made effective through quotas, import or export licenses
or other measures, shall be instituted or maintained by any contracting party on the
importation of any product of the territory of any other contracting party or on the
exportation or sale for export of any product destined for the territory of any other
contracting party”.

 Tariffs applied on energy and petroleum usually very low, excise taxes
 Rather dictates of energy policy than a classical trade policy
 “Gentlemen’s agreement” not to bring petroleum issues in GATT context
 Petroleum disputes: US/environmental issues, e.g. US-gasoline,
discrimination of important gasoline

Art. XX (g) of the GATT provides:

“[s]ubject to the requirement that such measures are not applied in a manner which
would constitute a means of arbitrary or unjustifiable discrimination between
countries where the same conditions prevail, or a disguised restriction on
international trade, nothing in this Agreement shall be construed to prevent the
adoption or enforcement by any contracting party of measures: […]
(g) relating to the conservation of exhaustible natural resources if such measures are
made effective in conjunction with restrictions on domestic production or
consumption”.

Limitations of petroleum export is allowed if made with conjunction on domestic

production or consumption. The same principle applies to “rare earths” and the
argument based on state’s sovereignty over natural resources does not apply as
states have freely and voluntarily concluded international agreements which
mutually restrict their capacities to regulate trade.

The case is more problematic with water as it is not entirely clear if and
eventually how water becomes a good covered under international trade
agreements. For that reason the NAFTA countries made a declaration in 1993 which
prides that: “Unless water, in any form, has entered into commerce and become a
good or product, it is not covered by the provisions of any trade agreement,
including the NAFTA”. The status of this declaration is also not entirely clear under
art. 31 of the Vienna Convention on the law of treaties. It may constitute an
“interpretative declaration” and lead to emergence of states’ practice related to
water commercialization. At this stage the practice is varied: some states like Canada
are very restrictive about water trade, others like Turkey promote water export.
2019-2020
Title of Course: WTO Law
Name of Lecturer: Prof. Piotr Szwedo
Note: 24 hours, take-home assignment
Kindly carefully read the instructions before you attempt the exam.

Instructions:
1. The following is a take-home open book exam assignment. You may use your
notes, books and research on the internet to answer the questions. However, the
written answers must be only your own work and not copied from any other student
or source. If you quote, it must be clearly indicated and cited. Plagiarism will result in
automatic failure.
2. Please write at the top of the first page your name and student number. Please also
write your name on every page of the exam answers.
3. The answers should not be longer than 500 words in total length.
4. You have one day to submit your answers to Ms MA Anna. Kindly submit the
response no later than 20 June 2020, 18:00 hrs (Beijing time) to
teaching_cesl@cupl.edu.cn
5. Please follow the instructions below:
Email Title: the student number, name and course title (Chinese students’name shall
be written in pinyin).
For example: 1801300836-Zhou Yu-WTO Law.
Please do not send emails with different versions of the take-home assignment. The
submission shall only be done once. Any behavior that does not follow the
instructions may lead to the failure of submission.

Questions:
Please evaluate the model and effectiveness of the WTO dispute settlement system.
What are the reasons of its crisis? How can the crisis be solved?
Written exam 2020-2021 有 model answer
Part II: Case study question (10 points)
Utopia is a developed WTO Member. Its wealthy population has a growing interest in
extreme sports. This development has led to pressure on established Utopian sport
equipment as a result of competition from foreign products, particularly from
Northland (also a WTO Member).
Utopia has a traditional industry producing wooden handmade canoes, but this
product was rapidly losing market share to imported fibreglass kayaks, particularly
from Northland. Utopian consumers increasingly prefer kayaks, which are faster and
better suited to white- water conditions popular among extreme sporters. Under
pressure from its canoe industry, Utopia introduced a new tax system in terms of its
Cultural Items Protection Act, which subjects traditional handmade canoes to a 5%
sales tax and kayaks to a 20% sales tax. As a result of this tax measure, demand for
canoes has stabilised is even growing, and traditional canoeing is reviving as a sport.
Note that the Harmonised System classifies under heading 8903 all ‘yachts and other
vessels for pleasure or sports’ including kayaks and canoes. You may assume that no
foreign country, actually or potentially, exports traditional handmade canoes to
Utopia.
May Utopia impose the tax measure described above without violating its non-
discrimination obligations under WTO law? Identify which provision of WTO law is
relevant to the issues raised in this case and discuss whether this provision is violated
in the case at hand, providing a well-motivated answer, going through all the steps of
the relevant test and applying them to the facts of the case. Please incorporate the
relevant clarifications from WTO case law in your answer. Do not address the
question whether any possible violations may be justified under the general or
security exceptions in WTO law.
Page limit: maximum 2 A4 pages.

CESL - WTO Law

Written exam 2020-2021 – MODEL ANSWERS

Part I: Closed questions (10 points)

1. BC
2. A
3. A-4,B-3,C-2,D-1
4. AB
5. A
6. A
7. A
8. AE
9. AD
10. ADE

Part II: Case study question (10 points)

Start by identifying which non-discrimination obligation applies
MOST-FAVOURED-NATION TREATMENT
- no MFN issue in the case as it is explicitly assumed that no other country actually or
potentially exports traditional handmade canoes to Utopia -> no need to analyse
MFN
NATIONAL TREATMENT
- Art III:2 is relevant because Northland kayaks are being de facto discriminated
compared to (domestic) canoes by means of an internal tax (0.5 points for
identification of relevant provision)
- Art. III:2, 1 sentence (to be analyzed first) provides for the following test of
consistency:- is there an internal tax on products? - as the measure at issue is an
internal tax (sales tax) on products (canoes and kayaks) -> this criterion is met (1
point)
- are the products like?
- this provision requires a close competitive relationship between the compared
products (narrow scope of likeness) – Japan-Alcoholic Beverages II (1 point)
- to be determined by assessing:
physical characteristics of kayaks and canoes – they are similar in that they both are
small water vessels propelled by means of a paddle, but kayaks are made from
fiberglass and are faster while canoes are made from wood; (0,5 points)
end use – similar as both are for water sport or recreation but kayaks seem better
suited for whitewater conditions popular among extreme sporters as indicated in the
facts; (0,5 points)
tariff classification – the same as both products appear in the same tariff heading in
the Harmonised System of the WCO; (0,5 points)
consumer preferences – kayaks are increasingly preferred among extreme sporters
and Utopian consumers have been switching from canoes to kayaks showing a
preference for this product before the tax affected this (0,5 points)
Therefore: despite the similarities, because of the narrow scope of likeness in this
provision and the differences, it is likely that canoes and kayaks would not be
considered in a sufficiently close competitive relationship in Utopia to be found to be
‘like’ under this provision (0.5 points) [other reasonable arguments on the test of
likeness were accepted if they reflect an understanding of the narrow likeness test]
- are the foreign products (kayaks) taxed in excess of the like domestic products
(canoes)?
No difference in taxation to the detriment of foreign products is allowed, but here
foreign kayaks subject to a 20% tax while domestic canoes to a 5% tax -> foreign
kayaks are taxed in excess to domestic canoes (1 point)
[note: the last step must be completed even if products were argued to not be like,
as a panel in a dispute might not agree with the likeness analysis and if last step is
not completed, case is lost]
-> therefore, there is no breach of Art. III:2, 1 st sentence as the products at issue are
not like (closely competing)
[points were also awarded for the test under the first sentence even if the products
were (incorrectly) argued to be closely competing (like) and the conclusion was made
that that Art III:2 is violated, as long as this was well motivated.]
- As the products are not like in the narrow sense of Art. III:2, 1 st sentence, one must
check if they could fall under the broader 2nd sentence of the same article. It is
therefore necessary to proceed with the test under the second sentence. [note: it is
incorrect to skip the first sentence as only if the test under the first sentence is done
can one conclude that the second sentence must be applied]
The test of consistency:
- is there an internal tax? -? yes, see above
- are the products directly competitive or substitutable- this is a broader category
including products that are alternative means of satisfying the same need (0,5 points)
- given their previously mentioned rather similar physical characteristics, end use and
preferences of consumers, and despite the differences also mentioned above,
consumers in Utopia are clearly willing to switch from one product to another when
the former becomes more expensive (they have been switching from kayaks back to
canoes as a result of a higher tax imposed on kayaks)
- this means that kayaks and canoes are in a broader competitive relationship by
being alternative means of satisfying the same need of consumers in Utopia;
therefore they fall within the scope of this provision (1 point)
- are the products dissimilarly taxed? – some small difference in taxation (de
minimis) is allowed.
The size of the permitted tax difference is not defined and depends on the extent of
the competitive relationship between the compared products. However here the tax
differential is very large (foreign kayaks are subject to the tax four times higher than
domestic canoes)
-> therefore the products are clearly dissimilarly taxed (1 point)
- is the tax difference so as to afford protection to domestic production? – to be
assessed by looking objectively at the design, structure and the architecture of the
measure (the subjective intent is not relevant), here it is clear that products falling in
the lower tax bracket of 5% are mostly domestic canoes while foreign kayaks are
within the higher tax bracket -> yes, there is protectionism (1 point)
è Therefore there is a de facto breach of Art. III:2, 2nd sentence (0.5 points)
CESL - WTO Law Final Resit exam 2020-2021 有 model answer

INSTRUCTIONS

Analyse the case study below in terms of the specified rules of WTO law. Always give
reasoned argumentation and authority for your answers, applying the relevant articles in the
WTO Agreements and/or case law where relevant.
Make sure you address all the WTO provisions listed under (a) below, and choose one of the
two exceptions under (b)(i) or (b)(ii) below to apply. Please apply each of the criteria under
the relevant provisions to the facts of the case systematically to come to a well-founded
conclusion.

You have 24 hours to complete this exam. You may use any materials you find useful. The
maximum word limit is 1200 words.

The scope that WTO rules leave for WTO Members to pursue their national economic and
non-economic objectives is controversial, and has given rise to many disputes. A current
dispute reflecting this challenging issue is the following.

In 2018 the United States Trump administration raised the customs duties that the US
applies to steel imports to 25% ad valorem, and the customs duties it applies to aluminium
imports to 10% ad valorem. This was done using Section 232 of the Trade Expansion Act of
1962, enacted during the Cold War. Section 232 is entitled ‘Safeguarding National Security’
and it enables the US Secretary of Commerce to investigate the effects of imports on
national security, after consulting the US Department of Defense, and to issue a report to the
President, recommending action or inaction. The President then decides whether he concurs
with the findings of the Secretary of Commerce and if so, what action must be taken to
adjust import levels in the relevant product/s.

Section 232 explicitly recognizes the link between the economic welfare of the US and its
national security. It therefore requires that US Secretary of Commerce and the President take
into account the impact of import competition on the economic welfare of the relevant
industries, including loss of skills or investment, substantial employment, loss of revenue or
other serious effects resulting from the displacement of domestic products by imports. In the
past, Section 232 was rarely used, and when it was used the measures taken related to
petroleum products, the last one, before the current steel and aluminium tariffs, being the oil
embargo on Libya imposed by President Regan in 1982.

In 2018 the US Department of Commerce issued a report (the Steel Report) finding that the
growing influx of lower-priced foreign steel and aluminium products, which surged by 22%
in 2017, are causing widespread harm to US producers of these products and threatening
their viability. It found that this import surge was due to the unforeseen dramatic changes in
the steel industry since 2001, leading to global excess capacity of steel and aluminium.
When consulted, the US Department of Defense responded by stating that imports of foreign
steel and aluminium that are based on ‘unfair trading practices’ threaten US national
security, noting the importance of China in this regard. However, US Department of Defense
also noted that the US military’s need of steel and aluminium represents only 3% of US
production of these products and that it did not believe that the findings in the Steel Report
undermine the ability of the US military to acquire the steel and aluminium needed for
national defense requirements. It also expressed concern regarding the impact of the
proposed tariffs on the allies of the US, from which the US can currently source a stable and
secure supply of steel.

In 2018, on the basis of the Steel Report, then-US President Trump issued a number of
Proclamations, putting in place tariffs on steel imports of 25% ad valorem and on aluminium
products of 10% ad valorem. Note that the Goods Schedule of the US has a 0% ad valorem
tariff binding for both steel and aluminium products. These Proclamations further contained
certain exemptions, including that:
Specific countries (eg South Korea, Argentina, Brazil and Australia) were exempted from
the application of the steel and aluminium tariffs, on the basis of their agreement to accept a
maximum quota restricting their exports of these products into the US.

China and the EU, among others, have challenged the US imposition of the increased
tariffs on steel and aluminium products and their exemption,7 on the grounds that they
violate Articles I, II and Article XI of the GATT, and that these violations cannot be
justified under Article XIX of the GATT and the Agreement on Safeguards, nor under
Article XXI of the GATT. The US has responded that as it invokes Article XXI(b) to justify
its tariff increases, and that Article XXI is non-justiciable due to its self-judging nature. It
has expressed the view that it need not explain the national security concern that its
measures aim to address. Further the US states that as it did not invoke Article XIX, its tariff
increases are not safeguard measures and thus need not comply with the Agreement on
Safeguards. Panel proceedings are ongoing and an outcome is expected in the second half of
2021.

Analyse all the claims ((a) below) and one of the possible justifications ((b)(i) or (ii)
below) at issue in this dispute, reflecting the balance aimed at by WTO law between
protecting trade liberalization commitments and respecting the regulatory autonomy of
WTO Members. On the basis of the materials studied in this course, analyse the US tariff
increases on steel and aluminium products, and their exemption, by applying:

(a) the GATT obligations applicable to customs duties and quantitative restrictions
(Articles I, II and XI);
(5 points)

7
United States — Certain Measures on Steel and Aluminium Products, WT/DS548. Disputes on the same US
measures have also been brought by China (WT/DS544), India (WT/DS547), Canada (WT/DS550 – now
withdrawn), Mexico (WT/DS5451 – now withdrawn) , Norway (WT/DS552), Russian Federation (WT/DS5454),
Switzerland (WT/DS556), Turkey (WT/DS564).
 AND

(b) (i) the economic emergency exception (Article XIX of the GATT and the
Agreement on Safeguards);
OR
(ii) the GATT security exception (Article XXI(b)).
(5 points)

Resit Examination for 2020-2021 Master of European and International Law

Programme
Title of Course: WTO Law
Name of Lecturer: Prof. Denise Prévost
Note: 24 hours, take-home assignment
Kindly carefully read the instructions before you attempt the exam.

Instructions:
1. The following is a take-home open book exam assignment. You may use your
notes, books and research on the internet to answer the questions. However, the
written answers must be only your own work and not copied from any other student
or source. If you quote, it must be clearly indicated and cited. Plagiarism will result in
automatic failure.

2. Please write at the top of the first page your name and student number. Please also
write your name on every page of the exam answers.

3. The maximum word limit is 1200 words.

4. You have 24 hours to submit your answers to Ms MA Anna. Kindly submit the
response no later than 27 August 2021, 8am (Beijing time) to:
teaching_cesl@cupl.edu.cn and also annayuhuai@126.com

5. Please follow the instructions below:

Email Title: the student number, name and course title (Chinese students’ name shall
be written in pinyin).
For example: 1801300836-Zhou Yu- WTO Law
Please do not send emails with different versions of the take-home assignment. The
submission shall only be done once. Any behavior that does not follow the
instructions may lead to the failure of submission.
2021-2022
Title of Course: WTO Law
Name of Lecturer: Prof. Yenkong Ngangjoh Hodu

Questions:
This is not an open Book Exams
1. Critically discuss the requirements a WTO member should fulfil when making a
request for the establishment of a WTO Panel and why such request should be as
precise as possible.
2. Critically discuss the source of WTO law.

Question 1：
The first version:
The second version:
The third version：
Question 2:
The first version:
The second version:
The third version: