WTO体制下发展中国家成员特殊和差别待遇研究
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摘要
给予发展中国家一定的优惠待遇,其历史可以追溯到 GATT 建立之初。东京回
合以后,发展中国家的差别和优惠待遇逐渐作为一种制度予以确立。乌拉圭回合中,
发展中国家特殊和差别待遇(以下简称 “差别待遇”)在形式上演化为一个庞杂的
体系,相关内容反映在乌拉圭回合最后法律文件的各个协定之中。但是,乌拉圭回
合延续了东京回合的发展趋势,“差别待遇”在形式上从一种便利市场准入、维护
国际收支平衡的特殊权力演化为以给与发展中国家过渡期和提供技术援助为主要
形式的规则体系;在实质上则从一种提供贸易发展机会的机制演变为促使发展中国
家加入多边贸易体制并履行义务的手段。乌拉圭回合之后,“差别待遇”由于其功
能的变化实际上具有了过渡性和一种象征性。而且,不管是最初的第 18 条还是乌
拉圭回合中的“差别待遇”,相关条款的含糊性和所具有的最大努力性始终未能改
变。
发展中国家和发达国家之间发展的不平衡和“差别待遇”制度与 GATT/WTO 契
约性本质之间的冲突,决定了“差别待遇”有名无实的特质。其形式与实质的矛盾
反映了发展中国家与发达国家之间的斗争与妥协。
中国复关/入世过程中,一些西方发达国家不断制造障碍、抬高门槛,试图通
过否认我国发展中国家身份剥夺中国享受差别待遇的权利。为争取应有待遇,维护
权利与义务的平衡,我国进行了不懈的努力。然而,由于多方面的原因,我国虽然
基本维护了以发展中国家身份加入多边贸易体制的初衷却被迫做出了一些妥协,致
使中国在适用“条款”时存在一些法律上的障碍。这些法律障碍主要存在于农业、
纺织品等领域,涉及到反倾销、反补贴及保障措施等规则的运用。但是,“差别待
遇”本身存在的严重缺陷,部分抵消了我国所作让步带来的不利因素,如果对规则
运用得当可以进一步减小其负面影响。
本文分为上、中、下三篇。上篇阐述了多边贸易体制下发展中国家特殊和差
别待遇的产生、演进及发展趋势;中篇是对 WTO 体制下相关“条款”的解读、评价;
下篇阐述了中国加入多边贸易体制的过程中在享受“差别待遇”方面受到的阻碍及
为争取应有待遇所作的不懈努力,并探讨了面对这些法律障碍中国应采取的对策。
乌拉圭回合中,发展中国家被分为两类:发展中国家和最不发达国家。由于最
不发达国家总体上对自由化进程影响很小,一些差别待遇条款免除了其全部实质义
务。在篇幅有限的情况下,文章省略了对只适用于最不发达国家的相关条款的讨论。
在提到发展中国家时一般不包括最不发达国家。
The history of giving some special treatments to the developing country can
retrospect to the early age of the GATT. After the Tokyo Round, giving the special and
preferential treatment to developing country set up as a principle. During the Uruguay
Round, the Special and Differential Treatment of Developing Country Members (S&D)
evolved to a complicated system and embodied in the provisions of nearly every
agreements of the Final Act. But during the Uruguay Round, the S&D continued the
trend of the Tokyo Round and developed from a special right which had focused on the
protection of preferential market access and the balance of payment to a system
characterized by a wide range of delays, technical assistances, exemptions of certain
commitments etc; while in nature, it evolved from an engine of offering the opportunities
of trade development to an instrument of involving more developing countries into the
multilateral trade regime and fulfill their commitments. All in all, after the Uruguay
Round, the S&D has a characteristic of transitionalism and symbolism due to its changed
function. Besides, from the first preferential provision Article 18 to the S&D, the
provisions’ ambiguity and character of best effort has never changed.
The imbalances between the developing countries and the developed countries and the
conflict of the S&D and the contract nature of the GATT/WTO determined the
provisions’ titular in name but not in reality. Although in appearance it evolved into a
complicated system, its symbolic nature is obvious. The inconsistence of the appearance
and the nature reflects the differences and compromises of views of South and North.
In the process of China’s entering into the GATT/WTO, many western developed
countries tried to place obstacles in the road in order to lift up the threshold of the
entrance so as to deprive China of the right of using the S&D though denying her of
developing country statue. Although China fundamentally realized her intention of
entering into the GATT/WTO as a developing country, she had to concede in certain
conditions for several reasons. Consequently China cannot avoid some obstacles when
using the provisions of the S&D in the fields of Agriculture, Textiles and clothing,
safeguards and Anti-dumping etc. Since the deficiencies of the S&D partly offset the
negative aspects of the concession, the bad influence of the consequence can be further
diminished provide that China use the rules properly.
The paper is divided into three chapters: the first chapter discusses the history of the
S&D; the second explains and evaluates the provisions of the S&D; the third relates the
obstacles which were placed before China when she insisted her developing country
statue during the processes of entering into the GATT/WTO and the effort China exerted
to safeguard her right. The paper also attempted to give some advice on counter-measure
refer to the obstacles.
The developing countries in the Uruguay Round are divided into two categories, that is
the developing countries and the least developed countries (LDCs). Since the latter have
a little influence on the liberalizations, the S&D exempts some substantial commitments
of them. So the paper omits the discussion of the provisions, which only apply to the
LDCs. So the developing countries in the paper only refer to those who are not the LDCs.
合以后,发展中国家的差别和优惠待遇逐渐作为一种制度予以确立。乌拉圭回合中,
发展中国家特殊和差别待遇(以下简称 “差别待遇”)在形式上演化为一个庞杂的
体系,相关内容反映在乌拉圭回合最后法律文件的各个协定之中。但是,乌拉圭回
合延续了东京回合的发展趋势,“差别待遇”在形式上从一种便利市场准入、维护
国际收支平衡的特殊权力演化为以给与发展中国家过渡期和提供技术援助为主要
形式的规则体系;在实质上则从一种提供贸易发展机会的机制演变为促使发展中国
家加入多边贸易体制并履行义务的手段。乌拉圭回合之后,“差别待遇”由于其功
能的变化实际上具有了过渡性和一种象征性。而且,不管是最初的第 18 条还是乌
拉圭回合中的“差别待遇”,相关条款的含糊性和所具有的最大努力性始终未能改
变。
发展中国家和发达国家之间发展的不平衡和“差别待遇”制度与 GATT/WTO 契
约性本质之间的冲突,决定了“差别待遇”有名无实的特质。其形式与实质的矛盾
反映了发展中国家与发达国家之间的斗争与妥协。
中国复关/入世过程中,一些西方发达国家不断制造障碍、抬高门槛,试图通
过否认我国发展中国家身份剥夺中国享受差别待遇的权利。为争取应有待遇,维护
权利与义务的平衡,我国进行了不懈的努力。然而,由于多方面的原因,我国虽然
基本维护了以发展中国家身份加入多边贸易体制的初衷却被迫做出了一些妥协,致
使中国在适用“条款”时存在一些法律上的障碍。这些法律障碍主要存在于农业、
纺织品等领域,涉及到反倾销、反补贴及保障措施等规则的运用。但是,“差别待
遇”本身存在的严重缺陷,部分抵消了我国所作让步带来的不利因素,如果对规则
运用得当可以进一步减小其负面影响。
本文分为上、中、下三篇。上篇阐述了多边贸易体制下发展中国家特殊和差
别待遇的产生、演进及发展趋势;中篇是对 WTO 体制下相关“条款”的解读、评价;
下篇阐述了中国加入多边贸易体制的过程中在享受“差别待遇”方面受到的阻碍及
为争取应有待遇所作的不懈努力,并探讨了面对这些法律障碍中国应采取的对策。
乌拉圭回合中,发展中国家被分为两类:发展中国家和最不发达国家。由于最
不发达国家总体上对自由化进程影响很小,一些差别待遇条款免除了其全部实质义
务。在篇幅有限的情况下,文章省略了对只适用于最不发达国家的相关条款的讨论。
在提到发展中国家时一般不包括最不发达国家。
The history of giving some special treatments to the developing country can
retrospect to the early age of the GATT. After the Tokyo Round, giving the special and
preferential treatment to developing country set up as a principle. During the Uruguay
Round, the Special and Differential Treatment of Developing Country Members (S&D)
evolved to a complicated system and embodied in the provisions of nearly every
agreements of the Final Act. But during the Uruguay Round, the S&D continued the
trend of the Tokyo Round and developed from a special right which had focused on the
protection of preferential market access and the balance of payment to a system
characterized by a wide range of delays, technical assistances, exemptions of certain
commitments etc; while in nature, it evolved from an engine of offering the opportunities
of trade development to an instrument of involving more developing countries into the
multilateral trade regime and fulfill their commitments. All in all, after the Uruguay
Round, the S&D has a characteristic of transitionalism and symbolism due to its changed
function. Besides, from the first preferential provision Article 18 to the S&D, the
provisions’ ambiguity and character of best effort has never changed.
The imbalances between the developing countries and the developed countries and the
conflict of the S&D and the contract nature of the GATT/WTO determined the
provisions’ titular in name but not in reality. Although in appearance it evolved into a
complicated system, its symbolic nature is obvious. The inconsistence of the appearance
and the nature reflects the differences and compromises of views of South and North.
In the process of China’s entering into the GATT/WTO, many western developed
countries tried to place obstacles in the road in order to lift up the threshold of the
entrance so as to deprive China of the right of using the S&D though denying her of
developing country statue. Although China fundamentally realized her intention of
entering into the GATT/WTO as a developing country, she had to concede in certain
conditions for several reasons. Consequently China cannot avoid some obstacles when
using the provisions of the S&D in the fields of Agriculture, Textiles and clothing,
safeguards and Anti-dumping etc. Since the deficiencies of the S&D partly offset the
negative aspects of the concession, the bad influence of the consequence can be further
diminished provide that China use the rules properly.
The paper is divided into three chapters: the first chapter discusses the history of the
S&D; the second explains and evaluates the provisions of the S&D; the third relates the
obstacles which were placed before China when she insisted her developing country
statue during the processes of entering into the GATT/WTO and the effort China exerted
to safeguard her right. The paper also attempted to give some advice on counter-measure
refer to the obstacles.
The developing countries in the Uruguay Round are divided into two categories, that is
the developing countries and the least developed countries (LDCs). Since the latter have
a little influence on the liberalizations, the S&D exempts some substantial commitments
of them. So the paper omits the discussion of the provisions, which only apply to the
LDCs. So the developing countries in the paper only refer to those who are not the LDCs.
引文
中文工具书:
1. 对外贸易经济合作部国际经贸关系司译:《世界贸易组织乌拉圭回合多边贸易谈判结果法
律文本》,中英文对照,法律出版社 2000 年版。
2. 中国入世承诺法律文本解释编写组编写:《中国入世承诺法律文本解释》,中国民主法制出
版社 2002 年版。
3. 《中国入世工作组报告书》,摘自互联网。
中文译著:
4. 世界贸易组织秘书处编,索必成、胡盈之译:《乌拉圭回合协议导读》,法律出版社 2000
年版。
5. John? H? Jackson 著:《世界贸易体制----国际经济关系的法律与政策》,复旦大学出版社
2001 年版。
6. 伯纳德? 霍克曼、麦克尔? 考斯泰基著,刘平、洪晓东、许明德等译:《世界贸易体制的政
治经济学-----从关贸总协定到世界贸易组织》,法律出版社 1999 年版。
中文参考书:
7. 张向晨著:《发展中国家与 WTO 的政治经济关系》,(修订本)法律出版社 2002 年 6 月第 2
版。
8. 陈卫东著:《WTO 例外条款解读》,对外经济贸易大学出版社 2002 年 11 月版。
9. 赵维田著:《世贸组织(WTO)的法律制度》,吉林人民出版社 2000 年版。
10. 曾令良著:《世界贸易组织法》,武汉大学出版社 1996 年版。
11. 回沪明、赵松岭主编:《世贸组织国际著名专家谈----世界贸易组织(WTO)及其争端解决
经验》,中国方正出版社 2002 年版。
12. 朱榄叶编著:《世界贸易组织国际贸易纠纷案例评析》,法律出版社 2000 年版。
13. 余先予主编:《世贸组织法律规则与中国》,中国财政经济出版社 2001 年版。
14. 李小年编著:《WTO 法律规则与争端解决机制》上海财经大学出版社 2000 年版。
15. 张汉林著:《张汉林解读中国入世》,经济日报出版社 2002 年版。
16. 刑厚媛主编:《中国加入 WTO 法律文件解读》,人民日报出版社 2002 年 2 月。
17. 胡振杰、何平著:《世贸组织规则与我国新法律法规》,人民法院出版社 2002 年版。
18. 任泉著:《WTO 知识全书》,经济日报出版社 2000 年版。
19. 邓志能著:《WTO 例外规则》,广西民族出版社 2001 年版。
20. 胡虎林、俞振华等编著:《WTO 法律知识读本》,工商出版社 2001 年版。
21. 冯军、龚柏华主编:《WTO 案例集》,上海人民出版社 2002 年版。
22. 王新奎等著:《中国:发展中国家与 WTO》,上海远东出版社 2000 年版。
23. 何茂春著:《中国入世承诺要点及政策法律的调整》,中国物资出版社 2002 年版。
24. 李本森编著:《WTO 与国际服务贸易法律实物》,吉林人民出版社 2001 年版。
25. 李圣敬等编著:《WTO 与国际货物贸易法律实物》,吉林人民出版 2001 年版。
94
中文文章:
26. 姜作利:《论 WTO 争端解决机制对发展中国家成员的特殊规定及中国的对策》,载于《世界
贸易组织动态与研究》2002 年第 3 期。
27. 陶正华、王晓晔:《欧盟反倾销法及其对中国的影响》,载于《法学评论》99 年第 3 期。
28. 程国强:《中国农业补贴现状》,中国农网。
29. 《世界贸易组织与发展中国家》, WTO 信息网。
30. 雯子:《中国入世 15 年解密》,摘自互联网。
外文书目:
31. Bhagirath Dal Las,The WTO Agreement : Deficiencies, Imbalance and Required
Changes.1998. Published by Zed Books ltd.
32. John? Croome,Reshaping the World Trading System----The history of The Uruguay
Round.1999. KLUWER LAW INTERNATIONAL.
外文文章:
33. John Whalley,CSGR Working paper No.30/99 Special and Differential Treatment in
the Millennium Round. http://www.warwick.ac.uk/fac/soc/CSGR/wpapers/wp3099.PDF
34. Guide to The Eyropean Union’s Scheme of Generalised Tariff Preferebces. http://
europa.eu.int
35. Contantine Michalopoulos,The Role of Special and Differential Treatment for
Developing Countries in the World Trade Orgnization.
http://econ.worldbank.org/docs/1143.pdf
36. International Trade Date Systems(ITDS), Generalised System of Prefernce.
http://www.itds treas.gov/gsp.html
37. Chakravarthi Raghavan, Agriculture Liberalization needs to address socio-economic
effects. http://www.twnside.org.sg/title/et0118.htm
38. Doha Ministerial Draft,special and Differential Treatment.
http://www.un.int/unitar/trade_campus/trade_doha_s&d.htm
39. Antero Hyv?rinen, The Changing Pattern of International Trade in Textiles and
Clothing/ Implications of the Introduction of the Agreement of Textiles and
Clothing(ATC) on The Developing Countries Producing/Exporting Textiles and
Clothing.http: www.twnside.org.sg/title/et0118.htm
40. Textiles: A Test Case of One-Side Liberalisation. Worldgrowth.org/trade>clothing
and TMB notifications
41. Martin Khor,A New WTO Round would hurd developing nations.
http://www.twnside.org.sg/title/et0118.htm
42. Trade Working Paper:Issues Regarding The Reviews of the WTO Dispute Settlement
Mechanism. http://www.southcenter.org/pubications/trade/trade-01.htm
43. Hesham Youssef,Special and Differential Treatment for Developing countries in the
WTO (TRADE Working Papers).
http://www.southcentre.org/publications/s&d/toc.htm
44. H.E.Jayen Krishna Cuttaree, Rules Issues and Special and Differential Treatmant.
http://www.dse.de/ef/wto02/cuttaree.htm.
95
45. Statement of Dan Glickman, Secretary of Agriculture Before the House Committee on
Agriculture. Washington, D.C. June 23, 1999
http://www.fas.usda.gov/info/speeches/CT062399.html
46. Who are the developing Country in the WTO?
http://www.wto.org/english/tratop_e/devel_e/d1who_e.htm
47. Manuela Tortora, Notes on Special and Differential Treatment.
http://www.un.int/unitar/trade_campus/trade_s&d.htm
48. Martin Khor, Why developing countries cannot afford new issue in the WTO Seattle
Conference. http://www.sunsonline.org/trade/wther/marinG77.htm
49. Munir Akram, Implementation Concerns—A Developing Country Perspective.
http://www.southcentre.org/info/southbulletin/bulletin06/bulletin06.htm
参考的主要网站:
50. http://www.warwick.ac.uk
51. http:// europa.eu.int
52. http://econ.worldbank.org
53. http://www.itds treas.gov/gsp.html
54. http://www.twnside.org
55. http://www.un.int
56. http://Worldgrowth.org
57. http://www.southcentre.org
58. http://www.dse.de
59. http://www.fas.usda.gov
60. http://www.wto.org
61. http://www.un.int
62. http://www.sunsonline.org
1. 对外贸易经济合作部国际经贸关系司译:《世界贸易组织乌拉圭回合多边贸易谈判结果法
律文本》,中英文对照,法律出版社 2000 年版。
2. 中国入世承诺法律文本解释编写组编写:《中国入世承诺法律文本解释》,中国民主法制出
版社 2002 年版。
3. 《中国入世工作组报告书》,摘自互联网。
中文译著:
4. 世界贸易组织秘书处编,索必成、胡盈之译:《乌拉圭回合协议导读》,法律出版社 2000
年版。
5. John? H? Jackson 著:《世界贸易体制----国际经济关系的法律与政策》,复旦大学出版社
2001 年版。
6. 伯纳德? 霍克曼、麦克尔? 考斯泰基著,刘平、洪晓东、许明德等译:《世界贸易体制的政
治经济学-----从关贸总协定到世界贸易组织》,法律出版社 1999 年版。
中文参考书:
7. 张向晨著:《发展中国家与 WTO 的政治经济关系》,(修订本)法律出版社 2002 年 6 月第 2
版。
8. 陈卫东著:《WTO 例外条款解读》,对外经济贸易大学出版社 2002 年 11 月版。
9. 赵维田著:《世贸组织(WTO)的法律制度》,吉林人民出版社 2000 年版。
10. 曾令良著:《世界贸易组织法》,武汉大学出版社 1996 年版。
11. 回沪明、赵松岭主编:《世贸组织国际著名专家谈----世界贸易组织(WTO)及其争端解决
经验》,中国方正出版社 2002 年版。
12. 朱榄叶编著:《世界贸易组织国际贸易纠纷案例评析》,法律出版社 2000 年版。
13. 余先予主编:《世贸组织法律规则与中国》,中国财政经济出版社 2001 年版。
14. 李小年编著:《WTO 法律规则与争端解决机制》上海财经大学出版社 2000 年版。
15. 张汉林著:《张汉林解读中国入世》,经济日报出版社 2002 年版。
16. 刑厚媛主编:《中国加入 WTO 法律文件解读》,人民日报出版社 2002 年 2 月。
17. 胡振杰、何平著:《世贸组织规则与我国新法律法规》,人民法院出版社 2002 年版。
18. 任泉著:《WTO 知识全书》,经济日报出版社 2000 年版。
19. 邓志能著:《WTO 例外规则》,广西民族出版社 2001 年版。
20. 胡虎林、俞振华等编著:《WTO 法律知识读本》,工商出版社 2001 年版。
21. 冯军、龚柏华主编:《WTO 案例集》,上海人民出版社 2002 年版。
22. 王新奎等著:《中国:发展中国家与 WTO》,上海远东出版社 2000 年版。
23. 何茂春著:《中国入世承诺要点及政策法律的调整》,中国物资出版社 2002 年版。
24. 李本森编著:《WTO 与国际服务贸易法律实物》,吉林人民出版社 2001 年版。
25. 李圣敬等编著:《WTO 与国际货物贸易法律实物》,吉林人民出版 2001 年版。
94
中文文章:
26. 姜作利:《论 WTO 争端解决机制对发展中国家成员的特殊规定及中国的对策》,载于《世界
贸易组织动态与研究》2002 年第 3 期。
27. 陶正华、王晓晔:《欧盟反倾销法及其对中国的影响》,载于《法学评论》99 年第 3 期。
28. 程国强:《中国农业补贴现状》,中国农网。
29. 《世界贸易组织与发展中国家》, WTO 信息网。
30. 雯子:《中国入世 15 年解密》,摘自互联网。
外文书目:
31. Bhagirath Dal Las,The WTO Agreement : Deficiencies, Imbalance and Required
Changes.1998. Published by Zed Books ltd.
32. John? Croome,Reshaping the World Trading System----The history of The Uruguay
Round.1999. KLUWER LAW INTERNATIONAL.
外文文章:
33. John Whalley,CSGR Working paper No.30/99 Special and Differential Treatment in
the Millennium Round. http://www.warwick.ac.uk/fac/soc/CSGR/wpapers/wp3099.PDF
34. Guide to The Eyropean Union’s Scheme of Generalised Tariff Preferebces. http://
europa.eu.int
35. Contantine Michalopoulos,The Role of Special and Differential Treatment for
Developing Countries in the World Trade Orgnization.
http://econ.worldbank.org/docs/1143.pdf
36. International Trade Date Systems(ITDS), Generalised System of Prefernce.
http://www.itds treas.gov/gsp.html
37. Chakravarthi Raghavan, Agriculture Liberalization needs to address socio-economic
effects. http://www.twnside.org.sg/title/et0118.htm
38. Doha Ministerial Draft,special and Differential Treatment.
http://www.un.int/unitar/trade_campus/trade_doha_s&d.htm
39. Antero Hyv?rinen, The Changing Pattern of International Trade in Textiles and
Clothing/ Implications of the Introduction of the Agreement of Textiles and
Clothing(ATC) on The Developing Countries Producing/Exporting Textiles and
Clothing.http: www.twnside.org.sg/title/et0118.htm
40. Textiles: A Test Case of One-Side Liberalisation. Worldgrowth.org/trade>clothing
and TMB notifications
41. Martin Khor,A New WTO Round would hurd developing nations.
http://www.twnside.org.sg/title/et0118.htm
42. Trade Working Paper:Issues Regarding The Reviews of the WTO Dispute Settlement
Mechanism. http://www.southcenter.org/pubications/trade/trade-01.htm
43. Hesham Youssef,Special and Differential Treatment for Developing countries in the
WTO (TRADE Working Papers).
http://www.southcentre.org/publications/s&d/toc.htm
44. H.E.Jayen Krishna Cuttaree, Rules Issues and Special and Differential Treatmant.
http://www.dse.de/ef/wto02/cuttaree.htm.
95
45. Statement of Dan Glickman, Secretary of Agriculture Before the House Committee on
Agriculture. Washington, D.C. June 23, 1999
http://www.fas.usda.gov/info/speeches/CT062399.html
46. Who are the developing Country in the WTO?
http://www.wto.org/english/tratop_e/devel_e/d1who_e.htm
47. Manuela Tortora, Notes on Special and Differential Treatment.
http://www.un.int/unitar/trade_campus/trade_s&d.htm
48. Martin Khor, Why developing countries cannot afford new issue in the WTO Seattle
Conference. http://www.sunsonline.org/trade/wther/marinG77.htm
49. Munir Akram, Implementation Concerns—A Developing Country Perspective.
http://www.southcentre.org/info/southbulletin/bulletin06/bulletin06.htm
参考的主要网站:
50. http://www.warwick.ac.uk
51. http:// europa.eu.int
52. http://econ.worldbank.org
53. http://www.itds treas.gov/gsp.html
54. http://www.twnside.org
55. http://www.un.int
56. http://Worldgrowth.org
57. http://www.southcentre.org
58. http://www.dse.de
59. http://www.fas.usda.gov
60. http://www.wto.org
61. http://www.un.int
62. http://www.sunsonline.org
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