世界贸易组织（World Trade Organization, WTO）是当今世界最重要的政府间国际经济组织之一，与国际货币基金组织（IMF）和世界银行集团（World Bank Group）一起，构成了当代协调世界经济的三大支柱。相比而言，由于WTO在国际经济关系上协调的范围更广、影响力更大，而且具有不断向新领域拓展的职能，因而被誉为“世界经济领域的联合国”。中国作为WTO的正式成员，既要享受应有权利，充分利用半个多世纪以来以GATT/WTO为核心形成的多边贸易体制和贸易自由化的优秀成果，参与世界市场经济全球化的发展进程；又要承担相应义务，切实履行我国政府在入世谈判中的对外承诺，恪守WTO的基本规则和各项协定。因此，研究WTO有关规则、学习WTO专业知识、掌握WTO基本理念、培养WTO专业人才，成为摆在我们面前的一个长期的重要任务。
正是在这样的背景下，近年来，世界贸易组织（WTO）及其法律规则成为我国高等院校若干专业竞相开设的课程，而且，在国际法学、国际经济与贸易、商务英语等专业中，WTO及其法律规则的课程往往作为双语课程开设，纷纷进行双语课程建设。这就迫切需要一本有关WTO及其法律规则的双语教材，但要编写出一本好的教材是一项艰巨的任务。几年之前，在我国刚刚入世之际，笔者曾主编出版过作为国内第一部WTO英文读物的《WTO英文选读》（与刘光溪博士合作），一度被不少院校选作教材，而事实上该书并不是一本教材，也难以满足各方对教材的需要。曾拟改版为教材，但始终未能动笔。上海作为我国的经济中心城市，正在根据国家战略致力于国际经济、金融、贸易、航运等四个中心建设；上海市非常重视国际经济贸易专业高级人才的培养，把外贸经济本科教育列为上海市十大教育高地之一进行建设，而《WTO规则与运作》即是这一高地建设中的标志性教材之一，遂有今日之本书，名《WTO法律规则（英文版）》（Legal Rules of the World Trade Organization）。
笔者领受《WTO法律规则》双语教材的编撰任务之后，经过一定的准备工作，即展开了具体的编写工作。而且，在2007年9月至12月期间，作为国家留学基金委和上海金融学院联合资助的访问学者，笔者赴美学习考察了美国高校的金融法、国际商法以及WTO法律规则的教学研究情况，在位于洛杉矶地区的美国圣伯纳迪诺加州州立大学（California State University at San Bernardino，CSUSB）等高校进行了近四个月的学习交流。特别是，CSUSB 及UC Riverside的法律博士Gary D. Patterson Gary 教授是本领域的知名专家，经过多次交流、研讨，我邀请他参加了本书体系的研讨和部分内容的编撰。于是，在本人原来已有工作的基础上，我与Gary D. Patterson博士合作完成了这本《WTO法律规则（英文版）》（Legal Rules of the World Trade Organization）双语教材的编著工作。
本教材主要是根据高等院校国际经济与贸易专业《WTO法律规则》双语课程教学的要求而编写，兼顾了法学专业、商务英语、国际金融等专业相关课程教学的需要，同时也可以作为社会各界，特别是与WTO业务相关或对WTO业务感兴趣的专业人士，训练使用英语研究WTO有关法律文件，阅读WTO英文原著文章，用英文处理WTO实际问题的精读材料；可以作为WTO各类专业人才系列培训、研讨活动的教材或参考资料，以及WTO法律英语爱好者的自学教材。本书在内容体系上，既考虑了世界贸易组织（WTO）概论课程的特点，又努力满足WTO法律规则与实务课程的需要，试图找到介绍WTO概况与探讨其法律制度的某种平衡，因此是一个探讨和尝试。本书的编写得到了华东政法大学、复旦大学、上海外国语大学、上海财经大学、上海外贸学院、上海金融学院等高校、研究机构的专家学者的大力支持，在此表示衷心感谢。同时，在本书编写过程中，我们参考了大量的国内外中英文的论著、教材等学术文献，以及WTO官方网站的公开资讯，鉴于本书教材性质，引注或者挂一漏万，在此向广大专家学者表示衷心感谢。
由于水平有限，时间仓促，不足甚至错讹之处在所难免，真诚欢迎批评指正，不吝赐教。电子邮箱:zhangxs@shfc.edu.cn或drzxs@yahoo.cn或cnzxs@xinhuanet.com。
张学森
Dr. Xuesen ZHANG
2008年5月于上海浦东花木
作者简介
Xuesen Zhang
LL．D，East China University of Political Science and Law，Arbitrator，Senior Economist，Associate Professor of Law，Director of the Law Faculty
Shanghai Finance University
Gary D．Patterson
J．D，Western State University College of Law at Fullerton，Professor，California State University at San Bernardino，Adjunct Professor，University
Of California at Riverside
书摘
Content
Chapter One Theoretical Basis of the WTO
1.1 The Theory of Comparative Advantage
1.1.1 Basics of the Theory
1.1.2 Historical Overview
1.1.3 David Ricardo's Numerical Example
1.1.4 The Ricardian Model — Assumptions and Results
1.2 The Theory of Market Economy
1.2.1 Spontaneous Order or “Invisible Hand”
1.2.2 Free Market Economy
1.2.3 Government Intervention
1.2.4 Criticism of Market Economy
1.3 The Theory of Sustainable Development
1.3.1 Scope and Definitions
1.3.2 History of Sustainable Development as a Policy Concept
1.3.3 The Earth Summit and Environmental Sustainability
1.3.4 WTO and Sustainable Development
CASE STUDY
CS 1.1 True Meaning and Intuition of the Theory of Comparative Advantage
CS 1.2 Chinas Market Economy Status (MES)
Chapter Two Development of the WTO
2.1 Basics of the WTO
2.1.1 The WTO in Brief
2.1.2 The Multilateral Trading System
2.1.3 The GATT Years: from Havana to Marrakesh
2.2 Development of the WTO
2.2.1 The 1947 GATT Agreement
2.2.2 GATT Multilateral Trade Negotiation Meetings
2.2.3 Uruguay Round and the World Trade Organization
2.3 The Organization of the WTO
2.3.1 Introduction to WTO Organization
2.3.2 WTO Organization Chart
2.3.3 Membership, Alliances and Bureaucracy
2.3.4 The Secretariat Chart
2.3.5 Special Policies
2.4 China and WTO
2.4.1 Chinas WTO Entry
2.4.2 The RightandDuty Balance in the WTO
CASE STUDY
CS 2.1 Doha Development Round
Chapter Three Basic Principles of the WTO
3.1 Reciprocity
3.1.1 Two Folds of Reciprocity
3.1.2 WTO Rules of Reciprocity
3.1.3 Theoretical Interpretation of Reciprocity
3.2 Nondiscrimination
3.2.1 Mostfavourednation (MFN)
3.2.2 National Treatment:Treating Foreigners and Locals Equally
3.3 Liberalization of Trade
3.3.1 Liberalization for Goods
3.3.2 Liberalization for Services
3.3.3 Limits to Liberalization
3.4 Transparency
3.4.1 Introduction to Transparency
3.4.2 Publication and Administration of Trade Regulations
3.4.3 Transparency Rules for GATS
3.4.4 Transparency Rules for TRIPS
3.4.5 Trade Policy Review Mechanism (“TPRM”)
CASE STUDY
CS 3.1 MFN Exception: Promotion of Regional IntergrationCustom Unions111
CS 3.2 National Treatment
Chapter Four Trade in Goods
4.1 Basics of Trade in Goods
4.1.1 GATT 1994
4.1.2 Interpretation of GATT 1994 Articles
4.1.3 Basic Principles of the GATT 1947/1994
4.2 Tariff Concessions
4.2.1 Tariffs: More Bindings and Closer to Zero
4.2.2 Tariff Cuts
4.2.3 More Bindings
4.2.4 Tariffs and Agriculture
4.3 Nontariff Measures
4.3.1 Standards and Safety
4.3.2 Import Licensing: Keeping Procedures Clear
4.3.3 Rules for the Naluation of Goods at Customs
4.3.4 Preshipment Inspection: a Further Check on Imports
4.3.5 Rules of Origin
4.3.6 Investment Measures: Reducing Trade Distortions
4.4 Trade in Specific Products
4.4.1 Textiles and Clothing
4.4.2 Information Technology Agreement
CASE STUDY
CS 4.1 Sanitary and Phytosanitary Measures
CS 4.2 Safeguard
Chapter Five Agriculture Agreement
5.1 Basics of Trade in Agriculture
5.1.1 New Rules
5.1.2 Market Access
5.1.3 Domestic Support
5.1.4 Export Subsidies: Limits on Spending and Quantities
5.1.5 The Leastdeveloped and Those Depending on Food Imports
5.2 Understanding the Agriculture Agreement
5.2.1 Introduction
5.2.2 Market Access
5.2.3 Domestic Support
5.2.4 Export Competition/Subsidies
5.2.5 Other Issues
5.2.6 Net FoodImporting Developing Countries
5.2.7 Summary
5.3 The Agriculture Negotiations
5.3.1 The Doha Mandate
5.3.2 The Current Negotiations
CASE STUDY
CS 5.1 apan — Import Quotas on Dried Laver and Seasoned Laver (DS323)
CS 5.2 European Communities — Protection of Trademarks and Geographical Indications for Agricultural Products and Foodstuffs (DS174, 290)
Chapter Six Trade Remedy Measures
6.1 Safeguards
6.1.1 Safeguards: Emergency Actions for Imports of Particular Products
6.1.2 Conditions to Apply Safeguards
6.1.3 Summary of Safeguards
6.2 Subsidies and Countervailing Duties
6.2.1 Article XVI Subsidies
6.2.2 Types of Subsidies
6.2.3 GATT — Subsidies and Countervailing Duties
6.2.4 Countervailing Measures
6.2.5 Summary
6.3 AntiDumping and AntiDumping Duties
6.3.1 Article VI AntiDumping and AntiDumping Duties
6.3.2 Determination of Dumping
6.3.3 Summary on Dumping and AntiDumping Measures
6.4 Escape Clauses: General and Security
6.4.1 Article XX: General
6.4.2 Article XXI: Security
CASE STUDY
CS 6.1 AntiDumping — Like Product
CS 6.2 Escape Clause
Chapter Seven Trade in Services
7.1 Basics of Trade in Services
7.1.1 Definition of Trade in Services
7.1.2 Main Purpose of the GATS
7.1.3 Basic Principles
7.1.4 GATS Annexes
7.2 Understanding the GATS
7.2.1 A Summary of GATS
7.2.2 Liberalization of Trade in Services
7.2.3 Structure of the GATS
7.2.4 Legal Rules of GATS
7.3 Trade in Financial Services
7.3.1 Decision on Financial Services
7.3.2 Understanding on Commitments in Financial Services
CASE STUDY
CS 7.1 The United States — Measures Affecting the CrossBorder Supply of Gambling and Betting Services (WT/DS285)
CS 7.2 Canada — Certain Measures Concerning Periodicals (DS31)
Chapter Eight Intellectual Property Rights
8.1 Basics of Intellectual Property Rights
8.1.1 Definition of Intellectual Property Rights
8.1.2 Acquitisition of Intellectual Property Rights
8.1.3 Transfer of Intellectual Property
8.1.4 Licensing Agreement
8.2 The TRIPS Agreement
8.2.1 Main Features of the Agreement
8.2.2 Certain General Provisions
8.2.3 Geographical Indications
8.3 Standards of Protection
8.3.1 Copyright and Related Rights
8.3.2 Trademarks
8.3.3 Geographical Indications
8.3.4 Industrial Designs
8.3.5 Patents
8.3.6 LayoutDesigns of Integrated Circuits
8.3.7 Protection of Undisclosed Information
8.3.8 Control of AntiCompetitive Practices in Contractual Licences
8.4 International Protection of Intellectual Property Rights
8.4.1 International Institutions
8.4.2 Bilateral Agreements
8.4.3 Multilateral Comprehensive Conventions
8.4.4 TRIPS Agreement
CASE STUDY
CS 8.1 India — Patent Protection for Pharmaceutical and Agricultural Chemical Products (DS50)
CS 8.2 European Communities —Protection of Trademarks and Geographical Indications for Agricultural Products
Foodstuffs (WT/DS174, 290)
Chapter Nine Other New Issues of the WTO
9.1 Trade and Environment
9.1.1 Trade and Environment in the WTO
9.1.2 WTO Rules and Environmental Policies
9.1.3 Related Work in the WTO
9.1.4 Trade and Climate Change
9.2 Labor Standards and the WTO
9.2.1 Introduction
9.2.2 Definition and Scope of Labor Standards
9.2.3 Effects of Labor Standard
9.2.4 An Alternative Route
9.2.5 Conclusions
9.3 Trade and Competition Policy
9.3.1 Interaction Between Trade and Competition Policy
9.3.2 Investment and Competition
9.3.3 Working Group on the Interaction Between Trade andCompetition Policy (WGTCP)
CASE STUDY
CS 9.1 The TunaDolphin Dispute
CS 9.2 The United States — Import Prohibition of Certain Shrimp and Shrimp Products
Chapter Ten Procedural Rules of the WTO
10.1 DecisionMaking Mechanism
10.1.1 DecisionMaking: Article IX of the WTO Agreement
10.1.2 Amendments: Article X of the WTO Agreements 10.1.3 Accession to the WTO and NonApplication: Article XII and Article III
10.1.4 The WTO in Global Economic PolicyMaking
10.2 Trade Policy Review
10.2.1 General Introduction
10.2.2 Trade Policy Reviews and Transparency
10.2.3 Trade Policy Review Mechanism
10.3 Dispute Settlement Mechanism
10.3.1 Introduction to the DSM of the WTO
10.3.2 Practices of Dispute Settlement
10.3.3 The Panel Process
10.3.4 More about the Dispute Settlement Procedure
CASE STUDY
CS 10.1 WTO Step by Step in the Settling of Disputes
CS 10.2 The U.S. and Venezuela Case — Timetable in Practice
CS 10.3 An Example of Dispute Settlement Documents
Annex I Agreement Establishing the World Trade Organization
Annex II Protocol on the Accession of the People's Republic of China
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