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WTO Law Course notes-END

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第五章 反倾销法律制度
 第一节 反倾销实体法
1. 倾销(dumping)是指出口商以低于正常价值的价格向进口国销售产品,并因此给进口国产业造成损害的行为。
2.倾销的构成要件
1) 出口价格低于正常价值;
2) 造成损害;
3) 倾销与损害之间有因果关系。
3.出口价格的确定(1994年《反倾销协议》):
1) 实际支付价格,
2) 进口产品首次转售给独立买主的价格,
3) 推算价格
4.正常价值的确定:
1) 出口国国内价格,
2) “第三国出口价格”确定法,
3) 推算价格
5.倾销幅度(Dumping Margin)
 第二节 反倾销程序法
申诉或自行发动:一般由声称受到损害的利害关系方提出申请或由主管机关自行发动

立案:对申请人进行资格审查,是否为国内产业或代表国内产业

调查:问卷调查,实地调查,听证会调查,抽样调查

初裁:

终裁:倾销幅度、损害程度

价格承诺:

行政复审:期中复审,期满复审,新出口商复审

司法审查

第六章 反补贴法律制度
1. 补贴(subsidy)是指,在一成员领土内,政府或任何公共机构提供的财政援助、任何形式的收入或价格支持,从而向接受者授予利益的行为。
2. 补贴的种类
可申诉补贴(又称黄色补贴);
不可申诉补贴(又称绿色补贴,其适用条件为:(1)非专向性,(2)专向但符合特定的条件,如对企业研究开发活动的援助、对落后地区的援助);
禁止补贴(又称红色补贴)
3.补贴的特征:政府补贴,财政补贴,企业受益

第七章 保障措施法律制度
1. 保障措施是指,当一成员关税减让造成进口产品大量增加,以致对国内生产造成严重损害或严重损害威胁,该成员可以实施临时性限制进口措施,以保护其相关产业。
2.保障措施的实施条件
1) 进口产品的数量增长(包括绝对增长和相对增长);
2) 对成员境内的相同或直接竞争的产品或产业造成严重损害或严重损害威胁;
3) 增长须为不能预见的情况和该进口国方在WTO协定项下承担包括减让在内的义务所致。
3.保障措施适用程序:1、调查;2、通知;3、磋商。
4.保障措施适用限制。
量的限制,即不应低于有代表性的最近3年的平均进口水平;
时间限制,即要求是临时的,不应超过弥补损失合理时间(协议规定为4年,延长不超过8年,发展中国家最长不超过10年);
非歧视实施;
应给予补偿,或对他方有利的产品作出减让,实行关税减让。

第十章 国际服务贸易的法律制度
1.服务是指以提供活劳动(脑力或体力)的形式来满足他人需要并索取报酬的活动。
2. 国际服务贸易是指,各种类型的服务在不同国家国民之间,不同国土之间进行的交易。它包括:不同国家国民之间的服务贸易;不同国土之间的服务贸易。
3. 服务的协定类型。《服务贸易协定》列举了四种类型的服务。
1) 跨境提供,即自一成员境内向另一成员境内提供的服务。
2) 过境消费,即在一成员境内向另一成员消费者提供服务。
3) 商业存在,即一成员服务提供者在另一成员境内以商业存在的形式提供服务。
4) 自然人存在,即一成员服务提供者以自然人的身份在另一成员境内提供服务,如演员、教师。
4.服务的学理类型
1) 国际追加服务,伴随货物贸易,如生产阶段、设备租赁、保养维修及销售阶段的售后服务。
2) 国际核心服务,即与货物买卖无关的服务。它可分为:面对面服务;远程服务。
5.服务贸易特征
1) 无形性、同步性。服务贸易不可储存、瞬间完成。
2) 对象的特殊性。不仅包括服务而且包括服务提供者,而货物贸易仅指货物本身,不考虑主体的国籍。
3) 管理和控制的方式独特性。服务贸易不是通过海关管理,而是通过国内的法律法规来实现。
4) 扩大市场准入方式的特殊性。与货物贸易不同,服务贸易不是通过关税降低而是通过约束成员政府的政策、法律法规的限制。
6.市场准入制度(market access),即一国允许外国的货物、服务和资本进入本国国内市场,参与市场竞争的法律允诺。
7.各成员限制服务市场准入政策及法律的内容
1) 开业权的限制。禁止在某一部门(如金融、保险、邮电通讯业)设立商业存在或自然人存在。
2) 经营权的限制。经营权限制表现为:1、限制商业存在的形式,如合资、合作(保险、咨询、广告);2、限制业务范围;3、限制开业地区。
3) 税收歧视。表现为:1、对商业存在、自然人存在征收额外的费用,相当关税;2、对过境消费收取较高费用。
4) 补贴。对本国服务提供者采取补贴措施(运输、电信、教育、医疗卫生、电业服务部门)
5) 外汇管制。限制购买(通过间接方式如限制兑换)、限制汇出。
6) 公民出入境限制。限制服务提供者(自然人)入境,如工程承包、劳务输出。
7) 政府官员行为
8. GATS成员的主要义务
1) 一般性义务。(最惠国待遇MFN,透明度原则)
2) 具体承诺。仅适用于承诺开放的部门,如市场准入、国民待遇。
第十一章 与贸易有关的知识产权协定( TRIPs协定)
1.TRIPs协定首次将知识产权保护纳入了多边贸易体制,首次在国际公约中明确表示保护未披露信息权,首次承认计算机软件和电影作品的出租权。
2.TRIPs协定的保护对象:版权与邻接权;商标权;地理标识权;工业品外观设计权;专利权;集成电路布图设计权;未披露消息权。
 第三节  与贸易有关的知识产权的最低保护要求
一、专利权
(一)保护对象的规定。目前,国际上关于专利权的立法有两种形式,即否定式和肯定式。1、否定式。否定式立法只规定什么不授予专利,大多数国家都采用这种立法模式;2、肯定式。这种立法模式只规定什么可以取得专利,如美国。
(二)协定规定的最低保护标准。1、只要符合专利条件,所有技术领域,不论是产品还是制造产品的加工方法,都可以授予专利;2、专利人享有的基本权利为:制造权、使用权、销售及进口权。
二、版权
与贸易有关的知识产权对版权保护的最低标准为:1、对版权的保护对象作了规定,即(1)所有《伯尔尼公约》中的文学作品;(2)计算机软件和数据编辑作品。2、对权利范围的规定,即(1)《伯尔尼公约》中的一切经济权利;(2)首次承认计算机软件和电影作品的出租权。3、该协定对精神权利不保护。
三、商标
《与贸易有关的知识产权》除了要求成员遵守《巴黎公约》关于商标保护的最低标准外,还提出了普遍有效的商标定义。关于商标的最低保护标准为:1、遵守《巴黎公约》对商标权的保护的最低标准;
2、对商标提出了普遍有效的法律定义;3、对商标权人的权利进行了规定,即独占权和禁止商标的强制转让;4、对撤销商标的时限作了规定,即至少连续3年未使用;5、将对驰名商标的保护扩大到不相类似的商品和服务
四、地理原产地标志
(一)地理原产地标志的观念。地理原产地标志是指,当一种商品的质量、声誉或其他特征在实质上取决于原产地域的地理因素时,表明这种商品来源于某成员方领土或该领土的某一地区或某一地点所采用的指示。
(二)WTO成员的基本义务。必须提供手段,以防止因地理标识的使用而在产品的地理来源上误导公众或构成不正当竞争。
五、工业品外观设计
对于新的或原创性的、独立创造的工业外观设计,成员必须给予至少10年的保护期。
六、集成电路
要求WTO成员根据1989年《IPIC条约》对集成电路的外观设计提供保护。
七、未公开信息
《与贸易有关的知识产权》是第一个明确要求其成员保护未公开信息包括商业秘密的国际协议。协议规定,成员方必须阻止他人未经权利人同意,以违反诚实商业做法的方式取得和使用权利人已采取了合理的保密措施,并具有商业价值的未经泄露的信息。

第十二章 与贸易有关的投资措施协议(TRIMs)
Ⅰ投资措施的种类
(一)投资激励措施
1、国内税减让,即东道国政府为吸引外国投资向外国投资者提供诸如所得税减免等国内税收方面的优惠措施。
2、关税减让。即东道国政府为吸引外国投资向外国投资者提供的零部件、原材料和投资设备进口方面的关税优惠待遇。
3、补贴。即东道国为吸引外国投资向外国投资者提供的一切间接或直接补贴。
4、投资转让。指东道国为吸引外资将不国投资部分或全部无偿或低于原投资额转让给外国投资者。
(二)经营要求措施
1、当地股权要求。指导东道国政府要求外国投资企业或项目中必须有东道国政府、企业或私人参股,或限制外资企业在其投资企业或项目中的持股比例。
2、许可证要求。即东道国政府要求外国投资者必须向东道国转让专利许可。
3、汇款限制。指东道国为防止外国投资者向国外转移在资金而限制后者将款项汇出东道国。
4、外汇管制。即东道国政府限制外国投资者将自己持有的本国货币兑换成自由兑换的货币。
5、制造界限。指东道国政府为避免外资企业所生产的产品与本国产品竞争,而要求外资企业不得生产某些特定的产品。
6、技术转让。即东道国政府要求外国投资者必须转让某项技术给东道国。
7、国内销售要求。指东道国政府要求外国投资者必须将其一定数量的产品以低于国际市场的价格在东道国国内销售。
8、制造要求。即东道国政府为加快进口替代,要求外国投资者专门生产某些品种的产品。
9、产品指令要求。指东道国政府为防止外国投资者通过国际卡特尔分割或独占本国市场,要求外资企业生产特定产品,并应出口一定比例的产品。
10、贸易平衡要求。指东道国为防止外汇净流出,要求外国投资企业为进口所需的外汇不得超过其出口额一定比例。
11、当地成分要求。即东道国政府为保持其外汇收支平衡,要求外国投资企业必须购买一定数量的东道国产品作为其自身的生产投入。
12、出口要求。指东道国要求外国投资者必须将其一定比例的产品用于出口。
13、进口替代要求。即东道国政府要求外国投资企业必须符合其进口替代发展战略的需要。

第十四章 WTO争端解决机制 (DSM)
 第一节 GATT争端解决机制的内容及实践
一、关贸总协定的争端解决机制的核心内容(第22条与第23条)
(一)磋商(Consultation)是指,当一缔约方因另一缔约方的行为或某一情势发生,其根据协定直接或间接所享有的利益正在丧失或减损时,其有权要求与该另一缔约方进行磋商,以寻求满意的解决方法。
(二)第23条的规定。1、对利益丧失或减损的规定;2、对缔约方全体解决争端的程序的规定;3、对争端解决的宗旨的规定,即争端解决的目的不是为了制造报复或制裁的利器,而是为了维持各缔约方权利和义务的平衡(这可以从第23条第1款第3项的“其他情形”的规定中可以看出)。
二、关贸总协定争端解决机制的制度化历程
关贸总协定的争端解决机制经历了一个由不成熟到成熟的发展过程。具体表述为:1、一开始由缔约方全体来解决争端(这是在20世纪50年代以前);2、到了20世纪50年代初,争端则由缔约方全体交由一个工作组调查,提出报告,报缔约方全体年度会议批准通过,工作组由争端双方和第三方代表组成;3、在1952年挪威与德国关于沙丁鱼进口案中,开始由专家组来处理争端,从此,专家组处理争端成了关贸总协定争端解决机制的习惯做法。
三、关贸总协定争端解决机制的缺陷
到WTO成立时,关贸总协定在其48年间,一共只裁定了250个案件。之所以这样,是因为其存在不可克服的缺陷。具体表现为:
1、机制缺乏法律地位和组织保障;
2、机制缺乏统一性;
3、机制缺乏必要的强制力;
4、缺乏效率性;
5. 机制的“权力导向型”;
6.机制奉行协商一致原则(正向一致)
 第二节 WTO争端解决机制概述
1.流程
磋商(必经程序)

设立专家组

组成专家组(30日)

审理

报告(草案)

中期评审程序

最终报告

上诉(60-90日)

报告

DSB通过
2.WTO争端解决机制 DSM
3.WTO争端解决机构 DSB
4.WTO争端解决机制的管辖范围(一揽子协定):《关于建立世界贸易组织的协定》、多边贸易协定、附件四规定的诸边贸易协定。
5.WTO争端解决机制的特点:
1) 设立了专门的争端解决机构;
2) 确立了对争端的强制管辖权;
3) 增加了上诉程序;
4) 规定了争端解决各个阶段的时限;
5) 加强了对裁决的执行力度;
6) 规则导向型。
第三节 磋商
1.磋商请求的提出:
主体:驻WTO大使
形式:书面请求
内容:所争论的措施、起诉的法律依据
2.磋商的时限
收到请求之日起10天内作出答复;
在收到请求之日起不超过30天的期限内与请求方开始磋商
在收到磋商请求之日起60天内结束本程序
3. 磋商的形式
单独磋商
共同磋商:分别或联合提出请求;加入式
4. 磋商的法律效果:权利的启动,义务的结束。
第四节 专家组的审理
第五节 上诉审程序
1. 上诉机构的性质:常设机构
7位专家;3人审理案件;4年一任,可连任。
2. 审理范围:法律审
法律适用
法律解释
3. 上诉期限:60-90天
第六节 其他问题
WTO争端解决机制DSM的缺陷:
专家组非常设性
反向一致原则的使用(未充分考虑败诉方意见;通过的表现流于形式)
很难避免“乒乓球”游戏
第十一章 世界贸易组织与中国
第一节  加入世界贸易组织对中国的影响
一、加入世界贸易组织是有利于中国的战略选择
第一、有利于塑造中国良好的国际形象,为中国经济发展创造一个良好的国际环境。
第二、有利于中国加入经济全球化的进程
经济全球化是各国、各地区经济日益融合,相互影响、相互制约日益加深的状况和进程
第三、有利于产业结构调整
第四、有利于政治体制改革
二、中国加入WTO坚持的原则是 :
(1)如果没有中国的参加,世界贸易组织是不完整的
(2)中国必须以发展中国家的身份加入世界贸易组织
(3)中国加入世界贸易组织,愿意承担我们的义务,但是,权利和义务必须平衡

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WTO Law Course notes-Chapter 4

第四章 非关税措施的法律制度(NTB

Ø  第一节 1994GATT有关非关税措施的内容

1.     非关税措施的作用:

1)        正面:维护安全

2)        阻碍作用:壁垒

2.     壁垒的表现:

1)        非透明

2)        歧视

3)        不按标准进行

4)        侵害商业秘密

5)        不按标准核实价格

Ø  第二节 技术性贸易壁垒协议(Agreement on Technical Barriers to Trade, TBT协议)

1.技术贸易壁垒(TBT),主要是指商品进口国家所制定的那些强制性和非强制性的商品标准、法规和检验商品合格性判定所形成的贸易障碍。

2.技术法规是指强制执行的有关产品的性能、特征或相关的工艺和生产方法以及如何适用的规定。

3.标准是指经公证机构批准的、非强制执行的供通用或重复使用的产品或相关工艺和生产方法的规则、指南,包括适用于产品、产品的工艺、生产方法的专门术语、符号、包装、标志或标签要求。

4.技术性贸易壁垒的表现:

1)        歧视方式实施技术标准和技术条例;

2)        各国技术标准的差异构成的壁垒;

3)        因不能迅速适应技术规格而失去市场;

4)        检测、检验手续而使货物增加贸易成本。

Ø  第三节 实施动植物卫生检疫的协议

Ø  第四节 海关估价协议

1. 海关估价是由海关确定应税货物的价值,进而决定应征收关税的数额。

2.主体:进口商出口商(为限制出口商品纳税时)、海关

3.对象:进出口货物

4.目的:确定关税价格

5. 海关估价的方法。目前,大多数按照从价税混合税(既按从价税又按从量税征收)的方式课征关税。

6.完税价格的方法。

1)        成交价格(实际或应付);

2)        相同货物的成交价格;

3)        相似货物的成交价格;

4)        无特殊关系买方支付的相同或类似货物的单价;

5)      计算价格。

这些方法应按顺序进行,海关无权颠倒。但进口商就45两种进行选择。

Ø  第五节 装运前检验协议

1. 装运前检验是指货物进入进口国前对其质量数量价格进行检验核实的行为。

2. 装运前检验主要是发展中国家实施的,因为发展中国家的外汇短缺,海关缺乏检验的设施和经验,因此,对发展中国家来说,装运前检验主要是监督交易价格,为防止外汇流失而提供法律依据。

Ø  第六节 进口许可程序协议

Ø  第七节 原产地规则协议

1.原产地是指与产品的生产地有关的产品的法定国籍。

2.原产地规则是指任何成员方为确定货物原产国而实施的法律、法规及普遍适用的行政命令。

3.原产地规则协议的意义。

1)        它是最惠国待遇和国民待遇的依据;

2)        在反倾销中确定国内价格的依据;

3)        是反倾销、反补贴以及保障措施对象确定的依据;

4)        是配额分配实现的标准;

5)        是优惠措施实施的依据;

6)        是统计的需要。

4.原产地标准(Origin Criterion)可分为完全原产地产品标准(Wholly Obtained Product)和实质性改变标准(Substantial Transformation)。

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WTO Law Course notes-Chapter 3

第三章 世界贸易组织法的基本原则

 第一节 最惠国待遇原则(Most-Favored-Nation Treatment, MFN)
1.最惠国待遇是给惠国给予受惠国或与之有确定关系的人或物的待遇不低于给惠国给予第三国或与第三国有相同关系的人或物的待遇。
2. 最惠国待遇原则具有两大特点:
1)多边化;
2)无条件性;
3.最惠国待遇原则的理论意义和价值
1)非歧视待遇对于尽量减少市场扭曲具有良好的促进作用,并可以促进自由贸易的发展;
2)最惠国待遇会带来贸易自由化政策的自动普及;
3)最惠国待遇有利于贸易实力弱小的国家;
4)最惠国待遇原则意味着所有国家都应适用统一的规则,有效地减少花费在制定规则上的资源,并提高规则透明化的程度;
5)最惠国待遇可以有效降低国际贸易的交易成本;
6)最惠国待遇可以对于各国国内某些特殊利益集团进行有效制约。
4.最惠国待遇例外:一般例外;安全例外;关税同盟和自由贸易区例外;普惠制;豁免条款。
5.与GATT1947中的最惠国待遇的区别
其区别主要包括:1、GATT1947中的最惠国待遇原则仅限于货物贸易领域,而WTO中最惠国待遇原则则适用所有协议,包括货物贸易协议、服务贸易协议、与贸易有关的知识产权协议、与贸易有关的投资措施协议以及非关税壁垒措施协议等;2、GATT1947中的最惠国待遇原则不适用非关税壁垒。
 第二节 国民待遇原则(National Treatment)
1.国民待遇原则通常是指缔约方一方保证缔约另一方的公民、企业和船舶在本国境内享受与本国公民、企业和船舶相同的待遇。在国际经济关系中,国民待遇是指一国在经济活动和民事权利方面给予其境内的外国国民不低于其给予本国国民享受的待遇。
 第三节 透明度原则(Transparency)
1.透明度原则是指,政府对其制定的与贸易有关的法律、法规、行政措施和行政命令以及执行和实施的程序、标准和规则必须及时公开,未经公开不得实施。
2.透明度原则的主要内容
1)政府制定的与贸易有关的法律、法规、行政措施和行政命令公布以后才能实施。
2)执行和实施的程序、标准和规则要公开。
3.透明度原则适用的例外
1)货物贸易中的机密资料。
A.可能妨碍法令的贯彻执行;
B.可能有损于公共利益;
C.有损于公私企业正当的商业利益。
2)服务贸易中机密资料。
A.可能有损于公共利益;
B.有损于公私企业正当的商业利益。
3)与贸易有关的知识产权中的机密资料。与货物贸易相同。

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Basic Rights

    The Constitution, as ratified in 1788, contains a few provisions guaranteeing individual right and liberties. For example, Article Ⅰ, Section 9 prohibits the suspension of writ of habeas corpus except in cases of rebellion or invasion; Article Ⅲ, Section 2 guarantees trial by jury in criminal cases except in cases of impeachment; Article Ⅵ, Section 2 prohibits the use of religious test as a qualification for public office.

    The power structure of the federation serves as an additional safeguard for individual rights and liberties. First, by dividing the federal power among the three governmental branches and by providing for checks and balances, the Constitution limits possible misuse of power and protects the rights and liberties of the individual. Second, by granting the powers enumerated in the Constitution, express or implied, and by denying those not granted, the Constitution makes the goverment of the United States one of limited powers and, as a result, the demands the government can make of the individual are limited.

    However, during the battle over the ratification of the Constitution, the states strongly objected to the fact that the Constitution did not contain a bill of rights. These states proposed amendments. From these came the first ten amendments to the Constitution, known as the “Bill of Right”. The Bill of Rights today is the main source of basic rights. It guarantees, among other things, the freedom of expression, the freedom of the press, the freedom of religion, the right to assembly, the right to be seure in one’s home, the right to bear arms, the right to due process in judicial and administrative proceedings.

    The due process clause of the Fifth Amendment is particularly worth nothing. It guarantees that no person “shall be deprived of life, liberty, or property without due process of law”. Due process of law is thought to mean that any law that potentially can deprive one of life, liberty or property should contain certain basic procedures to assure fairness. Such procedures include an impartial hearing, the right to appeal, the right to call witnesses on one’s be half, the right to have a lawyer argue one’s case, and the right to a speedy and public trial in criminal cases. There rights are generally considered to be the sorts of safeguards needed to assure fairness in carrying out laws that would have devastating consequences for an individual.

    At the time of its adoption, the Bill of Rights was intended to serve as a restriction only upon the national government. However, the Fourteenth Amendment, adopted in 1868 at the end of the Civil War for the main purpose of protecting blacks in their newly won freedoms, contains two most important provisions in its first paragraph. It prohibits the states from depriving any person of life, liberty, or property, without due process of law or denying any person… the equal protection of the laws. These two clauses, at the time when they became part of the Constitution, did not inclube the specific rights enumerated in the Bill of Rights. However, these rights are considered so fundamental that most of them have been incorporated through judicial interpretation into the Fourteenth Amendment Due Process Clause. Today, the individual rights guaranteed by the Bill of Rights which limits the federal government, through judicial incorporation into the Fifth Amendment Due Process clause it now binds the federal as well as state governments.

    Federal legislation is also a source of basic rights. The Voting Rights Acts in the fifties, sitxties and seventies of the 20th century, for example, are direct efforts by Congress to implement the Equal Protection Provision. Very often, however, Congress relies on other legislative powers in combating racial discrimination. Thus, Congress has used its commerce power to remedy discrimination in public accommodations. It has also used the spending power to cut off federal funds to grantees who discriminate.

    In an age of massive government, the task of securing individual rights and liberties becomes especially difficult. How to reconcile the competing demands for liberty and equality from different interest groups? How to provide sufficient protection for minortity and individual right in a majoritarian democracy? Does the Constitution only impose negative prohibitions or does it also impose affirmative duties on the government? Are the constitutional provisions addressed only to government officials or do they apply to private individuals or institutions? What are the proper roles of the courts, the legislature and the executive in resolving these problems? These are the questons confronting America i defining and redefining basic rights.

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Federal-State Relations

Independence from England left the thirteen American states without a central government. Each of them functioned as an autonomous unit. Even under the Articles of Confederation, the states retained their sovereignty. However, as a necessary compromise for the formation of the union, the states that sent their delegates to the constitutional convention at Philadelphia in 1787 yielded a portion of their sovereign powers to the new federal government. The national government thus became responsible, in the main, for the common defense, public peace, regulation of commerce, and foreign relations. And to carry out these functions, the national goverment was given the taxing power and other necessary and proper powers.

    There was no precedent for the dual system of government which the American established in 1789. Consequently, defining and redefining the relationship between the nation and the states has been an ever present problem in American constitutional development.

    Federal-state relationships are shaped by two cross-cutting doctrines used by the court: the preemption doctrine and the abstention doctrine. THe preemption doctrine is implied in the supremacy clause of Article VI of the Constitution. It applies to matters which are considered to have such a national character that federal laws must supercede state laws with regard to them. This is the case when Congress exercises its powers enumerated in the Constitution, as it does by conflicts with a valid federal law, the courts will invalidate the state law because it is preempted by a comparable federal law.

    However, when a particular subject matter is neither explicitly delegated to the federation by the Constitution, nor prohibited by it to the states, the 10th amendment provides that it is then reserved to the states. From this derives the abstention doctrine, under which federal courts relinquish jurisdiction in certain circumstances in order to avoid needless friction with  the administraton of state affairs.

    Although the powers granted to the Congress were stated i nthe Constitution, the scope of these powers has been a matter of debate for over two centuries. Over the years the Supreme Court has tended to give a broad interpretation of certain general clauses in the Constitution. The “Interstate Commerce Clause”, for example, has become a source of extensive federal labor and social welfare law and even of statutes dealing with racial discrimination. Similarly, the “Necessary and Proper Clause”, which has now become a source of implied federal powers, has led to a far-reaching extension of the express legislative powers.

    The economic and social development of the country has also contributed to the expansion of federal power. In recent years, areas which were once under state control, such as agriculture, mining , manufacturing, and labor, have eventually given way to national control when transportation systems and economic markets assumed a national character. Over time, much of intrastate commerce has become interstate commerce. Thus, the general trend has been toward increasing the powers of the federation and diminishing the powers of the state.

    However, the courts have agreed that the most essential power inherent in the government of the state is the police power. This power includes all those general laws and internal regulations necessary to secure the peace, good order, health and prosperity of the people, and the regulation and protection of property rights. Since the police power has never been surrendered to the federal government, the primary responsibility for the protectoin of the health, welfare and morals of the people remains with the states.

    From today’s perspective, the concept and role of federalism has undergone great changes since 1787. As social problems grow more complex, as they cross state boundaries, and as demands for the rights of national citizenship become more intense, the demand for action by the national government grows. On the other hand, there has been a recent emphasis on returning power to the states and localities. The dilemma, however, is essentially the same as it was two centuries ago: how to prevent accumulation of power while at the same time assure the efficient performance of government function?  

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The Institutions of Government

    Constitutional law, in its essentials, is an expression of how people want to live as individuals within an organized society. What form of government they want? What powers shall the government exercise? What rights and liberties shall remain with the people? By what mechanisms are these rights and liverties protected?

    The federal constitution, ratified in 1788 by the original thirteen states and thus today the oldest operative constitution in the world, is the core of the American legal system. It establishes the governmental structure of the federation, regulates the relationship between the federation and the member states, and lays down the basic rights of the American people.

    The first three articles of the constitution separate the power of the government among the three governmental branches: the executive (the president and the federal agencies and departments under him), the legislative (the Congress), and the judiciary (the Supreme Court and the inferior federal courts).

The President

    The president functions as head of state and chief of government. As head of state, he grants recognition to new foreign states, receives and appoints ambassadors and concludes state treaties; as chief of the armed forces.

    The president conducts the activities of the administration with the help of his Cabinet. Cabinet members (secretaries of the departments and other officials with cabinet rank) are appointed by the President (and thereafter confirmed by the Senate), and are subject to dismissal by him alone; they are not members of the Congress.

    The president is not subject to any legislative control for his political acts. There is no vote of no confidence which can force him to resign. The only legislative control is the president’s possible removal from office by means of the impeachment procedure. This is possible only upon “conviction of treason, bribery, high crimes and misdemeanors”.

    The President and the Vice-President (the latter also serves as President of the Senate) are nominated by party congresses and are elected by the people in an indirect election which is separate from congressional elections. The term of office is four years and reelection is limited to one additional term.

The Congress

    All legislative powers are vested in the Congress, which consists of the senate and the House of Representatives.

    Section 8 of Article I of the Constitution enumerates the legislative powers of the Congress in specified subject matter areas. These inclube, among others, interstate and foreign commerce, federal taxation, currency, postal service, declaraton of war, establishment of armed services, maritime law, bankruptcy, patent and copyright. Besides, Congress also has the power to make laws which shall be necessary and proper for carrying into executon the foregoing powers.

    All statutes except treaties are adopted by simple majority of both Houses of Congress. Proposals for statutes ( bills ) may be introduced in either House. HOwever, the federal budget, financial allocation in general, and impeachment must originate in the House of Representatives. Statutes enter into force after they have been signed by the president or at the time specified in them. If vetoed by the president, a statute must be passed anew by a two-thirds majority in both houses before it enters into force.

    Members of Congress are elected by their respective constituencies in a direct election, senators for a term of six years and members of the House of Representatives for a term of two years. Reelection is permissible for both offices without limitation. Senators represent their respective states and are elected in a general election. Representatives represent districts within a particular state. These districts are called election districts, which, according to constitutional case law, must have the same population in order to assure the constitutional principle of ” one-man one-vote”.

The Supreme Court

    The Supreme Court was established by the Constitution. It consists of nine justices appointed for life by the president with the advice and consent of the Senate. Its jurisdiction as a court of first instance is limited by the constitution. Its jurisdiction as an appellate court as well as the establishment of inferior federal courts derive from federal legislation.

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Appeal and Enforcement

Every judicial system provides for review by an appellate court of the decisions of the trial court. When the system has two levels of appellate courts, appeal in  most cases should initially be made to one of the intermediate courts, review at the highest level is only at the discretion of that court except in certain classes of cases.

In making the decision to appeal, a party may take into consideration the following points: First, in general an appeal may be taken only after final judgment. Though in the course of trial the judge may make all kinds of errors, no appeal may be taken until the final judgment has been rendered, except in a limited number of situations. A second thing to remember is that an appellate court is suppposed to correct errors, not to render what it thinks is a more just result in the particular case. If the trial judge made a mistake of law and it seems that the mistake affected the outcome, the appellate court will reverse the judgment and order a new trial. If, however, the trial judge has not made any mistakes, but the result does not seem just, the trial judge has not do anything about it. A third important point is that appellate courts in general do not review lower court decisions on matters of fact; review is ordinarily limited to questions of law, unless the appellate court thinks there is no substantial evidence to support the determination in question. Lastly, the appellate court will not ordinarily consider objecions that were not first presented to the trial court and kept in the record. This means that a litigant must raise his objections at the first opportunity and is not permitted afterthoughts.

Most states provide that the appellant must, within specified times after judgment is entered, give notice of appeal to the trial court and opposing parties, file an appeal bond to guarantee to pay costs that may be charged against him on appeal, and file with the clerk of the appellate court a transcript. The transcript shall contain the record of the testimony, a copy of the judgment, decree or order appealed from, and other papers relevant to the appeal.

The paries present their contentions to the appellate court by written briefs and in addition, in most cases, by oral argument, the court prepares a written opinion stating the applicable law involved and giving the reasons for its decision. The court, by its decision, may affirm or reverse the court below, or may remand the case for a new trial. After this, the dissatisfied party may request a rehearing or a further review of the case.

After the appeal and whatever further proceedings that may take place, or, if no appeal is taken, when the time for appeal expires, the judgment is final. It cannot be challenged in another proceeding.

After judgment becomes final, if the losing party does not voluntarily comply with it, the judgment creditor will apply for a writ of execution. This writ directs the sheriff to seize the personal property of the judgment debtor and to sell enough thereof to satisfy the judgment and to cover the costs and expenses of the sale. If the proceeds from such sale do not produce sufficient funds to pay the judgment, the unpaid judgment creditor is entitled to have the real estate of the debtor sold at a judicial sale and to have the net proceeds of the sale applied on the judgment. He also has a judicial lien on any real property acquired by the debtor during the life of the judgment. This is much more common than you think, many of the houses for sale in Dayton recently have gone through this process after the mortgage crash.

An unpaid judgment creditor can also “garnish” the wages of the debtor or his bank account or any other obligations owing to the latter from a third party. In the process of garnishment, the person owing the money to the judgment debtor will be directed to pay the money into court rather than to the judgment debtor, and such money will be applied against the judgment debt.

A plainftiff who fears that the defendant will dispose of his property before the court is able to enter a final decision will use the method of attachment. By attachment, the plaintiff has the property of the defendant seized, pending the outcome of the lawsuit.

Execution, garnishment and attachment proceedings are governed by state statutes. These statutes exempt certain property from execution and garnishment and provide methods for defendant to set aside attachment.

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WTO Law Course notes-Chapter 2

第二章 世界贸易组织的运行机制

Ø  第一节 加入和退出机制

1.成员方资格的取得

根据《建立WTO协定》,WTO成员可以是主权国家,也可以是作为国际组织的欧共体,以及独立的对外商业关系地区(单独关税区),如香港和澳门。WTO成员分创始成员加入成员

1)        创始成员方。创始成员方是指在世界贸易组织协定生效时,关贸总协定的缔约方和欧共体,凡接受世界贸易组织协定及其多边贸易协定,向世界贸易组织提交了关税减让表和其他承诺以及对服务贸易总协定的特变成年表,并将这些减让表附录于1994关贸总协定和服务贸易总协定的国家和地区。

2)        加入缔约方。任何世界贸易组织的非成员方(包括主权国家和单独关税领土)只要符合一定的条件,都可以成为世界贸易组织的加入成员方。

2.成员方资格的丧失

根据世界贸易组织协定第15条的规定,任何成员方可以退出协定,并同时退出各项多边贸易协定。成员方退出于总干事收到退出书面通知之日起6个月以后生效。

Ø  第二节 WTO的决策机制

1.概述

WTO决策机制的特点:协商一致与投票表决相结合,协商一致为常规和先导,投票表决为例外和后盾。

2.协商一致(Consensus

协商一致是世界贸易组织基本的决策方式,即只要出席会议的常约方中没有出于对通过的决议表示真实的反对时就认为有关机构已经以协商一致的方式对提交审议的事项做出了决定。(一票否决)

2.投票表决

当不能以协商一致的方式做出决定时,有关事项应以投票的方式决定。四种具体情况是:

1)        对多边贸易协定的任何一项解释;

2)        豁免特定成员所承担的多边贸易协定下的一项义务;

3)        关于多边贸易协定的有关条款的修正案;

4)        接受新成员的决定。

3.世界贸易组织的决策程序

1)        当解释各项多边贸易协定时,应以3/4的多数票通过。

2)        豁免某成员在各多边贸易协定中的所承担的义务时,由部长会议以成员方3/4多数票通过。

3)        修正案的表决由部长大会在90天或确定的更长期限内,首先按照协商一致原则作出关于将修正案提请各成员接受的决定。若在确定的期限内未能协商一致,则进行投票表决,需由成员的2/3多数通过。

4)        接纳新成员方的决定由部长会议作出。部长会议已世界贸易组织成员方2/3多数通过的方式批准关于接纳条件的协定。

Ø  第三节 贸易政策审议机制(TPRM)

TPRM的作用:

1.     为各成员对受审议成员进行提问和讨论提供了一个论坛

2.     接受审议成员对其贸易及其相关政策的解释和说明,有助于增加成员之间的相互了解,减少或避免贸易争端。

3.     WTO审议其成员的贸易政策,以及为评估国际贸易环境的发展变化提供了场所和机会,有助于增加多边贸易体制的透明度。

各成员参与审议和评估,可以为接受审议成员在贸易政策指定和改进方面提供一些意见或建议,有助于督促其履行作为WTO成员的义务。

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The Trial

    American law provides for jury trials in most actions for damages. This means that in those cases, either party may assert the right to have the facts tried by the jury. If neither wishes so, the judge will try the facts as well as apply the law.

    If a jury has been demanded, the first step of the trial is to impanel the jurors, who are selected at random from lists of eligible citizens. The court and lawyers for both parties will question the prospective jurors to determine their fairness and impartiality. If any of them is found to be biased, he may be challenged for cause and excused. A certain number of peremptory challenges, for which no cause need to be given, may also be exercised to reject potential jurors.

    After the jurors have been sworn, the lawyers make opening statements to familiarize the jury with the essential facts that each side expects to prove. Following these statements, plaintiff’s lawyer will present the evidence by  examining his witnesses and producing the documents or other exhibits. Each witness if first questioned by the lawyer who has called that witness – this is the direct examination; then by the lawyer for the other side – cross examination; this may be followed by re-direct and re-cross examination, and even further stages. Each side may object to the evidence that is thought to be inadmissible under the rules of evidence. The judge rules on the objection and maintains some control over the length and tenor of the examination.

    When the examinations of plaintiff’s witnesses are over, the plaintiff will rest. At this point, the defendant’s lawyer may ask for a directed verdict. A motion for a directed verdict asks the judge to rule that the non-moving party has failed to introduce enough evidence for the jury to find in his favor. If the motion is overruled, the defendant will present his own witnesses, who will be exposed to the same process of direct and cross-examination. When the defendant has rested, the plaintiff may present additional evidence to meet any new matter raised by the defendant’s witnesses. In turn, the defendant, after the plaintiff rests, may meet any new matter presented by the plaintiff. This procedure will continue until both parties rest.

    When both parties have rested, either or both may move for a directed verdict. If these motions are denied, the case must be submitted to the jury.

    The lawyers and the judge then retire for a conference to consider the matter of jury instructions ( also called “charge” to the jury or ” jury charge” ). Both lawyers may submit proposed instrucions, but the judge decides on the content. If a party’s lawyer has neither requested a particular instruction nor objected to the judge’s charge, he will generally not be permitted to claim on appeal that the charge was erroneous.

    Then the lawyers will make their final arguments before the jury. After the arguments, the judge will instruct the jury on the applicable law on each issue, the rules for determining the credibility of witnesses, and state who has the burden of proof. The burden of proof in a civil case ordinarily requires that the party having the burden prove his contention on a given issue by a preponderance of the evidence. What this burden means is that if a juror is unable to resolve an issue in his mind, he should find on that issue against the party who has the burden. In the federal courts and in some states, the judge may comment on the evidence, as long as he emphasizes that his comments represent his own opinion and that the jurors should not feel bound by it. Judicial comment is rare, however, and in many states it is not permitted at all.

    Following the instruction, the jury retires to reach its verdict. If a required number of jurors are able to reach a verdict, judgment will be entered accordingly. If no verdict is reached, the jury is said to be hung and a new trial before a different jury is necessary.

    A dissatisfied party after the judgment may make some post-trial motions, such as a motion for a judgment notwithstanding the verdict ( a judgment n.o.v. ) or a motion for a new trial. Such motions may be granted if the judge feels that the verdict of the jury is contrary to the clear weight of the evidence, or is erroneous as a matter of law. Should these motions fail, it is sometimes possible to reopen a judgment, but the occasions on which relief is granted are very rare.