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国际贸易实务案例教程(双语(第2版)

国际贸易实务案例教程(双语(第2版)
国际贸易实务案例教程(双语(第2版)

国际贸易实务案例教程(双语(第2版)Chapter One

Case Study for a Brief Introduction to International Trade

国际贸易简介案例

Part One Selected Analysis of Case Study

第一部分案例精选

Case 1 US-India Wool Fabric Dispute

Case Description:

The United States imposed interim protection measures, from April

18th, 1995, to restrict imports of wool fabric for men’s and women’s shirts from India. Before the measures’ implementation, the United States and India had discussed the possibly serious damage to U.S. domestic enterprises resulting f rom the import of wool fabric for men’s and women's shirts. The two sides did not reach a

satisfactory solution. So India submitted the case to the World Trade Organization for settlement.

Question:

Will the United States remove the interim protection measures?

1 案例美—印羊毛织物摩擦案

案情介绍:

美国强制实行了过渡性保护措施,从1995年4月18日开始限制进口印度的羊毛制品—男

式衬衣和女式衬衣。在措施实施以前,美国和印度就进口羊毛织物男式衬衣和女式衬衣可能

会对美国国内企业引起的严重损害进行了磋商。由于磋商没有产生令人满意的解决办法,印

度就把案件提交给世贸组织解决。

问题:

美国会撤销过渡性保护措施吗,

Answer:

In examining the facts, the experts group found that the United States did not review all the economic variables listed in Article VI of the Agreement on Textiles and Clothing, when determining whether import increase will damage its domestic enterprises. When determining the causal link between detriment of domestic enterprises and the increased imports, all these variables must be taken into account. The United States also did not analyze whether the damage was due to changes in customer preferences or technical upgrade as required by the provision. The group

国际贸易实务案例教程(双语)(第2版)

concluded that the interim protection measures implemented by the United States were contrary to the Agreement on Textiles and Clothing obligations. The United States followed the resolutions of the experts group and removed the interim protection measures.

The Agreement on Textiles and Clothing requires discriminatory restrictions on imports of textiles and clothing should be removed

gradually in the 10-year period, the completing date is January 1st, 2005. Although the protocol aims to promote the lifting of these restrictions, it allows importing countries to adopt transitional measures of protection to restrict imports if imports of certain types of textile products bring a “serious risk of harm, or constitute a real threat” to domestic firms producing the same products. Article VI of the agreement listed some economic factors (for example, production, productivity, capacity utilization, inventories, market share, exports, wages, employment, domestic market prices, profits and investment changes). In judging whether the increase of imports will cause any damage, these factors must be taken into account. The agreement further provides that if serious damage or actual threat is caused by other factors, such as technical updates or customer preferences changes, such protection measures shall not be enforceable.

回答:

在审核事实之后,专家组发现,在认定增加进口是否会引起对国内企业的损害时,美国

没有审查在《纺织品与服装协议》第6条中列出的全部经济变数。在认定损害国内企业和增

加进口之间因果关系时,必须把这些变数考虑进去。美国也没有像条款要求的那样审查对国

内企业的损害是不是顾客喜好变化或技术更新的结果。因而,专家组得出结论,美国实施临

时性保护措施,违背了《纺织品与服装协议》规定的义务。美国执行了专家组的决议,撤销

了过渡性保护措施。

《纺织品与服装协议》要求对进口纺织品和服装进行歧视性限制的国家在10年期限内逐

步取消限制,结束时间是2005年1月1日。虽然协议的目标是促进取消这些限制,但是如果

某些种类纺织品的进口对生产同类产品的本国企业带来了“严重损害的危险或构成了实际威

胁”,它也允许进口国采取过渡性的保护措施限制进口。协议的第6条列举了诸多经济因素

(例如,产量、生产效率、产能的利用、库存、市场份额、出口、工资、就业、国内市场价

格、利润和投资方面的变化),在决定增加进口是否会引起损害时,这些因素都必须考虑进

去。协议还进一步规定,如果严重损害或实际威胁是由其他因素引起的,例如,技术更新或

顾客喜好的变化,此类保护措施不得强行实施。

Case 2 Whether or not GATT has been Violated

Case Description:

Country A notifies Country B that Country B is forbidden to export mutton to Country A. The reason is that mutton hormone content exceeds the allowed amount, which will affect people’s

health. After investigation, Country B finds out that the mutton hormone content is as same amount as that in Country A, and Country B

also gets the information that Country A is unceasingly importing the similar quality mutton from Country C.

The Country B believes that Country A has violated the GATT

principles and their benefits

第一章国际贸易简介案例

have been violated.

Country A refutes that they adopt the measures which do not violate

the GATT principles, but belong to the general exception to be permitted.

Questions:

1(Do you think Country A has violated the GATT principles? What kind

of principles? Why?

2(Do you think Country A’s rebuttal is right? Why?

2 GATT 案例是否违反了规则

案情介绍:

A国通知B国,禁止从B国进口羊肉,理由是羊肉的荷尔蒙含量超标,影响国

民的身体

健康。B国经过调查发现,A国境内销售的羊肉荷尔蒙含量与B国羊肉的荷尔

蒙含量是一样

的。还发现,A国还不断从C国进口同样质量的羊肉。

B国认为A国违反了GATT原则,他们的利益受到了侵害。

A国反驳,他们采取的措施是不违反DATT原则的,是属于一般例外所允许的。

问题:

1(A国的做法是否违反了GATT的原则,违反了哪条原则,为什么,

2(A国反驳的理由对不对,为什么,

Answer:

1(Country A’s procedure has violated the most-favored nation treatment principle of GATT.

The most-favored nation treatment principle means: A member gives

the preferential benefits in customs duty or other aspects to another member’s any imported nativ e products, and must give

unconditionally to the same imported products originating in other members.

The essence of the most-favored nation treatment principle requests the WTO members not to take the discrimination treatment to those same products imported from or exported to different member countries in the implementation preferential benefit or the limit aspect. This is the multilateral trade rule cornerstone and also the multilateral trading system livelihood legal base.

2(Country A’s rebuttal is n ot right.

About general exception, the item 1 of Article 20 in GATT stipulates: The necessary measures that the contracting party adopts in order to safeguard the people’s health and the safety of plant and animal life belong to the general exception.

Country A not only allows to sell the mutton that has the same

quality with the mutton from Country B, but also imports the same

quality mutton from Country C. So it cannot use the general exception clause.

回答:

1(A国的做法违反了GATT的最惠国待遇原则。

最惠国待遇原则含义是:一成员就任何一项原产于另一成员的进口产品给予另一成员在

关税或其他方面的优惠,必须立即无条件地给予原产于其他成员相同或类似的进口产品。

国际贸易实务案例教程(双语)(第2版)

最惠国待遇原则的本质是要求WTO成员不得对来自或出口到不同成员国的相同或类似

的进出口产品在实施优惠或限制方面实行歧视待遇,它是多边贸易规则的基石,也是多边贸

易体制赖以生存的法律基础。

2(A国反驳的理由不对。

关于一般例外,GATT第20条第1款规定:缔约方采取的为保障人民、动植物生命健康

所必需的措施,属于一般例外。

A国一方面在自己国内允许销售同样质量的羊肉,另一方面又进口C国同样质量的羊肉。

所以,不可以引用一般例外条款。

Case 3 Misunderstanding Caused by Cultural Differences

Case Description:

In November 1998, the Germany Daimler-Benz’s acquisition of one of the three U.S. auto makers, Chrysler Corporation, was thought by the world media as the “marriage of heaven”.

Daimler-Benz AG, which is one of the strongest companies of Germany, is known to the world as

the brand owner of “Mercedes”. Chrysler is the biggest among the three U.S. auto makers in making profits and is the most efficient company.

It was believed that this was the most powerful combined strength across the Atlantic and it

would be a ride to be an invincible giant at the world auto market. Who would have thought,

however, that this “hopeful and powerful marriage” did not seem to be happy. Mergers and acquisitions failed to achieve the desired goal of the company. By 2001, the company’s loss amounted to 2

billion U.S. dollars. Its stock prices were way down, and laid off

its staff. The company’s running

has been in a very difficult situation.

Question:

Why did good prospects turn out to be a failure?

3 案例因文化差异而引发的误解

案情介绍:

1998年11月,德国戴姆勒-奔驰公司并购美国三大汽车公司之一的克莱斯勒公司,被全

球舆论界誉为“天作之合”。戴姆勒-奔驰公司是德国实力最强的企业,是扬名世界的“梅赛德

斯”品牌的所有者。克莱斯勒则是美国三大汽车制造商中盈利能力最强、效率最高的公司。

人们认为,这宗跨越大西洋的强强联合定会成就一个驰骋世界汽车市场,所向无敌的巨无

霸。然而谁会想到,这桩“婚姻”似乎并不美满,并购后并没有实现公司预期的目标。到2001

年,公司的亏损额达到20亿美元,股价也一路下滑,并且裁减员工,公司的发展一直都很艰难。

问题:

为什么美好预期结果却失败了,

Answer:

第一章国际贸易简介案例

The experts believe that cultural differences between the two companies at different sides of the Atlantic companies are main causes why the merger turns out to be a failure. Daimler-Benz CEO Schrempp failed to realize that there were many differences in organizational structure, pay system, or the corporate culture. So he would adopt the management methods usually used in Germany to run the newly merged corporation. In management system, most of the members in the board are Germans. But he would say to the media that the merger is a merger of equals, which made the Chrysler U.S. employees not know what to do. Furthermore, Schrempp fired Chrysler CEO who was a M&A Integration

Manager during that time shortly after the merger. All this led Chrysler employees to generate the feeling of hostility. As a result, a lot of good American designers and senior managers left to Ford, General Motors or other auto companies. In this way, it is not hard to understand why merger once to be known as the “the merger of the perfect match” at last turns out to

be a failure.

回答:

这场“婚姻危机”的根本原因。戴姆专业人士认为,大西洋两岸不同文化差异的冲突是

勒-奔驰公司的CEO施伦普一开始没有意识到两家企业无论在组织结构、薪酬

制度,还是企业

文化上都有很大差异,他却采用德国的完全控制方式把克莱斯勒当成一个部门来看待。在公

司管理制度上,董事会结构成员都是以德国人为主。但是,他却在媒体上

说:“这是一次平

等的合并。”这使克莱斯勒的美国员工无所适从。再加上,施伦普在企业合并不久就解雇了

作为并购整合经理的克莱斯勒总裁,使克莱斯勒员工产生敌对情绪,许多优秀的美国设计师、

高级管理人员纷纷离职投奔福特、通用汽车或其他汽车公司。这样,也就不难理解为什么这

次一开始被称为“天作之合”的并购最后如此失败。

Case 4 Why Spanish Burned Chinese Shoes

Case Description:

Elche, a town in Spain became the focus of the global on September

14th, 2004, because the value of nearly 10, 000, 000 dollars “made in China” shoes had been burned by a l ocal illegal group.

This was the first serious violation of Chinese legal rights on

trade in the history of Spain.

Question:

Why did the incident happen to Chinese shoes?

4 案例为什么西班牙人要烧毁中国鞋

案情介绍:

2004年9月14日,西班牙小镇埃尔切由于近1 000万美元价值的“中国制

造”鞋被当地

不法集团烧毁而变成了全球关注的焦点。

这是西班牙有史以来第一起严重侵犯华商合法权益、野蛮排斥华人的暴力事件。

问题:

为什么会发生此次火烧中国鞋的事件呢,

国际贸易实务案例教程(双语)(第2版)

Answer:

On one hand, Chinese shoes manufacturers do not comply with local business hours, they also open doors on Sunday and holiday, particularly for long hours each day and sometimes even unloading work is done at midnight. Such acts are not only contrary to the local business traditions but also not allowed by its law.

On the other hand, the Chinese manufacturers are lack of public awareness and social responsibility. They contact with the local social integration, but unwilling to participate in local community activities and return for the local community. They look like living in “a country of islands”.

Wenzhou which is the earliest forerunner of Chinese market economy relies on flexible measures and dose not observe the rules of walking a fine line, but takes bold adventure of the natural disposition.

This has been deeply implanted in the soul of Wenzhou and even becomes a social culture in China. That is quite different to Spain where the Spanish are accustomed to rules.

Despite the extraordinary ability of manufacturers to defeat their counterparts in Spain, troubles caused by conflicts of different

cultures would defeat themselves.

回答:

一方面,中国鞋商不遵守当地的营业时间,星期天和节假日也敞开大门营业,特别是每

天长时间开门营业,有时候甚至在午夜装卸货物。这种行为不仅不符合当地的传统贸易习惯,

而且也违反了当地的法律。

另一方面,中国制造商的公共意识和社会责任感淡薄。他们接触了当地社会,但不愿在

当地社区参与活动,以及回馈当地社区。他们就像生活在一个“独立王国”。

温州作为中国市场经济最早的先行者,依赖于灵活方式,不遵守当地行规,采

取的是大

胆冒险的做法。

而这一点已经深深根植于温州商人的灵魂中,甚至已成为一种中国社会文化。

而西班牙

完全不是这样,西班牙人习惯以规则为活动基础。

尽管生产商们有非凡能力击败西班牙的同行,但是文化之间的冲突所造成的麻

烦同样能

够带来不可小视的麻烦。

Case 5 Animal Protection Case

Case Description:

Sea turtles were ranked as the highest level protected endangered

rare animals in “Convention on International Trade Endangered Species

of Wild Fau na and Flora” in 1970s. In the past, sea

turtles manslaughter during shrimp trawling was the number 1 threat

to the survival of the rare animal. In order to protect rare sea turtles, the U.S. Congress passed “Endangered Species Act” in 1973, all kinds

of possession, processing and hurt by mistakenly shrimp trawl for marine turtles were listed as illegal. In 1989, the United States added one more article in the Act—Article 609 in order to

encourage other countries to use TED—turtle escape device. This device can help to enhance the

shrimp catch, and also to enable the strayed turtles to escape from the shrimp nets (escape rate of

第一章国际贸易简介案例

97%). The meaning of the article was to promote the use of TED in other countries to improve the degree of protection of sea turtles. In certain sea areas, if a country’s shrimp net was not equipped with the TED, or a country failed to reach the standards of the United States to protect sea turtles, the United States would ban the imports of wild shrimp and shrimp products captured by that country.

In 1996, the United States extended this prohibition to all countries, which triggered trade disputes. More than 20 countries filed complaints with WTO, asking the WTO or as the third party to intervene. Complaining party believed that the U.S. legislation to protect sea turtles deserved recognition and support, but if the United States prohibited imports of shrimp products captured from countries without similar legislation, it constituted a unilateral action to apply domestic law globally, which endangered the multilateral free trade principles and injured other countries.

Question:

What is your opinion?

5 案例动物保护案例

案情介绍:

海龟是被20世纪70年代的《濒危野生动植物物种国际贸易公约》列入最高级别保护的

濒危珍稀动物。以往,海洋拖网捕虾作业中对海龟的误杀是这一珍稀动物生存的最大威胁。

为了保护珍稀的海龟,美国国会在1973年通过的《濒危物种法案》中将各种占有、加工和为

海洋拖网捕虾所误害的海龟视为非法。1989年,美国在这一法案的修正中又增加了推动其他

国家使用既能够提升海虾捕获量,又能使误入捕虾网的海龟得以逃生(逃生率97%)的海龟

排离器(TED)的条款(即609条款)。该条款的含义是,推动其他国家使用TED

提高海龟

的保护程度。在一定的海域内,如果某国的捕虾网上没有使用海龟排离器,或没有达到美国

保护海龟的标准,美国将禁止从该国进口捕获的野生虾及虾类制品。

1996年,美国又将这一禁止扩大到所有国家,由此引发了贸易争议,20多个国家向世贸

组织提出申诉或作为第三方介入。申诉方认为,美国立法保护海龟值得肯定、支持,但若其

他国家没有类似立法,美国便禁止从这些国家进口捕获的野生虾类产品,属于国内法律域外

适用的单边行为,危害了多边自由贸易的原则,并给其他国家造成了损失。

问题:

你的观点是什么,

Answer:

The expert committee established by the Trade Dispute Settlement Body rejected the report and supporting evidence from many of the world animal protection and environment organizations, and decided that the

United States lost the case, and its Article 609 violated the principle of free trade in the world. The U.S. was not allowed to refer to the GATT exce ption article “effective protection of

exhaustible natural resources” and its Article 609 must be modified. The U.S. did not accept the ruling and lodged an appeal. In October 1998, the WTO’s Appellate Body rejected the expert committee’s opinion, stating that the committee should not refuse the report and evidence

from other

国际贸易实务案例教程(双语)(第2版)

international organizations, and the United States could refer to

the “exhaustible natural resources” principle, but in the implementation of its article, there were some unreasonable arbitrary differential treatment which was contrary to the spirit of GATT.

The key of this case is whether it’s legal for the United States to adopt trade sanctions to strengthen environmental protection. Another question is whether environment protection has become another form of trade barriers. Nowadays, people all know that the maintenance of the world trade liberalization is an important task of WTO, the policy objectives of WTO are to advocate free trade, and oppose member states

to take unilateral trade restrictive measures to achieve other policy objectives. In order to achieve its policy objectives, WTO covers many areas, and with the economic development, the areas touched by WTO will be more extensive. Environment and trade issue is one of the new topics.

回答:

贸易争议解决机构成立的专家组拒绝了世界许多动物保护与环保组织提供的佐

证意见

(协助报告),判定美国败诉,其609条款违背了世界自由贸易原则,不能援引GATT中“有

效保护可耗竭天然资源”的例外条款,必须予以修改。经美国上诉,1998年

10月,世贸组织

的上诉机构并未同意专家组的意见,认为专家组不能拒绝其他国际组织的协助

报告,美国援

引“可耗竭天然资源”的条款成立,但在执行中存在着不合理的差别待遇,过

于武断,违背

了GATT的精神。

这个案例的关键是,美国采用贸易交叉制裁来强化环境保护是否合法,而问题

的另一方

面是保护环境是否已经成为贸易壁垒的另一种形式。今天,人们都知道维护世

界贸易的自由

化是世贸组织的重要任务,世界贸易组织就是维护自由贸易优先、反对成员国

采取单方面的

贸易限制措施来达到贸易之外的政策目标。为了达到其政策目标,WTO制约着

许多领域,并

随着经济的发展向更多的领域扩展,环境与贸易问题就是其中的一个新议题。

Case 6 South Korea Liquor Tax Case

Case Description:

According to the Korea liquor tax law, South Korea levied 35% tax on the domestic soju, while tax on other imports distilled spirits (whiskey,

vodka, rum, etc.) was 100%. EU and U.S. believed that South Korea violated Article 2 in Section III of GATT 1947—the national treatment provisions

of the domestic tax. The key issue in this case was to determine whether the whiskey, vodka and other distilled spirits were the same products as the traditional Korean soju. According to Article 2 in Section III of GATT, only when the tax for the imported product is higher than the same domestic products, is it considered a violation of the national treatment principle. For different products, of course, different tax is taken for granted.

In preparation stage, the South Korea attorney consulted the Japanese experts (Japan had a similar case before) what kind of persons was suitable to be the experts of this case. Japan gave a very practical suggestion: Since the case was about alcohol, the experts should be people who drink alcohol. They could tell the difference between whiskey and soju. In addition, Korea believed that in

第一章国际贸易简介案例

order to prove the soju and whiskey were not the same products, the price difference should be identified. Whiskey was 12 times expensive than soju. In accordance with the general rules of anti-trust law, since the price gap between the two products was so huge, they were not competitive and replaceable (and thus not the same products). South Korea believed that if there was an expert with anti-trust background in the group, this expert would be able to prove that the two products were

not identical. South Korea also prepared materials from all aspects. For example, they found a very convincing evidence from a publication by EU—How to Export Food to South Korea. This book

explained the significant differences between soju and whiskey and other liquor. In addition, the South Korea paid attention to every detail. For example, in order to overcome language difficulties in hearing, they carefully prepared written materials and answered all questions according to the written materials.

The South Korea lost the case.

Question:

What can we learn from this case?

6 案例韩国酒税案

案情介绍:

根据韩国酒税法,韩国对国内烧酒征收35%的税,而其他进口蒸馏酒(威士忌、伏特加、

朗姆酒等)的税率是100%。欧盟和美国认为韩国违背GATT1947的第3条第2款,即国内税

的国民待遇条款。本案的关键是确定威士忌、伏特加等蒸馏酒和韩国的传统烧酒是否是相同

产品。因为根据GATT第3条2款,只有在对相同产品征税高于国内产品的情

况下才可以援

引此款。如果不是相同产品,征收不同的税是理所当然的。

在准备中,韩国律师特意向日本咨询(日本曾有过类似的案件)什么样的人适合作为该

案的专家。日本给出了一个非常具有实践意义的建议。日本说,既然此案涉及的是酒类,专

家本身应是饮酒者,那么他就可以品尝出威士忌和烧酒的区别。另外,韩国认为,为了证明

烧酒和威士忌等不是相同产品,可以从价格差价上入手。威士忌比烧酒要贵12倍。按照反垄

断法的一般规则,存在如此巨大价格差距的两种产品是不构成竞争性和替代性的(进而不是

相同产品)。韩国认为如果专家组中有一位具有反垄断法背景的律师,那将有助于从相同产

品的认定上为此案打开缺口。韩国也从各个方面积极准备应诉材料。例如,在一本当时欧盟

出版的《向韩国出口食品导读》中发现了最为有力的证据。这本书中讲述了烧酒和威士忌等

酒的不同。此外,韩国注重了每个细节,例如,在听证会上,韩国为了克服语言的困难,认

真准备了书面材料,所有问题的回答均按书面材料进行。

但是,最终还是韩国败诉。

问题:

从该案例中我们可以吸取哪些教训,

Answer:

Even though South Korea accumulated a great deal of practical experiences which helped them to handle other international trade disputes, unfortunately, it lost the case. Chinese enterprises have

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