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1、第六讲GATT一般例外条款GATT1994第20条“本协定的任何规定不得解释为阻止任何缔约方采 取或实施以下措施，只要此类措施的实施不在情 形相同的国家之间构成任意或不合理歧视的手段 或构成对国际贸易的变相限制： (b)为保护人类、动物或植物的生命或健康所必需 的措施； (d)为保证与本协定规定不相抵触的法律或法规得 到遵守所必需的措施，包括与海关执法、根据本 协定第2条第4款和第17条实行有关垄断、保护专 利权、商标和版权以及防止欺诈行为有关的措施 ； (g) 与国内生产或消费的限制措施一同实施、与 保护可用尽的自然资源有关的措施； u第20条条文结构：两层次分析u第一层次之第20条(b)项
2、u第一层次之第20条(d)项u第一层次之第20条(g)项u第二层次之第20条“前言”第20条条文结构：两层次分析（Two-tier analysis）l措施本身符合(a)- (j)项中某项的规定； l措施的实施符合“前言”的要求 “In order that the justifying protection of Article XX may be extended to it, the measure at issue must not only come under one or another of the particular exceptions - paragraphs (a)
3、to (j) - listed under Article XX; it must also satisfy the requirements imposed by the opening clauses of Article XX. The analysis is, in other words, two-tiered: first, provisional justification by reason of characterization of the measure under XX(g); second, further appraisal of the same measure
4、under the introductory clauses of Article XX. ” （ “美国汽油案”上诉机构报告，WT/DS2/AB/R ）第一层次之第20条(b)项(b)为保护人类、动物或植物的生命或健康所 必需（necessary）的措施 “保护人类、动物或植物的生命或健康” “必需” “The import restrictions imposed by Thailand could be considered to be necessary in terms of Article XX(b) only if there were no alternative measur
5、e consistent with the General Agreement, or less inconsistent with it, which Thailand could reasonably be expected to employ to achieve its health policy objectives.” (“泰国香烟案”专家组报告, DS10/R )“a reasonably available alternative ”（“欧共体石棉案”专家组和上诉机构报告，WT/DS135/R ， WT/DS135/AB/R ）第一层次之第20条(d)项l(d)为保证与本协定规
6、定不相抵触的法律或法规得 到遵守所必需的措施（necessary to secure compliance with laws or regulations which are not inconsistent with the provisions of this Agreement ） “不相抵触的法律或法规” “保证得到遵守” “必需”第一层次之第20条(d)项“不相抵触的法律或法规”专利法（“美国337条款案” ，L/6439）反倾销法（ “欧共体对零部件进口管制案” ，L/6657 ） 反不正当竞争法（“韩国牛肉案” ，WT/DS161 ）税法（“多米尼加香烟案” ，WT/DS302
7、 ）国际法？ （“墨西哥软饮料税收案” ，WT/DS308 ）第一层次之第20条(d)项 “保证得到遵守”:措施只限于为保证法律法规所设定 的义务得以履行所采取的措施，不包括为了实现这种法律法 规的目的所采取的措施“The Panel noted that this provision does not refer to objectives of laws or regulations but only to laws or regulations. Each of the exceptions in the General Agreement such as Articles VI, XI
8、I or XIX recognizes the legitimacy of a policy objective but at the same time sets out conditions as to the obligations which may be imposed to secure the attainment of that objective. These conditions would no longer be effective if it were possible to justify under Article XX(d) the enforcement of
9、 obligations that may not be imposed consistently with these exceptions on the grounds that the objective recognized to be legitimate by the exception cannot be attained within the framework of the conditions set out in the exception.” （ “欧共体对零部件进口管制案” ，L/6657 ）第一层次之第20条(d)项 “必需”要注意相关措施旨在实现的政策目标的重要性
10、、该措施有助 于这种目标实现的程度以及其对贸易的限制程度等数方面的 因素。如果该措施所要实现的目标越重要，或有助于目标实 现的程度越高，或对贸易产生的限制作用越小，就越容易被 认定为是“必要的”。 “In sum, determination of whether a measure, which is not indispensable, may nevertheless be necessary within the contemplation of Article XX(d), involves in every case a process of weighing and balanc
11、ing a series of factors which prominently include the contribution made by the compliance measure to the enforcement of the law or regulation at issue, the importance of the common interests or values protected by that law or regulation, and the accompanying impact of the law or regulation on import
12、s or exports. ”(“韩国牛肉案” 上诉机构报告，WT/DS161/AB/R)第一层次之第20条(g)项(g) 与国内生产或消费的限制措施一同实 施、与保护可用尽的自然资源有关的措施 “可用尽的自然资源”既包括非生物的矿产资源，也包括生物资源，以及良好的环境要素。 (“虾和海龟案上诉机构报告”， WT/DS158/AB/R) “有关的 ”手段与目的之间具有合理联系（WT/DS158/AB/R) “与国内生产或消费的限制措施一同实施 ”第二层次之第20条“前言”l任意的歧视？l不合理歧视？l变相限制？问题： 1、此处的“歧视”与非歧视待遇中的“歧视”有何区别？ 2、三个概念之间的联系和区别推荐阅读l“美国汽油案”上诉机构报告（WT/DS2/AB/R）l“虾和海龟案”上诉机构报告（WT/DS135/AB/R）l“韩国牛肉案” 上诉机构报告（WT/DS161/AB/R）l“欧共体石棉案”上诉机构报告（WT/DS135/AB/R）
