在wtogats框架下關(guān)于教育服務(wù)貿(mào)易的協(xié)商【外文翻譯】

1、<p><b>　　外文翻譯</b></p><p><b>　　原文</b></p><p>　　Negotiating Trade in Educational Services within the WTO/GATS Context</p><p>　　Material Source: Aussenwir

2、tschaft, 59. Jahrgang (2003), Heft II, Zürich: Rüegger, S. 275-308</p><p>　　Author: Raymond Saner and Sylvie Fasel</p><p>　　1 Importance of Trade in Educational Services</p><

3、;p>　　Trade in educational services (ES) has received growing attention and has elicited increasingly heated reactions by various stakeholders ranging from governments, private sector investors, teachers’ unions to stu

4、dent as sociations and parent organizations in OECD and developing countries. This article will describe some of the issues, give a summary of the negotiation process so far within the WTO context, and outline possible a

5、venues to resolve the conflicting interests of trade in educational </p><p>　　(1) The value of annual trade in 1999 in higher education services has been estimated at 30 billion US$,reaching 50% of trade in

6、financial services estimated at 59.3 billion US$ .The estimates of trade in ES would be higher if estimates were available for the total trade in ES.Higher education is only one of five subsectors of ES.</p><p

7、>　　(2) High quality education can positively influence labour factor conditions of a country’s economic development. The availability of highly skilled labour force is a factor contributing substantially to national e

8、conomic development. Most countries consider investment in education as being of strategic importance to enhance national competitiveness and to increase opportunities to attract foreign direct investment.</p><

9、;p>　　(3) Trade in ES is inherently cross-sectoral affecting trade, economics, education and culture. This built-in multi-functionality of trade in ES requires cooperation between institutions mandated to deal with the

10、 different aspects of trade in ES (WTO) and ways to establish crossnational recognition of educational products (UNESCO).</p><p>　　(4) While most stakeholders can agree that private sector providers can be e

11、qual or even more efficient producers of educational services, no agreement exists so far as to the intended effectiveness or purpose of education. Is education supposed to be only about acquisition of knowledge and skil

12、ls, or also about ensuring students’ integration into civil society, ensuring social and national cohesion and equitable access to knowledge by all strata of society independent of wealth and social class</p><

13、p>　　The points listed above highlight why so many stakeholder groups attach so much importance to trade in ES.A full discussion of all the four points is beyond the scope of this article.</p><p>　　The aut

14、hors will instead focus on ES within the context of WTO and the complexities of the WTO/GATS negotiations on trade in educational services, and develop avenues how negotiations of GATS/ES could be undertaken under the au

15、spices of the Doha Round.</p><p>　　2 GATS and Trade in Educational Services </p><p>　　Education is one of twelve sectors(The other sectors are: business services; communication services; constru

16、ction and related engineering services; distribution services; environmental services; financial services; health and social services; tourism and travel related services; recreational, cultural and sporting services; tr

17、ansport services; other services not included elsewhere (WTO: Services Sectoral Classification List))covered by the General Agreement on Trade in Services (GATS),which toge</p><p>　　Before the start of the D

18、oha Round, market shares in ES have been seriously underestimated. Since then, a more precise picture has emerged of the sector’s relative growth in terms of exports and imports, thereby putting ES on a higher position o

19、n the agenda of the CMPs negotiation items.</p><p>　　2.1 GATS Main Principles</p><p>　　In general, GATS consists of three obligations, namely: most favoured nation treatment, transparency, and d

20、ispute settlement. They apply to all service sectors regardless of whether or not CMPs schedule commitments to liberalise their markets in any of the twelve service sectors.</p><p>　　WTO members have to resp

21、ect sector specific obligations attached to national schedules in regard to market access and national treatment rules. Market access focuses primarily on non-discriminatory quantitative restrictions impeding access to m

22、arkets. Each CMP determines limitations on market access for each committed sector and mode of supply of its respective national service sector. National treatment refers to equal treatment for foreign and domestic provi

23、ders (or equal competitive opportuni</p><p>　　However, services supplied in the exercise of governmental authority are specifically excluded from the scope of the GATS.GATS Article stipulates that “services

24、includes any service in any sector except service supplied in the exercise of governmental authority” which is further refined in GATS article which states that “a service supplied in the exercise of governmental authori

25、ty means any service which is supplied neither on a commercial basis, nor in competition with one or more service suppl</p><p>　　Since it came into force,GATS has a built-in agenda which means that negotiati

26、ons can be re-examined periodically with the goal of reaching progressively higher levels of bound (legally binding) liberalisation with specific flexibilities built in for developing countries.However,each CMP determine

27、s the pace, extend and nature of market opening under GATS and retains its right to schedule no commitments in any sector/mode of supply whatsoever.</p><p>　　2.2 GATS Classification of ES</p><p>

28、;　　In general,GATS distinguishes between four modes of supply through which services can be traded, namely Mode 1 (Cross-border supply), Mode 2 (Consumption abroad),Mode 3 (Commercial presence) and Mode 4 (Presence of na

29、tural persons).Applied to trade in ES within GATS,the examples listed in Table 1 help illustrate the modalities available for CMPs to engage in ES trade.</p><p>　　Table 1 Modes of Supply in GATS/ES</p>

30、<p>　　Source: OECD/CERI (2002a) p. 6.</p><p>　　Inside the four modes of supply of ES identified above, education services are commonly defined by reference to five subsectors, namely:</p><p

31、>　　1. Primary:pre-school and other primary education services;</p><p>　　2. Secondary: general secondary, higher secondary, technical and vocational secondary, and technical and vocational secondary educat

32、ion services for handicapped students;</p><p>　　3. Higher: post-secondary technical and vocational and other higher education services;</p><p>　　4. Adult: education services for adults who are n

33、ot in the regular school and university system and includes education services through radio or television broadcasting or by correspondence;</p><p>　　5. Other: education services at the first and second lev

34、els in specific subject matters not elsewhere classified and all other education services that are not definable by level (LARSENETAL.2002, p.10).</p><p>　　Most Members who made commitments for trade in ES u

35、sed the United Nations Provisional Central Product Classification in order to avoid the creation of a new GATS methodology which would be applicable only to this sector.However, inconsistency of classification remains a

36、problem since some CMPs have opted for different methodologies making comparisons within sectors across countries more difficult.</p><p>　　2.3 Estimated Size of Educational Services Markets</p><p&

37、gt;　　In general, the estimated overall market value in higher education for Mode 2 trade in ES of OECD countries was around US$ 30 billion representing 3% of total services trade in OECD countries.Hence, contrary to popu

38、lar belief, trade in higher educational services is significant and should not be underestimated.However,it remains difficult to estimate total trade in ES based on the four GATS modes of supply. Statistics on trade in E

39、S are classified under various headings and are often lumped toge</p><p>　　One of the reasons why an estimation of ES market volumes is difficult is due to the fact that the few countries which report any ES

40、 data at all mostly limit their reporting to Mode 2 (Consumption abroad),which is the simplest way of measuring trade in ES but which also results in a very incomplete picture of ES trade. The other modes taken into acco

41、unt by the GATS-namely Mode 1 (Cross-border supply), Mode 3 (Commercia presence), and Mode 4 (Presence of natural persons)-have still not been quant</p><p>　　Even though limited to Mode 2, the reported data

42、offers a convincing argument for the importance of trade in ES, at least for the exporting countries. In addition, the reported data also documents the growing importance of the delivery of educational services through o

43、ffshore campuses. For instance, Australia increased the share of international students studying in Australian post-secondary institutions through distance learning and offshore programmes from 18% to 35% between 1997 an

44、d 2001. As </p><p><b>　　譯文</b></p><p>　　在WTO/GATS框架下關(guān)于教育服務(wù)貿(mào)易的協(xié)商</p><p>　　資料來源: 國際經(jīng)濟(jì)學(xué)，59，年份（2003），第二版，蘇黎世Rüegger出版，第275-308</p><p>　　作者：Raymond Saner 和

45、Sylvie Fasel</p><p>　　1 教育服務(wù)貿(mào)易的重要性</p><p>　　教育服務(wù)貿(mào)易（簡稱ES）正逐漸受到關(guān)注，并且引起了從政府、私營部門投資者、教師工會到學(xué)生社團(tuán)以及經(jīng)合組織中的上級組織和發(fā)展中國家越來越多的熱烈反響。本片文章將要談?wù)撘恍┳h題，并總結(jié)了到目前為止在WTO框架下的談判進(jìn)程，以及概括了一些能夠解決教育服務(wù)貿(mào)易利益之爭的途徑。以下幾點(diǎn)描繪出了教育服務(wù)貿(mào)易逐漸

46、增長的重要性：</p><p>　　（1）在1999年，高等教育服務(wù)業(yè)的價(jià)值被估計(jì)高達(dá)30億美元，相當(dāng)于金融服務(wù)業(yè)59.3億美元價(jià)值的一半。如果對整個教育服務(wù)貿(mào)易進(jìn)行評估，那估價(jià)可能會更高。高等教育只是教育服務(wù)貿(mào)易五個附屬部門之一。</p><p>　?。?）高質(zhì)量的教育對勞動力因素等有利于一個國家經(jīng)濟(jì)發(fā)展的相關(guān)條件產(chǎn)生積極影響。擁有高技能的勞動力是一個持續(xù)促進(jìn)民族經(jīng)濟(jì)發(fā)展的因素。大多數(shù)國

47、家將教育投資作為增強(qiáng)國家競爭力的重要決策并且這一方針增加了吸引外商直接投資的機(jī)會。</p><p>　　（3）教育服務(wù)貿(mào)易固有的跨越部門性對貿(mào)易、經(jīng)濟(jì)、教育和文化都產(chǎn)生了影響。教育服務(wù)貿(mào)易內(nèi)置的多功能性要求通過被委托統(tǒng)治的機(jī)構(gòu)之間的合作來處理各方面的教育服務(wù)貿(mào)易（即世界貿(mào)易組織），以及建立跨國公認(rèn)的教育產(chǎn)品的方法（即聯(lián)合國教科文組織）。</p><p>　?。?）雖然大多數(shù)利益相關(guān)者都同意

48、私營部門供應(yīng)商可能是實(shí)力相當(dāng)甚至更加有效率的教育服務(wù)生產(chǎn)者，但至今為止就教育的預(yù)期效果或目的仍舊沒有達(dá)成協(xié)議。難道教育僅僅只是獲取知識和技能，或者確保學(xué)生可以融入民間社會，從而保證社會和國家的凝聚力以及社會各個階級和擁有獨(dú)立財(cái)富的各階層獲取知識的公平性？在后一種情況下，教育被看作是一個公共產(chǎn)品時，只能由國家的學(xué)?；蛘咦詈迷趪?yán)格監(jiān)管下的國家監(jiān)督者來提供。</p><p>　　上述各點(diǎn)突出了為何如此多的利益集團(tuán)如此重

49、視教育服務(wù)貿(mào)易。對于這四點(diǎn)問題的全面討論已經(jīng)超出了本片文章的范圍。作者將注意力集中在WTO框架下的教育服務(wù)貿(mào)易以及在WTO/GATS下對于教育服務(wù)貿(mào)易協(xié)商的復(fù)雜性，和在多哈回合的援助下如何解決GATS/ES的協(xié)商途徑。</p><p>　　2 服務(wù)貿(mào)易總協(xié)定和教育服務(wù)貿(mào)易</p><p>　　教育是涉及服務(wù)貿(mào)易總協(xié)定的十二個服務(wù)行業(yè)之一(其他部門有：商業(yè)服務(wù)；通信服務(wù)；建筑及相關(guān)工程服務(wù)；

50、分銷服務(wù)；環(huán)境服務(wù)；金融服務(wù)；醫(yī)療和社會服務(wù)；旅游和旅游相關(guān)服務(wù)；娛樂，文化和體育服務(wù)；運(yùn)輸服務(wù)；其他不包括在內(nèi)的服務(wù)（世界貿(mào)易組織：服務(wù)部門分類表）)，與文章所涉及到的商品貿(mào)易共同組成了世界貿(mào)易組織（原關(guān)稅及貿(mào)易總協(xié)定）制定規(guī)章行為的主體。盡管教育服務(wù)貿(mào)易自1995年WTO建立之初起就是其一部分，在推出服務(wù)回合（2000）和列入多哈回合（2001年末）之前，它都沒有受到和其他部門例如通訊或金融服務(wù)等一樣多的重視。因此，在市場準(zhǔn)入，國民

51、待遇以及各自的教育部門的自由化承諾條款這幾方面，締約成員黨（簡稱CMPs）的進(jìn)展甚微。然而，在接下來的兩年里，教育服務(wù)貿(mào)易受到相當(dāng)多的尤其是經(jīng)合組織成員的國家的關(guān)注。</p><p>　　在多哈回合開始之前，教育服務(wù)貿(mào)易的市場份額被嚴(yán)重低估。從那時起，一個更精確的圖像出現(xiàn)在了該部門的相對增長，出口和進(jìn)口方面，明確將教育服務(wù)貿(mào)易放在締約成員國談判議程項(xiàng)目更高的一個位置。</p><p>　　

52、2.1 服務(wù)貿(mào)易總協(xié)定的主要原則</p><p>　　一般來說，服務(wù)貿(mào)易總協(xié)定由三項(xiàng)責(zé)任義務(wù)組成，即：最惠國待遇，透明度和爭端的解決。它們適用于所有服務(wù)行業(yè)，無論是否有締約成員黨的時間表承諾，都可以開放其在十二個服務(wù)行業(yè)里的任何市場。</p><p>　　世界貿(mào)易組織成員必須尊重行業(yè)關(guān)于市場準(zhǔn)入和國民待遇規(guī)則的國家計(jì)劃表，以及與之相聯(lián)系的特定義務(wù)。市場準(zhǔn)入原則主要關(guān)注由于非歧視性數(shù)量限制而

53、妨礙了市場的準(zhǔn)入。每個締約成員黨決定了對于每個承諾部門市場準(zhǔn)入的限制，以及各自國家服務(wù)部門的供應(yīng)模式。國民待遇原則，是指為外國和國內(nèi)供應(yīng)商提供平等的待遇（或平等的競爭機(jī)會當(dāng)相同的待遇不可行之時）。一旦一個外國供應(yīng)商被允許在其他國家提供服務(wù)時，該國就不應(yīng)該在處理國內(nèi)和國外供應(yīng)商之間的問題時存在歧視。國民待遇原則適用于做出積極具體承諾的國家。不符合的措施可以被保留在計(jì)劃部門/供應(yīng)模式中，盡管國民待遇不要求國內(nèi)和國外供應(yīng)商擁有相同的待遇，但是

54、其規(guī)格必須加以明確。這些部門的具體義務(wù)適用于國家附表所列的承諾。義務(wù)的等級和延伸是由每個締約成員黨所決定的。</p><p>　　不過，服務(wù)行業(yè)在行使政府職權(quán)時提供的是專門排除在服務(wù)貿(mào)易總協(xié)定的范圍之外的服務(wù)。服務(wù)貿(mào)易總協(xié)定第四條規(guī)定，“服務(wù)業(yè)包括在任何除非在行使政府職權(quán)時提供服務(wù)的服務(wù)部門”，這在服務(wù)貿(mào)易總協(xié)定條款里進(jìn)一步明確指出，即“在行使政府職權(quán)時提供的服務(wù)是指任何既不是以商業(yè)為基礎(chǔ)，也不是與一個或多個服務(wù)

55、提供者競爭的服務(wù)?！?lt;/p><p>　　自生效以來，服務(wù)貿(mào)易總協(xié)定有一個內(nèi)置的議程，即任何為發(fā)展中國家提供的協(xié)商都可以被周期性的進(jìn)行檢驗(yàn)，從而逐漸達(dá)到更高一層次（具有法律約束力）的擁有具體靈活性的自由化目標(biāo)。然而，每個締約成員黨決定了在服務(wù)貿(mào)易總協(xié)定之下的市場開放的步伐，推廣以及特征，并且，在任何部門/供應(yīng)模式?jīng)]有承諾的情況下，保留其制定計(jì)劃表的權(quán)利。</p><p>　　2.2 GA

56、TS關(guān)于教育服務(wù)貿(mào)易的分類</p><p>　　在一般情況下，服務(wù)貿(mào)易總協(xié)定通過服務(wù)是如何進(jìn)行貿(mào)易來區(qū)分四種供應(yīng)模式，即模式1（跨境交付），模式2（境外消費(fèi)），模式3（商業(yè)存在）和模式4（自然人流動）。應(yīng)用于GATS范圍內(nèi)的教育服務(wù)貿(mào)易，在表1中列舉的例子可以說明各種適合締約成員黨從事教育服務(wù)貿(mào)易的形式。</p><p>　　表1 在GATS/ES下的供應(yīng)模式</p><

57、;p>　　資料來源：經(jīng)合組織/中冶京城（2002年a）第6頁</p><p>　　上述是內(nèi)部確定的四種教育服務(wù)貿(mào)易的供應(yīng)模式，通常教育服務(wù)貿(mào)易的定義是參照五種界別分組，即：</p><p>　　1．小學(xué)：學(xué)前和其他小學(xué)教育服務(wù)貿(mào)易；</p><p>　　2．中學(xué)：普通中學(xué)，高等中學(xué)，技術(shù)和職業(yè)中學(xué)，技術(shù)和職業(yè)中學(xué)的殘疾學(xué)生教育服務(wù)；</p>&l

58、t;p>　　3．高等教育：大專職業(yè)和技術(shù)培訓(xùn)以及其他高等教育服務(wù)；</p><p>　　4．成人：為那些沒有在正規(guī)學(xué)校以及大學(xué)體系學(xué)習(xí)的成人提供教育服務(wù)，這里的教育服務(wù)包括透過電臺或電視臺廣播以及通過信函進(jìn)行教育服務(wù)；</p><p>　　5．其他；第一級和第二級教育服務(wù)特定事宜在別處沒有被分類以及所有其他不按級別定義的教育服務(wù)貿(mào)易(LARSEN ET AL,2002，第10頁)。&

59、lt;/p><p>　　大多數(shù)成員在對教育服務(wù)貿(mào)易做出承諾時使用的是聯(lián)合國暫行中央產(chǎn)品分類法，以此避免創(chuàng)造出新的只適用于這一部門的服務(wù)貿(mào)易總協(xié)定方法。然而，由于一些締約成員黨選擇用不同的方法難以對那些跨國部門進(jìn)行比較，使得分類不一致這一問題仍然存在。</p><p>　　2.3 評估教育服務(wù)市場規(guī)模</p><p>　　一般來說，評估經(jīng)合組織國家整個高等教育市場在模式2

60、下的教育服務(wù)貿(mào)易價(jià)值約為300億美元，占整個經(jīng)合組織國家教育服務(wù)貿(mào)易總產(chǎn)值的3%。因此，與大家普遍認(rèn)為的相反，高等教育服務(wù)貿(mào)易是十分重要的，不應(yīng)被低估。但是，在服務(wù)貿(mào)易總協(xié)定的四個供應(yīng)模式基礎(chǔ)上估計(jì)整個教育服務(wù)貿(mào)易的價(jià)值也是很困難的。教育服務(wù)貿(mào)易的統(tǒng)計(jì)數(shù)據(jù)依據(jù)不同的標(biāo)題被分類，并且經(jīng)常和其他的服務(wù)活動集中在一起。只有少數(shù)國家報(bào)告了關(guān)于“個人旅游和教育有關(guān)活動”的數(shù)據(jù)，并列入經(jīng)合組織和國際貨幣基金組織關(guān)于國際服務(wù)貿(mào)易統(tǒng)計(jì)的數(shù)據(jù)庫。<

61、/p><p>　　其中一個關(guān)于為什么估計(jì)教育服務(wù)貿(mào)易市場容量是十分困難的原因是基于這樣一個事實(shí)，即很少有國家會報(bào)告所有關(guān)于教育服務(wù)貿(mào)易的數(shù)據(jù)，大多數(shù)都會限制關(guān)于模式2（境外消費(fèi)）的報(bào)告。這是衡量教育服務(wù)貿(mào)易最簡單的方法，但也導(dǎo)致了教育服務(wù)貿(mào)易的不完整性?？紤]到服務(wù)貿(mào)易總協(xié)定的其他模式，即模式1（跨境交付），模式3（商業(yè)存在），模式4（自然人流動）仍舊沒有被量化。因?yàn)殛P(guān)于教育服務(wù)貿(mào)易容量的信息缺乏充分性與可靠性，經(jīng)合組

62、織和聯(lián)合國科教文組織開始搜集實(shí)證數(shù)據(jù)，以便在未來具有更實(shí)質(zhì)性的比較。</p><p>　　盡管在模式2方面有所限制，報(bào)告數(shù)據(jù)至少為出口國關(guān)于教育服務(wù)貿(mào)易的重要性提供了可信的說法。除此以外，報(bào)告數(shù)據(jù)也證實(shí)了通過離岸校園傳遞教育服務(wù)日益遞增的重要性。例如，澳大利亞通過遠(yuǎn)程學(xué)習(xí)和離岸項(xiàng)目，增加了到澳大利亞中學(xué)后教育機(jī)構(gòu)學(xué)習(xí)的國際學(xué)生份額，該份額在1997到2001年之間，由18%上升到35%。另外一個例子是，超過半數(shù)來