1、 外文翻译 原文 Negotiating Trade in Educational Services within the WTO/GATS Context Material Source: Aussenwirtschaft, 59. Jahrgang (2003), Heft II, Zrich: Regger, S. 275-308 Author: Raymond Saner and Sylvie Fasel 1 Importance of Trade in Educational Services Trade in educational services (ES) has receiv
2、ed growing attention and has elicited increasingly heated reactions by various stakeholders ranging from governments, private sector investors, teachers unions to student as sociations and parent organizations in OECD and developing countries. This article will describe some of the issues, give a su
3、mmary of the negotiation process so far within the WTO context, and outline possible avenues to resolve the conflicting interests of trade in educational services. The following points depict the growing importance of trade in ES: (1) The value of annual trade in 1999 in higher education services ha
4、s been estimated at 30 billion US$,reaching 50% of trade in financial services estimated at 59.3 billion US$ .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. (2) High quality education can posit
5、ively influence labour factor conditions of a countrys economic development. The availability of highly skilled labour force is a factor contributing substantially to national economic development. Most countries consider investment in education as being of strategic importance to enhance national c
6、ompetitiveness and to increase opportunities to attract foreign direct investment. (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 diff
7、erent aspects of trade in ES (WTO) and ways to establish crossnational recognition of educational products (UNESCO). (4) While most stakeholders can agree that private sector providers can be equal or even more efficient producers of educational services, no agreement exists so far as to the intende
8、d effectiveness or purpose of education. Is education supposed to be only about acquisition of knowledge and skills, 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
9、and social class? In case of the latter, education can be seen as a public good to be provided solely by state schools or at best under strict supervision by state regulators. The points listed above highlight why so many stakeholder groups attach so much importance to trade in ES.A full discussion
10、of all the four points is beyond the scope of this article. The authors 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 auspices of the
11、 Doha Round. 2 GATS and Trade in Educational Services Education is one of twelve sectors(The other sectors are: business services; communication services; construction and related engineering services; distribution services; environmental services; financial services; health and social services; tou
12、rism and travel related services; recreational, cultural and sporting services; transport services; other services not included elsewhere (WTO: Services Sectoral Classification List)covered by the General Agreement on Trade in Services (GATS),which together with the articles governing trade in goods
13、 constitute the rule-making body of the WTO (formerly the GATT).Although trade in ES has been part of the WTO since its inception in 1995,it did not draw as much attention as other sectors like communications or financial services before the launch of the Services Round (2000) and its inclusion in t
14、he Doha Round (end of 2001).As a result, little progress had been achieved by the Contracting Member Parties (CMPs) in terms of commitments towards market access, national treatment and liberalisation of their respective educational sectors.Nevertheless,during the last two years,ES has received cons
15、iderable attention especially in OECD countries. Before the start of the Doha Round, market shares in ES have been seriously underestimated. Since then, a more precise picture has emerged of the sectors relative growth in terms of exports and imports, thereby putting ES on a higher position on the a
16、genda of the CMPs negotiation items. 2.1 GATS Main Principles In general, GATS consists of three obligations, namely: most favoured nation treatment, transparency, and dispute settlement. They apply to all service sectors regardless of whether or not CMPs schedule commitments to liberalise their mar
17、kets in any of the twelve service sectors. WTO members have to respect 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 markets. Each
18、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 providers (or equal competitive opportunities where identical treatment is not possible).Once a fo
19、reign supplier has been allowed to supply a service in another country there should be no discrimination in treatment between foreign and domestic providers. National treatment applies where a country has made a positive specific commitment. on-conforming measures can be retained in scheduled sector
20、s/modes of supply, as national treatment does not require identical treatment of domestic and foreign providers, but its specification must be made clear. These sector specific obligations apply to commitments listed in national schedules. The degree and extend of obligation is determined by each CM
21、P. However, services supplied in the exercise of governmental authority are specifically excluded from the scope of the GATS.GATS Article stipulates that “services includes any service in any sector except service supplied in the exercise of governmental authority” which is further refined in GATS a
22、rticle which states that “a service supplied in the exercise of governmental authority means any service which is supplied neither on a commercial basis, nor in competition with one or more service suppliers”. Since it came into force,GATS has a built-in agenda which means that negotiations can be r
23、e-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 determines the pace, extend and nature of market opening under GATS and retains its right to schedule
24、 no commitments in any sector/mode of supply whatsoever. 2.2 GATS Classification of ES 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 o
25、f natural 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. Table 1 Modes of Supply in GATS/ES Mode of supply Explanation Examples for ES 1. Cross-Border Supply (Mode 1) The provision of a service where
26、 the service crosses the border (does not require the physical movement of the consumer). Distance education; Virtual education institutions; Education software; Corporate training through ICT delivery. 2. Consumption Abroad (Mode 2) Provision of the service involving the movement of the consumer to
27、 the country of the supplier. Students who go to another country to study. 3. Commercial Presence (Mode 3) The service provider establishes or has presence of commercial facilities in another country in order to render service. Local university or satellite campuses; Language training companies; Pri
28、vate training companies, e.g. Microsoft,CISCO,etc. 4. Presence of Natural Persons (Mode 4) Persons travelling to another country on a Professors,teachers,researchers working abroad. temporary basis to provide service. Source: OECD/CERI (2002a) p. 6. Inside the four modes of supply of ES identified a
29、bove, education services are commonly defined by reference to five subsectors, namely: 1. Primary:pre-school and other primary education services; 2. Secondary: general secondary, higher secondary, technical and vocational secondary, and technical and vocational secondary education services for hand
30、icapped students; 3. Higher: post-secondary technical and vocational and other higher education services; 4. Adult: education services for adults who are not in the regular school and university system and includes education services through radio or television broadcasting or by correspondence; 5.
31、Other: education services at the first and second levels in specific subject matters not elsewhere classified and all other education services that are not definable by level (LARSENETAL.2002, p.10). Most Members who made commitments for trade in ES used the United Nations Provisional Central Produc
32、t 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 problem since some CMPs have opted for different methodologies making comparisons within sectors across countries more difficult.
33、 2.3 Estimated Size of Educational Services Markets 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 popular belief, trade in higher educa
34、tional 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 ES are classified under various headings and are often lumped together with other service activities. Only a few c
35、ountries have reported data on “personal travel and education-related activities”, as listed under the OECD and IMF databases on international trade in services statistics. One of the reasons why an estimation of ES market volumes is difficult is due to the fact that the few countries which report a
36、ny ES 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 account by the GATS-namely Mode 1 (Cross-border supply), Mode 3 (Commercia pres
37、ence), and Mode 4 (Presence of natural persons)-have still not been quantified. Given the lack of adequate and reliable information on ES trade volume, OECD and UNESCO have started to collect empirical data to enable more substantive comparisons in the future. Even though limited to Mode 2, the repo
38、rted data 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 offshore campuses. For instance, Australia increased the share of inter
39、national students studying in Australian post-secondary institutions through distance learning and offshore programmes from 18% to 35% between 1997 and 2001. As another example, more than half of the international students from Singapore and Hong Kong enrolled in an Australian educational institutio
40、n are following classes in offshore locations. On a related note, British ES offshore programmes enrolled around 140,000 students in 1996-1997 as compared to 199,000 international students taking higher education course in the United Kingdom in the same year. 译文 在 WTO/GATS 框架下关于教育服务贸易的协商 资料来源 : 国际经济
41、学， 59，年份（ 2003），第二版 ，苏黎世 Regger 出版，第275-308 作者： Raymond Saner 和 Sylvie Fasel 1 教育服务贸易的重要性 教育服务贸易（简称 ES） 正逐渐受到 关注 ， 并且引起了从政府、私营部门投资者、教师工会到学生社团以及经合组织中的上级组织 和发展中国家 越来越多的热烈反响。本片文章将要谈论一些议题，并总结了到目前为止在 WTO 框架下的谈判进程，以及概括了一些能够解决教育服务贸易利益之争的途径。以下几点描绘出了教育服务贸易逐渐增长的重要性： （ 1） 在 1999 年，高等教育服务业的价值被估计高达 30 亿美元 ，相当于金融
42、服务业 59.3 亿美元价值的一半。如果对整个教育服务贸易进行评估，那估价可能会更高。高等教育只是教育服务贸易五个附属部门之一。 （ 2） 高质量的教育对劳动力因素等有利于一个国家经济发展的相关条件产生积极影响。拥有高技能的劳动力是一个持续促进民族经济发展的因素。大多数国家将教育投资作为增强国家竞争力的重要决策并且这一方针增加了吸引外商直接投资的机会。 （ 3） 教育服务贸易固有的跨越部门性对贸易、经济、教育和文化都产生了影响。教育服务贸易内置的多功能性要求通过被委托统治的机构之间的合作来处理各方面的教育服 务贸易（即世界贸易组织），以及建立跨国公认的教育产品的方法（即联合国教科文组织）。 （
43、 4） 虽然大多数利益相关者都同意私营部门供应商可能是实力相当甚至更加有效率的教育服务生产者，但至今为止就教育的预期效果或目的仍旧没有达成协议。难道教育仅仅只是获取知识和技能，或者确保学生可以融入民间社会，从而保证社会和国家 的凝聚力以及社会各个阶级和拥有独立财富的各阶层获取知识的公平性？ 在后一种情况下，教育被看作是一个公共产品时，只能由国家的学校或者最好在严格监管下的国家监督者来提供。 上述各点突出了为何如此多的利益集团如此重 视教育服务贸易。对于这四点问题的全面讨论已经超出了本片文章的范围。作者将注意力集中在 WTO 框架下的教育服务贸易以及在 WTO/GATS 下对于教育服务贸易协商的
44、复杂性，和在多哈回合的援助下如何解决 GATS/ES 的协商途径。 2 服务贸易总协定和教育服务贸易 教育是涉及服务贸易总协定的十二个服务行业之一 (其他部门有：商业服务；通信服务；建筑及相关工程服务；分销服务；环境服务；金融服务；医疗和社会服务；旅游和旅游相关服务；娱乐，文化和体育服务；运输服务；其他不包括在内的服务（世界贸易组织：服务部门分类表） )，与文章 所涉及到的商品贸易共同组成了世界贸易组织（原关税及贸易总协定）制定规章行为的主体。尽管教育服务贸易自 1995 年 WTO 建立之初起就是其一部分，在推出服务回合（ 2000）和列入多哈回合（ 2001 年末）之前，它都没有受到和其他
45、部门例如通讯或金融服务等一样多的重视。因此，在市场准入，国民待遇以及各自的教育部门的自由化承诺条款这几方面，缔约成员党（简称 CMPs）的进展甚微。然而，在接下来的两年里，教育服务贸易受到相当多的尤其是经合组织成员的国家的关注。 在多哈回合开始之前，教育服务贸易的市场份额被严重低估。从那时起，一个更精确的图像出现在了该部门的相对增长，出口和进口方面，明确将教育服务贸易放在缔约成员国谈判议程项目更高的一个位置。 2.1 服务贸易总协定的主要原则 一般来说，服务贸易总协定由三项责任义务组成，即：最惠国待遇，透明度和争端的解决。它们适用于所有服务行业，无论是否有缔约成员党的时间表承诺，都可以开放其在
46、十二个服务行业里的任何市场。 世界贸易组织成员必须尊重行业关于市场准入和国民待遇规则的国家计划表，以及与之相联系的特定义务。市场准入原则主要关注由于非歧视性数量限制而妨碍了市场的准入。每个缔约成员党决定了对于每个承诺部门市场准入的限制，以及各自国家服务部门的供应模式。国民待遇原则，是指为外国和国内供应商提供平等的待遇（或平等的竞争机会当相同的待遇不可行之时）。一旦一个外国供应商被允许在其他国家提供服务时，该国就不应该在处理国内和国外供应商之间的问题时存在歧视。国民待遇原则适用于做出积极具体承诺的国家。不符合的措施可以被保留在计划部门 /供 应模式中，尽管国民待遇不要求国内和国外供应商拥有相同的
47、待遇，但是其规格必须加以明确。这些部门的具体义务适用于国家附表所列的承诺。义务的等级和延伸是由每个缔约成员党所决定的。 不过，服务行业在行使政府职权时提供的是专门排除在服务贸易总协定的范围之外的服务。服务贸易总协定第四条规定，“服务业包括在任何除非在行使政府职权时提供服务的服务部门”，这在服务贸易总协定条款里进一步明确指出，即“在行使政府职权时提供的服务是指任何既不是以商业为基础，也不是与一个或多个服务提供者竞争的服务。” 自生效以来，服务贸易总协定有一 个内置的议程， 即任何为发展中国家提供的协商都可以被周期性的进行检验，从而逐渐达到更高一层次（具有法律约束力）的拥有具体灵活性的自由化目标。
48、 然而，每个缔约成员党决定了在服务贸易总协定之下的市场开放的步伐，推广以及特征，并且，在任何部门 /供应模式没有承诺的情况下，保留其制定计划表的权利。 2.2 GATS 关于教育服务贸易的分类 在一般情况下，服务贸易总协定通过服务是如何进行贸易来区分四种供应模式，即模式 1（跨境交付），模式 2（境外消费），模式 3（商业存在）和模式4（自然人流动）。应用于 GATS 范围内的教育服务 贸易，在表 1 中列举的例子可以说明各种适合缔约成员党从事教育服务贸易的形式。 表 1 在 GATS/ES 下的供应模式 供应模式 解释 教育服务贸易的实例 1 跨境交付（模式 1） 一成员的服务提供者在其境内
49、向在其它成员境内的服务消费提供服务 （不要求消费者的身体移动）。 远程教育，虚拟教育机构教育软件，通过信息和通信技术提供企业培训 2 境外消费（模式 2） 提供涉及消费者转移到供应商国家的服务。 学生到另外一个国家去学习 3 商业存在（模式 3） 服务供应商建立的或者在另一国用来提供服务的商业设备。 当地 大学或卫星校区，语言培训公司，私人培训公司，如微软、思科等 4 自然人流动（模式 4） 在自然人去另外国家短暂停留时所提供的服务。 教授，教师，研究人员在国外工作 资料来源：经合组织 /中冶京城（ 2002 年 a）第 6 页 上述是内部确定的四种教育服务贸易的供应模式，通常教育服务贸易的定义是参照五种界别分组，即： 1 小学：学前和其他小学教育服务贸易； 2 中学：普通中学，高等中学，技术和职业中学，技术和职业中学的残疾学生教育服务； 3 高等教育：大专职业和技术培训以及其他高等教育服务； 4 成人：为那些没有在 正规学校以及大学体系学习的成人提供教育服务，这里的教育服务包括透过电台或电视台广播以及通过信函进行教育服务； 5 其他 ； 第一级和第二级教育服务特定事宜在别处没有被分类以及所有其他不按级别定义的教育服务贸易 (LARSEN E
