保障措施协议(中英对照)

.保障措施协议各成员：牢记各成员以1994年GATT为基础促进和加强国际贸易体制的总体目标；认识到需要明确和加强1994年GATT的纪律，尤其是其中第十九条的规定(特定产品进口的紧急行动)，重建保障措施的多边并消除规避此类控制的措施；认识到结构调整的重要性以及增强而不是限制在国际市场上进行竞争的需要；且进而认识到为达成这些目的而需要一项广泛的适用于全体成员并以1994年GATT的基本原则为基础的协议；特此协议如下：第一条 总则本协议对适用保障措施，即应理解为1994年GATT第十九条所指各项措施的适用制定规则。第二条 条件1.仅当某一成员根据下列条款确定就其国内生产而言，某一产品输入至该成员境内的绝对或相对数量大为增加，且对国内生产同类或直接竞争产品的产业造成严重损害或重要损害威胁时，该成员可适用保障措施。2.保障措施应仅对进口产品适用而不管其来源。第三条 调查1.仅在某一成员的主管当局根据先前确定的程序进行调查并在符合1994年GATT第十条的规定予以公开之后，该成员方可采用保障措施。该调查应包括合理地公开通知所有有利害关系的当事方并公开听证或采用使进口商、出口商和其他有利害关系的当事方能够呈交证据及表明其观点的适当方法，包括提供机会对其他当事方的诉求予以答辩并陈述其主张，特别是保障措施的适用是否出于公益的考虑。主管当局公布一份报告，阐明其调查发现和就全部有关的事实和法律问题所得出的合理结论。2.任何属于机密性质或在保密基础上提供的资料，主管当局在经合理证明时应将其作为机密资料对待。此一资料在未经提供方同意时，不得予以披露。对于提供机密资料的当事方，可要求其提供该机密资料的非机密性摘要，或者如果该当事方表明无法以该机密资料进行摘要时，提交不能提供摘要的原因。然而，如果主管当局发现保密要求没有合理的理由且如果有关当事方或者不愿公开此一资料或者授权以一般化或摘要形式使之披露，则主管当局可无视此一资料，除非有适当的来源能够证明此一资料正确无误。第四条 严重损害或严重损害威胁的确定1.就本协议而言：(a)“严重损害”应理解为是指对某一国内产业的地位造成的重大总体损害；(b)“严重损害威胁”应理解为是指根据第2款规定严重损害迫在眉睫。确定存在严重损害威胁应当基于各种事实而不应仅仅基于断言、推测或者遥远的可能性；(c)在确定损害或其威胁时，“国内产业”应理解为是指某一成员领域内作为一个整体生产同类产品或者直接竞争产品的生产商，或者这些同类产品或直接竞争产品的集体产量构成这些产品的国内总生产的主要部分。2.(a)在根据本协议条款确定进口的增长是否对某一国内已造成严重损害或者正在威胁造成严重损害时，主管当局应当评估与该产业状况相关的客观和具有量化性质的所有相关因素，特别是在绝对和相对条件下有关产品进口增长的比率和数量、增加的进口产品在国内市场中所占的份额、销售水平的各种变化、生产、生产率、能耗、利润、亏损和就业。(b)除非在客观证据的基础上，某项调查表明在有关进口产品的增加与严重损害或者严重损害威胁之间存在因果关系，否则不得进行上述(a)项所述之调查。当有进口产品的增加以外的因素同时亦正在对国内产业造成损害时，此一损害不应归咎于进口产品的增加。(c)主管当局应根据第三条规定立即公布对正在调查案件的详细分析以及被审查因素相关性的说明。第五条 保障措施的适用1.保障措施仅应在为防止和救济和便利调整所需时，由某一成员加以适用。如果使用数量限制，此一措施不应将进口量降至最近一个时期的进口水平，即有统计数据表明的有代表性的前三年的平均进口水平，除非有正当理由说明不同的水平为防止或救济严重损害所必需。成员应当选择适用最能达到这些目标的措施。2.(a)如果在供应国之间分配配额，则适用此一限制的成员应当与在供应有关产品方面具有实质性利益的其他所有成员就有关配额的分配进行协议。如果该方法不能合理地实行时，则有关成员应根据在先前有代表性的一段时期内由该成员提供的该产品在进口问题或总额中所占的比例，将配额分配给在供应该产品方面具有实质性利益的成员，同时适当考虑可能影响正在影响该产品贸易的任何特殊因素。(b)如果在第十三条第1款规定的保障委员会的主持下根据第十二条第3款进行了协商并且向该委员会清楚地表明：(i)从某些特定成员的进口在有代表性的时期内有关该产品进口的总量增加中占有不相称的比例；(ii)背离上述(a)项规定的理由正当；(iii)此一背离的条件公平适用于有关产品的所有供应商，则成员可背离上述(a)项规定。任何此类措施适用的有效期不应超过第七条第1款下规定的初始期限。如果存在严重损害威胁，则不应允许上述背离。第六条 临时保障措施在拖延将导致难以弥补的损害的特殊情形下，成员可根据有明显证据进口增加已造成严重损害或正在威胁造成严重损害这一初步认定采取临时保障措施。临时性措施的期限不应超过200天。在此期间，应符合第二条第7款至第12款规定的各项要求。此类措施应以增加关税的形式适用。如果第四条第2款所指的随后调查未认定进口产品的增加对某一国内产业已造成或正在威胁造成严重损害，则增加的关税应予退还。任何此类临时措施的有效期应当作为初始期限和第七条第1款、第2款和第3所指任何延长的一部分。第七条 保障措施的期限与审查1.成员仅应在为防止或救济严重损害并便利调整所需要的一段时期内适用保障措施。除根据第2款予以延长外，此一期限不应超过两年。2.第1款所提及的期限可在下列条件下予以延长，即进口成员的主管当局根据第二条、第三条、第四条和第五条规定的程序确定，继续适用保障措施为防止或救济严重损害所必要且有证据表明该产业正在调整以及第八条和第十二条的有关规定得以遵守。3.适用某项保障措施的总期限，包括适用任何临时措施的期限、初始适用的期限及其任何延期，不应超过八年。4.为便利进行调整起见，如果根据第十二条第1款规定通知的保障措施，其适用期限超过一年，则适用该措施的成员应在适用期内定期地逐步予以放宽。如果该措施的适用期限超过三年，则适用此措施的成员应在不迟于该措施通用的中期审查该措施的适用情况，并且在合适时撤销该措施或者增加放宽适用的幅度。根据第2款进行延长的措施，不得比初始期限结束时所具有的更多的限制，且应当继续予以放宽。5.对于在WTO协议生效之日后已适用某一措施的进口产品，不应再适用期限等于先前措施适用期限的任何措施，除非不适用的期限至少已达两年。6.尽管有第5款规定，对于适用期限为180天或更短的保障措施，可再次适用用于有关进口产品，如果：(a)自对该进口产品适用某项保障措施之日起计算至少已过一年；且(b)在适用该措施之日前的五年内，就同一产品适用的保障措施不超过两次。第八条 减让水平和其他义务1.提议适用某项保障措施或者寻求长适用某项保障措施的成员，应根据第十二条第3款规定尽力将其与受该措施影响的出口成员之间的减让水平和其他义务维持在与1994年GATT项下现有的水平实质相当的水平上。为达成此一目的，有关成员可就该措施对其贸易的不利影响，商议任何充分的贸易补偿手段。2.如果根据第十二条第3款所进行的磋商在30天内未达成协议，则受影响的各出口成员可在该保障措施实施后的90天内，和货物贸易理事会收到中止的书面通知之日起30天期满时，对实施保障措施成员的贸易中止实施1994年关贸总协定项下实质相等的减让和其他义务，货物贸易理事会对此不应反对。3.如果适用保障措施起因于进口产品的绝对增长且此一措施符合本协议规定，则第2款所指的中止权利在保障措施生效的头三年内不应予以行使。第九条 发展中国家成员1.对于来自单个发展中国成员的产品在进口国的有关进口产品中的份额不超过3%以及占份额不足3%的所有发展中国家成员的总体份额不超过有关产品进口的9%时，保障措施不应对该产品适用。2.发展中国家成员应有权在第七条第3款规定的最长期限之外再延长最高达两年的时间适用某项保障措施。尽管有第七条第5款规定，如果不适用的期限至少已达两年，发展中国家成员应有权对在WTO协议生效之日后已适用此一保障措施的进口产品，在相当于先前适用的措施期限一半的期限之后再次适用某项保障措施。第十条 现行前第十九条措施各成员应在不迟于保障措施被首次适用之后8年或者在WTO协议生效之日后5年，以两者中较迟者为准，终止适用根据1994年GATT第十九条所采取的、在WTO协议生效之日即已存在的保障措施。第十一条 特定措施的禁止和消除1.(a)如1994年GATT第十九条规定，成员不应对特定产品的进口采取寻求采取任何紧急行动，除非此类行动符合该条规定并根据本协议适用。(b)此外，成员不应对出口或进口方寻求、采取或维持任何自愿出口限制、有秩序的营销安排或任何其他类似措施。这些包括由某一单个成员采取的行动，亦包括由两个或两个以上的成员基于其相互订立的规定、按排和谅解而采取的行动。在WTO协议生效之日有效的任何此类措施均应使其符合本协议规定或者根据第2款予以逐步消除。(c)本协议不适用于某一成员根据1994年GATT第十九条以外的条款、根据附件一A中除本协议之外的多边贸易协定或根据1994年GATT框架内缔结的议定书、协定或安排所寻求、采取或者维护的措施。2.第1款(b)项所指措施的逐步取消，应当根据有关成员向保障委员会呈交的时间表在不迟于WTO协议生效之日后180天执行。这些时间表应包括第1款所指的应在WTO协议生效之后不超过四年内予以取消或使之符合本协议规定的所有措施。对于仅适用一种特定措施的每个进口成员而言，此一期限不应超过1999年12月31日。任何此类例外，均应由直接有关的成员彼此达成协议，并通报保障委员会，由该委员会在WTO协议生效之日后的90天内审议和决定是否接受。本协议附录载明了应由各方同意的属于此种例外的措施。3.各成员不应鼓励或支持公共或私人企业使用或维持与第1款所指措施相当的非政府措施。第十二条 通知与协商1.成员应当立即就下列事项通知保障委员会：(a)就有关对其造成的严重损害或严重损害威胁及其原因发起调查；(b)对进口产品的增加而造成的严重损害或严重损害威胁作出裁决；(c)作出决定采取延长某项保障措施。2.在进行第1款(b)项和(c)项所指的通知时，提议适用或延长适用某项保障措施的成员应当向保障委员会提供全部相关资料，包括因进口产品增加所引起的严重损害或严重损害威胁的证明、有关产品的精确说明、建议适用的措施、适用措施的建议日期、预定的期限以及逐步放宽的时间表。在延长适用某一措施的情形下，亦应提供有关产业正在进行调整的证据。货物贸易理事会或保障委员会可请求提议适用或延长适用该措施的成员提供其认为必要的其他资料。3.提议适用或延长适用保障措施的成员应当向作为有关产品出口商的具有重大利益的成员提供充分的事先协商机会，以便特别是审查根据第2款提供的资料、交换对该措施的意见以及达成某种谅解从而实现第八条第1款提出的目标。4.成员在采取第六条所指的临时性措施之前，应通知保障委员会。采取此一措施之后应立即进行协商。5.本条所指的协商结果、第七条第4款所指的中期审查结果、第八条第1款所指的任何形式的减让以及第八条第2款所指的减让和其他义务的拟议中止，均应由有关成员立即通知货物贸易理事会。6.成员应及时向保障委员会通知其有关保障措施的法律、法规和行政程序以及上述法律、法规或行政程序的任何修订。7.在WTO协议生效之日已维持的属于第十条和第十一条第1款所述措施的成员，应在不迟于WTO协议生效之日的60天将此类措施通知保障委员会。8.对于本协议要求进行通知但其他成员未进行通知的有关本协议的全部法律、法规、行政程序以及任何措施或行动，任何成员均可通知保障委员会。9.任何成员均可向保障委员会通知第十一条第3款所指的任何非政府措施。10.本协议中所指的向货物贸易理事会所作的全部通知通常应通过保障委员会进行。11.本协议中有关通知的规定不应要求任何成员披露将妨碍其法律实施或以其他方式违反公共利益或损害特定公共或私人企业合法商业利益的机密资料。第十三条 监督1.特此设立在货物贸易理事会属下的保障委员会，并应对愿意为其服务的任何成员开放参与，该委员会具有以下职能：(a)监督并每年向货物贸易理事会报告本协议的一般执行情况并对其改进提出建议；(b)根据受影响成员之请求，调查有关保障措施是否符合本协议的程序要求并向货物贸易理事会报告其调查结果；(c)在经有关成员请求协助各成员根据本协议规定进行协商；(d)审查第十条和第十一条第1款所包含的各项措施，监督此类措施的消除情况并在适当时向货物贸易理事会报告；(e)应采取保障措施成员之请求，审查中止减让或其他义务的方案是否“实质上相当”，并在适当时向货物贸易理事会报告；(f)取得并审查本协议规定的全部通知并在适当时向货物贸易理事会报告；且(g)执行货物贸易理事会可能确定的有关本协议的任何其他职能。2.为协助委员会执行其监督职能，秘书处应基于所提交的各种通知和其他可靠资料，每年编制本协议实施情况的事实报告。第十四条 争端解决由争端解决谅解所详述和适用的1994年GATT第二十二条和第二十三条的规定，应适用于本协议下产生的协商和争端解决。AGREEMENT ON SAFEGUARDSMembers,Having in mind the overall objective of the Members to improve and strengthen the international trading system based on GATT 1994;Recognizing the need to clarify and reinforce the disciplines of GATT 1994, and specifically those of its Article XIX (Emergency Action on Imports of Particular Products), to reestablish multilateral control over safeguards and eliminate measures that escape such control;Recognizing the importance of structural adjustment and the need to enhance rather than limit competition in international markets; Recognizing further that, for these purposes, a comprehensive agreement, applicable to all Members and based on the basic principles of GATT 1994, is called for;Hereby agree as follows:Article 1 General ProvisionThis Agreement establishes rules for the application of safeguard measures which shall be understood to mean those measures provided for in Article XIX of GATT 1994.Article 2Conditions1. A Member may apply a safeguard measure to a product only if that Member has determined, pursuant to the provisions set out below, that such product is being imported into its territory in such increased quantities, absolute or relative to domestic production, and under such conditions as to cause or threaten to cause serious injury to the domestic industry that produces like or directly competitive products.2.Safeguard measures shall be applied to a product being imported irrespective of its source.Article 3Investigation1.A Member may apply a safeguard measure only following an investigation by the competent authorities of that Member pursuant to procedures previously established and made public in consonance with Article X of GATT 1994. This investigation shall include reasonable public notice to all interested parties and public hearings or other appropriate means in which importers, exporters and other interested parties could present evidence and their views, including the opportunity to respond to the presentations of other parties and to submit their views, inter alia, as to whether or not the application of a safeguard measure would be in the public interest. The competent authorities shall publish a report setting forth their findings and reasoned conclusions reached on all pertinent issues of fact and law.2.Any information which is by nature confidential or which is provided on a confidential basis shall, upon cause being shown, be treated as such by the competent authorities. Such information shall not be disclosed without permission of the party submitting it. Parties providing confidential information may be requested to furnish nonconfidential summaries thereof or, if such parties indicate that such information cannot be summarized, the reasons why a summary cannot be provided. However, if the competent authorities find that a request for confidentiality is not warranted and if the party concerned is either unwilling to make the information public or to authorize its disclosure in generalized or summary form, the authorities may disregard such information unless it can be demonstrated to their satisfaction from appropriate sources that the information is correct.Article 4 Determination of Serious Injury or Threat Thereof1.For the purposes of this Agreement:(a)serious injury shall be understood to mean a significant overall impairment in the position of a domestic industry;(b)threat of serious injury shall be understood to mean serious injury that is clearly imminent, in accordance with the provisions of paragraph 2. A determination of the existence of a threat of serious injury shall be based on facts and not merely on allegation, conjecture or remote possibility; (c)in determining injury or threat thereof, a domestic industry shall be understood to mean the producers as a whole of the like or directly competitive products operating within the territory of a Member, or those whose collective output of the like or directly competitive products constitutes a major proportion of the total domestic production of those products.2.(a)In the investigation to determine whether increased imports have caused or are threatening to cause serious injury to a domestic industry under the terms of this Agreement, the competent authorities shall evaluate all relevant factors of an objective and quantifiable nature having a bearing on the situation of that industry, in particular, the rate and amount of the increase in imports of the product concerned in absolute and relative terms, the share of the domestic market taken by increased imports, changes in the level of sales, production, productivity, capacity utilization, profits and losses, and employment.(b)The determination referred to in subparagraph (a) shall not be made unless this investigation demonstrates, on the basis of objective evidence, the existence of the causal link between increased imports of the product concerned and serious injury or threat thereof. When factors other than increased imports are causing injury to the domestic industry at the same time, such injury shall not be attributed to increased imports.(c)The competent authorities shall publish promptly, in accordance with the provisions of Article 3, a detailed analysis of the case under investigation as well as a demonstration of the relevance of the factors examined.Article 5Application of Safeguard Measures1.A Member shall apply safeguard measures only to the extent necessary to prevent or remedy serious injury and to facilitate adjustment. If a quantitative restriction is used, such a measure shall not reduce the quantity of imports below the level of a recent period which shall be the average of imports in the last three representative years for which statistics are available, unless clear justification is given that a different level is necessary to prevent or remedy serious injury. Members should choose measures most suitable for the achievement of these objectives.2.(a)In cases in which a quota is allocated among supplying countries, the Member applying the restrictions may seek agreement with respect to the allocation of shares in the quota with all other Members having a substantial interest in supplying the product concerned. In cases in which this method is not reasonably practicable, the Member concerned shall allot to Members having a substantial interest in supplying the product shares based upon the proportions, supplied by such Members during a previous representative period, of the total quantity or value of imports of the product, due account being taken of any special factors which may have affected or may be affecting the trade in the product.(b)A Member may depart from the provisions in subparagraph (a) provided that consultations under paragraph 3 of Article 12 are conducted under the auspices of the Committee on Safeguards provided for in paragraph 1 of Article 13 and that clear demonstration is provided to the Committee that (i) imports from certain Members have increased in disproportionate percentage in relation to the total increase of imports of the product concerned in the representative period, (ii) the reasons for the departure from the provisions in subparagraph (a) are justified, and (iii) the conditions of such departure are equitable to all suppliers of the product concerned. The duration of any such measure shall not be extended beyond the initial period under paragraph 1 of Article 7. The departure referred to above shall not be permitted in the case of threat of serious injury.Article 6Provisional Safeguard Measures In critical circumstances where delay would cause damage which it would be difficult to repair, a Member may take a provisional safeguard measure pursuant to a preliminary determination that there is clear evidence that increased imports have caused or are threatening to cause serious injury. The duration of the provisional measure shall not exceed 200 days, during which period the pertinent requirements of Articles 2 through 7 and 12 shall be met. Such measures should take the form of tariff increases to be promptly refunded if the subsequent investigation referred to in paragraph 2 of Article 4 does not determine that increased imports have caused or threatened to cause serious injury to a domestic industry. The duration of any such provisional measure shall be counted as a part of the initial period and any extension referred to in paragraphs 1, 2 and 3 of Article 7.Article 7Duration and Review of Safeguard Measures1.A Member shall apply safeguard measures only for such period of time as may be necessary to prevent or remedy serious injury and to facilitate adjustment. The period shall not exceed four years, unless it is extended under paragraph 2.2.The period mentioned in paragraph 1 may be extended provided that the competent authorities of the importing Member have determined, in conformity with the procedures set out in Articles 2, 3, 4 and 5, that the safeguard measure continues to be necessary to prevent or remedy serious injury and that there is evidence that the industry is adjusting, and provided that the pertinent provisions of Articles 8 and 12 are observed.3.The total period of application of a safeguard measure including the period of application of any provisional measure, the period of initial application and any extension thereof, shall not exceed eight years.4.In order to facilitate adjustment in a situation where the expected duration of a safeguard measure as notified under the provisions of paragraph 1 of Article 12 is over one year, the Member applying the measure shall progressively liberalize it at regular intervals during the period of application. If the duration of the measure exceeds three years, the Member applying such a measure shall review the situation not later than the midterm of the measure and, if appropriate, withdraw it or increase the pace of liberalization. A measure extended under paragraph 2 shall not be more restrictive than it was at the end of the initial period, and should continue to be liberalized.5.No safeguard measure shall be applied again to the import of a product which has been subject to such a measure, taken after the date of entry into force of the WTO Agreement, for a period of time equal to that during which such measure had been previously applied, provided that the period of nonapplication is at least two years.6.Notwithstanding the provisions of paragraph 5, a safeguard measure with a duration of 180 days or less may be applied again to the import of a product if:(a)at least one year has elapsed since the date of introduction of a safeguard measure on the import of that product; and(b)such a safeguard measure has not been applied on the same product more than twice in the fiveyear period immediately preceding the date of introduction of the measure.Article 8Level of Concessions and Other Obligations1.A Member proposing to apply a safeguard measure or seeking an extension of a safeguard measure shall endeavour to maintain a substantially equivalent level of concessions and other obligations to that existing under GATT 1994 between it and the exporting Members which would be affected by such a measure, in accordance with the provisions of paragraph 3 of Article 12. To achieve this objective, the Members concerned may agree on any adequate means of trade compensation for the adverse effects of the measure on their trade.2.If no agreement is reached within 30 days in the consultations under paragraph 3 of Article 12, then the affected exporting Members shall be free, not later than 90 days after the measure is applied, to suspend, upon the expiration of 30 days from the day on which written notice of such suspension is received by the Council for Trade in Goods, the application of substantially equivalent concessions or other obligations under GATT 1994, to the trade of the Member applying the safeguard measure, the suspension of which the Council for Trade in Goods does not disapprove.3.The right of suspension referred to in paragraph 2 shall not be exercised for the first three years that a safeguard measure is in effect, provided that the safeguard measure has been taken as a result