WTO规则中英文教程第十章-保障措施课件

1、第十章 WTO保障措施适用规则 WTO Rules on Applying Safeguard Measures第十章 WTO保障措施适用规则 一、概述WTO保障措施协定(Agreement on Safeguards)1确定了WTO关于保障措施的适用规则。保障措施协定的主要目标是规范GATT 1994第19条“对某些产品进口的紧急措施”的实施，加强对保障措施(safeguards or safeguard measures)的多边控制，消除逃避此类控制的措施，推动而非限制国际市场上的竞争。 1 This Agreement consists of 14 articles and 1 anne

2、x.一、概述WTO保障措施协定(Agreement on S二、宗旨A WTO member may take a “safeguard” action (i.e., restrict imports of a product temporarily) to protect a specific domestic industry from an increase in imports of any product which is causing, or which is threatening to cause, serious injury to the industry.The WTO

3、 Safeguards Agreement broke new ground in prohibiting “grey area” measures and setting time limits (“sunset clause”) on all safeguard actions.二、宗旨A WTO member may take a “sWTO规则中英文教程第十章-保障措施课件WTO规则中英文教程第十章-保障措施课件四、保障措施中的“国内产业”定义与WTO反倾销规则和反补贴规则中的“国内产业”定义不同，WTO保障措施协定下的“国内产业”明确包括生产与进口产品直接竞争产品的国内生产商。该协定

4、第4.1(c)条规定：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 domesti

5、c production of those products. 四、保障措施中的“国内产业”定义与WTO反倾销规则和反补贴规“国内产业”应理解为在一成员领土内进行业务活动的相同产品或直接竞争产品的所有生产商，或指那些生产的相同产品或直接竞争产品的累积产量占该产品国内总产量大部分的生产商。“国内产业”应理解为在一成员领土内进行业务活动的相同产品或直五、“严重损害”和“严重损害威胁”的定义（一）定义 Serious injury means a significant overall impairment in the position of a domestic industry; “严重损害”

6、是指对一国内产业状况的重大全面的损伤； Threat of serious injury means serious injury that is clearly imminent, which is determined based on facts and not merely on allegation, conjecture or remote possibility. “严重损害威胁”是指明显的迫近的严重损害。对存在严重损害威胁的认定应根据有关的事实，而非仅凭指控、推测或存在极小的可能性.五、“严重损害”和“严重损害威胁”的定义（一）定义（二）确定“严重损害”和“严重损害威胁”应考虑

7、的主要因素 在确定增加的进口是否对一国内产业已经造成严重损害或正在威胁造成严重损害的调查中，实施保障措施的职能机关应评估与该产业状况有关的所有客观和可量化的因素，特别是有关产品进口绝对和相对增加率和增加量，增加的进口占国内市场的份额以及销售水平、产量、生产率、设备利用率、利润和亏损及就业变化。 （二）确定“严重损害”和“严重损害威胁”应考虑的主要因素 小结WTO保障措施协定第4条所定义的上述“严重损害”和“严重损害威胁”与WTO反倾销、反补贴规则中定义的“实质性损害”（material injury）和“实质性损害威胁”(a threat of material injury)除造成损害的原因

8、不同外，其决定损害的因素并无实质性的差别。 小结WTO保障措施协定第4条所定义的上述“严重损害”和“六、保障措施的实施期限A safeguard measure should not last more than four years, although this can be extended up to eight years, subject to a determination by competent national authorities that the measure is needed and that there is evidence the industry is a

9、djusting. Measures imposed for more than a year must be progressively liberalized.六、保障措施的实施期限A safeguard measure根据WTO保障措施协定第7.1条和第7.3条，在正常情况下，保障措施的适用期限不超过4年。一种保障措施的全部实施期，包括临时措施的实施期、最初实施期及其任何延长，不得超过8年。 根据WTO保障措施协定第7.1条和第7.3条，在正常情况A safeguard measure with a duration of 180 days or less may be applied

10、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 five-year period immediately preceding the date

11、of introduction of the measure.实施期等于或少于180天的保障措施仍可再适用于一产品的进口，若(1)自上一次对该产品的进口适用保障措施之日起已至少过了1年；且(2)自上一次适用该保障措施之日前的5年期间内，该措施未对同一产品实施2次以上。 A safeguard measure with a dur七、对发展中国家成员的特殊规定To some extent developing countries exports are shielded from safeguard actions. An importing country can only apply a s

12、afeguard measure to a product from a developing country if the developing country is supplying more than 3% of the imports of that product, or if developing country members with less than 3% import share collectively account for more than 9% of total imports of the product concerned.七、对发展中国家成员的特殊规定T

13、o some extent 对于源自一个发展中国家成员的产品，只要其有关产品的进口在进口成员中所占份额不超过3%，即不应对该产品实施保障措施。但是进口份额不超过3%的多个发展中国家成员份额总计不应超过有关产品总进口的9%，否则仍要对这些成员适用保障措施。 对于源自一个发展中国家成员的产品，只要其有关产品的进口在进口A developing country Member may extend the period of application of a safeguard measure for a period of up to two years beyond the maximum per

14、iod, and may apply a safeguard measure 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, after a period of time equal to half that during which such a measure has been previously applied, provided that the period

15、 of non-application is at least two years.一个发展中国家成员可将一保障措施的实施期在前述8年期限基础上再延长2年，也可对已经受在WTO协定生效之日后采取的保障措施约束的产品的进口，在等于以往实施该措施期限一半的期限后，再次实施保障措施，但两次保障措施之间时间间隔至少为2年。 A developing country Member ma八、适用保障措施的主要程序（一）保障措施调查This investigation includes reasonable public notice to all interested parties and public

16、 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 safeguar

17、d measure would be in the public interest.保障措施调查包括对所有利益相关方发出必要的公告，举行公开听证会或其他合适的方式。进口商、出口商和其他利害关系方可藉此提出证据和意见，特别是关于保障措施的实施是否符合公共利益的意见。八、适用保障措施的主要程序（一）保障措施调查Transparency and Public InterestThe emphasis is on transparency and on established rules and practices avoiding arbitrary methods. The authorities

18、 conducting investigations have to announce publicly when hearings are to take place and provide other appropriate means for interested parties to present evidence. The evidence must include arguments on whether a measure is in the public interest.Transparency and Public Intere可见，在WTO保障措施协定中，“公共利益”也

19、是决定是否实施保障措施的一个因素。在WTO反倾销协定或补贴与反补贴协定中并无此明确规定。可见，在WTO保障措施协定中，“公共利益”也是决定是否实（二）适用临时保障措施 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 t

20、hat increased imports have caused or are threatening to cause serious injury. The duration of the provisional measure shall not exceed 200 days. Such measures should take the form of tariff increases. （二）适用临时保障措施 In critical cir在迟延会造成难以弥补的损害的紧急情况下，WTO成员可根据有明确证据证明增加的进口已经或正在威胁造成严重损害的初步裁定采取临时保障措施。临时措施的

21、期限不应超过200天。此类措施应以提高关税的形式实施。 在迟延会造成难以弥补的损害的紧急情况下，WTO成员可根据有明（三）适用最终保障措施（Applying a Definitive Safeguard Measures）最终保障措施的形式可以是提高关税，也可以是数量限制，但不能是自愿出口限制（voluntary export restraints）、有序销售安排（orderly marketing arrangements）或其他任何类似措施（any other similar measures）1。1 See Article 11.1(b) of WTO Agreement on Safe

22、guards.（三）适用最终保障措施（Applying a DefinitIf a quantitative restriction is used, such a measure shall not reduce the quantity of imports below the level of a recent period which in general shall be the average of imports in the last three representative years for which statistics are available.若保障措施是使用数量

23、限制，则该措施不得使进口量减少至低于近期水平（该水平一般应为可获得统计数字的最近3个代表性年份的平均进口量）。If a quantitative restrictio（四）贸易补偿和中止减让(Trade Compensation and Suspension of Concession) When a country restricts imports in order to safeguard its domestic producers, in principle it must give something in return. The agreement says the export

24、ing country (or exporting countries) can seek compensation through consultations. If no agreement is reached the exporting country can retaliate by taking equivalent action for instance, it can raise tariffs on exports from the country that is enforcing the safeguard measure.（四）贸易补偿和中止减让(Trade Compe

25、nsatioIf no agreement is reached within 30 days in the consultations，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 f

26、or 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. Compensation and Retaliation（2）If no agreement is re

27、ached wit如在磋商中有关方未能在30天内达成协议，则受影响的出口成员可在不迟于该保障措施实施后90天，并在货物贸易理事会收到中止减让的书面通知之日起30天期满后，对实施保障措施成员的贸易中止实施GATT 1994项下实质对等的减让或其他义务，只要货物贸易理事会对此中止不持异议。 WTO规则中英文教程第十章-保障措施课件The right of suspension shall not be exercised for the first three years that a safeguard measure is in effect, provided that the safegu

28、ard measure has been taken as a result of an absolute increase in imports and that such a measure conforms to the provisions of this Agreement. 若该保障措施是由于进口的绝对增长而采取的并符合WTO保障措施协定的规定，则出口成员在保障措施有效的前3年内不应行使中止减让的权利。 The right of suspension shall (五)保障措施中期复审（Art. 7.4 ）If the duration of a safegurard measur

29、e exceeds three years, the Member applying such a measure shall review the situation not later than the mid-term of the measure and, if appropriate, withdraw it or increase the pace of liberalization.若一种保障措施的期限超过3年，适用该措施的成员在不迟于该期限的中期复审这一保障措施的适用情况。如果合适的话，撤消该措施或加快放宽进口限制的步伐。 (五)保障措施中期复审（Art. 7.4 ）If the d(六)通知和磋商(Art.12)WTO requires a Member immediately notify the Committee on Safeguards upon: (a) initiating an investigatory process relating to serious injury or threat there