《WTO規(guī)則中英文教程第十章保障措施》由會員分享，可在線閱讀，更多相關(guān)《WTO規(guī)則中英文教程第十章保障措施（31頁珍藏版）》請在裝配圖網(wǎng)上搜索。

1、第十章第十章 WTO保障措施適用保障措施適用規(guī)則規(guī)則 WTO Rules on Applying Safeguard Measures一、概述一、概述WTO保障措施協(xié)定保障措施協(xié)定(Agreement on Safeguards)1確定了確定了WTO關(guān)于保障措施的適關(guān)于保障措施的適用規(guī)則。用規(guī)則。保障措施協(xié)定保障措施協(xié)定的主要目標是規(guī)范的主要目標是規(guī)范GATT 1994第第19條條“對某些產(chǎn)品進口的緊對某些產(chǎn)品進口的緊急措施急措施”的實施，加強對保障措施的實施，加強對保障措施(safeguards or safeguard measures)的多邊控制，消除逃避的多邊控制，消除逃避此類控制的措

2、施，推動而非限制國際市場上的此類控制的措施，推動而非限制國際市場上的競爭競爭。1 This Agreement consists of 14 articles and 1 annex.二、宗旨二、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

3、threatening to cause,serious injury to the industry.The WTO Safeguards Agreement broke new ground in prohibiting“grey area”measures and setting time limits(“sunset clause”)on all safeguard actions.三、適用保障措施的條件（三、適用保障措施的條件（Art.2)A product is being imported in such increased quantities,absolute or rela

4、tive 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.一種產(chǎn)品的進口量相對于國內(nèi)生產(chǎn)絕對或相對地增加，且對生產(chǎn)相同或直接競爭產(chǎn)品的國內(nèi)產(chǎn)業(yè)造成嚴重損害或產(chǎn)生嚴重損害威脅。何謂絕對增長？何謂相對增長？An import“surge”justifying safeguard action can b

5、e a real increase in imports(an absolute increase);or it can be an increase in the imports share of a shrinking market,even if the import quantity has not increased(relative increase).四、保障措施中的“國內(nèi)產(chǎn)業(yè)”定義與WTO反傾銷規(guī)則和反補貼規(guī)則中的“國內(nèi)產(chǎn)業(yè)”定義不同，WTO保障措施協(xié)定下的“國內(nèi)產(chǎn)業(yè)”明確包括生產(chǎn)與進口產(chǎn)品直接競爭產(chǎn)品的國內(nèi)生產(chǎn)商。該協(xié)定第4.1(c)條規(guī)定：Domestic industry

6、 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 product

7、s.“國內(nèi)產(chǎn)業(yè)國內(nèi)產(chǎn)業(yè)”應理解為在一成員應理解為在一成員領(lǐng)土內(nèi)進行業(yè)務活動的相同產(chǎn)品領(lǐng)土內(nèi)進行業(yè)務活動的相同產(chǎn)品或直接競爭產(chǎn)品的所有生產(chǎn)商，或直接競爭產(chǎn)品的所有生產(chǎn)商，或指那些生產(chǎn)的相同產(chǎn)品或直接或指那些生產(chǎn)的相同產(chǎn)品或直接競爭產(chǎn)品的累積產(chǎn)量占該產(chǎn)品國競爭產(chǎn)品的累積產(chǎn)量占該產(chǎn)品國內(nèi)總產(chǎn)量大部分的生產(chǎn)商。內(nèi)總產(chǎn)量大部分的生產(chǎn)商。五、五、“嚴重損害嚴重損害”和和“嚴重損害威脅嚴重損害威脅”的的定義定義（一）定義（一）定義 Serious injury means a significant overall impairment in the position of a domestic indus

8、try;“嚴重損害嚴重損害”是指對一國內(nèi)產(chǎn)業(yè)狀況的重大全面是指對一國內(nèi)產(chǎn)業(yè)狀況的重大全面的損傷；的損傷；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.“嚴重損害威脅嚴重損害威脅”是指明顯的迫近的嚴重損害。是指明顯的迫近的嚴重損害。對存在嚴重損害威脅的認定應根據(jù)有關(guān)的事實，對存在嚴重損害威脅的認定應根據(jù)有關(guān)的事

9、實，而非僅憑指控、推測或存在極小的可能性而非僅憑指控、推測或存在極小的可能性.（二）確定（二）確定“嚴重損害嚴重損害”和和“嚴重損害威脅嚴重損害威脅”應考慮的主要應考慮的主要因素因素 在確定增加的進口是否對一國內(nèi)產(chǎn)在確定增加的進口是否對一國內(nèi)產(chǎn)業(yè)已經(jīng)造成嚴重損害或正在威脅造成嚴業(yè)已經(jīng)造成嚴重損害或正在威脅造成嚴重損害的調(diào)查中，實施保障措施的職能重損害的調(diào)查中，實施保障措施的職能機關(guān)應評估與該產(chǎn)業(yè)狀況有關(guān)的所有客機關(guān)應評估與該產(chǎn)業(yè)狀況有關(guān)的所有客觀和可量化的因素，特別是有關(guān)產(chǎn)品進觀和可量化的因素，特別是有關(guān)產(chǎn)品進口絕對和相對增加率和增加量，增加的口絕對和相對增加率和增加量，增加的進口占國內(nèi)市場的

10、份額以及銷售水平、進口占國內(nèi)市場的份額以及銷售水平、產(chǎn)量、生產(chǎn)率、設(shè)備利用率、利潤和虧產(chǎn)量、生產(chǎn)率、設(shè)備利用率、利潤和虧損及就業(yè)變化。損及就業(yè)變化。小結(jié)WTO保障措施協(xié)定第4條所定義的上述“嚴重損害”和“嚴重損害威脅”與WTO反傾銷、反補貼規(guī)則中定義的“實質(zhì)性損害”（material injury）和“實質(zhì)性損害威脅”(a threat of material injury)除造成損害的原因不同外，其決定損害的因素并無實質(zhì)性的差別。六、保障措施的實施期限A safeguard measure should not last more than four years,although this

11、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 adjusting.Measures imposed for more than a year must be progressively liberalized.根據(jù)WTO保障措施協(xié)定第7.1條和第7.3條，在正常情況下，保障措施的適用期限不超過4年。一種保障措施的全

12、部實施期，包括臨時措施的實施期、最初實施期及其任何延長，不得超過8年。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 bee

13、n applied on the same product more than twice in the five-year period immediately preceding the date of introduction of the measure.實施期等于或少于實施期等于或少于180天的保障措施仍可再適用于天的保障措施仍可再適用于一產(chǎn)品的進口，若一產(chǎn)品的進口，若(1)自上一次對該產(chǎn)品的進口適自上一次對該產(chǎn)品的進口適用保障措施之日起已至少過了用保障措施之日起已至少過了1年；且年；且(2)自上一次自上一次適用該保障措施之日前的適用該保障措施之日前的5年期間內(nèi)，該措施未對年期間內(nèi)，

14、該措施未對同一產(chǎn)品實施同一產(chǎn)品實施2次以上。次以上。七、對發(fā)展中國家成員的特殊規(guī)定七、對發(fā)展中國家成員的特殊規(guī)定To some extent developing countries exports are shielded from safeguard actions.An importing country can only apply a safeguard measure to a product from a developing country if the developing country is supplying more than 3%of the imports of

15、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.對于源自一個發(fā)展中國家成員的產(chǎn)品，只要其有關(guān)產(chǎn)品的進口在進口成員中所占份額不超過3%，即不應對該產(chǎn)品實施保障措施。但是進口份額不超過3%的多個發(fā)展中國家成員份額總計不應超過有關(guān)產(chǎn)品總進口的9%，否則仍要對這些成員適用保障措施。A developing country Member may

16、extend the period of application of a safeguard measure for a period of up to two years beyond the maximum period,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 o

17、f time equal to half that during which such a measure has been previously applied,provided that the period of non-application is at least two years.一個發(fā)展中國家成員可將一保障措施的實施期在前述8年期限基礎(chǔ)上再延長2年，也可對已經(jīng)受在WTO協(xié)定生效之日后采取的保障措施約束的產(chǎn)品的進口，在等于以往實施該措施期限一半的期限后，再次實施保障措施，但兩次保障措施之間時間間隔至少為2年。八、適用保障措施的主要程序八、適用保障措施的主要程序（一）保障措施調(diào)查（

18、一）保障措施調(diào)查This investigation includes 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 pa

19、rties and to submit their views,inter alia,as to whether or not the application of a safeguard measure would be in the public interest.保障措施調(diào)查包括對所有利益相關(guān)方發(fā)出必要的公告，舉行公開聽證會或其他合適的方式。進口商、出口商和其他利害關(guān)系方可藉此提出證據(jù)和意見，特別是關(guān)于保障措施的實施是否符合公共利益的意見。Transparency and Public InterestThe emphasis is on transparency and on esta

20、blished rules and practices avoiding arbitrary methods.The authorities 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

21、 public interest.可見，在可見，在WTOWTO保障措施協(xié)定保障措施協(xié)定中，中，“公共利益公共利益”也是決定是否實施保也是決定是否實施保障措施的一個因素。在障措施的一個因素。在WTOWTO反傾反傾銷協(xié)定銷協(xié)定或或補貼與反補貼協(xié)定補貼與反補貼協(xié)定中并無此明確規(guī)定。中并無此明確規(guī)定。（二）適用臨時保障措施（二）適用臨時保障措施 In critical circumstances where delay would cause damage which it would be difficult to repair,a Member may take a provisional saf

22、eguard 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.Such measures should take the form of tariff increases.在遲延會造成難以彌補的損害的緊在遲

23、延會造成難以彌補的損害的緊急情況下，急情況下，WTO成員可根據(jù)有明確成員可根據(jù)有明確證據(jù)證明增加的進口已經(jīng)或正在威證據(jù)證明增加的進口已經(jīng)或正在威脅造成嚴重損害的初步裁定采取臨脅造成嚴重損害的初步裁定采取臨時保障措施。臨時措施的期限不應時保障措施。臨時措施的期限不應超過超過200天。此類措施應以提高關(guān)稅天。此類措施應以提高關(guān)稅的形式實施。的形式實施。（三）適用最終保障措施（三）適用最終保障措施（Applying a Definitive Safeguard Measures）最終保障措施的形式可以是提高關(guān)稅，最終保障措施的形式可以是提高關(guān)稅，也可以是數(shù)量限制，但不能是自愿出口限也可以是數(shù)量限制，

24、但不能是自愿出口限制（制（voluntary export restraints）、有序銷、有序銷售安排（售安排（orderly marketing arrangements）或其他任何類似措施（或其他任何類似措施（any other similar measures）1。1 See Article 11.1(b)of WTO Agreement on Safeguards.If a quantitative restriction is used,such a measure shall not reduce the quantity of imports below the level o

25、f a recent period which in general shall be the average of imports in the last three representative years for which statistics are available.若保障措施是使用數(shù)量限制，則該若保障措施是使用數(shù)量限制，則該措施不得使進口量減少至低于近期水平措施不得使進口量減少至低于近期水平（該水平一般應為可獲得統(tǒng)計數(shù)字的最（該水平一般應為可獲得統(tǒng)計數(shù)字的最近近3個代表性年份的平均進口量）。個代表性年份的平均進口量）。（四）貿(mào)易補償和中止減讓（四）貿(mào)易補償和中止減讓(Trade

26、 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 exporting country(or exporting countries)can seek compensation through consultations.If no agreement is reache

27、d 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.If no agreement is reached within 30 days in the consultations，then the affected exporting Members shall be free,not later than 90 d

28、ays 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 app

29、lying the safeguard measure,the suspension of which the Council for Trade in Goods does not disapprove.Compensation and Retaliation（2）如在磋商中有關(guān)方未能在如在磋商中有關(guān)方未能在30天內(nèi)達成協(xié)天內(nèi)達成協(xié)議，則受影響的出口成員可在不遲于該議，則受影響的出口成員可在不遲于該保障措施實施后保障措施實施后90天，并在貨物貿(mào)易理天，并在貨物貿(mào)易理事會收到中止減讓的書面通知之日起事會收到中止減讓的書面通知之日起30天期滿后，對實施保障措施成員的貿(mào)易天期滿后，對實施保障措施成

30、員的貿(mào)易中止實施中止實施GATT 1994項下實質(zhì)對等的減項下實質(zhì)對等的減讓或其他義務，只要貨物貿(mào)易理事會對讓或其他義務，只要貨物貿(mào)易理事會對此中止不持異議。此中止不持異議。The right of suspension 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 of an absolute increase in imports and

31、that such a measure conforms to the provisions of this Agreement.若該保障措施是由于進口的絕對增長而采取若該保障措施是由于進口的絕對增長而采取的并符合的并符合WTO保障措施協(xié)定保障措施協(xié)定的規(guī)定，的規(guī)定，則出口成員在保障措施有效的前則出口成員在保障措施有效的前3年內(nèi)不應年內(nèi)不應行使中止減讓的權(quán)利。行使中止減讓的權(quán)利。(五五)保障措施保障措施中期復審（復審（Art.7.4）If the duration of a safegurard measure exceeds three years,the Member applying s

32、uch 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.若一種保障措施的期限超過若一種保障措施的期限超過3年，適用年，適用該措施的成員在不遲于該期限的中期復審這該措施的成員在不遲于該期限的中期復審這一保障措施的適用情況。如果合適的話，撤一保障措施的適用情況。如果合適的話，撤消該措施或加快放寬進口限制的步伐。消該措施或加快放寬進口限制的步伐。(六六

33、)通知和磋商通知和磋商(Art.12)WTO requires a Member immediately notify the Committee on Safeguards upon:(a)initiating an investigatory process relating to serious injury or threat thereof and the reasons for it;(b)making a finding of serious injury or threat thereof caused by increased imports;and(c)taking a d

34、ecision to apply or extend a safeguard measure.WTO要求其成員將下列情況立即通知保障措施委員會:：(1)發(fā)起與嚴重損害或嚴重損害威脅有關(guān)的調(diào)查程序及發(fā)起的原因；(2)就因增加的進口所造成的嚴重損害或嚴重損害威脅所提出的調(diào)查結(jié)果；(3)就實施或延長保障措施作出的決定。The Member proposing to apply or extend a safeguard measure shall provide the Committee on Safeguards with all pertinent information,which shal

35、l include evidence of serious injury or threat thereof caused by increased imports,precise description of the product involved and the proposed measure,proposed date of introduction,expected duration and timetable for progressive liberalization.提議實施或延長保障措施的成員應向保障措施委員會提供所有有關(guān)信息，其中包括增加的進口所造成嚴重損害或嚴重損害威脅的證據(jù)、對所涉及的產(chǎn)品和擬議措施的準確描述、擬議采取措施的日期、預計的期限以及逐步放寬限制的時間表。一成員在采取臨時保障措施之前，一成員在采取臨時保障措施之前，應向保障措施委員會作出通知。有應向保障措施委員會作出通知。有關(guān)方之間的磋商應在采取臨時措施關(guān)方之間的磋商應在采取臨時措施后立即開始。后立即開始。磋商的結(jié)果、中期復審的結(jié)果、任磋商的結(jié)果、中期復審的結(jié)果、任何形式的補償、擬定的中止減讓或何形式的補償、擬定的中止減讓或其他義務的中止，均應由有關(guān)成員其他義務的中止，均應由有關(guān)成員立即通知貨物貿(mào)易理事會。立即通知貨物貿(mào)易理事會。