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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(biāo)是規(guī)范的主要目標(biāo)是規(guī)范GATT 1994第第19條條“對(duì)某些產(chǎn)品進(jìn)口的緊對(duì)某些產(chǎn)品進(jìn)口的緊急措施急措施”的實(shí)施，加強(qiáng)對(duì)保障措施的實(shí)施，加強(qiáng)對(duì)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(dòng)而非限制國(guó)際市場(chǎng)上的此類控制的措施，推動(dòng)而非限制國(guó)際市場(chǎng)上的競(jìng)爭(zhēng)競(jìng)爭(zhēng)。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(jìn)口量相對(duì)于國(guó)內(nèi)生產(chǎn)絕對(duì)或相對(duì)地增加，且對(duì)生產(chǎn)相同或直接競(jìng)爭(zhēng)產(chǎn)品的國(guó)內(nèi)產(chǎn)業(yè)造成嚴(yán)重?fù)p害或產(chǎn)生嚴(yán)重?fù)p害威脅。何謂絕對(duì)增長(zhǎng)？何謂相對(duì)增長(zhǎng)？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(guó)內(nèi)產(chǎn)業(yè)”定義與WTO反傾銷規(guī)則和反補(bǔ)貼規(guī)則中的“國(guó)內(nèi)產(chǎn)業(yè)”定義不同，WTO保障措施協(xié)定下的“國(guó)內(nèi)產(chǎn)業(yè)”明確包括生產(chǎn)與進(jìn)口產(chǎn)品直接競(jìng)爭(zhēng)產(chǎn)品的國(guó)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(guó)內(nèi)產(chǎn)業(yè)國(guó)內(nèi)產(chǎn)業(yè)”應(yīng)理解為在一成員應(yīng)理解為在一成員領(lǐng)土內(nèi)進(jìn)行業(yè)務(wù)活動(dòng)的相同產(chǎn)品領(lǐng)土內(nèi)進(jìn)行業(yè)務(wù)活動(dòng)的相同產(chǎn)品或直接競(jìng)爭(zhēng)產(chǎn)品的所有生產(chǎn)商，或直接競(jìng)爭(zhēng)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(jìng)爭(zhēng)產(chǎn)品的累積產(chǎn)量占該產(chǎn)品國(guó)競(jìng)爭(zhēng)產(chǎn)品的累積產(chǎn)量占該產(chǎn)品國(guó)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(yán)重?fù)p害嚴(yán)重?fù)p害”和和“嚴(yán)重?fù)p害威脅嚴(yán)重?fù)p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(yán)重?fù)p害嚴(yán)重?fù)p害”是指對(duì)一國(guó)內(nèi)產(chǎn)業(yè)狀況的重大全面是指對(duì)一國(guó)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(yán)重?fù)p害威脅嚴(yán)重?fù)p害威脅”是指明顯的迫近的嚴(yán)重?fù)p害。是指明顯的迫近的嚴(yán)重?fù)p害。對(duì)存在嚴(yán)重?fù)p害威脅的認(rèn)定應(yīng)根據(jù)有關(guān)的事實(shí)，對(duì)存在嚴(yán)重?fù)p害威脅的認(rèn)定應(yīng)根據(jù)有關(guān)的事

9、實(shí)，而非僅憑指控、推測(cè)或存在極小的可能性而非僅憑指控、推測(cè)或存在極小的可能性.（二）確定（二）確定“嚴(yán)重?fù)p害嚴(yán)重?fù)p害”和和“嚴(yán)重?fù)p害威脅嚴(yán)重?fù)p害威脅”應(yīng)考慮的主要應(yīng)考慮的主要因素因素 在確定增加的進(jìn)口是否對(duì)一國(guó)內(nèi)產(chǎn)在確定增加的進(jìn)口是否對(duì)一國(guó)內(nèi)產(chǎn)業(yè)已經(jīng)造成嚴(yán)重?fù)p害或正在威脅造成嚴(yán)業(yè)已經(jīng)造成嚴(yán)重?fù)p害或正在威脅造成嚴(yán)重?fù)p害的調(diào)查中，實(shí)施保障措施的職能重?fù)p害的調(diào)查中，實(shí)施保障措施的職能機(jī)關(guān)應(yīng)評(píng)估與該產(chǎn)業(yè)狀況有關(guān)的所有客機(jī)關(guān)應(yīng)評(píng)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(jìn)觀和可量化的因素，特別是有關(guān)產(chǎn)品進(jìn)口絕對(duì)和相對(duì)增加率和增加量，增加的口絕對(duì)和相對(duì)增加率和增加量，增加的進(jìn)口占國(guó)內(nèi)市場(chǎng)的

10、份額以及銷售水平、進(jìn)口占國(guó)內(nèi)市場(chǎng)的份額以及銷售水平、產(chǎn)量、生產(chǎn)率、設(shè)備利用率、利潤(rùn)和虧產(chǎn)量、生產(chǎn)率、設(shè)備利用率、利潤(rùn)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(yán)重?fù)p害”和“嚴(yán)重?fù)p害威脅”與WTO反傾銷、反補(bǔ)貼規(guī)則中定義的“實(shí)質(zhì)性損害”（material injury）和“實(shí)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(wú)實(shí)質(zhì)性的差別。六、保障措施的實(shí)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(guò)4年。一種保障措施的全

12、部實(shí)施期，包括臨時(shí)措施的實(shí)施期、最初實(shí)施期及其任何延長(zhǎng)，不得超過(guò)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(shí)施期等于或少于實(shí)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(jìn)口，若一產(chǎn)品的進(jìn)口，若(1)自上一次對(duì)該產(chǎn)品的進(jìn)口適自上一次對(duì)該產(chǎn)品的進(jìn)口適用保障措施之日起已至少過(guò)了用保障措施之日起已至少過(guò)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(duì)年期間內(nèi)，

14、該措施未對(duì)同一產(chǎn)品實(shí)施同一產(chǎn)品實(shí)施2次以上。次以上。七、對(duì)發(fā)展中國(guó)家成員的特殊規(guī)定七、對(duì)發(fā)展中國(guó)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(duì)于源自一個(gè)發(fā)展中國(guó)家成員的產(chǎn)品，只要其有關(guān)產(chǎn)品的進(jìn)口在進(jìn)口成員中所占份額不超過(guò)3%，即不應(yīng)對(duì)該產(chǎn)品實(shí)施保障措施。但是進(jìn)口份額不超過(guò)3%的多個(gè)發(fā)展中國(guó)家成員份額總計(jì)不應(yīng)超過(guò)有關(guān)產(chǎn)品總進(jìn)口的9%，否則仍要對(duì)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(gè)發(fā)展中國(guó)家成員可將一保障措施的實(shí)施期在前述8年期限基礎(chǔ)上再延長(zhǎng)2年，也可對(duì)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(jìn)口，在等于以往實(shí)施該措施期限一半的期限后，再次實(shí)施保障措施，但兩次保障措施之間時(shí)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(duì)所有利益相關(guān)方發(fā)出必要的公告，舉行公開(kāi)聽(tīng)證會(huì)或其他合適的方式。進(jìn)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(jiàn)，特別是關(guān)于保障措施的實(shí)施是否符合公共利益的意見(jiàn)。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(jiàn)，在可見(jiàn)，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(shí)施保也是決定是否實(shí)施保障措施的一個(gè)因素。在障措施的一個(gè)因素。在WTOWTO反傾反傾銷協(xié)定銷協(xié)定或或補(bǔ)貼與反補(bǔ)貼協(xié)定補(bǔ)貼與反補(bǔ)貼協(xié)定中并無(wú)此明確規(guī)定。中并無(wú)此明確規(guī)定。（二）適用臨時(shí)保障措施（二）適用臨時(shí)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(huì)造成難以彌補(bǔ)的損害的緊在遲

23、延會(huì)造成難以彌補(bǔ)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(jìn)口已經(jīng)或正在威證據(jù)證明增加的進(jìn)口已經(jīng)或正在威脅造成嚴(yán)重?fù)p害的初步裁定采取臨脅造成嚴(yán)重?fù)p害的初步裁定采取臨時(shí)保障措施。臨時(shí)措施的期限不應(yīng)時(shí)保障措施。臨時(shí)措施的期限不應(yīng)超過(guò)超過(guò)200天。此類措施應(yīng)以提高關(guān)稅天。此類措施應(yīng)以提高關(guān)稅的形式實(shí)施。的形式實(shí)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(jìn)口量減少至低于近期水平措施不得使進(jìn)口量減少至低于近期水平（該水平一般應(yīng)為可獲得統(tǒng)計(jì)數(shù)字的最（該水平一般應(yīng)為可獲得統(tǒng)計(jì)數(shù)字的最近近3個(gè)代表性年份的平均進(jìn)口量）。個(gè)代表性年份的平均進(jìn)口量）。（四）貿(mào)易補(bǔ)償和中止減讓（四）貿(mào)易補(bǔ)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(dá)成協(xié)天內(nèi)達(dá)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(shí)施后保障措施實(shí)施后90天，并在貨物貿(mào)易理天，并在貨物貿(mào)易理事會(huì)收到中止減讓的書(shū)面通知之日起事會(huì)收到中止減讓的書(shū)面通知之日起30天期滿后，對(duì)實(shí)施保障措施成員的貿(mào)易天期滿后，對(duì)實(shí)施保障措施成

30、員的貿(mào)易中止實(shí)施中止實(shí)施GATT 1994項(xiàng)下實(shí)質(zhì)對(duì)等的減項(xiàng)下實(shí)質(zhì)對(duì)等的減讓或其他義務(wù)，只要貨物貿(mào)易理事會(huì)對(duì)讓或其他義務(wù)，只要貨物貿(mào)易理事會(huì)對(duì)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(jìn)口的絕對(duì)增長(zhǎng)而采取若該保障措施是由于進(jìn)口的絕對(duì)增長(zhǎng)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(yīng)年內(nèi)不應(yīng)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(fù)審（復(fù)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(guò)若一種保障措施的期限超過(guò)3年，適用年，適用該措施的成員在不遲于該期限的中期復(fù)審這該措施的成員在不遲于該期限的中期復(fù)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(jìn)口限制的步伐。消該措施或加快放寬進(jìn)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(huì):：(1)發(fā)起與嚴(yán)重?fù)p害或嚴(yán)重?fù)p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(jìn)口所造成的嚴(yán)重?fù)p害或嚴(yán)重?fù)p害威脅所提出的調(diào)查結(jié)果；(3)就實(shí)施或延長(zhǎng)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(shí)施或延長(zhǎng)保障措施的成員應(yīng)向保障措施委員會(huì)提供所有有關(guān)信息，其中包括增加的進(jìn)口所造成嚴(yán)重?fù)p害或嚴(yán)重?fù)p害威脅的證據(jù)、對(duì)所涉及的產(chǎn)品和擬議措施的準(zhǔn)確描述、擬議采取措施的日期、預(yù)計(jì)的期限以及逐步放寬限制的時(shí)間表。一成員在采取臨時(shí)保障措施之前，一成員在采取臨時(shí)保障措施之前，應(yīng)向保障措施委員會(huì)作出通知。有應(yīng)向保障措施委員會(huì)作出通知。有關(guān)方之間的磋商應(yīng)在采取臨時(shí)措施關(guān)方之間的磋商應(yīng)在采取臨時(shí)措施后立即開(kāi)始。后立即開(kāi)始。磋商的結(jié)果、中期復(fù)審的結(jié)果、任磋商的結(jié)果、中期復(fù)審的結(jié)果、任何形式的補(bǔ)償、擬定的中止減讓或何形式的補(bǔ)償、擬定的中止減讓或其他義務(wù)的中止，均應(yīng)由有關(guān)成員其他義務(wù)的中止，均應(yīng)由有關(guān)成員立即通知貨物貿(mào)易理事會(huì)。立即通知貨物貿(mào)易理事會(huì)。