最新WTO规则中英文教程第十章保障措施(共32张PPT课件).pptx

第十章第十章 WTO保障保障(bozhng)措施适用措施适用规则规则 WTO Rules on Applying Safeguard Measures第一页，共三十二页。一、概述一、概述(i sh)WTO保障措施协定保障措施协定(Agreement on Safeguards)1确定了确定了WTO关于保障措施的适用规关于保障措施的适用规则。则。保障措施协定保障措施协定的主要目标是规范的主要目标是规范GATT 1994第第19条条“对某些产品进口的紧急对某些产品进口的紧急措施措施”的实施，加强对保障措施的实施，加强对保障措施(safeguards or safeguard measures)的多边的多边(dubin)控制，消除逃避此控制，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 annex.第二页，共三十二页。二、宗旨二、宗旨(zngzh)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 Safeguards Agreement broke new ground in prohibiting “grey area” measures and setting time limits (“sunset clause”) on all safeguard actions.第三页，共三十二页。三、适用保障三、适用保障(bozhng)措施的条件（措施的条件（Art.2)A product is being imported 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. 一种产品的进口量相对于国内生产绝对或相对地增加，且对生产相同或直接(zhji)竞争产品的国内产业造成严重损害或产生严重损害威胁。 第四页，共三十二页。何谓绝对增长(zngzhng)？何谓相对增长(zngzhng)？An import “surge” justifying safeguard action can be 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).第五页，共三十二页。四、保障措施中的“国内产业(chny)”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(jngzhng)产品的国内生产商。该协定第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 domestic production of those products. 第六页，共三十二页。“国内产业国内产业”应理解为在一成员领土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，或指那些争产品的所有生产商，或指那些(nxi)生产的相同产品或直接竞争产品的累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积产量占该产品国内总产量大部分的生产商。生产商。第七页，共三十二页。五、五、“严重损害严重损害(snhi)”和和“严重损害严重损害(snhi)威胁威胁”的定义的定义（一）定义（一）定义 Serious injury means a significant overall impairment in the position of a domestic industry; “ “严重损害严重损害”是指对一国内产业状况的重大全面的损是指对一国内产业状况的重大全面的损伤；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. “ “严重损害威胁严重损害威胁”是指明显的迫近的严重损害。是指明显的迫近的严重损害。对存在对存在(cnzi)严重损害威胁的认定应根据有关的事实，严重损害威胁的认定应根据有关的事实，而非仅凭指控、推测或存在而非仅凭指控、推测或存在(cnzi)极小的可能性极小的可能性.第八页，共三十二页。（二）确定（二）确定“严重损害严重损害(snhi)”和和“严重损害严重损害(snhi)威胁威胁”应考虑的应考虑的主要因素主要因素 在确定增加的进口是否对一国内产在确定增加的进口是否对一国内产业已经业已经(y jing)造成严重损害或正在威胁造成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、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、利润和亏产量、生产率、设备利用率、利润和亏损及就业变化。损及就业变化。 第九页，共三十二页。小结(xioji)WTO保障措施(cush)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)除造成损害的原因不同外，其决定损害的因素并无实质性的差别。 第十页，共三十二页。六、保障措施(cush)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 adjusting. Measures imposed for more than a year must be progressively liberalized.第十一页，共三十二页。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(shyng)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。 第十二页，共三十二页。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 five-year period immediately preceding the date of introduction of the measure.实施期等于或少于实施期等于或少于180天的保障措施仍可再适用于一产品天的保障措施仍可再适用于一产品的进口，若的进口，若(1)自上一次对该产品的进口适用保障措自上一次对该产品的进口适用保障措施之日起已至少施之日起已至少(zhsho)过了过了1年；且年；且(2)自上一次适用该自上一次适用该保障措施之日前的保障措施之日前的5年期间内，该措施未对同一产品年期间内，该措施未对同一产品实施实施2次以上。次以上。 第十三页，共三十二页。七、对发展中国家成员的特殊七、对发展中国家成员的特殊(tsh)(tsh)规定规定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 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.第十四页，共三十二页。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(zhxi)成员适用保障措施。 第十五页，共三十二页。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 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 of 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(xidng)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。 第十六页，共三十二页。八、适用保障措施的主要八、适用保障措施的主要(zhyo)程程序序（一）保障措施调查（一）保障措施调查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 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.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(jxng)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。第十七页，共三十二页。Transparency and Public InterestThe emphasis is on transparency and on established 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 public interest.第十八页，共三十二页。可见，在可见，在WTOWTO保障措施协定保障措施协定(xidng)(xidng)中，中，“公共利益公共利益”也是决定是否实也是决定是否实施保障措施的一个因素。在施保障措施的一个因素。在WTOWTO反反倾销协定倾销协定或或补贴与反补贴协定补贴与反补贴协定中并无此明确规定。中并无此明确规定。第十九页，共三十二页。（二）适用临时保障（二）适用临时保障(bozhng)(bozhng)措施措施 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 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. 第二十页，共三十二页。在迟延会造成难以弥补的损害的紧急情在迟延会造成难以弥补的损害的紧急情况下，况下，WTO成员可根据有明确证据证成员可根据有明确证据证明增加的进口明增加的进口(jn ku)已经或正在威胁造成严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。重损害的初步裁定采取临时保障措施。临时措施的期限不应超过临时措施的期限不应超过200天。此类天。此类措施应以提高关税的形式实施。措施应以提高关税的形式实施。 第二十一页，共三十二页。（三）适用最终（三）适用最终(zu zhn)保障措施保障措施（Applying a Definitive Safeguard Measures）最终保障措施最终保障措施(cush)(cush)的形式可以是提高关的形式可以是提高关税，也可以是数量限制，但不能是自愿出税，也可以是数量限制，但不能是自愿出口限制（口限制（voluntary export restraints）、有、有序 销 售 安 排 （序 销 售 安 排 （ o r d e r l y m a r k e t i n g arrangements）或其他任何类似措施（或其他任何类似措施（any other similar measures）1。1 See Article 11.1(b) of WTO Agreement on Safeguards.第二十二页，共三十二页。If 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.若保障措施若保障措施(cush)是使用数量限制，则是使用数量限制，则该措施该措施(cush)不得使进口量减少至低于近期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水平（该水平一般应为可获得统计数字的最近的最近3个代表性年份的平均进口量）。个代表性年份的平均进口量）。第二十三页，共三十二页。（四）贸易补偿（四）贸易补偿(bchng)(bchng)和中止减让和中止减让(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 exporting 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.第二十四页，共三十二页。If 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 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. Compensation and Retaliation（2）第二十五页，共三十二页。如在磋商中有关方未能在如在磋商中有关方未能在30天内达成协议，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则受影响的出口成员可在不迟于该保障措施实施后实施后90天，并在货物贸易理事会收到中天，并在货物贸易理事会收到中止减让的书面通知之日起止减让的书面通知之日起30天期满后，对天期满后，对实施保障措施成员的贸易实施保障措施成员的贸易(moy)中止实施中止实施GATT 1994项下实质对等的减让或其他义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务，只要货物贸易理事会对此中止不持异议。异议。 第二十六页，共三十二页。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 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若该保障措施是由于进口的绝对增长(zngzhng)而采取的并符合而采取的并符合WTO保障措施协定保障措施协定的的规定，则出口成员在保障措施有效的前规定，则出口成员在保障措施有效的前3年年内不应行使中止减让的权利。内不应行使中止减让的权利。 第二十七页，共三十二页。(五五)保障措施保障措施中期(zhngq)复审（复审（Art. 7.4 ）If the duration of a safegurard measure 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若一种保障措施的期限超过3年，适用年，适用该措施的成员在不迟于该期限的中期复审这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消该措施或加快放宽(fn kun)进口限制的步伐。进口限制的步伐。 第二十八页，共三十二页。(六六)通知通知(tngzh)和磋商和磋商(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 decision to apply or extend a safeguard measure. WTO要求其成员将下列情况立即通知保障措施委员会:：(1)发起与严重损害或严重损害威胁有关的调查程序及发起的原因；(2)就因增加的进口所造成的严重损害或严重损害威胁所提出的调查结果；(3)就实施或延长(ynchng)保障措施作出的决定。 第二十九页，共三十二页。The Member proposing to apply or extend a safeguard measure shall provide the Committee on Safeguards with all pertinent information, which shall 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. 提议实施或延长保障措施的成员应向保障措施委员会提供所有有关信息，其中包括增加的进口所造成严重损害或严重损害威胁的证据、对所涉及的产品和拟议(ny)措施的准确描述、拟议(ny)采取措施的日期、预计的期限以及逐步放宽限制的时间表。 第三十页，共三十二页。一成员在采取临时保障措施之前，应一成员在采取临时保障措施之前，应向保障措施委员会作出通知。有关方向保障措施委员会作出通知。有关方之间的磋商应在采取临时措施后立即之间的磋商应在采取临时措施后立即开始。开始。 磋商的结果、中期磋商的结果、中期(zhngq)复审的结果、复审的结果、任何形式的补偿、拟定的中止减让或任何形式的补偿、拟定的中止减让或其他义务的中止，均应由有关成员立其他义务的中止，均应由有关成员立即通知货物贸易理事会。即通知货物贸易理事会。 第三十一页，共三十二页。内容(nirng)总结第十章 WTO保障(bozhng)措施适用规则。有关方之间的磋商应在采取临时措施后立即开始第三十二页，共三十二页。