世界贸易组织法Chapt7

Chapter7AgreementonSafeguards保障措施协议7.1Introduction引言保障措施是指，WTO成员方在进口激增并对国内相关产业造成严重损害或严重损害威胁时，采取的限制进口措施。WTO规则允许进口国政府在特定产品进口大量增加造成国内相关产业损害或损害威胁时所采取的限制进口的紧急措施GATT/WTO在促进贸易自由化的同时，也承认贸易自由化也会使承担义务的成员方面临困难，如，无法适应新的竞争环境，为保证受影响的产业获得适应竞争的时间，规定了相应的保障措施7.2BackgroundtotheAgreementonSafeguards(SGAgreement)《保障措施协议》产生的背景SafeguardmeasuresavailableunderGATT1947,ArticleXIX;wereinfrequentlyused,andsomegovernmentspreferredtoprotecttheirindustriesthrough“greyarea”measures(bilateralvoluntaryexportrestraints,orderlymarketingagreements,andsimilarmeasures).SGAgreementreachedinUruguayRound.RelationsbetweenGATTXIXandASG:Applytogether7.3DefinitonofSafeguradMeasures保障措施的定义If,asaresultofunforeseendevelopmentsandoftheeffectoftheobligationsincurredbyacontractingpartyunderthisAgreement,includingtariffconcessions,anyproductisbeingimportedintotheterritoryofthatcontractingpartyinsuchincreasedquantitiesandundersuchconditionsastocauseorthreatenseriousinjurytodomesticproducersinthatterritoryoflikeordirectlycompetitiveproducts,thecontractingpartyshallbefree,inrespectofsuchproduct,andtotheextentandforsuchtimeasmaybenecessarytopreventorremedysuchinjury,tosuspendtheobligationinwholeorinpartortowithdrawormodifytheconcessions.(GATTXIX：EmergencyActiononImportsofParticularProducts)如因不能预见的发展和一缔约方在本协定项下负担包括关税减让在内义务的影响，进口至该缔约方领土的产品数量增加如此之大且情况如此严重，以至对该领土内同类产品或直接竞争产品的国内生产者造成严重损害或严重损害威胁，则该缔约方可以在防止或补救此种损害所必须的限度和时间内，对该产品全部或部分中止义务或撤销或修改减让。Safeguardmeasuresaredefinedas“emergency”actionswithrespecttoincreasedimportsofparticularproducts,wheresuchimportshavecausedorthreatentocauseseriousinjurytotheimportingMember'sdomesticindustry.Suchmeasures,whichinbroadtermstaketheformofsuspensionofconcessionsorobligations,canconsistofquantitativeimportrestrictionsorofdutyincreasestohigherthanboundrates.保障措施形式：可以包括对进口货物实施数量限制，提高关税等形式7.4ConditionstoApplySafeguardsArticleXIX,para.1(a)oftheGATTandArticle2ofAgreementonSafeguardsasaresultofunforeseendevelopmentsandoftheeffectoftheobligationsincurredbyacontractingpartyunderthisAgreement不能预见的发展和一缔约方在本协定项下负担义务的影响insuchincreasedquantities进口数量激增tocauseorthreatenseriousinjurytodomesticproducersinthatterritoryoflikeordirectlycompetitiveproducts对该领土内同类产品或直接竞争产品的国内生产者造成严重损害或严重损害威胁InSuchIncreasedQuantities（进口数量激增）Article2.1:“increasedquantities,absoluteorrelativetodomesticproduction”•Absoluteincrease2005:30thousandsinimports2006:40thousandsinimports•RelativeincreaseEevennoincreaseinabsolutetermshoweverimportshad“increasedrelativetodomesticproduction”20052006Import10thousandsImport10thousandsDomestic30thousandsDomestic20thousandsUnforseenDevelopment(不可遇见的发展）NotdefinedinGATT1994orSAAgreement•InHatter‘sFurCase（皮帽案）,Panel:“development...whichitwouldnotbereasonabletoexpectthatnegotiators...couldandshouldhaveforeseen”在1950年捷克诉美国的“皮帽案”对“不可预见的发展”作出解释：“是指在关税减让谈判后出现的情况发展，并且要求作出关税减让的国家的谈判代表在谈判时无法合理预见到这种情况的发展。SeriousInjuryasignificantoverallimpairment(总体上重大损害）inthepositionofadomesticindustryThreatofSeriousInjury‧clearlyimminent‧basedonfactsandnotmerelyonallegation,conjectureorremotePossibilityDomesticIndustrytheproducersasawholeofthelikeordirectlycompetitiveproducts,orwhosecollectiveoutputofthelikeordirectlycompetitiveproductsconstitutesamajorproportionofthetotaldomesticproductionofthoseproducts在一成员方境内生产同类产品或直接竞争产品的全体国内生产商，或者其产量之和占该成员方这种同类或直接竞争产品生产总量主要部分的生产商Factorstobeevaluatedintheinvestigationtodeterminewhetherincreasedimportshavecausedorarethreateningtocauseseriousinjurytoadomesticindustry（主管机构应评估的因素）:Thecompetentauthoritiesshallevaluateallrelevantfactorsofanobjectiveandquantifiablenaturehavingabearingonthesituationoftheindustry,inparticular,therateandamountoftheincreaseinimportsoftheproductinabsoluteandrelativeterms,theshareofthedomesticmarkettakenbyincreasedimports,changesinthelevelofsales,production,productivity,capacityutilization,profitsandlosses,andemploymentofthedomesticindustry.主管机构应评估影响有关产业状况的客观和可量化的所有相关因素，特别是有关产品进口量的绝对或相对增加的比例和数量、增加的进口产品在国内市场的占有份额以及国内产业的销售水平、总产量、生产能力、设备利用率、利润与亏损、就业等方面的变化。CausalLink因果关系Article4.2(b);Establishesatwofoldrequirementbetween“increasedimports”and“seriousinjury”:1.Demonstrationthattheincreasedimportscausedseriousinjuryorthreatofseriousinjury:2.“Non-attribution”:Injurycausedbyfactorsotherthanincreasedimportsmustnotbeattributedtotheincreasedimports.7.5DomesticProceduresforinvokingsafeguardsInvestigationFindingsConsultationNotifytheCommitteeonSafeguards:1.Initiatinganinvestigatoryprocessandthereasonsforit;2.Makingafindingofseriousinjuryorthreatthereofcausedbyincreasedimports3.Takingadecisiontoapplyorextendasafeguardmeasure.ObligationofNotificationPreliminarydeterminationFurtherInvestigationFinaldeterminationProvisionalMeasures（临时措施）•Basedonpreliminaryconfirmativedetermination•Duration:notexceed200days•Form:tariffincreaseDefinitivemeasures（最终措施）•Form:tariffincrease(提高关税）,quantitiesrestrictions（数量限制）andtariff-quota（关税配额）•DurationOnlyforaperiodoftimeasmaybenecessarytopreventorremedyseriousinjuryandtofacilitateadjustment.Nottoexceed4yearsinitially,andmaybeextendedtothemaximumof8years(includingtheperiodofprovisi